[Federal Register Volume 72, Number 48 (Tuesday, March 13, 2007)]
[Notices]
[Pages 11434-11772]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 07-974]
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Part II
Department of Housing and Urban Development
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Fiscal Year 2007 SuperNOFA for HUD's Discretionary Programs; Notice
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 /
Notices
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-5100-N-01A]
Fiscal Year 2007 SuperNOFA for HUD's Discretionary Programs
AGENCY: Office of the Secretary, HUD.
ACTION: Notice of HUD's Fiscal Year (FY) 2007 Notice of Funding
Availability (NOFA) for HUD's Discretionary Programs (SuperNOFA).
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SUMMARY: On January 18, 2007, HUD published its Notice of FY2007 Notice
of Funding Availability Policy Requirements and General Section to the
SuperNOFA (General Section). HUD published the General Section of the
FY2007 SuperNOFA in advance of the individual NOFAs to give prospective
applicants sufficient time to begin preparing their applications, and
to register early with Grants.gov in order to facilitate their
application submission process. Today's publication contains the 38
funding opportunities or program NOFAs that constitute HUD's FY2007
SuperNOFA. In addition, today's publication provides a revised listing
of programs contained in the FY2007 SuperNOFA and corrects two items
contained in the General Section published on January 18, 2007.
DATES: Application deadline and other key dates that apply to all HUD
federal financial assistance made available through HUD's FY2007
SuperNOFA are contained in each individual program NOFA and in Appendix
A of this notice.
FOR FURTHER INFORMATION CONTACT: The individual program NOFA identifies
the applicable agency contact(s) for each program. Questions regarding
today's Introduction to the SuperNOFA should be directed to the NOFA
Information Center between the hours 10 a.m. and 6:30 p.m. eastern time
at (800) HUD-8929. Hearing-impaired persons may access this telephone
via TTY by calling the toll-free Federal Information Relay Service at
(800) 877-8339. Questions regarding specific program requirements
should be directed to the agency contact(s) identified in each program
NOFA.
SUPPLEMENTARY INFORMATION: HUD published the General Section of the
FY2007 SuperNOFA on January 18, 2007 (72 FR 2396). HUD published the
General Section in advance of the individual program NOFAs to give
prospective applicants sufficient time to begin preparing their
applications, and to register early with Grants.gov in order to
facilitate their application submission process. Today's publication
contains the 38 individual funding opportunities, or program NOFAs,
that constitute HUD's FY2007 SuperNOFA. Through the FY2007 SuperNOFA,
HUD is making available approximately $2 billion in federal financial
assistance. In addition, today's publication provides a revised listing
of programs contained in the FY2007 SuperNOFA and corrects one item
contained in the General Section published on January 18, 2007.
Each program NOFA provides the statutory and regulatory
requirements, threshold requirements, and rating factors applicable to
funding made available through the individual NOFA. Applicants must
also review, however, the January 18, 2007, General Section for
important application information and requirements, including
submission requirements that provide explicit instructions on file
formats acceptable to HUD.
Appendix A to the January 18, 2007, General Section identified the
funding opportunities anticipated to be included in the FY2007
SuperNOFA. HUD is revising and republishing Appendix A (Revised
Appendix A) as part of today's FY2007 SuperNOFA publication. Revised
Appendix A provides an up-to-date funding chart that lists the funding
opportunities included in today's FY2007 SuperNOFA publication, along
with the application deadline.
In reviewing Revised Appendix A, applicants should note that the
Youthbuild NOFA, Brownfields Economic Development Initiative (BEDI)
NOFA, and the Public Housing Neighborhood Networks (PH-NN) NOFA are not
part of today's FY2007 SuperNOFA publication. The Youthbuild program
was transferred to the U.S. Department of Labor on September 22, 2006,
in accordance with Public Law 109-281, and will not be included in the
FY2007 SuperNOFA. Persons interested in funding opportunities under the
Youthbuild program should contact the U.S. Department of Labor. The
BEDI and PH-NN were not funded in FY2007. HUD is also providing NOFAs
for three programs that were not contained in its FY2006 SuperNOFA,
specifically the Housing Counseling Training Program, Early Doctoral
Student Research Grant Program, and the Doctoral Dissertation Research
Program NOFAs.
HUD is also using today's publication to correct two items
contained in the General Section published on January 18, 2007.
Initially, HUD noted in section V.A.1. (third column beginning on page
2408 and continuing to page 2409), that: ``For each program NOFA, the
points awarded for the rating factors total 100. Depending on the
program for which you are seeking funding, the funding opportunity may
provide up to four bonus points, as provided below:''
In fact, since the FY2007 SuperNOFA offers bonus points only for
applicants that certify that their activities or projects are located
in, intended to serve the residents of, or are consistent with the
strategic plan for an empowerment zone (EZ), utilization plan for an
urban or rural renewal community designated by HUD (RC), or strategic
plan for an enterprise community designated in round II by the U.S.
Department of Agriculture (EZ-II), collectively referred to as ``RC/EZ/
EC-IIs,'' only two bonus points are available. As a result, section
V.A.1. (third column beginning on page 2408 and continuing to page
2409), should read: ``For each program NOFA, the points awarded for the
rating factors total 100. Depending on the program for which you are
seeking funding, the funding opportunity may provide up to two bonus
points, as provided below:''
HUD is also correcting instructions regarding the completion of the
Logic Model form (HUD-96010). In the third sentence of section
VI.C.5.b. (middle column, page 2414), HUD stated that applicants should
include all activities and outcomes expected per year of the period of
performance. To be consistent with and correctly complete the Logic
Model forms, applicants are advised that they must include all
activities and outcomes expected per year of the period of performance.
As a result, the third sentence of section VI.C.5.b. is corrected to
read, ``[T]o provide for greater consistency in reporting, applicants
must include all activities and outcomes expected per year of the
period of performance as defined in the program logic model for the
program NOFA that they apply for.''
HUD published the General Section of the FY2007 SuperNOFA early to
provide its applicant community with the opportunity to become familiar
with cross-cutting requirements, and to remind prospective applicants
to register or renew their registration in order to successfully submit
an application via Grants.gov.
Applicants are required to complete a five-step registration
process in order to submit their applications electronically and
previously registered applicants must annually update their information
in the Central Contractor Registration (CCR) for the registration to
remain viable. HUD has developed the following brochures and guidance,
found at http://www.hud.gov/offices/adm/grants/fundsavail.cfm, to
assist applicants with the registration, CCR update, and application
processes:
STEP BY STEP: Your Guide to Registering for Grant
Opportunities.
[[Page 11435]]
Finding and Applying for Grant Opportunities.
Desktop User Guide for Submitting Grant Applications.
For FY2007, the Continuum of Care remains a paper application
process. HUD continues to encourage Continuum of Care agencies to
become familiar with Grants.gov requirements to facilitate the future
transition to Grants.gov. If you have questions concerning the
registration process or renewal, or have a question about a NOFA
requirement, contact HUD staff listed in the program NOFAs. HUD staff
cannot help you write your application, but can clarify requirements
contained in this Notice and HUD's registration materials.
Finally, applicants are invited and encouraged to participate in
HUD's satellite training and webcast sessions designed to provide a
detailed explanation of the general section and program section
requirements for each of the SuperNOFA programs. The interactive
broadcasts provide an opportunity to ask questions of HUD staff. These
broadcasts are archived and accessible from HUD's Grants page at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. HUD also encourages
applicants to subscribe to the Grants.gov free notification service. By
doing so, applicants will receive e-mail notification as soon as items
are posted to Grants.gov and will have access to a significant amount
of useful information, including responses to frequently asked
questions that arise during the funding application period. The address
to subscribe to the Grants.gov free notification service is http://www.grants.gov/search/email.do. Modifications to the General Section,
any of the program NOFAs, or the application are posted to
www.Grants.gov as soon as they are available (except for the Continuum
of Care NOFA). Modifications to the Continuum of Care NOFA, or the
Continuum of Care application are posted to HUD's grants page at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
As stated in the General Section, HUD hopes that the steps that it
has taken to provide information early in the FY2007 funding process
will be of benefit to you, our applicants.
Dated: February 26, 2007.
Roy A. Bernardi,
Deputy Secretary.
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BILLING CODE 4210-01-C
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: FR-5100-N-08; OMB Approval Numbers:
2506-0166 for HOME Investment Partnerships Program (HOME), HOME
Investment Partnerships Program for Community Housing Development
Organizations (CHDO (HOME)), and McKinney-Vento Homeless Assistance
(Homeless), 2506-0133 for Housing Opportunities for Persons With AIDS
(HOPWA).
E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.239,
HOME and CHDO (HOME); 14.235, Homeless; 14.241, HOPWA.
F. Dates: The application deadline date is May 25, 2007.
G. Additional Overview Information: Applicants interested in
providing technical assistance to entities participating in HUD's
community development programs should carefully review the General
Section and the information listed in this CD-TA NOFA. Funds are
available to provide technical assistance for four separate program
areas: HOME, CHDO (HOME), Homeless, and HOPWA. Applicants may apply for
one, two, three, or all four CD-TA program areas. The application
submission information is contained in this CD-TA NOFA at Section IV.B.
Approximately $25.4 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
four separate community development program areas: (1) HOME; (2) CHDO
(HOME); (3) Homeless and; (4) HOPWA. Information about the four
community development programs and their missions, goals, and
activities can be found on the HUD Web site at 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 Revised Continuing Appropriations
Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007). HOPWA TA
is also authorized under the continuing resolution.
II. Award Information
A. Available Funds. Approximately $25.4 million 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:
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Program National TA Local TA
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HOME.................................... $4,000,000 $6,000,000
CHDO (HOME)............................. 2,000,000 6,000,000
Homeless................................ 3,500,000 3,000,000
HOPWA................................... 900,000 0
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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. In the case of the national
CHDO (HOME) program, if less than the total amount of available funds
is awarded, the balance may be used to make awards under the national
HOME TA program, subject to congressional reprogramming approval, if
applicable. The chart below shows the amounts available in dollars for
Local TA by CD-TA program:
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Local TA Area HOME CHDO (HOME) Homeless
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Alabama......................................................... $75,000 $50,000 $55,000
Alaska.......................................................... 45,000 50,000 30,000
Arkansas........................................................ 50,000 75,000 55,000
California--Northern and Arizona, Nevada........................ 400,000 425,000 300,000
California--Southern............................................ 425,000 450,000 275,000
Caribbean....................................................... 125,000 100,000 40,000
Colorado and Montana, North Dakota, South Dakota, Utah, Wyoming. 175,000 195,000 60,000
Connecticut..................................................... 70,000 80,000 40,000
District of Columbia area....................................... 70,000 80,000 50,000
Florida--Southern............................................... 75,000 60,000 25,000
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Florida--Northern............................................... 125,000 76,000 85,000
Georgia......................................................... 125,000 100,000 55,000
Hawaii.......................................................... 65,000 65,000 45,000
Illinois........................................................ 180,000 175,000 160,000
Indiana......................................................... 130,000 75,000 25,000
Kansas and Missouri--Western.................................... 100,000 75,000 50,000
Missouri--Eastern............................................... 40,000 55,000 40,000
Kentucky........................................................ 250,000 150,000 55,000
Louisiana....................................................... 100,000 100,000 54,000
Maryland, except District of Columbia area...................... 60,000 50,000 30,000
Massachusetts, Maine, New Hampshire, Rhode Island, Vermont...... 310,000 300,000 200,000
Michigan........................................................ 175,000 225,000 150,000
Minnesota....................................................... 100,000 140,000 60,000
Mississippi..................................................... 150,000 250,000 50,000
Nebraska and Iowa............................................... 90,000 55,000 40,000
New Jersey...................................................... 150,000 75,000 40,000
New Mexico...................................................... 200,000 275,000 60,000
New York--Downstate............................................. 200,000 425,000 210,000
New York--Upstate............................................... 125,000 75,000 40,000
North Carolina.................................................. 300,000 300,000 55,000
Ohio............................................................ 150,000 190,000 70,000
Oklahoma........................................................ 55,000 40,000 15,000
Oregon and Idaho................................................ 85,000 75,000 30,000
Pennsylvania--Eastern and Delaware.............................. 225,000 125,000 50,000
Pennsylvania--Western and West Virginia......................... 150,000 100,000 49,000
South Carolina.................................................. 65,000 34,000 40,000
Tennessee....................................................... 150,000 175,000 40,000
Texas--Northern................................................. 150,000 175,000 85,000
Texas--Southern................................................. 85,000 40,000 0
Virginia, except District of Columbia area...................... 100,000 100,000 40,000
Washington...................................................... 100,000 65,000 40,000
Wisconsin....................................................... 100,000 150,000 70,000
Houston......................................................... 100,000 125,000 37,000
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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,
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 and HOPWA 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.
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.
D. Certification of HOME and CHDO TA Providers Required-Beginning
FY2008.
Many technical assistance providers have taken the HOME Certified
Specialist--Regulations training and
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have passed the certification exam. Please note that beginning with the
FY2008 NOFA, HUD intends to award higher points, under Rating Factor 1,
to applicants delivering HOME or CHDO technical assistance that have
staff who have taken and passed the HOME Certified Specialist--
Regulations training and exam.
At least ten HOME Certified Specialist--Regulations training
deliveries are scheduled for 2007 and a number of slots are set aside
for TA providers at each of these deliveries. Registration information
for these deliveries can be found on the web at: http://www.icfhosting.com/hcd/cpd/hcdcpd.nsf/webpages/Welcome.html.
III. Eligibility Information
A. Eligible Applicants. The eligible applicants for each of the
four 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.
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Program Eligible applicants
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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 predominantly 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.
------------------------------------------------------------------------
Applicants must also meet the threshold requirements of the General
Section, 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.
B. Cost Sharing or Matching. None.
C. Other
1. Eligible Activities and Priorities. Funds may be used to provide
TA to grantees, prospective applicants, and project sponsors of the
HOME, CHDO (HOME), Homeless, and HOPWA programs. For each of the TA
programs, 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. TA should
include information needed by the grantee to meet all Fair Housing and
section 504 requirements. The priority TA areas for each of the four
program areas are:
a. HOME TA. 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.
(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, persons with disabilities, and residents of an empowerment
zone (EZ) designated by HUD or the United States Department of
Agriculture (USDA), an urban or rural renewal community designated by
HUD (RC), or an enterprise community designated in round II by USDA
(EC-II).
(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 5.
b. CHDO (HOME) TA.
(1) 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
[[Page 11444]]
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.
(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, HUD-funded grantees, project
sponsors, and potential recipients with skills and knowledge needed to
develop and operate projects and activities. The assistance may
include, but is not limited to, developing and disseminating written
information such as papers, monographs, manuals, curriculums, guides,
and brochures; and person-to-person exchanges, conferences, training
and use of technology. TA activities are focused on these priorities
that result in measurable performance outputs and outcomes:
(1) Assist CoCs with Homeless Management Information System (HMIS)
implementation. National technical assistance will relate to data
collection, data quality, data analysis, provider participation,
reporting, performance measurement, data warehousing, and HMIS Data and
Technical Standards.
(2) Maintain and enhance the HMIS Web site portal as the vehicle
for collection and dissemination of HMIS information.
(3) Support collaboration between metropolitan, regional and
statewide HMISs. Assistance may include providing state and/or regional
HMIS technical assistance coordinators and/or technology to promote
effectuating long-distance meeting, conferencing and networking.
(4) Support collaboration between metropolitan, regional, and
statewide HMISs for use in disaster preparedness and recovery efforts,
utilizing the experience of communities that experienced Hurricanes
Katrina and Rita.
(5) Improve participation in the Annual Homeless Assessment Report
(AHAR) by CoCs and providers in their geographic areas through outreach
and capacity building. Develop materials and training for: Reporting
bed coverage; extrapolation and data analysis methodologies and
documents; data integration; data quality assessments; utilization of
AHAR data at the program and/or CoC level; and the collection and
analysis of CoC data for Congressionally-directed HMIS-related reports
to Congress.
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 capacity of HOPWA grantees and project sponsors to
execute long-term comprehensive housing strategies by developing
housing plans that integrate permanent housing and supportive services,
thereby promoting HOPWA's national performance goals of increasing
housing stability, reducing risks of homelessness, and improving access
to care for HOPWA beneficiaries.
(2) Develop national models that effectively integrate AIDS housing
strategies into consolidated planning and Continuum of Care planning
processes.
(3) Develop curriculums and related training tools to assist
grantees and project sponsors in coordinating HOPWA permanent housing
assistance with mainstream medical and supportive service resources,
including Ryan White CARE Act, state, local, and private resources.
(4) Conduct training activities to improve the capacity of grantees
and project sponsors to increase the availability of affordable housing
opportunities for eligible persons in high incidence HIV/AIDS
communities with substantial unmet housing needs (e.g., emerging
populations, in major disaster areas and underserved rural areas.)
(5) Develop training materials to promote use of Homeless
Management Information Systems in the provision of HOPWA-assisted
housing and coordination of supportive services for eligible homeless
persons.
(6) Develop technical assistance plans in collaboration with HUD
field office oversight for local HOPWA-assisted housing programs. It is
estimated that up to 40 percent of HOPWA TA funds will be made
available for this purpose.
2. DUNS Requirement. Refer to the General Section for information
regarding the DUNS requirement. Applicants must 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.
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
[[Page 11445]]
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. Applications must be
received and validated by Grants.gov no later than 11:59:59 p.m.
Eastern time on the application deadline date. HUD must receive paper
copy applications from applicants that received a waiver no later than
11:59:59 p.m. on the application deadline date. See the General Section
for application submission and timely receipt procedures and for
instructions on how to request a waiver. Paper applications will not be
accepted unless the applicant has received a waiver of the electronic
submission requirement.
B. Content and Form of Application Submission. Applicants must
submit a separate application for each National TA and Local TA area
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 contains all relevant
sections of the application, as shown in the checklist below in Section
IV.B.4.
1. Number of Copies. This information will be included in approval
letters to applicants submitting a waiver request.
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
r[eacute]sum[eacute]s, charts, letters, or any other documents attached
to the application.
4. Checklist for Application Submission. Applicants submitting
electronic copies should follow the procedures in Sections IV.B. and F.
of the General Section. The following checklist is provided as a guide
to help ensure that you submit all the required elements. 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. All forms are available when you
download the application and instructions from https://apply.grants.gov/forms_apps_idx.html.
--SF-424, Application for Federal Assistance (see General Section)
--An Application Cover Page indicating in bold (a) the type of TA
proposed in the application whether HOME National, CHDO National, CHDO
Local, Homeless National, Homeless Local, or HOPWA National (b) the
amount of funds requested; 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 Factors 1-5
--HUD-96010, Logic Model
--HUD-424-CB, Grant Application Detailed Budget Form (see General
Section)
--HUD-424-CBW, Detailed Budget Worksheet for Non-Construction Projects
(see General Section)
--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 (see General Section)
--HUD-2880, Applicant/Recipient Disclosure/Update Report (see General
Section)
--SF-424, Supplement, Survey on Equal Opportunity for Applicants
--HUD-96011, Facsimile Transmittal (required for electronic submissions
of third party documents)
C. Submission Dates and Times. Your completed application must be
received and validated electronically by Grants.gov no later than
11:59:59 p.m. eastern time on the deadline date.
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
$18,000,000 made available for HOME and CHDO (HOME) TA in FY2007.
Not less than 40 percent of the approximately $8,000,000 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 describes
application submission procedures and how applicants may obtain proof
of timely submission.
Waiver of Electronic Submission Requirements. Applicants interested
in applying for funding under this NOFA must submit their applications
electronically or request a waiver from the Community Development
Technical Assistance program. Applicants should
[[Page 11446]]
submit their waiver requests in writing by e-mail. Waiver requests must
be submitted no later than 15 days prior to the application deadline
date and should be submitted to [email protected]. Instructions
regarding the number of copies to submit and the address where they
must be submitted will be contained in any approval of the waiver
request. Paper submissions must be received at the appropriate HUD
office(s) no later than the deadline date.
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 1.
The CD-TA program is not subject to bonus points, as described in the
General Section.
Points are assigned on five factors. When addressing Factors 2-5,
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 1 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 1, 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.
Rating Factor 1: 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, or HOPWA. 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, and/or HOPWA 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, or HOPWA,
as applicable.
Rating Factor 2: Need/Extent of the Problem (10 points)
a. For National TA applications: Sound and extensive understanding
of need for TA in relation to the 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.
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.
Rating Factor 3: Soundness of Approach (40 points)
a. (25 points) (1) 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.
(2) 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 be cost-effective and 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 the design, organization,
and management of the 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 (such as the Colonias, an empowerment zone (EZ)
designated by HUD or the United States Department of Agriculture
(USDA), an urban or rural renewal community designated by HUD (RC), an
enterprise community designated in round II by USDA (EC-II), or
homeless persons and persons with disabilities).
In rating this factor, HUD will evaluate the extent to which the
applicant has identified and has documented, using reliable data,
specific communities, populations, or organizations that have been
disadvantaged or previously underserved communities, populations, or
organizations and has developed an effective strategy for engaging
their participation in the HOME, CHDO (HOME), Homeless, or HOPWA
program, as applicable.
Rating Factor 4: Leveraging Resources (10 points)
An efficient practical method to transfer manuals, guides,
assessment
[[Page 11447]]
forms, other work products, models, and lessons learned in its CD-TA
activities to other CD-TA grantees and/or HOME, CHDO (HOME), Homeless,
or HOPWA 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.
Rating Factor 5: 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.
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. Ranked Order.
a. Once rating scores are assigned, rated applications submitted
for each National TA program and for each Local TA program will be
listed in ranked order. Applications within the fundable range (score
of 75+ points with 20+ points for Factor 1) may then be funded in
ranked order under the CD-TA program and service area for which they
applied.
b. For purposes of coordinating activities on a national basis, HUD
reserves the right to select a single national provider to carry out
activities, as follows:
(1) one for HOPWA technical assistance activities, including
national products and local support;
(2) one for HMIS technical assistance activities;
(3) one for HOME and one for CHDO technical assistance activities.
3. Threshold Eligibility Requirements. All applicants requesting
CD-TA must be in compliance with the applicable threshold requirements
found in the General Section 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 deadline (see Section IV.C of the General
Section) will be considered ineligible for funding.
4. Award Adjustment. In addition to the funding adjustment
authority provided for in the General Section, 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. HUD will send written notifications to both
successful and unsuccessful applicants. A notification sent to a
successful applicant is not an authorization to begin performance.
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.
After selection, but prior to award, applicants selected for
funding will be required to provide HUD with their written Code of
Conduct if they have not previously done so and it is recorded on the
HUD Web site at http://
[[Page 11448]]
www.hud.gov/offices/adm/grants/codeofconduct/sconduct.cfm.
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.
See the General Section for requirements for Procurement of
Recovered Materials.
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. For FY 2007, HUD is
considering a new concept for the Logic Model. The new concept is a
Return on Investment (ROI) statement. HUD will be publishing a separate
notice on the ROI concept.
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.B. 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 Web site on the
Internet at 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 Web site 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 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.
[[Page 11449]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.005
[[Page 11450]]
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 (ONAP).
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 is FR
5100-N-22. The OMB Approval Number is 2577-0191.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): The
Catalog of Federal Assistance (CFDA) Number for the ICDBG program is
14.862.
F. Dates: Application Deadline: Applications must be received and
validated no later than the deadline date of June 1, 2007. Please see
Section IV of this NOFA for application submission and timely receipt
requirements.
G. Additional Information:
1. Applicants for funding should carefully review the requirements
identified in this NOFA and the General Section. Unless otherwise
stated in this NOFA, the requirements of the General Section apply.
2. The total approximate amount of funding available for the ICDBG
program for fiscal year 2007 is $59.4 million less $3.96 million
retained to fund Imminent Threat Grants, for a total of $55.4 million.
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. 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 ICDBG program 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 ONAP in HUD's Office of Public
and Indian Housing administers the program.
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 that 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.
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.
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; and
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 grants.
D. Definitions Used in this NOFA
1. Adopt. To approve by formal tribal resolution.
2. 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.
3. 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.
4. 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
[[Page 11451]]
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.
5. 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 for documentation requirements for leveraged
resources.)
6. 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.
7. 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 that
must be addressed in an O&M plan (the tribe assumes responsibility) or
in a letter of commitment (an entity other than tribe will assume these
responsibilities). Although the tribe no longer has to submit the O&M
plan with the application, it must provide a written statement that it
has adopted an O&M plan and that the plan addresses several items.
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, these costs do not include the
program service provision costs related to the delivery of services
(social, health, recreational, educational, or other) that may be
provided in a facility).
8. 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, economic status, etc. Common outcomes could include
increases in percent of housing units in standard condition,
homeownership rates, or employment rates.
9. 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.
10. Project Cost. The total cost to implement the project. Project
costs may be covered by both ICDBG and non-ICDBG funds and resources.
11. 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 unfeasible. Before the application deadline, you may
submit 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 ONAP. 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.
12. Statement. When a ``written statement'' is requested for any
threshold, program requirement, or rating factor, the applicant must
address in writing the specific item cited.
13. Tribe. 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 fiscal year 2007 appropriation for the
ICDBG program is $59.4 million, less $3.96 million retained to fund
Imminent threat grants, for a total of approximately $55.4. Funds that
are carried over from previous fiscal years or are recaptured may also
be used for grant awards under this NOFA. In accordance with the
provisions of 24 CFR part 1003, subpart E, HUD has retained $3.96
million of the FY 2007 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 2007 is $450,000. This
ceiling has been established pursuant to the provisions of 24 CFR
1003.400(c).
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 $59.4 million less $3.96 million for imminent threat grants, the
allocations for FY 2007 are approximately as follows: Eastern/
Woodlands: $6,325,737; Southern Plains: $11,864,746; Northern Plains:
$7,917,788; Southwest: $20,525,637; Northwest: $2,891,489; Alaska:
$5,914,603; Total $55,400,000.
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,
[[Page 11452]]
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 85.
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. Neither the applicant nor its principals are presently excluded
from participation in any HUD programs, as required by 24 CFR part 24.
8. 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 8.
9. 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 USC. 450e(b)). Two points will be awarded under
Rating Factor 3 in fiscal year 2007 for applicants who demonstrate how
they will incorporate Section 3 principles into their proposed
projects.
10. It will comply with the requirements of the Fire Authorization
Administration Act of 1992 (Pub. L. 102-522).
11. 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.
12. Prior to submission of its application to HUD, the grantee has
met the citizen participation requirements, which include following
traditional means of member involvement, as required in 24 CFR
1003.604.
13. It will administer and enforce the labor standards requirements
prescribed in 24 CFR 1003.603.
14. 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.
15. Executive Order 13202, ``Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects'' applies to
projects funded under this NOFA. See the General Section for more
information.
D. Period of Performance. The period of performance for any grant
awarded under this NOFA must be included in the Implementation
Schedule, form 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 deadline 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. 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 (IHS),
as appropriate, must make a determination of such eligibility. This
determination must be provided to the Area ONAP by the application
deadline.
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 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
submission of the application. An application submitted by a tribal
organization on behalf of a specific tribe will not be accepted if the
tribe itself submits an application for the same 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 November 25, 2005, the BIA published a Federal Register notice
entitled, ``Indian Entities Recognized and Eligible to Receive Services
From the United States Bureau of Indian Affairs'' (70 FR 71194). 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 deadline. (See 24 CFR
1003.5 for a complete description of eligible applicants.)
[[Page 11453]]
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) 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.
in order to receive an award of funds.
2. Program and Project Specific Requirements
a. Low- and Moderate-Income Status for Rehabilitation Projects.
Your application must contain information that shows that all
households that receive ICDBG grant assistance under a housing
rehabilitation project are of low- and moderate-income status.
b. Housing Rehabilitation Cost Limits. Grant funds spent on
rehabilitation must fall within the following per-unit limits for each
Area ONAP jurisdiction: Eastern/Woodlands: $35,000; Southern Plains:
$35,000; Northern Plains: $50,000; Southwest: $50,000; 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 financial commitment and an
ability to construct at least 25 percent of the housing units 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 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 occur within three years from the date 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. HUD recognizes 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
instrumentalities of a tribe are subject to the Civil Rights threshold
requirements found in the General Section. Federally recognized Indian
tribes and instrumentalities of tribes 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. In addition, you must state that you have in place
rehabilitation policies and standards that have been adopted in
accordance with tribal law or practice. Do not submit your policies or
standards with the application. You must also provide a written
statement 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 because of an emergency
situation. For purposes of meeting this threshold, HUD-assisted houses
are houses that are owned and/or managed by the tribe or tribally
designated housing entity (TDHE). The ONAP Administrator, on a case-by-
case basis, may approve exceptions to this requirement if the applicant
provides adequate justification for the exception with its application.
b. 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 have 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 affirming the following:
(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 Indian Housing Block Grants
(IHBG), 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, the household(s) to be housed is
currently in an overcrowded house (more than one household per house),
or the household to be assisted has no current residence.
c. 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 the 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
[[Page 11454]]
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.
d. There are no project specific thresholds for Land Acquisition to
Support New Housing, Homeownership Assistance, Public Facilities and
Improvements, and Microenterprise Projects.
5. Public Service Projects. Because there is a regulatory 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, and this component may be unrelated to the other project(s) in
your application. If your application does not receive full funding,
HUD 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 part 1003.201.
6. Restrictions on Eligible Activities. A complete description of
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 the ineligible activity
that was added to Section 105 of the CDBG statute by Section 588 of the
Quality Housing and Work Responsibility Act of 1998, this restriction
applies. 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), 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.
a. Acquisition of property. This activity can be proposed as
acquisition of land or other real property to support New Housing
Construction, Housing Rehabilitation, Public Facilities and
Improvements, or Economic Development, depending on the purpose of the
acquisition.
b. Assistance to Institutions of Higher Learning. If such entities
have the capacity, they can help the ICDBG grantees 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 and 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 Evaluation and Abatement. 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.
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 NOFA;
b. You are eligible;
c. The proposed project is eligible;
d. Your application contains all the components specified in
Section IV. B. of this 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. Only one ICDBG application may be submitted for each area within
the jurisdiction of an entity eligible under 24 CFR 1003. An
application may include more than one project, but it cannot exceed the
grant ceilings listed in Section IV.
IV. Application and Submission Information
A. Addresses to Request Application Package. Applicants are
required to submit an electronic application, unless they receive a
waiver of the requirement. See the General Section for information on
electronic application submission and timely submission and receipt
requirements. Waiver requests must be submitted to the Headquarters
ONAP, Office of Grants Management in writing, using mail, e-mail or
fax. Waiver requests must be submitted no later than 15 days prior to
the application deadline date and should be
[[Page 11455]]
sent to Deborah M. Lalancette, HUD, ONAP, 1670 Broadway, 23rd Floor
Denver CO 80202; by e-mail to [email protected] or by fax
to 303-675-1660.
B. Content and Form of Application Submission
1. Application Information. All information required to complete a
valid application is included in the General Section and this NOFA.
Copies of the General Section and ICDBG NOFA may be downloaded from the
grants.gov Web site at http://www.grants.gov/applicants/apply--for--
grants.jsp. If you experience any problems with downloading the General
Section or the ICDBG NOFA, call the Grants.gov help desk at 800-518-
GRANTS. Before preparing an application, applicants should carefully
review the program description, ineligible activities, program and
threshold requirements, and the General Section. Applicants should
carefully review each rating factor listed in Section V of this NOFA,
before writing a narrative response. Indicate on the first page of each
project submission the type of project(s) you are proposing: 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, Factor 2, etc.
Applicants should not submit third party documents, such as audits,
resolutions, policies, unless specifically asked to do so. Additional
information regarding electronic submissions can be found in the
General Section.
If you received a waiver to the electronic application submission
requirements and are submitting a paper application, 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 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 of this
NOFA. This will show you how reviewers might score your project and
identify its strengths and weaknesses. This will help you determine
where you can make improvements prior to its submission. An application
checklist for you to use to ensure that you have submitted all required
components is found in this section under item 2c.
2. Content of Application, Forms, and Required Elements. The
applicant must respond in narrative form to all five of the rating
factors listed in Section V.A. of this 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, not
generally available, and not older than three years, 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. You may post or publish 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);
(2) SF-424 SUPP, Supplement Survey on Ensuring Equal Opportunity
for Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on
Grants.gov);
(3) HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov); and
(4) Acknowledgement of Application Receipt (HUD-2993). (This is
relevant only to applicants granted a waiver of the electronic
submission requirements and who are submitting a paper 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 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., Rating Factor 2 of this 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 including
household size.
(10) Optional submissions are:
[[Page 11456]]
(a) You Are Our Client Grant Applicant Survey (HUD 2994-A)
(Optional); and
(b) Program Outcome Logic Model, HUD-96010.
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 be funded only 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 the project.
C. Submission Dates and Times
1. Application Submission Deadline. The application deadline date
is June 1, 2007. Applications submitted through http://www.grants.gov/applicants/apply--for--grants.jsp must be received and validated by
Grants.gov no later than 11:59:59 PM eastern time on the application
deadline date. Upon submission, Grants.gov will provide the applicant a
confirmation of receipt and then validate the application. Within 24 to
48 hours of receipt, the application will be validated by Grants.gov.
If the application does not pass validation, the submitter will receive
a rejection notice indicating why the application was rejected, thus
giving the applicant (if time permits) an opportunity to make the
correction in the application package and resubmit. The General Section
provides details of a validation check. HUD advises applicants to
submit at least 72 hours prior to the deadline date so that if an
application is rejected during the validation process, applicants can
correct the errors and resubmit the application prior to the deadline
date and time. If you are granted a waiver of the electronic submission
requirements, and are submitting a paper application, your completed
application must be received by HUD no later than 11:59:59 p.m. on the
application deadline date. HUD will not accept any applications sent by
e-mail or on a diskette, compact disc, or by facsimile unless HUD
specifically requests an applicant to do so. Please carefully follow
the instructions in Sections IV.B and F. of the General Section for
detailed information regarding application submission, delivery, and
timely receipt requirements.
D. Intergovernmental Review. 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 funds. The regulations at 24 CFR
1003.207 govern ineligible activities and should be referred to for
details. The following guidance is provided for 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
so long as the ICDBG funds are used only for the non-governmental
sections. An example of an ineligible building is 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
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, as well as staff salaries, 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 firefighting 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 eligible. 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.
[[Page 11457]]
2. Grant Ceilings. The authority to establish grant ceilings is
found at 24 CFR 1003.100(b)(1). Grant ceilings are established for
FY2007 funding at the following levels:
------------------------------------------------------------------------
Area ONAP Population Ceiling
------------------------------------------------------------------------
Eastern Woodlands................. ALL................. $600,000
Southern Plains................... ALL................. 800,000
Northern Plains................... 6,001+.............. 1,100,000
0-6,000............. 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................. 600,000
------------------------------------------------------------------------
For the Southwest Area and Northern Plains ONAP jurisdictions, the
population used to determine ceiling amounts is the Native American
population that resides on a reservation or rancheria.
Applicants from the Southwest or the Northern Plains ONAP
jurisdictions should contact those offices before submitting an
application if they are unsure of the population level to use to
determine the ceiling amount. The Southwest or Northern Plains Area
ONAP, as appropriate, must approve any corrections or revisions to
Native American population data before you submit your application.
F. Other Submission Requirements
1. Applications must be received and validated by Grants.gov via
http://www.grants.gov/applicants/apply--for--grants.jsp no later than
the application deadline date and time stated in the NOFA. Validation
can take up to 72 hours.
2. Mailing and Receipt Procedures. Applicants granted a waiver of
the electronic submission requirement will receive specific mailing
instruction, including the number of copies to be submitted, with
approval of the waiver. See 24 CFR Part 5.
3. Addresses for Submitting Applications. HUD will accept mailed
applications only if it has granted a waiver of the electronic delivery
process. Information regarding electronic submission and waivers from
the electronic submission requirement is located in this program NOFA
and the General Section. If HUD grants such a waiver, the approval
notification will provide submission instructions including the address
where to submit the application and number of copies to be provided. A
list identifying each Area ONAP jurisdiction is provided at http://www.hud.gov/offices/pih/ih/onap/area_onap.cfm under the ICDBG program.
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-IIs will not be awarded under this 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 20 points under rating factor 1 and an
application score of at least 70 points. 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...................... 40........................ Minimum of 20 Points
Required
1.a........................ 10........................ All Project Types
1.b........................ 5 or 10*.................. All Project Types
1.c........................ 3 or 10*.................. All Project Types
1.d........................ 2 or 10*.................. All Project Types
2.a........................ 4 or 0*................... All Project Types
2.b........................ 4 or 0*................... All Project Types
2.c........................ 4 or 0*................... All Project Types
2.d........................ 4 or 0*................... All Project Types
2.e........................ 4 or 0*................... All Project Types
2.......................... Total...................... 16........................ ..........................
1.......................... 4......................... All Project Types
2.a........................ 12........................ Public Facilities and
Improvements and Economic
Development Projects
2.b........................ 12........................ New Housing Construction,
Housing Rehabilitation,
Land Acquisition to
Support New Housing, and
Homeownership Assistance
Projects
2.c........................ 12........................ Microenterprise Programs
3.......................... Total...................... 30........................ ..........................
1.......................... 10........................ All Project Types
2.......................... 5......................... All Project Types
3.......................... 1......................... All Project Types
4.......................... 2......................... All Project Types
5.a........................ 12........................ Public Facilities and
Improvements
5.b........................ 12........................ New Housing Construction,
Housing Rehabilitation,
and Homeownership
Assistance Projects
5.c........................ 12........................ Economic Development
Projects
5.d........................ 12........................ Microenterprise Programs
5.e........................ 12........................ Land Acquisition to
Support New Housing
4.......................... Total...................... 8......................... All Project Types
5.......................... Total...................... 6......................... All Project Types
1.......................... 2......................... All Project Types
2.......................... 4......................... All Project Types
Total...................... ........................... 100....................... Minimum of 70 Points
Required
----------------------------------------------------------------------------------------------------------------
[[Page 11458]]
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 (40 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. To be eligible for funding you must receive a
minimum of 20 points under this factor for your proposed activity. HUD
will not rate any projects further that do not receive a minimum of 20
points under this factor. If you are funded, the implementation
schedule and/or the Logic Model, form HUD-96010, you submit for this
factor will be measured against actual progress.
1. (20 points for current ICDBG grantees) (40 points for new
applicants) Managerial, Technical, and Administrative Capability.
Your application must include a description 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, written summaries of
qualifications and past experience of proposed staff, descriptions of
staff responsibilities, and references or letters of endorsement from
others who have worked with the proposed staff. Do not submit job
descriptions or resumes.
a. (10 points) Managerial and Technical Staff.
The extent to which your application 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 or the specific roles and
responsibilities described in the application 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 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 or the specific
roles and responsibilities described in the application) and successful
(has produced specific accomplishments).
(5 points). The applicant 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 the specific roles and
responsibilities described in the application), or is not successful
(did not produce specific accomplishments).
(0 points). The applicant failed to adequately describe 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 the specific roles and
responsibilities described in the application), or is not successful
(did not produce specific accomplishments).
b. (5 points for current ICDBG grantees and 10 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 and 10 points for new
applicants) The applicant submitted a project implementation plan that
clearly specifies project tasks and timelines. 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 and 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, the
applicant 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, they did not address either the quantifiable program
measures and/or the evaluation process.
c. (3 points for current ICDBG grantees and 10 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
[[Page 11459]]
management systems to the specific project for which you are applying.
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 (IPA) 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 was due to be
submitted to the Federal Audit Clearinghouse (FAC) within the 12-month
period prior to the application due date. To be considered, the audit
must be submitted to the FAC prior to the ICDBG application deadline
date. Do not submit financial management and/or internal control
policies and procedures or your audit with the application.
(3 points for current ICDBG grantees and 10 points for new
applicants).
The applicant clearly described how it will apply its financial
management systems to the proposed project and how the system meets the
requirements of 24 CFR part 85 and 24 CFR part 1003. 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 and 5 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 (IPA) 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 how the system meets the
requirements of 24 CFR part 85 and 24 CFR part 1003.
(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.
The applicant did not describe how it would apply its financial
management systems to the proposed project and how the system meets the
requirements of 24 CFR part 85 and 24 CFR part 1003.
d. (2 points for current ICDBG grantees and 10 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 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. Do not submit procurement and contract management policies
and procedures or your audit with the application.
(2 points for current ICDBG grantees and 10 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. The applicant
described how it will apply its procurement and management systems to
the specific project for which it is applying. 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 (IPA) stating that its procurement and contract
management system complies with all applicable regulatory requirements.
(1 point for current ICDBG grantees and 5 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 and meet the requirements of 24 CFR part 85 and 24 CFR
part 1003.
(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. The applicant did not describe how it would
apply its procurement and contract management systems to the proposed
project and meet the requirements of 24 CFR part 85 and 24 CFR part
1003.
2. (20 points for current ICDBG grantees and 0 points for new
applicants) Past Performance.
HUD will evaluate your experience in producing products and reports
in accordance with regulatory timelines for 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. (4 points for current ICDBG grantees and 0 points for new
applicants). You are not more than 90 days behind schedule in meeting
the time frames established in the HUD-approved Implementation Schedule
for the ICDBG program.
(1) (4 points) The applicant is not more than 90 days behind
schedule in meeting the timeframes established in the HUD-approved
implementation schedule.
(2) (2 points) The applicant is not more than 120 days behind
schedule in meeting the timeframes established in the HUD-approved
implementation schedule.
(3) (0 points) The applicant is more than 120 days behind schedule
in meeting timeframes established in the HUD-approved implementation
schedule.
b. (4 points for current ICDBG grantees and 0 points for new
[[Page 11460]]
applicants). Annual Status and Evaluation Reports (ASER) and Federal
Cash Transaction Reports are submitted by the report submission
deadlines. The ASER is due 45 days after the end of the federal fiscal
year on November 15. Federal Cash Transaction Reports are due quarterly
on April 21, July 21, October 20, and January 22.
(1) (4 points) The applicant has submitted both the ASER and
Federal Cash Transaction Reports for ICDBG programs by the report
submission deadlines.
(2) (2 points) The applicant has submitted either the Federal Cash
Transaction Reports or the ASERs for ICDBG programs by the report
submission deadline.
(3) (0 points) The applicant has submitted neither of the required
reports by the report submission deadline.
c. (4 points for current ICDBG grantees and 0 points for new
applicants) You have submitted close-out documents to HUD by the
required deadline. 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.
(1) (4 points) The applicant submitted close-out documents to HUD
in accordance with the timeframe and criteria at Sec. 1003.508.
(2) (0 points) The applicant has not submitted close-out documents
to HUD as required by Sec. 1003.508.
d. (4 points for current ICDBG grantees and 0 points for new
applicants) You have submitted annual audits in accordance with OMB
Circular A-133 and its compliance supplements, or if you have received
an extension of the audit submission date, your audit was submitted by
the extended date. If an extension was received, submit a copy of the
extension approval. Do not submit your audit with the application.
(1) (4 points) You have submitted annual audits in accordance with
OMB Circular A-133 and its compliance supplements, or if you have
received an extension of the audit submission date, your audit was
submitted by the extended date. If an extension was received, submit a
copy of the extension approval. If the applicant has not been required
to submit an audit, it will receive 4 points.
(2) (0 points) You have not submitted annual audits in accordance
with OMB Circular A-133 and its compliance supplements or if you have
received an extension of the audit submission date, your audit was not
submitted by the extended date.
e. (4 points for current ICDBG grantees and 0 points for new
applicants) You have resolved ICDBG monitoring findings and controlled
audit findings by the established target date, or there are no findings
in current reports. Do not submit responses to open monitoring or audit
findings with the application.
(1) (4 points) The applicant resolved open ICDBG monitoring
findings and controlled audit findings by the established target date.
If there were no open audit or ICDBG monitoring findings (current
grantees only), the applicant will receive 4 points.
(2) (0 points) The applicant has not resolved open ICDBG monitoring
findings and controlled audit findings by the established target date.
Rating Factor 2: Need/Extent of the Problem (16 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 4 points) Your application includes quantitative
information demonstrating that the proposed project meets an essential
community development need by providing outcomes that are critical to
the viability of the community.
2. (12 points) Your project benefits the neediest segment of the
population, in accordance with the ICDBG 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. of this NOFA.
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, descriptions of proposed job responsibilities, 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 shows 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.
(1) (12 points) At least 85 percent of the beneficiaries are low-
or moderate-income.
(2) (8 points) At least 75 percent but less than 85 percent of the
beneficiaries are low- or moderate-income.
(3) (4 points) At least 55 percent but less than 75 percent of the
beneficiaries are low- or moderate-income.
(4) (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 2006 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 American Indian and Alaskan Native
(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 posted in the ``Factor 2
Needs Table'' that is available at http://www.hud.gov/offices/adm/grants/fundsavail.cfm under the ICDBG program.
(1) (12 points) The dollar amount for the Indian tribe is $316-$750
or the tribe's total FY2006 IHBG amount was $100,000 or less and the
Needs Table indicates that the Indian tribe has no AIAN households
experiencing income or housing problems.
(2) (8 points) The dollar amount for the Indian tribe is $751-
$1,250.
(3) (4 points) The dollar amount for the Indian tribe is $1,251-
$1,999.
(4) (0 points) The dollar amount for the Indian tribe is $2,000 or
higher, or
[[Page 11461]]
the Needs Table 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:
(1) (12 points) All employees are low- or moderate-income.
(2) (8 points) At least 75 percent but less than 100 percent of the
employees are low- or moderate-income.
(3) (4 points) At least 50 percent but less than 75 percent of the
employees are low- or moderate-income.
(4) (0 points) Less than 50 percent of the employees are low- and
moderate-income.
Rating Factor 3: Soundness of Approach (30 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. (10 points) Description of and Rationale for Proposed Project.
a. (10 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 you
indicate why you believe it will be most effective in addressing the
identified need. In order for an application to receive full credit
under this factor, the application must include clear and sound
measures of the proposed outputs and outcomes for how the community's
viability will be enhanced, as presented in Rating Factor 5. The
application includes a description of the size, type, and location of
the project and a rationale for project design. If your application is
for construction of housing or a public facility building or
rehabilitation project, it must also include anticipated cost savings
related to project development 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.
b. (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 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 (for
construction of housing or a public facility building or rehabilitation
projects) does not include anticipated cost savings due to innovative
program design and/or construction methods.
c. (3 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 you indicate 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 (for construction of housing
or a public facility building or rehabilitation activities) does not
include anticipated cost savings due to innovative program design and/
or construction methods.
d. (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 (for construction of housing or a public facility building
and rehabilitation activities) 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 provide a description of
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 2007 policy priorities,
as described in Section V. B. of the General Section. You must describe
which one of these two policy priorities you select and describe how
your activity will meet the applicable goals.
4. (2 points) Intent to Meet Section 3 Requirements.
Your application demonstrates how you will apply the Section 3
requirements 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 proposed project. You must demonstrate
how you will incorporate Section 3 principles, with goals for expanding
opportunities for Section 3 residents and business concerns, to your
proposed project. The purpose of Section 3 is to ensure that employment
and other economic opportunities generated by federal financial
assistance for housing and community development programs shall, to the
extent feasible, be directed toward low- and very low-income persons
(but not in derogation of compliance with Section 7(b) of the Indian
Self-Determination and Education Assistance Act (25 U.S.C. 4503(b))).
5. (12 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.
[[Page 11462]]
The criteria for this sub-factor vary according to the type of
project for which you are applying.
a. Public Facilities and Improvement Projects
(1) (12 points) If a tribe assumes operation and maintenance
responsibilities for the public facilities and improvements, provide a
written statement that the tribe has adopted the operation and
maintenance plan and commits the necessary funds to provide for these
responsibilities. In addition, describe how the operation and
maintenance plan addresses maintenance, repairs, insurance, security,
and replacement reserves and include 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, the
responsibilities for operations the entity will assume, as well as
necessary funds to provide for these responsibilities. A description of
how the operation and maintenance plan addresses maintenance, repairs,
insurance, security, and replacement reserves is not required when an
entity other then the tribe assumes operation and maintenance
responsibilities. For public facility buildings only, a 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 that address both operating expenses and
space needs.
(2) (8 points) If a tribe assumes operation and maintenance
responsibilities for the public facilities and improvements, provide a
written statement that the tribe has adopted the operation and
maintenance plan and commits the necessary funds to provide for these
responsibilities. In addition, a description was included that shows
that the operation and maintenance plan addresses at least four of the
following items (maintenance, repairs, insurance, security, and
replacement reserves) but a satisfactory cost breakdown for annual
expenses was not included. 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, the responsibilities for operations the entity will assume,
but no information committing the necessary funds to provide for these
responsibilities is included. A description of how the operation and
maintenance plan addresses maintenance, repairs, insurance, security,
and replacement reserves is not required when an entity other than the
tribe assumes operation and maintenance responsibilities. For community
buildings only, a 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 that address
both operating expenses and space needs. Information provided is
sufficient to determine that the project will proceed effectively.
(3) (4 points) If a tribe assumes operation and maintenance
responsibilities for the public facilities and improvements, the
application includes a written statement that the tribe has adopted the
operation and maintenance plan and commits the necessary funds to
provide for these responsibilities, or a description of the operation
and maintenance plan is included that shows that the plan addresses at
least three 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, the responsibilities for operations the entity will assume,
but no letter of commitment is included. For public facility buildings
only, no 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. 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.
(4) (0 points) None of the above criteria is met.
b. New Housing Construction, Housing Rehabilitation, and Homeownership
Assistance Projects
(1) (12 points) The ongoing maintenance responsibilities are
clearly identified for the tribe and/or the participants, as
applicable. If the tribe or another entity is assuming maintenance
responsibilities, then the applicant must describe the maintenance
responsibilities and provide a commitment to that effect.
(2) (8 points) Maintenance responsibilities for the tribe and/or
participants are identified and described, but lacking in detail, and
the commitment regarding maintenance responsibilities is submitted.
(3) (4 points) Tribal maintenance responsibilities are identified
but participant responsibilities are either not addressed or do not
exist, or there is no commitment regarding maintenance
responsibilities.
(4) (0 points) None of the above criteria is met.
c. Economic Development Projects
You must include information or documentation that 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 that 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.
(1) Appropriate documents to include in the application to address
these items include:
(a) Articles of incorporation, bylaws, resumes of key management
positions, and board members for the entity who will operate the
business.
(b) Business operating plan.
(c) A market study no more than two years old and which has been
conducted by an independent entity.
(d) Financial analysis and 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.
(e) Detailed cost summary for the development of the project.
(f) 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).
(2) The submitted documentation will be evaluated to determine the
project's financial chance for success. The following questions must be
addressed to meet this requirement:
(a) Does the business plan seem thorough and does the organization
structure have quality control and responsibilities built in?
(b) Does the business plan or market analysis indicate that a
substantial market share is likely within five years?
(c) Do the costs appear to be reasonable given projected income and
information about inputs?
[[Page 11463]]
(d) Does the business plan or cash flow analysis indicate that cash
flow will be positive within the first year?
(e) Is the financial statement clean with no indications of concern
by the auditor?
(12 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.
(6 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
(1) 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:
(a) 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.
(b) 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.
(2) (12 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.
(3) (6 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.
(4) (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
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.
(1) (12 points) The submissions include all of the above-mentioned
items and all necessary infrastructure is in place.
(2) (6 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.
(3) (0 points) Neither of the above criteria is met.
Rating Factor 4: Leveraging Resources (8 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, HUD 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 4 percent........................................ 0
At least 4 percent but less than 11 percent................ 2
At least 11 percent but less than 18 percent............... 4
At least 18 percent but less than 25 percent............... 6
25 percent or more......................................... 8
------------------------------------------------------------------------
Contributions that 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 the application deadline date 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. of this NOFA 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 that 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 (see the General Section).
To receive funding consideration, all documents must be received by the
application deadline dates and meet the timely receipt requirements.
To demonstrate the commitment of tribal resources, the application
must contain a written statement that identifies and commits the tribal
resources to the project, subject to approval of the ICDBG assistance.
In the case of IHBG funds, whether the tribe or a TDHE administers
them, an approved Indian Housing Plan (IHP) must identify and commit
the IHBG resources to the project. Do not submit the IHP with your
application. ONAP will rely on the most recently approved IHP on file.
If the tribe/TDHE intends to include the leveraged commitment in a
future IHP, the application must contain a written statement that
identifies and commits the IHBG resources to the project subject to the
same requirements as above.
To demonstrate the commitment of a 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
[[Page 11464]]
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
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 requirements 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 (6 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.
The Logic Model, HUD form 96010, is not required for Rating Factor
5 under the ICDBG program. However, applicants are encouraged to use
this form to address program evaluation requirements under Rating
Factor 1.(1).(b) of this NOFA, and measurable outputs and outcomes in
Section (2) of this factor.
1. (Up to 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 a written statement
that when submitted, the IHP will specifically reference the proposed
project.
2. (Up to 4 points) Your proposed project will have measurable
outputs and outcomes that will enhance community viability.
Outputs must include, where applicable:
Number of houses rehabilitated;
Number of jobs created;
Square feet for any public facility;
Number of education or job training opportunities
provided;
Number of homeownership units constructed or financed;
Number of businesses assisted (including number of
minority/Native American);
Number of families proposed to be assisted through a drug-
elimination program, or through a program to reduce or eliminate
health-related hazards.
Outcomes must include, where appropriate:
Reduction in the number of families living in substandard
housing;
Increased income resulting from employment generated by
project;
Increased quality of life due to services provided by the
public facility;
Increased economic self-sufficiency of program
beneficiaries;
Increase in homeownership rates;
Reduction of drug-related crime or health-related hazards.
HUD is providing a Master Logic Model as a Microsoft
ExcelTM file with dropdown listings from which applicants
may select the items in each column that reflect their activity outputs
and outcomes. The Master Logic Model listing also identifies the unit
of measure that HUD is interested in collecting for the output and
outcome selected. Applicants can also select the appropriate estimated
number of units of measure to be accomplished and identified for each
output and outcome. The space next to the output and outcome is
intended to capture the anticipated units of measure. Multiple outputs
and outcomes may be selected per project. For FY 2007, HUD is
considering a new concept for the Logic Model. The new concept is a
Return on Investment (ROI) statement. HUD will be publishing a separate
notice on the ROI concept. The Master Logic Model pick is incorporated
into the form available as part of the ICDBG Instructions download from
Grants.gov. Training on use of the dropdown form will be provided via
webcast. The schedule for webcast training can be found at http://www.hud.gov/offices/adm/ grants/fundsavail.cfm.
B. Reviews and Selection Process
1. Application Selection Process. You must meet all of the
applicable threshold requirements listed in Section III.C. 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 III.C. of this NOFA.
3. Past Performance. An applicant's past performance is evaluated
under Rating Factor 1. Applicants are encouraged to address all
performance-related criteria prior to the application deadline date. An
applicant must score a minimum of 20 points under Rating Factor 1 in
order to meet the minimum point requirements outlined below in this
NOFA.
4. 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.
5. Minimum Points. To be considered for funding, your application
must receive a minimum of 20 points under
[[Page 11465]]
Rating Factor 1 and an application score of 70 points.
6. 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 shall select, in rank order, additional projects for funding if
one of the higher-ranking projects is not funded or if additional funds
become available.
7. 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.
8. 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. See the General Section
at V.B.4. for information on curing deficiencies.
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. Applicants will be provided thirty (30) calendar days to
respond to these requirements. No extensions will be provided. If you
do not respond within the prescribed time period or you make an
insufficient response, 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 NOFA, grant amounts that had been allocated for
applicants unable to meet pre-award requirements.
9. Error and Appeals. Judgments made within the provisions of this
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. of the
General Section for further information regarding errors.
10. Performance and Compliance Actions of Funding Recipients. HUD
will measure and address the performance of and order compliance
actions by funding recipients in accordance with the applicable
standards and sanctions of their respective programs.
VI. Award Administration Information
A. Award Notices. HUD expects to announce awards by October 31,
2007. As soon as rating and ranking are completed, the applicant has
complied with any pre-award requirements, and Congressional release 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. 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 on 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 September 29, 2003).
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 the grantee has
submitted an environmental certification. 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.
[[Page 11466]]
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); OMB Circular A-
122 (Cost Principles for Nonprofit Organizations); 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
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5,
approved February 15, 2007) or the ICDBG program regulations at 24 CFR
part 1003. Copies of the OMB Circulars may be obtained from EOP
publications, Room 22000, New 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 Web site at http://www.whitehouse.gov/omb/circulars/index.html.
C. Reporting
1. Post-Award Reporting Requirements
a. Quarterly Financial Reports. Grant recipients must submit to the
Area ONAP a quarterly 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 report
should include progress on any outputs or outcomes specified in Rating
Factor 5 and incorporated into the final award document (applicants can
use the Logic Model (HUD-96010) to address all or some of the narrative
requirements). Further information regarding the Return on
Investment(s) will be issued in a subsequent notice by HUD (see section
V.A.2., Rating Factor 5 of this NOFA for further information);
(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 outputs 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. A list identifying each Area ONAP
is provided at http://www.hud.gov/offices/pih/ih/onap/area_onap.cfm.
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 deadline date, HUD
staff will be available to provide you with general guidance and
technical assistance about the requirements in the General Section and
this NOFA. However, HUD staff is not permitted to assist in preparing
your application. Following selection of applicants, but before awards
are made, HUD staff is 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, this NOFA, the Logic Model, and
Grants.gov registration, 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.
[[Page 11467]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.006
[[Page 11468]]
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: FR-5100-N-10; OMB Approval Number
is 2528-0235.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA
Number for this program is 14.520.
F. Dates: The application deadline date is May 23, 2007.
Application must be received and validated by Grants.gov by 11:59:59
p.m. eastern time on the deadline date. 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: To assist Historically Black Colleges
and Universities (HBCU) to 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) 2007, approximately $8.9
million has been made available by the Revised Continuing
Appropriations Resolution, 2007 (Pub. L. 110-5; approved February 15,
2007), of which up to $1 million has been allocated to provide
technical assistance and an additional $22,275 in carryover funds. An
applicant can request up to $600,000 for a three-year (36 months) grant
performance period. In order to ensure that institutions that have
never received a HUD HBCU Program grant (First Time HBCU applicants)
receive awards in this competition, approximately $1.8 million will be
made available to fund First Time HBCU applicants. In addition,
approximately, $6.1 million will be made available to fund Previously
Funded HBCU applicants. If funding designated for First Time HBCU
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. Applicants must be
institutions of higher education 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 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 NOFA, 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 and the term ``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
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5;
approved February 15, 2007). 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) 2006
program-funding announcement:
1. In FY 2007, there is only one category of funding. In FY 2006,
there were two categories, one of which exclusively funded activities
related to Hurricanes Katrina and Rita. No funding is being set aside
for this purpose this year.
2. Commitment letters, memoranda of understanding and/or agreements
are not required to be submitted with the application, but the
originals must be on file at the time of application submission. HUD
will require applicants chosen to proceed to the next step in the
selection process to submit the signed commitment letters, memoranda of
understanding and/or agreements outlined in the application, within
seven calendar days after initial contact from the Office of University
Partnerships (OUP). OUP will provide specific instructions on how these
documents must be submitted at that time. HUD will only request and
consider the resources/organizations outlined in the application. If
OUP does not receive those documents with the required information and
within the allotted timeframe, an applicant will not receive points
under this factor.
3. The appendix section of an application must not exceed 15 pages
in length (excluding forms, budget narrative and assurances). An
applicant SHOULD NOT submit resumes, commitment letters, memoranda of
understanding and/or agreements, or other back-up material. Each page
must include the institution's name and should be numbered. HUD will
not consider the information on any excess pages.
4. Applicants must budget for travel costs to attend at least one
HUD sponsored HBCU conference/workshop every year of the three-year
grant performance period.
II. Award Information
In Fiscal Year (FY) 2007, approximately $8.9 million is made
available for this program, of which up to $1 million has been
allocated to provide technical assistance and an additional $22,275 in
carryover funds. An applicant can request up to $600,000 for a three-
year (36 months) grant performance period.
In order to ensure that institutions that have never received a HUD
HBCU Program grant (First Time HBCU applicants) receive awards in this
competition, approximately $1.8 million will be made available to fund
First Time HBCU applicants. In addition, approximately $6.1 million
will be made available to fund Previously Funded HBCU applicants. If
funding designated for First Time HBCU 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.
III. Eligibility Information
A. Eligible Applicants
Historically Black Colleges and Universities as determined by the
U.S. Department of Education in 34 CFR
[[Page 11469]]
608.2 in accordance with that Department's responsibilities under
Executive Order 13256, dated February 12, 2002. All applicants must be
institutions of higher education 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:
www.hudclips.org (click on the Code of Federal Regulations for detailed
information). 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 be waived. Institutions seeking to devote more than 15
percent of the grant funds to public service activities must include a
written request in their application addressed to Darlene F. Williams,
Assistant Secretary for Policy Development and Research. 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 at least
one national objective. This letter must be included in the
application. If an applicant devotes more than 15 percent of their
grant funds to public service activities and the letter is not included
and/or does not include the information requested above those
activities may not be considered fundable and this exclusion may result
in a lower score.
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 care services, drug abuse, education, fair housing
counseling, energy conservation, homebuyer down payment assistance,
establishment of Neighborhood Network centers in federally assisted or
insured housing, job training and placement, and 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, www.whitehouse.gov/omb/circulars/index.html; and
(9) Fair housing services designed to further the civil rights
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 funded under this program meet both the
Community Development Block Grant (CDBG) Program eligibility
requirements and at least one of the national objectives.
c. The three national objectives of the Community Development Block
Grant program are listed in Rating Factor 3 in Section V.A.3 of this
NOFA.
Criteria for determining whether an activity addresses one or more
national objective 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. Individuals with hearing or
speech impairments may access this number via the toll-free Federal
Information Relay Service at 800-877-8339.
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. 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.
b. The maximum amount an applicant can request is $600,000 for a
three-year (36 months) grant performance period.
c. An applicant must have a DUNS number to receive HUD grant funds.
(See the General Section). Only one application can be submitted per
institution. If multiple applications are submitted all will be
disqualified. However, different campuses of the same university system
are eligible to apply as long as they have separate DUNS number, an
administrative and budgeting structure independent of the other
campuses in the system.
d. Applicants must receive a minimum score of 75 points to be
considered for funding.
e. Electronic applications must be received and validated by
grants.gov no later than 11:59:59 p.m. eastern time on the application
deadline date.
3. Program Requirements. In addition to the threshold 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 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).
c. 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 recipients that
cannot demonstrate control of a suitable site within one year after the
initial notification of award.
d. Environmental Requirements. Selection for award does not
constitute approval of any proposed sites. Following selection for
award, HUD will perform an environmental review of
[[Page 11470]]
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-05-07 entitled, ``Field Environmental
Review Processing for Rural Housing and Economic Development (RHED)
Grants'' issued August 30, 2005. Further information and assistance on
HUD's environmental requirements is available at: http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/lawsregs/notices/2005/05-07.pdf.
e. 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.
f. Economic Opportunities for Low- and Very-Low Income Persons
(Section 3). The provisions of Section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of
the purposes of the assistance is to give, to the greatest extent
feasible, and consistent with existing federal, state, and local laws
and regulations, job training, employment, contracting and other
economic opportunities to Section 3 residents and Section 3 business
concerns. Regulations are located 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/applicants/apply--
for--grants.jsp. 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. Hearing- and speech-challenged
individuals may access this number through TTY by calling the toll-free
Federal Information Relay Service at 800-877-8339. See the General
Section for information regarding the registration process or ask for
registration information from the Grants.gov Support Desk.
B. Content and Form of Application Submission
1. Forms. The following forms are required for submission. Copies
of these forms are available on line at http://www.grants.gov/applicants/apply--for--grants.jsp.
a. SF-424, Application for Federal Assistance;
b. SF-424 Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
c. HUD-424-CB, ``Grant Application Detailed Budget'' (``HUD
Detailed Budget Form'' on Grants.gov);
d. SF-LLL, Disclosure of Lobbying Activities, if applicable;
e. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if
applicable;
f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
g. HUD-96010, Program Logic Model;
h. HUD-2990, Certification of Consistency with RC/EZ/EC-II
Strategic Plan, if applicable;
i. HUD-2991, Certification of Consistency with the Consolidated
Plan, if applicable;
j. HUD-40076, Response Sheet Performance Narrative, Previously
Funded HBCU Applicant Only.
k. HUD-40076, Budget-By-Activity;
l. HUD-2993, Acknowledgement of Applicant Receipt. Complete this
form if you have received a waiver to the electronic application
submission requirement. Applicants are not required to include this
form;
m. HUD-2994-A, You Are Our Client Grant Applicant Survey.
Applicants are not required to complete this form; and
n. HUD-96011, Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used
as the cover page to transmit third party documents and other
information. 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 do not use your own
fax sheet. HUD will not read any faxes that are sent without the HUD-
96011 fax transmittal cover page.
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 requested from HUD (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 all correspondence, 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 December
1, 2007; and
(7) The signature of the Authorized Organization Representative
(AOR) who by virtue of submitting an application via Grants.gov has
been authenticated by the credential provider to submit applications on
behalf of the Institution and approved by the eBusiness Point of
Contact to submit an application via Grants.gov. The AOR must be able
to make a legally binding agreement with HUD.
b. Application Checklist. Applicants should use the checklist to
ensure that they have all the required components of their application.
Applicants that receive a waiver of the electronic application
submission requirement must include a copy of the checklist in their
application submission. Applicants submitting an electronic application
should not submit the
[[Page 11471]]
checklist. The checklist can be located in Appendix A.
c. Abstract. Applicants must include no more than a two-page
summary of the proposed project. Please include the following:
(1) A brief description of each proposed project activity, where it
will take place (be located), the target population that will be
assisted, and the impact this project is expected to have on the
community and institution;
(2) A statement that the institution is an eligible institution
because it is a 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 all correspondence; therefore, please ensure the accuracy of
the information);
(4) The project director, 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, yet
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. 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 50
pages in length (excluding forms, budget narrative, assurances, and
abstract) 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, and left to right side of the document) and printed in standard
Times New Roman 12-point font. Each page of the narrative must include
the institution's name and should be numbered. 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. All applicants submitting electronic
applications must attach their narrative responses to Rating Factors 1-
5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR
SEPARATELY. Please follow the instructions on file extension and file
names in the General Section.
e. Budget. The budget submission must include the following:
(1) HUD-424-CB, ``Grant Application Detailed Budget.'' This 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 budget
for travel costs (airfare, lodging and per diem) for two individuals to
attend at least one HUD sponsored HBCU conference/workshop every year
of the three-year grant performance period. To calculate travel
expenses, applicants located in Eastern and Central time zones or the
U.S. Virgin Islands should use San Francisco, CA as the site of all
conferences/meetings. Applicants located in Mountain and Pacific time
zones should use Washington, DC as the site of all conferences/
workshops.
Applicants must also submit this form to reflect the total cost
(summary) for the entire grant performance period (Grand Total).
(2) HUD-40076-HBCU, ``Response Sheet, Budget-By-Activity'' The form
should include a listing of each activity and task 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 resources, if any.
Make sure that the amounts shown on the SF-424, HUD-424-CB, HUD-
40076-HBCU and all other required program forms are 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 required budget forms, the
HUD-424-CB will be used. All budget forms must be completed fully. 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 (please make sure they are kept on file and are
available for review by HUD at any time). 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 use 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 or contractor) 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.
Construction costs must be broken down to indicate how funds will be
utilized (e.g., demolition, foundation, exterior walls, roofing,
electrical work, plumbing, finishing work, etc.).
(4) Indirect costs. Indirect costs, if applicable, are allowable
based on an established approved indirect cost rate. Applicants must
have on file and submit to HUD, if selected for funding, a copy of
their indirect cost rate agreement. Applicants who are selected for
funding that do not have an approved indirect cost rate agreement,
established by the cognizant federal agency, 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 required forms in this section. The appendix section of
an application must not exceed 15 pages in length (excluding forms,
budget narrative and assurances). An applicant SHOULD
[[Page 11472]]
NOT submit resumes, commitment letters, memoranda of understanding and/
or agreements, or other back-up materials. If this information is
included, it will not be considered during the review process. Each
page must include the applicant's name and should be numbered. HUD will
not consider the information on any excess pages. The additional items
will also slow the transmission of your application.
C. Submission Dates and Times
A complete application package must be received and validated
electronically by the Grants.gov portal no later than 11:59:59 p.m.
eastern time on or before the applications deadline date. In an effort
to address any issues with transmission of your application, applicants
are strongly encouraged to submit their applications at least 48 to 72
hours prior to the application deadline. This will allow an applicant
enough time to make the necessary adjustments to meet the submission
deadline in the event Grants.gov rejects the application. Please see
the General Section for further instructions. Electronic faxes using
the Facsimile Transmittal Cover Sheet (Form HUD-96011) contained in the
electronic application must be received no later than 11:59:59 p.m.
eastern time on the application submission deadline date.
D. Intergovernmental Review
This program is excluded from an Intergovernmental Review.
E. Funding Restrictions
Ineligible CDBG Activities are listed at 24 CFR 570.207. 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. Applicants should
submit their waiver requests in writing using e-mail or fax. Waiver
requests must be submitted no later than 15 days prior to the
application deadline date and should be submitted to: Susan Brunson,
Office of University Partnerships, E-mail: [email protected],
FAX: (202) 708-0309. Paper applications will not be accepted from
applicants that have not been granted a waiver. If an applicant is
granted a waiver, the Office of University Partnerships will provide
instructions for submission. All applicants submitting applications in
paper format must have received a waiver to the electronic application
submission requirement and the application must be received by HUD on
or before the application deadline date.
V. Application Review Information
A. Criteria
1. Rating Factor 1: Capacity of the Applicant and Relevant
Experience (25 Points). This factor addresses the extent to which the
institution has the resources necessary to successfully implement the
proposed activities in a timely manner.
a. Knowledge and Experience For First Time Applicants (25 Points)
For Previously Funded Applicants (10 Points). In rating this subfactor,
HUD will consider the extent to which the applicant clearly addresses
the following:
(1) Describe the knowledge and experience of 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 type of project for which funding is being
requested; and
(2) 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.
If key personnel have not been hired, applicants must identify the
position title, provide a description of duties and responsibilities,
and describe the qualifications to be considered in the selection of
personnel, including subcontractors and consultants.
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 how well an applicant has
performed successfully under HUD/HBCU grants. Applicants must
demonstrate this by addressing the following information on the HUD-
40076-HBCU ``Response Sheet'' (Performance Narrative) for all
previously completed and open HUD/HBCU grants:
(1) 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 at the following Web site: http://www.grants.gov/applicants/apply--for--grants.jsp. The form should be
filled out completely;
(2) A description of the achievement of specific tasks, measurable
objectives, and specific outcomes consistent with the approved
timeline/work plan;
(3) A comparison of the amount of proposed leveraged funds and/or
resources to the amount that was actually leveraged;
(4) A detailed description of compliance with all reporting
requirements, including timeliness of submission, whether reports were
complete and addressed all information (both narrative and financial)
as required by the grant agreement; and
(5) A list detailing the date the project(s) was completed, was it
completed in the original three-year grant performance period; if not
completed why (including when it was or will be completed);
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; timely submission of
required progress reports and receipt of promised leveraged resources.
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).
2. Rating Factor 2: Need/Extent of the Problem (15 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 addressing this factor, applicants should
provide, at a minimum, the following and must cite statistics and/or
analyses contained in one or more current data sources that are sound
and reliable.
(1) Describe the need(s); and
(2) Describe the importance of meeting the proposed needs.
In rating this factor, HUD will consider only current data that is
specific to the area where the proposed project activities will be
carried out.
[[Page 11473]]
Sources for localized data can be found at: www.ffiec.gov.
HUD will also 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.
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, reliable and
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 (40 Points). This factor
addresses the quality and effectiveness of the proposed work plan and
the commitment of the institution to sustain the proposed project
activities.
a. (33 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 activities, anticipated
accomplishments, and the impact they will have on the target population
at the end of the project.
(1) (25 Points) Specific activities. The work plan must describe
all proposed project activities and major tasks required to
successfully implement them. The work plan must also identify the
anticipated accomplishments and impact these activities will have on
the targeted population. In addressing this subfactor, applicants must
provide a clear description of each proposed project activity and
address the following:
(a) Describe each proposed project activity in measurable terms
(e.g., the number of persons to be trained and employed; houses to be
rehabilitated; or minority-owned businesses to be started, etc.);
(b) List and describe how each activity meets one of the following
Community Development Block Grant (CDBG) Program national objectives:
Benefit low- and moderate-income persons;
Aid in the prevention or elimination of slums or blight;
or
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;
(c) Describe the measurable impact that implementing each activity
(by the end of the grant period) will have on the target population;
(d) Identify the major tasks required (in sequential order) to
successfully implement and complete each proposed project activity.
Include target completion dates for each task (in 6 month intervals, up
to thirty-six (36) months); and
(e) Identify the key staff, as described in Factor 1, who will be
responsible and accountable for completing each task.
(2) (8 Points) Describe clearly how each proposed activity will:
(a) Expand the role of the institution in the community;
(b) Address the needs identified in Factor 2;
(c) Relate to and not duplicate other activities in the target
area. Duplicative efforts 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 citizens of the target area in the planning and
implementation of the proposed project activity (e.g., development of
an advisory committee that is representative of the target community).
b. (3 Points) Involvement of the Faculty and Students. The
applicant must describe how it proposes to integrate the institution's
students and faculty into proposed project activities.
c. (2 Points) HUD Policy Priorities. As described in the General
Section, to earn points under this subfactor, HUD requires applicants
to undertake specific activities that will assist the Department in
implementing its policy priorities that help the Department achieve its
goals and objectives in FY2008, 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. Please refer to the General Section
for additional information about HUD's policy priorities.
The total number of points an applicant can receive under this
subfactor is two (2). Each policy priority addressed has a point value
of one (1) point with the exception of the policy priority to remove
regulatory barriers to affordable housing, which has a point value of
up to two (2) points. To receive these two (2) points, an applicant
must: (1) Complete either Part A or Part B (not both), (2) include
appropriate documentation, (3) identify a point of contact, (4)
indicate how this priority will be addressed and (5) submit the
completed questionnaire, (HUD-27300) ``HUD's Initiative on Removal of
Regulatory Barriers'' found in the General Section. It is up to the
applicant to determine which of the policy priorities they elect to
address to receive the available two (2) points.
d. (2 Points) Economic Opportunities for Low- and Very-Low Income
Persons (Provision of Section 3). This subfactor will be evaluated on
the extent to which an applicant describes how it proposes to:
(1) Provide opportunities to train and employ Section 3 residents;
and/or
(2) Award contracts to Section 3 contractors (see the regulations
at 24 CFR 135). Regulations regarding the provision of Section 3 of the
Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) can be
located at 24 CFR Part 135.
4. Rating Factor 4: Leveraging Resources (8 Points). This factor
addresses the ability of the applicant to secure resources and develop
partnerships that can be combined with HUD's grant funds to achieve the
program's purpose.
In evaluating this factor, HUD will consider how well the applicant
has 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
proposed project activities. 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.
[[Page 11474]]
Examples of potential sources for outside assistance include:
Federal, state, and local governments;
Local or national nonprofit organizations;
Financial institutions and/or private businesses;
Foundations;
Faith-based and other community-based organizations.
To address this factor, an applicant must provide an outline in the
application and have the original written commitment letters, memoranda
of understanding and/or agreements that show the extent and firm
commitment of all proposed leveraged resources (including any
commitment of resources from the applicant's own institution) that
address the following information for each leveraged resource/fund on
file at the time of application submission:
(1) The name of the organization and the executive officer
authorizing the funds/goods and/or services (only applicable to the
narrative section)
(2) The cash amount contributed or dollar value of the in-kind
goods and/or services committed (if a dollar amount and its use is not
shown, the value of the contribution will not be scored for award);
(3) A specific description of how each contribution is to be used
toward the proposed activities;
(4) The date the contribution will be made available and a
statement that describes the duration of the contribution;
(5) Any terms or conditions affecting the commitment, other than
receipt of a HUD Grant; and
(6) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services (only applicable to
the written documentation).
DO NOT submit commitment letters, memoranda of understanding and/or
agreements at the time of application submission but have the originals
on file at the time of submission. IF THIS INFORMATION IS INCLUDED, IT
WILL NOT BE CONSIDERED DURING THE REVIEW PROCESS. Applicants chosen to
proceed to the next step in the selection process will be required to
submit the signed commitment letters, memoranda of understanding and/or
agreements outlined in the application, within seven (7) calendar days
after initial contact from the Office of University Partnerships (OUP).
Letters, memoranda of understanding, or agreements must be submitted on
the provider's letterhead and should be addressed to Sherone Ivey,
Associate Deputy Assistant Secretary for University Partnerships. 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. OUP will provide specific
instructions on how these documents must be submitted when contact is
made with the applicant. HUD will only request and consider the
resources/organizations that are listed in the outline submitted in the
application. If OUP does not receive those documents with the required
information and within the allotted timeframe, an applicant will not
receive points under this factor.
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 by using the Logic Model. The Logic Model is a summary of the
narrative statements presented in Factors 1-4. Therefore, it 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.
The information must be placed on a HUD-96010, Program Outcome
Logic Model form. HUD has developed a new approach to completing this
form. Please carefully read the General Section for instructions;
training is available. If an applicant utilizes ``other'' from the
Logic Model categories, then the applicant should describe briefly this
``other'' category within the Rating Factor 5 narrative. If a narrative
is provided, those pages will be included in the page count. (Form HUD-
96010 will be excluded from the page count.)
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.
2. Rating Panels. To review and rate applications HUD may establish
panels, which may include experts or consultants not currently employed
by HUD to obtain certain expertise.
3. Ranking. HUD will fund applications in rank order, until all
available program funds are awarded. In order to be considered for
funding, an applicant must receive a minimum score of 75 points out of
a possible 100 points for Factors 1 through 5; plus 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 shall be selected. If there is still a tie,
the application with the most points for Factor 1 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.
[[Page 11475]]
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. See the General Section.
C. Anticipated Announcement and Award Dates
Announcements of awards are anticipated on or before September 30,
2007.
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
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 to: Ophelia Wilson, Office of University Partnerships,
Department of Housing and Urban Development, 451 Seventh Street, SW.,
Room 8106, Washington, DC 20410-6000.
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 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. The General Section provides
further discussion on the matter.
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.
For FY2007, HUD is considering a new concept for the Logic Model.
The new concept is a Return on Investment (ROI) statement. HUD will be
publishing a separate notice on the ROI concept.
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. mail to: Applicants may also reach Ms.
Wilson 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 2528-0235. 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 A--Application Checklist--HBCU
This checklist identifies application submission requirements.
Applicants are requested to use this checklist when preparing an
application to ensure submission of all required elements. 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.
Check off to ensure these items have been included in the
application:
----SF-424 ``Application For Federal Assistance''
----Application Checklist (Applicants that submit paper applications
must include the checklist in their applications)
----Abstract (must include no more than a two-page summary of the
proposed project)
Indicate the page number where each of the Factors are located:
Narrative Statement Addressing the Rating Factors.
The narrative section of an application must not exceed 50 pages in
length (excluding forms, budget narrative and abstract). This
information 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 sides of the documents) and printed in standard Times
New-Roman 12-point font. [Applicants that submit applications via
Grants.gov should review the General Section for information about file
names and extensions. File names should not contain spaces or special
characters.]
----Factor I
----Factor II
----HUD-40076, ``Response Sheet Performance Narrative'' (If applicable)
----Factor III
----Factor IV
----Factor V
---- HUD-96010 ``Logic Model''
Check off to ensure these items have been included in the
application:
----Appendix. The appendix section of an application must not exceed 15
pages in length (excluding forms, budget narrative and assurances).
----Budget
----HUD 424-CB ``Grant Application Detailed Budget'' (``HUD Detailed
Budget Form'' on Grants.gov)
[[Page 11476]]
----HUD-40076-HBCU ``Budget-By-Activity''
----Budget Narrative (No form provided and must be submitted for the
total three-year grant period)
Appendix B (All Required Forms)
The following forms are required for submission. All required forms
are contained in the electronic application package.
----Application for Federal Assistance (SF-424)
----Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov)
----Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed
Budget Form'' on Grants.gov)
----Disclosure of Lobbying Activities (SF-LLL), if applicable
----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300),
(``HUD Communities Initiative Form'' on Grants.gov), if applicable
----Applicant/Recipient Disclosure/Update Report (HUD-2880) (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov)
----Certification of Consistency with RC/EZ/EC-II Strategic Plan (HUD-
2990), if applicable
----Certification of Consistency with the Consolidated Plan (HUD-2991)
if applicable
----Acknowledgement of Applicant Receipt (HUD-2993) Only applicants
that submit paper applications
----You Are Our Client Grant Applicant Survey (HUD-2994-A)
----Response Sheet Performance Narrative (HUD-40076) if applicable
----Budget-By-Activity (HUD-40076)
----Program Logic Model (HUD-96010)
----Third Party Documentation Facsimile Transmittal (HUD-96011)
(``Facsimile Transmittal Form'' on Grants.gov) required as the cover
page to third party documents transmitted by facsimile to HUD. See the
General Section.
[[Page 11477]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.007
[[Page 11478]]
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: FR-5100-N-13; OMB Approval Number
is 2528-0198.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CDFA
Number for this program is 14.514.
F. Dates: The application deadline date is May 23, 2007.
Applications must be received and validated by Grants.gov by 11:59:59
p.m. eastern time on the deadline date. 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: 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 purposes of
Title I of the Housing and Community Development Act of 1974, as
amended.
2. Award Information: In Fiscal Year (FY) 2007, approximately $5.9
million has been made available for this program by the Revised
Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; approved
February 15, 2007) and an additional $111,226 in carryover funds. An
applicant can request up to $600,000 for a three-year (36 months) grant
performance period.
3. Eligible Applicants: Nonprofit Hispanic-serving institutions
that meet the definition of an HSI of higher education established in
Title V of the Higher Education Act of 1965 (20 U.S.C. 1101), as
amended. In order to meet this definition, at least 25 percent of the
full-time undergraduate students enrolled in an institution must be
Hispanic. In addition, all applicants must be institutions of higher
education granting two-or four-year degrees that are fully accredited
by a national or regional accrediting agency recognized by the U.S.
Department of Education. 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. 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 DUNS number, administrative
structure and budget, and meets the enrollment requirements outlined
above.
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) 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
purpose of the Title I of the Housing and Community Development Act of
1974, as amended.
For the purpose of this program NOFA, 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 the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-
5; approved February 15, 2007). 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) 2006
program-funding announcement:
1. Commitment letters, memoranda of understanding and/or agreements
are not required to be submitted with the application, but the
originals must be on file at the time of application submission. HUD
will require applicants chosen to proceed to the next step in the
selection process to submit the signed commitment letters, memoranda of
understanding and/or agreements outlined in the application, within
seven (7) calendar days after initial contact from the Office of
University Partnerships (OUP). OUP will provide specific instructions
on how these documents must be submitted at that time. HUD will only
request and consider the resources/organizations outlined in the
application. If OUP does not receive those documents with the required
information and within the allotted timeframe, an applicant will not
receive points under this factor.
2. The appendix section of an application must not exceed 15 pages
in length (excluding forms, budget narrative and assurances). An
applicant SHOULD NOT submit resumes, commitment letters, memoranda of
understanding and/or agreements, or other back-up material. Each page
must include the applicant's name and should be numbered. HUD will not
consider the information on any excess pages.
3. Applicants must budget for travel costs to attend at least one
HUD sponsored HSIAC conference/workshop every year of the three-year
grant performance period.
4. Public Law 109-242 (approved September 30, 2006) revised the
definition of Hispanic-serving institution found in Title V of the
Higher Education Act of 1965 (20 U.S.C. 1101). The revision removed the
requirement that not less than 50 percent of the institution's Hispanic
students are low-income individuals.
II. Award Information
In Fiscal Year (FY) 2007, approximately $5.9 million is made
available for this program and an additional $111,226 in carryover
funds. An applicant can request up to $600,000 for a 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 Higher
Education Act of 1965 (20 U.S.C. 1101), as amended. In order to meet
this definition, at least 25 percent of the full-time undergraduate
students enrolled in an institution must be Hispanic. In addition, all
applicants must be institutions of higher education granting two- or
four-year degrees that are fully accredited by a national or regional
accrediting agency recognized by the U.S. Department of Education.
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
[[Page 11479]]
the U.S. Department of Education's statutory definition of an HSI as
cited above. 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 DUNS number, administrative
structure and budget, and meets the enrollment requirements outlined
above.
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:
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) 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 care services, drug abuse, education, housing counseling, energy
conservation, homebuyer down payment assistance, establishing and
maintaining Neighborhood Network centers in federally assisted or
insured housing, job training and placement and 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: www.whitehouse.gov/omb/circulars/index.html;
(11) Fair housing services designed to further civil rights
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
b. Each activity proposed for funding must meet the Community
Development Block Grant (CDBG) program eligibility requirements and at
least one of the three CDBG national objectives. The three national
objectives of the CDBG program are listed in Rating Factor 3 in Section
V.A.3 of this NOFA.
Criteria for determining whether an activity addresses one or more
national objectives are provided at 24 CFR 570.208.
c. 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.
Individuals with hearing or speech impairments may access this number
via the toll-free Federal Information Relay Service at 800-877-8339.
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. 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.
b. The applicant may request up to $600,000.
c. An applicant must have a DUNS number to receive HUD grant funds
(See the General Section). Only one application can be submitted per
campus. If multiple applications are submitted, all will be
disqualified. However, different campuses of the same university system
are eligible to apply as long as they have a separate DUNS number and
an administrative and budgeting structure independent of the other
campuses in the system.
d. Institutions that received an HSIAC grant in FY2006 are not
eligible to submit an application under this NOFA. If an institution
received an HSIAC grant in FY2003, FY2004, or FY2005, the institution
may apply under this NOFA as long as it proposes a different activity
(activities), which has not been previously undertaken in their current
project location, or proposes replicating their current project in a
new location.
e. Applicants must receive a minimum score of 75 points to be
considered for funding.
f. Electronic applications must be received and validated by
Grants.gov no later than 11:59:59 p.m. eastern time on the application
deadline date.
3. 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 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).
c. 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 recipients that
cannot demonstrate control of a suitable site within one year after the
initial notification of award.
d. Environmental Requirements. Selection for award does not
constitute
[[Page 11480]]
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-05-07 entitled, ``Field Environmental Review Processing for Rural
Housing and Economic Development (RHED) grants'' issued August 30,
2005. The General Section provides further discussion of the
environmental requirements. Further information and assistance on HUD's
environmental requirements is available at: http://hudstage.hud.gov/utilities/intercept.cfm?/offices/cpd/lawsregs/notices/2005/05-07.pdf.
e. 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.
f. Economic Opportunities for Low- and Very-Low Income Persons
(Section 3). The provisions of Section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of
the purposes of the assistance is to give, to the greatest extent
feasible, and consistent with existing federal, state, and local laws
and regulations, job training, employment, contracting and other
economic opportunities to Section 3 residents and Section 3 business
concerns. Regulations are located 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/applicants/apply--
for--grants.jsp. If you have difficulty accessing the information, you
may call the Grants.gov Support Desk toll free at 800-518-GRANTS or e-
mail your questions to Grants.gov">Support@Grants.gov. See the General Section for
information regarding the registration process or ask for registration
information from the Grants.gov Support Desk.
B. Content and Form of Application Submission
1. Forms. The following forms are required for submission. Copies
of these forms are available on line at http://www.Grants.gov/
applicants/apply--for--grants.jsp.
a. SF-424, Application for Federal Assistance;
b. SF-424, Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
c. HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed
Budget Form'' on Grants.gov);
d. SF-LLL, Disclosure of Lobbying Activities, if applicable;
e. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if
applicable;
f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
g. HUD-96010, Program Logic Model;
h. HUD-2990, Certification of Consistency with RC/EZ/EC-II
Strategic Plan, if applicable;
i. HUD-2991, Certification of Consistency with the Consolidated
Plan, if applicable;
j. HUD-2993, Acknowledgement of Applicant Receipt. Complete this
form only if you have received a waiver to the electronic application
submission requirement. Applicants submitting electronically are not
required to include this form;
k. HUD-2994-A, You Are Our Client Grant Applicant Survey.
Applicants are not required to complete this form.
l. HUD-96011, Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used
as the cover page to transmit third party documents and other
information. 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.
Please do not use your own fax sheet. HUD will not read any faxes that
are sent without the HUD-96011 fax transmittal cover page.
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 requested from HUD (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 all correspondence; 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 14.514;
(6) The project's proposed start date and completion date. For the
purpose of this application, the program start date should be December
1, 2007; and
(7) The signature of the Authorized Organization Representative
(AOR) who, by virtue of submitting an application via Grants.gov, has
been authenticated by the credential provider to submit applications on
behalf of the Institution and approved by the eBusiness Point of
Contact to submit an application via Grants.gov. The AOR must be able
to make a binding legal agreement with HUD.
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 should not submit the
checklist.
[[Page 11481]]
Applicants that receive a waiver of the electronic application
submission must include a copy of the checklist in their application
submission. The checklist can be located in Appendix 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 each proposed project activity, where it
will take place (be located), the target population that will be
assisted, and the impact this project is expected to have on the
community and 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.
(4) The designated contact person, including phone number,
facsimile number, and e-mail address (This is the person who will
receive all correspondence from HUD; therefore please ensure the
accuracy of the information);
(5) The project director, 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, yet
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. 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 50
pages in length (excluding forms, budget narrative, assurances, and
abstract) 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 and left to right side of the document) and printed in standard
Times New Roman 12-point font. Each page of the narrative must include
the applicant's name and should be numbered. 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. All applicants submitting electronic
applications must attach their narrative responses to Rating Factors 1-
5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR
SEPARATELY. Please follow the instructions on file extension and file
names in the General Section.
e. Budget. The budget submission must include the following:
(1) HUD-424-CB, ``HUD Detailed Budget Form.'' This 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 budget for travel
costs (airfare, lodging and per diem) for two individuals to attend at
least one HUD sponsored HSIAC conference/workshop every year of the
three-year grant performance period. To calculate travel expenses,
applicants located in Eastern and Central time zones or the U.S. Virgin
Islands should use San Francisco, CA as the site of all conferences/
workshops. Applicants located in Mountain and Pacific time zones or
Puerto Rico should use Washington, DC as the site of all conferences/
meetings.
Applicants must also submit this form to reflect the total cost for
the entire grant performance period (Grand Total).
Make sure that the amounts shown on the SF-424, the HUD-424-CB, and
on all other required program forms are 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 required budget 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 (please make sure they are kept on file and are
available for review by HUD at any time). All direct labor or salaries
must be supported with mandated city/state pay scales, the Davis-Bacon
rate, (if applicable) or other documentation. 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 use cost estimates based on historical data
from the institution and/or from a qualified firm (e.g., Architectural
or Engineering firms), vendor, and/or qualified individual (e.g.,
independent architect or contractor) 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.
Construction costs must be broken down to indicate how funds will be
utilized (e.g., demolition, foundation, exterior walls, roofing,
electrical work, plumbing, finishing work, etc.).
(3) Indirect costs. Indirect costs, if applicable, are allowable
based on an established approved indirect cost rate. Applicants must
have on file, and submit to HUD if selected for award, a copy of their
indirect cost rate agreement. Applicants who are selected for funding
that do not have an approved indirect cost rate agreement, established
by the cognizant federal agency, 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 required forms in this section. The appendix section of
an application must
[[Page 11482]]
not exceed 15 pages in length (excluding forms, budget narrative and
assurances). An applicant SHOULD NOT submit resumes, commitment
letters, memoranda of understanding and/or agreements, or other back-up
materials. If this information is included, it will not be considered
during the review process. Each page must include the applicant's name
and should be numbered. HUD will not consider the information on any
excess pages. The additional items will also slow the transmission of
your application.
C. Submission Dates and Times
A complete application package must be received and validated
electronically by the Grants.gov portal no later than 11:59:59 p.m.
eastern time on or before the application deadline date. In an effort
to address any issues with transmission of your application, applicants
are strongly encouraged to submit their applications at least 48 to 72
hours prior to the application deadline. This will allow an applicant
enough time to make the necessary adjustments to meet the submission
deadline in the event Grants.gov rejects the application. Please see
the General Section for further instructions. Electronic faxes using
the Facsimile Transmittal Cover Sheet (Form HUD-96011) contained in the
electronic application must be received no later than 11:59:59 p.m.
eastern time on the application deadline date.
D. Intergovernmental Review
This program is excluded from an Intergovernmental Review.
E. Funding Restrictions
Ineligible CDBG Activities are listed at 24 CFR 570.207. 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 limitations (e.g., preparation/
submission of HUD reports).
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. Applicants should
submit their waiver requests in writing using e-mail or fax. Waiver
requests must be submitted no later than 15 days prior to the
application deadline date and should be submitted to: Susan Brunson,
Office of University Partnerships, E-mail: [email protected],
FAX: (202) 708-0309.
Paper applications will not be accepted from applicants that have
not been granted a waiver. If an applicant is granted a waiver, the
Office of University Partnerships will provide instructions for
submission. All applicants submitting applications in paper format must
have received a waiver to the electronic application submission
requirement and the application must be received by HUD on or before
the application deadline date.
V. Application Review Information
A. Criteria
1. Rating Factor 1: Capacity of the Applicant and Relevant
Experience (25 Points). This factor addresses the extent to which the
applicant has the resources necessary to successfully implement the
proposed project in a timely manner.
a. Knowledge and Experience For First Time Applicants (25 Points);
For Previously Funded Applicants (10 Points). In rating this subfactor,
HUD will consider how well an applicant clearly addresses the
following:
(1) Describe the knowledge and experience of the proposed project
director and staff, including the day-to-day program manager/
coordinator, consultants (including technical assistance providers),
and contractors in planning and managing the type of project for which
funding is being requested; and
(2) 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.
If key personnel have not been hired, applicants must identify the
position title, provide a description of duties and responsibilities,
and describe the qualifications to be considered in the selection of
personnel, including subcontractors and consultants.
Experience will be evaluated 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 how well an applicant has
performed successfully under HUD/HSIAC grants. Applicants must
demonstrate this by addressing the following information for all
previously completed and open HUD/HSIAC grants:
(1) A list of all HUD/HSIAC grants received, including the dollar
amount awarded and the amount expended and obligated as of the date of
this application;
(2) A description of the achievement of specific tasks, measurable
objectives, and specific outcomes consistent with the approved project
management plan;
(3) A list detailing the date the project(s) was completed, was it
completed in the original three-year grant performance period; if not
completed, why (including when it was or will be completed);
(4) A comparison of the amount of proposed leveraged funds and/or
resources to the amount that was actually leveraged; and
(5) A detailed description of compliance with all reporting
requirements, including timeliness of submission, whether reports were
complete and addressed all information (both narrative and financial)
as required by the grant agreement.
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; timely submission of
required progress reports and receipt of promised leveraged resources.
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).
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. In
addressing this factor, applicants should provide, at a minimum, the
following and must cite statistics and/or analyses contained in at
least one or more current data sources that are sound and reliable.
(1) Describe the need(s); and
(2) Describe the importance of meeting the proposed needs.
In rating this factor, HUD will consider only current data that is
specific to the area where the proposed
[[Page 11483]]
project activities will be carried out. Sources for localized data can
be found at: www.ffiec.gov.
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 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 (www.hud.gov/emaps), law enforcement agency crime reports, Public Housing Agencies'
Comprehensive Plans, community needs analyses such as those provided by
the United Way, the applicant's institution, and other sound, reliable
and 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 (44 Points). This factor
addresses the quality and effectiveness of the proposed work plan and
the commitment of the institution to sustain the proposed activities.
a. (37 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 activities, anticipated
accomplishments and the impact they will have on the target population
at the end of the project.
(1) (32 Points) Specific Activities. The work plan must describe
all proposed activities and major tasks required to successfully
implement them. The work plan must also identify the anticipated
measurable accomplishments and impact these activities will have on the
targeted population. In addressing this subfactor, applicants must
provide a clear description of each proposed activity and address the
following:
(a) Describe each proposed project activity in measurable terms
(e.g., the number of persons to be trained and employed; houses to be
built or rehabilitated; or minority owned businesses to be started,
etc.);
(b) List and describe how each activity meets one of the following
Community Development Block Grant (CDBG) Program national objectives:
Benefit low- and moderate-income persons;
Aid in the prevention or elimination of slums or blight;
or
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;
(c) Describe the measurable impact that implementing each activity
(by the end of the grant period) will have on the target population;
(d) Identify the major tasks required (in sequential order) to
successfully implement and complete each proposed project activity.
Include target completion dates for these tasks (in 6 month intervals,
up to 36 months);
(e) Identify the key staff, as described in Factor 1, who will be
responsible for completing each task; and
(f) Describe how the project director will work with the partners
and citizens to accomplish the proposed project activities.
(2) (5 Points) Describe clearly how each proposed activity will:
(a) Expand the role of the institution in the community;
(b) Address the needs identified in Factor 2;
(c) Relate to and not duplicate other activities in the target
area. Duplicative efforts 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 citizens of the target area in the planning and
implementation of the proposed project activity (e.g., development of
an advisory committee that is representative of the target community).
b. (3 Points) Involvement of the Faculty and Students. The
applicant must describe how it proposes to integrate the institution's
students and faculty into proposed project activities.
c. (2 Points) HUD Policy Priorities. As described in the General
Section, to earn points under this subfactor, HUD requires applicants
to undertake specific activities that will assist the Department in
implementing its policy priorities and that will help the Department
achieve its goals and objectives in FY2008, when the majority of grant
recipients will be reporting programmatic results and achievements. In
rating 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.
The total number of points an applicant can receive under this
subfactor is two (2). Each policy priority addressed has a point value
of one (1) point with the exception of the policy priority to remove
regulatory barriers to affordable housing, which has a point value of
up to two (2) points. To receive these two (2) points, an applicant
must: (1) Complete either Part A or Part B (not both), (2) include
appropriate documentation, (3) identify a point of contact, (4)
indicate how this priority will be addressed and (5) submit the
completed questionnaire, (HUD-27300) ``HUD's Initiative on Removal of
Regulatory Barriers Communities Initiative'' found in the General
Section. It is up to the applicant to determine which of the policy
priorities they elect to address to receive the available two (2)
points.
d. (2 Points) Economic Opportunities for Low- and Very-Low Income
Persons (Provision of Section 3). This subfactor will be evaluated on
the extent to which an applicant describes how it proposes to:
(1) Provide opportunities to train and employ Section 3 residents;
and/or
(2) Award contracts to Section 3 contractors (See the regulations
at 24 CFR 135.). Regulations regarding the provision of Section 3 of
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) can be
located at 24 CFR Part 135.
4. Rating Factor 4: Leveraging Resources (9 Points). This factor
addresses the ability of the applicant to secure resources and develop
partnerships that can be combined with HUD's grant funds to achieve the
program's purpose.
HUD will consider how well an applicant has 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 proposed
project activities. 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:
[[Page 11484]]
Federal, state, and local governments
Local or national nonprofit organizations
Financial institutions and/or private businesses
Foundations
Faith-based and other community-based organizations.
To address this factor, an applicant must provide an outline in the
application and have the original written commitment letters, memoranda
of understanding and/or agreements that show the extent and firm
commitment of all proposed leveraged resources (including any
commitment of resources from the applicant's own institution) that
address the following information for each leveraged resource/fund on
file at the time of application submission:
(1) The name of the organization and the executive officer
authorizing the funds/goods and/or services (Only applicable to the
narrative section);
(2) The cash amount contributed or dollar value of the in-kind
goods and/or services committed (If a dollar amount and its use are not
shown, the value of the contribution will not be scored for award);
(3) A specific description of how each contribution is to be used
toward the proposed activities;
(4) A description of the current and/or past working relationship
that the institution has with the organization contributing the
resources and the involvement it will have with this proposed project.
(5) The date the contribution will be made available and a
statement that describes the duration of the contribution;
(6) Any terms or conditions affecting the commitment, other than
receipt of a HUD Grant; and
(7) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services (Only applicable to
the written documentation).
Do not submit commitment letters, memoranda of understanding and/or
agreements are not required at the time of application submission but
have the originals on file at the time of submission. IF THIS
INFORMATION IS INCLUDED, IT WILL NOT BE CONSIDERED DURING THE REVIEW
PROCESS. Applicants chosen to proceed to the next step in the selection
process will be required to submit the signed commitment letters,
memoranda of understanding and/or agreements outlined in the
application, within seven (7) calendar days after initial contact from
the Office of University Partnerships (OUP). Letters, memoranda of
understanding, or agreements must be submitted on the provider's
letterhead and should be addressed to Sherone Ivey, Associate Deputy
Assistant Secretary for University Partnerships. 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. OUP will provide specific instructions on how
these documents must be submitted when contact is made with the
applicant. HUD will only request and consider the resources/
organizations that are listed in the outline submitted in the
application. If OUP does not receive those documents with the required
information and within the allotted timeframe, an applicant will not
receive points under this factor.
In scoring this factor, HUD will award
Nine (9) points to an applicant that provides properly
documented leveraging resources as listed in their application that are
15 percent or more of the amount requested under this program;
Seven (7) to eight (8) points to applicants that provide
documentation that includes at least five of the seven required items
outlined above and that represents 10 to 14 percent of the amount
requested under this program;
Five (5) to six (6) points to applicants that provide
documentation that includes at least four of the seven required items
outlined above and that represents 10 to 14 percent of the amount
requested under this program;
Three (3) to four (4) points to applicants that provide
documentation that includes at least five of the seven required items
outlined above and that represents 5 to 9 percent of the amount
requested under this program;
One (1) to two (2) points to applicants that provide
documentation that includes at least three of the seven required items
outlined above and that represents 5 to 9 percent of the amount
requested under this program; and
Zero (0) points to applicants that provide documented
leveraging resources as listed above that are less than 5 percent of
the amount requested.
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 by using the HUD Logic Model. 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.
The information must be placed on a HUD-96010, Program Outcome
Logic Model form. HUD has developed a new approach to completing this
form. Please carefully read the General Section for instructions,
training is available. (Form HUD-96010 will be excluded from the page
count.) If an applicant utilizes ``other'' from the Logic Model
categories, then the applicant should describe briefly this ``other''
category within the Rating Factor 5 narrative. If a narrative is
provided, those pages will be included in the page count.
B. Review and Selection Process
1. Application Selection Process
Two types of reviews will be conducted:
[[Page 11485]]
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 to obtain certain expertise.
3. Ranking. HUD will fund applications in rank order, until all
available program funds are awarded. In order to be considered for
funding, an applicant must receive a minimum score of 75 points out of
a possible 100 points; plus 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
shall be selected. If there is still a tie, the application with the
most points for Factor 1 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. See the General Section.
C. Anticipated Announcement and Award Dates. Announcements of
awards are anticipated on or before September 30, 2007.
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
Refer to Section 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 to: Madlyn Wohlman-Rodriguez, Office of University
Partnerships, Department of Housing and Urban Development, 451 Seventh
Street, SW., Room 8106, Washington, DC 20410-6000. Applicants may also
write to Ms. Wohlman-Rodriguez 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 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 information.
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.
For FY2007, HUD is considering a new concept for the Logic Model.
The new concept is a Return on Investment (ROI) statement. HUD will be
publishing a separate notice on the ROI concept.
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. mail to: 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 2528-0198. 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.
Appendix A--Application Checklist--HSIAC
This checklist identifies application submission requirements.
Applicants are requested to use this checklist when preparing an
application to ensure submission of all required elements. 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.
Check off to ensure these items have been included in the
application:
----SF-424 ``Application For Federal Assistance''
[[Page 11486]]
----Application Checklist (Applicants that submit paper applications
must include the checklist in their applications)
----Abstract (must include no more than a two-page summary of the
proposed project)
Indicate the page number where each of the Factors is located:
----Narrative Statement Addressing the Rating Factors. The narrative
section of an application must not exceed 50 pages in length (excluding
forms, budget narrative and abstract). This information 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
sides of the documents) and printed in standard Times New-Roman 12-
point font. [Applicants that submit applications via Grants.gov should
review the General Section for information about file names and
extensions. File names should not contain spaces or special
characters.]
----Factor I
----Factor II
----Factor III
----Factor IV
----Factor V
----HUD-96010 ``Logic Model''
Check off to ensure these items have been included in the
application:
----Appendix. The appendix section of an application must not exceed 15
pages in length (excluding forms, budget narrative and assurances).
----Budget
----Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed
Budget Form'' on Grants.gov).
----Budget Narrative (No form provided, but must be submitted for the
total three-year grant period.
Appendix B (All Required Forms)
The following forms are required for submission. All required forms
are contained in the electronic application package.
----Application for Federal Assistance (SF-424);
----Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
----Disclosure of Lobbying Activities (SF-LLL), if applicable;
----Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed
Budget'' on Grants.gov);
----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300)
(``HUD Communities Initiative Form'' on Grants.gov), if applicable;
----Applicant Recipient Disclosure Update Report (HUD-2880) (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
----Certification of Consistency with RC/EZ/EC-II Strategic Plan (HUD-
2990), if applicable;
----Certification of Consistency with the Consolidated Plan (HUD-2991),
if applicable;
----Acknowledgement of Applicant Receipt (Only applicants who submit
paper applications (HUD-2993);
----You Are Our Client! Grant Applicant Survey (HUD-2994-A);
----Third Party Documentation Facsimile Transmittal (HUD-96011)
(``Facsimile Transmittal Form'' on Grants.gov), to be used as the cover
page to transmit third party documents via facsimile, if applicable
(See General Section); and
----Logic Model (HUD-96010)
[[Page 11487]]
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[[Page 11488]]
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: FR-5100-N-12; OMB Approval Number
is 2528-0206.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA
Number for this program is 14.515.
F. Dates: The application deadline date is May 23, 2007.
Applications must be received and validated by Grants.gov by 11:59:59
p.m. eastern time on the deadline date. 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. 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.
2. Award Information. In Fiscal Year (FY) 2007, approximately $2.9
million has been made available for this program by the Revised
Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; approved
February 15, 2007) and an additional $36,048 in carryover funds. An
applicant can request up to $800,000 for a three-year (36 months) grant
performance period.
3. 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). 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, all applicants must be a two-or four-year
institution, fully 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 DUNS number, administrative structure and budget, and meets
the enrollment requirements outlined above.
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
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5;
approved February 15, 2007). 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 FY2006 program-
funding announcement:
1. Commitment letters, memoranda of understanding and/or agreements
are not required to be submitted with the application but the originals
must be on file at the time of application submission. HUD will require
applicants chosen to proceed to the next step in the selection process
to submit the signed commitment letters, memoranda of understanding
and/or agreements outlined in the application within seven (7) calendar
days after initial contact from the Office of University Partnerships
(OUP). OUP will provide specific instructions on how these documents
must be submitted at that time. HUD will only request and consider the
resources/organizations outlined in the application. If OUP does not
receive those documents with the required information and within the
allotted timeframe, an applicant will not receive points under this
factor.
2. The appendix section of an application must not exceed 15 pages
in length (excluding forms, budget narrative and assurances). An
applicant SHOULD NOT submit resumes, commitment letters, memoranda of
understanding and/or agreements, or other back-up material. Each page
must include the applicant's name and should be numbered. HUD will not
consider the information on any excess pages.
3. Applicants must budget for travel costs to attend at least one
HUD sponsored AN/NHIAC conference/workshop every year of the three-year
grant performance period.
II. Award Information
In Fiscal Year (FY) 2007, approximately $2.9 million is made
available for this program with an additional $36,048 in carryover
funds. HUD will award grants under this program to Alaska Native
Institutions (ANI) and Native Hawaiian Institutions (NHI). An applicant
can request up to $800,000 for a three-year (36 months) grant
performance period.
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). 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
[[Page 11489]]
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, all applicants must be a
two-or four-year institution, fully 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 DUNS number, administrative
structure and budget, and meets the enrollment requirements outlined
above.
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. 570.201 through Sec. 570.206.
Information regarding these activities can be found at:
www.hudclips.org (click on the Code of Federal Regulations for detailed
information).
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 504 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 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 care services, drug abuse, education, housing counseling, energy
conservation, homebuyer down payment assistance, establishing and
maintaining Neighborhood Network centers in federally assisted or
insured housing, job training and placement and recreational needs;
i. Fair housing services designed to further the civil rights
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;
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, etc.).
Detailed explanations of these costs are provided in the OMB circulars
that can be accessed at the White House Web site at:
www.whitehouse.gov/omb/circulars/index.html; and
Each activity proposed for funding must meet the Community
Development Block Grant (CDBG) program are listed in Rating Factor 3 in
Section V.A.3 of this NOFA.
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 online at http://www.hud.gov/offices/cpd/communitydevelopment/library/deskguid.cfm, or from HUD's NOFA
Information Center at 800-HUD-8929. Individuals with hearing or speech
impairments may access this number via the toll-free Federal
Information Relay Service at 800-877-8339.
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. 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
b. The applicant may request up to $800,000.
c. An applicant must have a separate DUNS number to receive HUD
grant funds (See the General Section). Only one application can be
submitted per campus. If multiple applications are submitted, all will
be disqualified. However, different campuses of the same university
system are eligible to apply as long as they have a separate DUNS
number and an administrative and budgeting structure independent of the
other campuses in the system.
d. Institutions that received grants in FY2006 are not eligible to
submit an application under this NOFA.
e. Applicants must receive a minimum score of 75 points to be
considered for funding.
f. Electronic applications must be received and validated by
Grants.gov no later than 11:59:59 p.m. eastern time on the application
deadline date.
3. 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 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).
c. 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 recipients that
cannot demonstrate control of a suitable site within one year after the
initial notification of award.
d. 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
[[Page 11490]]
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-05-07 entitled, ``Field Environmental Review Processing for Rural
Housing and Economic Development (RHED) grants'' issued August 30,
2005. The General Section provides further discussion of the
environmental requirements. Further information and assistance on HUD's
environmental requirements is available at: http://hudstage.hud.gov/utilities/intercept.cfm?/offices/cpd/lawsregs/notices/2005/05-07.pdf.
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.
f. Economic Opportunities for Low- and Very-Low Income Persons
(Section 3). The provisions of Section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of
the purposes of the assistance is to give, to the greatest extent
feasible, and consistent with existing federal, state, and local laws
and regulations, job training, employment, contracting and other
economic opportunities to Section 3 residents and Section 3 business
concerns. 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./applicants/apply--
for--grants.jsp. 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. See the General Section for
information regarding the registration process or ask for registration
information from the Grants.gov Support Desk.
B. Content and Form of Application Submission
1. Forms. The following forms are required for submission. Copies
of these forms are available on line at www.grants.gov/applicants/apply_for_grans.jsp.
a. SF-424, Application for Federal Assistance;
b. SF-424 Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
c. HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed
Budget Form'' on Grants.gov);
d. SF-LLL, Disclosure of Lobbying Activities, if applicable;
e. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative'' on Grants.gov), if applicable;
f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
g. HUD-2990, Certification of Consistency with RC/EZ/EC-II
Strategic Plan, if applicable;
h. HUD-96010, Program Logic Model;
i. HUD-2993, Acknowledgement of Applicant Receipt. Complete this
form only if you have received a waiver to the electronic application
submission requirement. Applicants submitting electronically are not
required to include this form;
j. HUD-2994-A, You Are Our Client Grant Applicant Survey.
Applicants are not required to complete this form.
k. HUD-96011, Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used
as the cover page to transmit third party documents and other
information. 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.
Please do not use your own fax sheet. HUD will not read any faxes that
are sent without the HUD-96011 fax transmittal cover page; and
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 requested from HUD (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 all correspondence; 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 14.515;
(6) The project's proposed start date and completion date. For the
purpose of this application, the program start date should be December
1, 2007; and
(7) The signature of the Authorized Organization Representative
(AOR) who, by virtue of submitting an application via Grants.gov, has
been authenticated by the credential provider to submit applications on
behalf of the Institution and approved by the eBusiness Point of
Contact to submit an application via Grants.gov. The AOR must be able
to make a legally binding agreement with HUD.
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 should not 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 can be located in
Appendix 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 each proposed project activity, where it
will take place (be located), the target population that will be
assisted, and the impact this project is expected to have on the
community and institution;
(2) A statement that the institution is an eligible institution
because it is a
[[Page 11491]]
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, or a Native Hawaiian Institution, as
appropriate;
(4) The designated contact person, including phone number,
facsimile number, and e-mail address. (This is the person who will
receive all correspondence; therefore, please ensure the accuracy of
the information.);
(5) The project director, 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, yet
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. 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 50
pages in length (excluding forms, budget narrative, assurances, and
abstract) 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 and left to right side of the document) and printed in standard
Times New Roman 12-point font. Each page of the narrative must include
the applicant's name and should be numbered. 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. All applicants submitting electronic
applications must attach their narrative responses to Rating Factors 1-
5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR
SEPARATELY. Please follow the instructions on file extension and file
names in the General Section.
e. Budget. The budget submission must include the following:
(1) HUD-424-CB, ``Grant Application Detailed Budget.'' This 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 budget
for travel cost (airfare, lodging and per diem) for two individuals to
attend at least one HUD sponsored AN/NHIAC conference/workshop every
year of the three-year grant performance period. To calculate travel
expenses, applicants should use Washington, DC as the site of all
conferences/workshops. Applicants must also submit this form to reflect
the total cost for the entire grant performance period (Grand Total).
Make sure that the amounts shown on the SF-424, the HUD-424-CB and
on all other required program forms are 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 any inconsistency between any of the required budget 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 (please make sure they are kept on file and are
available for review by HUD at any time). 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 use cost estimates 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 or contractor) 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. Construction costs must be broken down to indicate how
funds will be utilized (e.g., demolition, foundation, exterior walls,
roofing, electrical work, plumbing, finishing work, etc.)
(3) Indirect costs. Indirect costs, if applicable, are allowable
based on an established approved indirect cost rate. Applicants must
have on file, and submit to HUD if selected for award, a copy of their
indirect cost rate agreement. Applicants who are selected for funding
that do not have an approved indirect cost rate agreement, established
by the cognizant federal agency, 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 required forms in this section. The appendix section of
the an application must not exceed 15 pages in length (excluding forms,
budget narrative and assurances) An applicant SHOULD NOT submit
resumes, commitment letters, memoranda of understanding and/or
agreements, or other back-up materials. If this information is
included, it will not be considered during the review process. Each
page must include the applicant's name and should be numbered. HUD will
not consider the information on any excess pages. The additional items
will also slow the transmission of your application.
C. Submission Dates and Times
A complete application package must be received and validated
electronically by the Grants.gov portal no later than 11:59:59 p.m.
eastern time on or before the application deadline date. In an effort
to address any issues with transmission of your applications,
applicants are strongly encouraged to submit their applications at
least 48 to 72 hours prior to the application deadline. This will allow
an applicant enough time to make the necessary
[[Page 11492]]
adjustments to meet the submission deadline in the event Grants.gov
rejects the application. Please see the General Section for further
instructions. Electronic faxes using the Facsimile Transmittal Cover
Sheet (Form HUD-96011) contained in the electronic application must be
received no later than 11:59:59 p.m. eastern time on the application
deadline date.
D. Intergovernmental Review
This program is excluded from an Intergovernmental Review.
E. Funding Restrictions
Ineligible CDBG Activities are listed at 24 CFR 570.207. 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 limitations (e.g., preparation/
submission of HUD reports);
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; and
6. Construction, renovation, expansion of an institution's own
facilities.
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. Applicants should
submit their waiver requests in writing using e-mail or fax. Waiver
requests must be submitted no later than 15 days prior to the
application deadline date and should be submitted to:
Susan Brunson, Office of University Partnerships, E-mail: [email protected], FAX: (202) 708-0309.
Paper applications will not be accepted from applicants that have
not been granted a waiver. If an applicant is granted a waiver, the
Office of University Partnerships will provide instructions for
submission. All applicants submitting applications in paper format must
have received a waiver to the electronic application submission
requirement and the application must be received by HUD on or before
the application deadline date.
V. Application Review Information
A. Criteria
1. Rating Factor 1: Capacity of the Applicant and Relevant Experience
(25 Points)
This factor addresses the extent to which the applicant has the
resources necessary to successfully implement the proposed project in a
timely manner.
a. Knowledge and Experience. For First Time Applicants (25 Points)
For Previously Funded Applicants (13 Points). In rating this subfactor,
HUD will consider the extent to which the applicant clearly addresses
the following:
(1) Describe the knowledge and experience of the proposed project
director and staff, including the day-to-day program manager/
coordinator, consultants (including technical assistance providers),
and contractors in planning and managing the type of project for which
funding is being requested; and
(2) 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.
If key personnel have not been hired, applicants must identify the
position title, provide a description of duties and responsibilities,
and describe the qualifications to be considered in the selection of
personnel, including subcontractors and consultants.
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 how well an applicant has performed
successfully under HUD/AN/NHIAC grants. Applicants must demonstrate
this by addressing the following information for all previously
completed and open HUD/AN/NHIAC grants:
(1) A list of all HUD/AN/NHIAC grants received, including the
dollar amount awarded and the amount expended and obligated as of the
date of this application;
(2) A description of the achievement of specific tasks, measurable
objectives, and specific outcomes consistent with the approved project
management plan;
(3) A list detailing the date the project(s) was completed, was it
completed in the original three-year grant performance period; if not
completed, why (including when it was or will be completed);
(4) A comparison of the amount of proposed leveraged funds and/or
resources to the amount that was actually leveraged; and
(5) A detailed description of compliance with all reporting
requirements, including timeliness of submission, whether reports were
complete and addressed all information (both narrative and financial)
as required by the grant agreement.
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. 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).
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. In addressing this factor, applicants should provide, at a
minimum, the following and must cite statistics and/or analyses
contained in at least one or more current data sources that are sound
and reliable.
(1) Describe the need(s); and
(2) Describe the importance of meeting the proposed needs.
In rating this factor, HUD will consider only current data that is
specific to the area where the proposed project activities will be
carried out. Sources for localized data can be found at: www.ffiec.gov.
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
[[Page 11493]]
needs analyses such as provided by the United Way, the applicant's
institution, and other sound, reliable and 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 (44 Points)
This factor addresses the quality and effectiveness of the proposed
work plan and the commitment of the institution to sustain the proposed
project activities.
a. (37 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 activities, anticipated
accomplishments and the impact they will have on the target population
at the end of the project.
(1) (32 Points) Specific Activities. The work plan must describe
all proposed project activities and major tasks required to
successfully implement them. The work plan must also identify the
anticipated accomplishment and impact these activities will have on the
target population. In addressing this subfactor applicants must provide
a clear description of each proposed activity and address the
following:
(a) Describe each proposed project activity in measurable terms
(e.g., the number of homes that will be renovated, the number of jobs
created, etc.);
(b) List and describe how each activity meets one of the following
Community Development Block Grant (CDBG) Program national objectives:
Benefit low- and moderate-income person;
Aid in the prevention or elimination of slums or blight;
or
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;
(c) Describe the measurable outcomes that will be realized as a
result of implementing each activity (by the end of the grant period)
will have or expect to have on the target population;
(d) Identify the major tasks required (in sequential order) to
successfully implement and complete each proposed project activity.
Include the target completion dates for these tasks (in 6 month
intervals, up to 36 months);
(e) Identify key staff, as described in Factor 1, who will be
responsible and accountable for completing each task; and
(f) Describe how the project director will work with partners and
citizens to accomplish the proposed project activities.
(2) (5 Points) Describe clearly how each proposed activity will:
(a) Expands the role of the institution in the community;
(b) Address the needs identified in Factor 2;
(c) Relate to and not duplicate other activities in the target
area. Duplicative efforts 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 citizens of the target area in the planning and
implementation of the proposed project activity (e.g., development of
an advisory committee that is representative of the target community).
b. (3 Points) Involvement of the faculty and students. The
applicant must describe how it proposes to integrate the institution's
students and faculty into the proposed project activities.
c. (2 Points) HUD Policy Priorities. As described in the General
Section, to earn points under this subfactor, HUD requires applicants
to undertake specific activities that will assist the Department in
implementing its policy priorities and that help the Department achieve
its goals and objectives in FY2008, when the majority of grant
recipients will be reporting programmatic results and achievements. In
rating 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.
The total number of points an applicant can receive under this
subfactor is two (2). Each policy priority addressed has a point value
of one (1) point with the exception of the policy priority to remove
regulatory barriers to affordable housing, which has a point value of
up to two (2) points. To receive these two (2) points, an applicant
must: (1) complete either Part A or Part B (not both), (2) include
appropriate documentation, (3) identify a point of contact, (4)
indicate how this priority will be addressed and (5) submit the
completed questionnaire, (HUD-27300) ``HUD's Initiative on Removal of
Regulatory Barriers'' found in the General Section along with required
documentation. It is up to the applicant to determine which of the
policy priorities they elect to address to receive the available two
(2) points.
d. (2 Points) Economic Opportunities for Low- and Very-Low Income
Persons (Provision of Section 3). This subfactor will be evaluated on
the extent to which an applicant describes how it proposes to:
(1) Provide opportunities to train and employ Section 3 residents;
and/or
(2) Award contracts to Section 3 contractors (See the regulations
at 24 CFR).
Regulations regarding the provision of Section 3 of the Housing and
Urban Development Act of 1968 (12 U.S.C. 1701u) can be located at 24
CFR Part 135.
4. Rating Factor 4: Leveraging Resources (9 Points)
This factor addresses the ability of the applicant to secure
resources and develop partnerships that can be combined with HUD's
grant funds to achieve the program's purpose.
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 project
activities. 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:
Federal, state, and local governments
Public Housing Agencies
Local or national nonprofit organizations
Financial institutions and/or private businesses
Foundations
Faith-based and other community-based organizations.
To address this factor, an applicant must provide an outline in the
application and have the original commitment letters, memoranda of
[[Page 11494]]
understanding and/or agreements that show the extent and firm
commitment of all proposed leveraged resources (including any
commitment of resources from the applicant's own institution) that
address the following information for each leveraged resource/fund on
file at the time of application submission:
(1) The name of the organization and the executive officer
authorizing the funds/goods and/or services (only applicable to the
narrative section);
(2) The cash amount contributed or dollar value of the in-kind
goods and/or services committed (If a dollar amount and its use is not
shown, the value of the contribution will not be scored for award);
(3) A specific description of how each contribution is to be used
toward the proposed activities;
(4) A description of the current and/or past working relationship
that the institution has with the organization contributing the
resources and the involvement they will have with this proposed
project.
(5) The date the contribution will be made available and a
statement that describes the duration of the contribution;
(6) Any terms or conditions affecting the commitment, other than
receipt of a HUD Grant; and
(7) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services. (Only applicable to
the written documentation) Please remember that only items eligible for
funding under this program can be counted.
Do not submit commitment letters, memoranda of understanding and/or
agreements at the time of application submission but have the originals
on file at the time of submission. IF THIS INFORMATION IS INCLUDED, IT
WILL NOT BE CONSIDERED DURING THE REVIEW PROCESS. Applicants chosen to
proceed to the next step in the selection process for award will be
required to submit the signed commitment letters, memoranda of
understanding and/or agreements outlined in the application, within
seven (7) calendar days after initial contact from the Office of
University Partnerships (OUP). Letters, memoranda of understanding, or
agreements must be submitted on the provider's letterhead and should be
addressed to Sherone Ivey, Associate Deputy Assistant Secretary for
University Partnerships. 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.
OUP will provide specific instructions on how these documents must be
submitted when contact is made with the applicant. HUD will only
request and consider the resources/organizations that are listed in the
outline submitted in the application. If OUP does not receive those
documents with the required information and within the allotted
timeframe, an applicant will not receive points under this factor.
In scoring this factor, HUD will award:
Nine (9) points to an applicant that provides properly
documented leveraging resources as listed in their application that are
15 percent or more of the amount requested under this program;
Seven (7) to eight (8) points to applicants that provide
documentation that includes at least five of the seven required items
outlined above and that represents 10 to 14 percent of the amount
requested under this program;
Five (5) to six (6) points to applicants that provide
documentation that includes at least four of the seven required items
outlined above and that represents 10 to 14 percent of the amount
requested under this program;
Three (3) to four (4) points to applicants that provide
documentation that includes at least five of the seven required items
outlined above and that represents 5 to 9 percent of the amount
requested under this program;
One (1) to two (2) points to applicants that provide
documentation that includes at least three of the seven required items
outlined above and that represents 5 to 9 percent of the amount
requested under this program; and
Zero (0) points to applicants that provide documentation
of leveraging resources as listed above that are less than 5 percent of
the amount requested.
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 by using the Logic Model. 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.
The information must be placed on a HUD-96010, Program Logic Model
form. HUD has developed a new approach to completing this form. Please
carefully read the General Section for instructions, training is
available. (Form HUD-96010 will be excluded from the page count.) If an
applicant utilizes ``other'' from the Logic Model categories, then the
applicant should describe briefly this ``other'' category within the
Rating Factor 5 narrative. If a narrative is provided, those pages will
be included in the page count.
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
[[Page 11495]]
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 to
obtain certain expertise.
3. Ranking
HUD will fund applications in rank order, until all available
program funds are awarded. In order to be considered for funding, an
applicant must receive a minimum score of 75 points out of a possible
100 points for Factors 1 through 5, plus 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 shall be selected. If there is still a tie, the application
with the most points for Factor 1 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
See the General Section.
C. Anticipated Announcement and Award Dates
Announcements of awards are anticipated on or before September 30,
2007.
VI. Award Administration Information
A. Award Notices
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
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 to: Sherone Ivey, Office of University Partnerships, Department
of Housing and Urban Development; 451 Seventh Street, SW., Room 8106;
Washington, DC 20410-6000. Applicants may also write to Ms. Ivey 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: 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 Section 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.
For FY2007, HUD is considering a new concept for the Logic Model.
The new concept is a Return on Investment (ROI) statement. HUD will be
publishing a separate notice on the ROI concept.
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 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 2528-0206. 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.
Appendix A--Application Checklist--AN/NHIAC
This checklist identifies application submission requirements.
Applicants are requested to use this checklist when preparing an
application to ensure submission of all required elements. Applicants
submitting an electronic application do not have to submit the
checklist. Applicants that receive a waiver of the electronic
application submission requirement should include a copy of the
checklist in their application.
Check off to ensure these items have been included in the
application:
[[Page 11496]]
----SF-424 ``Application for Federal Assistance''
----Application Checklist (Applicants that submit paper applications
must include the checklist in their applications)
----Abstract (must include no more than a two-page summary of the
proposed project)
Indicate the page number where each of the ----Factors is located:
----Narrative Statement Addressing the Rating Factors. The narrative
section of an application must not exceed 50 pages in length (excluding
forms, budget narrative and abstract). This information 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
sides of the documents) and printed in standard Times New-Roman 12-
point font. [Applicants that submit applications via Grants.gov should
review the General Section for information about file names and
extensions.
File names should not contain spaces or special characters.
----Factor I
----Factor II
----Factor III
----Factor IV
----Factor V
---- HUD-96010 ``Logic Model''
Check off to ensure these items have been included in the
application:
----Appendix. The appendix section of an application must not exceed 15
pages in length (excluding forms, budget narrative and assurances).
----Budget
----HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed
Budget Form'' on Grants.gov)
----Budget Narrative (No form provided, but must be submitted for the
total three-year grant period)
Appendix B (All Required Forms)
The following forms are required for submission. All required forms
are contained in the electronic application package.
----Application for Federal Assistance (SF-424)
----Supplement, Survey on Ensuring Equal Opportunities for Applicants
(SF-424 Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on
Grants.gov)
----Disclosure of Lobbying Activities (SF-LLL)
----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300)
(``HUD Communities Initiative Form'' on Grants.gov), if applicable
----Applicant/Recipient Disclosure Update Report (HUD-2880) (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov)
----Acknowledgement of Applicant Receipt (Only applicants who submit
paper applications (HUD-2993)
----You Are Our Client Grant Applicant Survey (HUD-2994-A)
----Third Party Documentation Facsimile Transmittal (HUD-96011)
(``Facsimile Transmittal Form'' on Grants.gov), if applicable
----Logic Model (HUD-96010)
[[Page 11497]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.009
[[Page 11498]]
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: FR-5100-N-11; OMB Approval Number:
2528-0215.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA
Number for this program is 14.519.
F. Dates: The application deadline date is May 23, 2007.
Applications must be received and validated by Grants.gov by 11:59:59
p.m. eastern time on the deadline date. 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. To assist Tribal Colleges and
Universities (TCU) to build, expand, renovate, and equip their own
facilities, and to expand the role of the TCUs into the community
through the provision of needed services such as health programs, job
training, and economic development activities.
2. Award Information: In Fiscal Year (FY) 2007, approximately $2.5
million has been made available for this program by the Revised
Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; approved
February 15, 2007), and approximately $217,190 in carryover funds has
been made available. An applicant can request up to $600,000 for a
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). Applicants must be a two- or four-year, fully accredited
institution 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. 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 DUNS number,
administrative structure and budget, and meets the definition of a TCU
outlined above.
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, and to expand the role of the TCUs into the community
through the provision of needed services such as health programs, job
training, and economic development activities.
A. Authority
HUD's authority for making funding available under this NOFA is the
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5;
approved February 15, 2007). 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) 2006
program-funding announcement.
1. Commitment letters, memoranda of understanding and/or agreements
are not required to be submitted with the application, but the
originals must be on file at the time of application submission. HUD
will require applicants chosen to proceed to the next step in the
selection process to submit the signed commitment letters, memoranda of
understanding and/or agreements outlined in the application, within
seven (7) calendar days after initial contact from the Office of
University Partnerships (OUP). OUP will provide specific instructions
on how these documents must be submitted at that time. HUD will only
request and consider the resources/organizations outlined in the
application. If OUP does not receive those documents with the required
information and within the allotted timeframe, an applicant will not
receive points under this factor.
2. The appendix section of an application must not exceed 15 pages
in length (excluding forms, budget narrative and assurances). An
applicant SHOULD NOT submit resumes, commitment letters, memoranda of
understanding and/or agreements, or other back-up material. Each page
must include the applicant's name and should be numbered. HUD will not
consider the information on any excess page.
3. Applicants must budget for travel costs to attend at least one
HUD sponsored TCUP conference/workshop every year of the three-year
grant performance period.
II. Award Information
In Fiscal Year (FY) 2007, approximately $2.5 million is made
available by the Revised Continuing Appropriations Resolution, 2007
(Pub. L. 110-5; approved February 15, 2007) with approximately $217,190
in additional carryover funds. An applicant can request up to $600,000
for a 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). Applicants must
be two- or four-year, fully 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. 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
DUNS number, administrative structure and budget, and meets the
definition of a TCU outlined above.
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). In addition, public services and program delivery
activities for the community such as health programs, job training and
economic development are eligible activities. 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;
[[Page 11499]]
d. Equipping university facilities (e.g., lab equipment, library
books, furniture, etc.);
e. Property acquisition;
f. Health screening;
g. Homeownership counseling/training;
h. Technical assistance to establish, expand or stabilize micro-
enterprises;
i. Crime, alcohol and/or drug-abuse prevention activities;
j. Youth leadership development programs/activities;
k. Tutoring/mentoring programs;
l. Child care/development programs;
m. Cultural activities/programs; and
n. 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, etc.). 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
Community Development Block Grant (CDBG) Program national objectives as
described in Rating Factor 3 in Section V.A.3 of this NOFA.
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. Individuals with hearing or
speech impairments may access this number via the toll-free Federal
Information Relay Service at 800-877-8339.
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. 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.
b. The applicant may request up to $600,000.
c. An applicant must have a separate DUNS number to receive HUD
grant funds (See General Section). Only one application can be
submitted per campus. If multiple applications are submitted, all will
be disqualified. However, different campuses of the same university
system are eligible to apply as long as they have a separate DUNS
number and an administrative and budgeting structure independent of the
other campuses in the system.
d. Institutions that received grants in FY2006 are not eligible to
apply under this NOFA.
e. Applicants must receive a minimum score of 75 points to be
considered for funding.
f. Electronic applications must be received and validated by
Grants.gov no later than 11:59:59 p.m. eastern time on the application
deadline date.
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 are for a three-year (36 months) grant
performance period.
b. While community-wide 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. 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,
Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C.
794) and implementing regulation at 24 CFR Part 8, 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.
d. 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.
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 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-05-07 entitled, ``Field Environmental
Review Processing for Rural Housing and Economic Development (RHED)
grants'' issued August 30, 2005. 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/environment/index.cfm.
f. 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 recipients that
cannot demonstrate control of a suitable site within one year after the
initial notification of award.
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 1968 (12 U.S.C. 1701u) apply to this NOFA. One of
the purposes of the assistance is to give, to the greatest extent
feasible, and consistent with existing federal, state, and local laws
and regulations, job training,
[[Page 11500]]
employment, contracting and other economic opportunities to Section 3
residents and Section 3 business concerns. 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./applicants/apply--
for--grants.jsp. 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. See the General Section for
information regarding the registration process or ask for registration
information from the Grants.gov Support Desk.
B. Content and Form of Application Submission
1. Forms. The following forms are required for submission. Copies
of these forms are available on line at http://www.grants.gov/applicants/apply--for--grants.jsp.
a. SF-424, Application for Federal Assistance.
b. SF-424 Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
c. HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed
Budget Form'' on Grants.gov);
d. SF-LLL, Disclosure of Lobbying Activities, if applicable;
e. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if
applicable;
f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
g. HUD-2993, Acknowledgement of Applicant Receipt. Complete this
form only if you have received a waiver to the electronic application
submission requirement. Applicants submitting electronically are not
required to include this form;
h. HUD-2994-A, You Are Our Client Survey (Optional);
i. HUD-96010, Program Logic Model;
j. HUD-2990, Certification of Consistency with RC/EZ/EC-II
Strategic Plan, if applicable;
k. HUD-96011, Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used
as the cover page to transmit third party documents and other
information. 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.
Please do not use your own fax cover sheet. HUD will not read any faxes
that are sent without the HUD-96011 fax transmittal cover page; and
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 requested from HUD (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 person will
receive all correspondence from HUD; 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 December
1, 2007; and
(7) The signature of the Authorized Organization Representative
(AOR) who, by virtue of submitting an application via Grants.gov, has
been authenticated by the credential provider to submit applications on
behalf of the Institution and approved by the eBusiness Point of
Contact to submit an application via Grants.gov. The AOR must be able
to make a legally binding agreement with HUD.
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 should not submit the
checklist in their application. Applicants receiving a waiver of the
electronic application submission requirement should include a copy of
the checklist in their application submission. The checklist is located
in Appendix 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 each proposed project activity, where it
will take place (be located), the target population that will be
assisted, and the impact this project is expected to 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 e-mail address (This is the person who will
receive all correspondence from HUD; therefore, please ensure the
accuracy of the information);
(4) The project director, 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, yet
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. 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 50
pages in length (excluding forms, budget narrative, assurances, and
[[Page 11501]]
abstract) 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 and left to right side of the document) and printed in standard
Times New Roman 12-point font. Each page of the narrative must include
the institution's name and should be numbered. 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. All applicants submitting electronic
applications must attach their narrative responses to Rating Factors 1-
5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR
SEPARATELY. Please follow the instructions on file extension and file
names in the General Section.
e. Budget. The budget submission must include the following:
(1) HUD-424-CB, ``HUD Detailed Budget.'' This 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 budget for travel
cost (airfare, lodging and per diem) for two individuals to attend at
least one HUD sponsored TCUP conference/workshop every year of the
three-year grant performance period. To calculate travel expenses,
applicants should use Washington, DC as the site of all conference/
workshop. Applicants must also submit this form to reflect the total
cost for the entire grant performance period (Grand Total).
Make sure that the amounts shown on the SF-424, HUD-424-CB, and all
other required program forms are consistent and the budget totals are
correct. Remember to check the addition in totaling the categories on
all forms so that all items are included in the total. If there is any
inconsistency between any of the required budget 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. 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 (please make sure they are kept on file and are
available for review by HUD at any time). All direct labor or salaries
must be supported with mandated city/state pay scales, Davis-Bacon wage
rates/tribally designated wage rate (as appropriate) or other
documentation. 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 use cost
estimates 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 or contractor) 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. Construction costs must be broken
down to indicate how funds will be utilized (e.g., demolition,
foundation, exterior walls, roofing, electrical work, plumbing,
finishing work, etc.).
(3) Indirect costs. Indirect costs, if applicable, are allowable
based on an established approved indirect cost rate. Applicants must
have on file, and submit to HUD if selected for award, a copy of their
indirect cost rate agreement. Applicants who are selected for funding
that do not have an approved indirect cost rate agreement, established
by the cognizant federal agency, 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 required forms in this section. The appendix section of
an application must not exceed 15 pages in length (excluding forms,
budget narrative and assurances). An applicant SHOULD NOT submit
resumes, commitment letters, memoranda of understanding and/or
agreements, or other back-up materials. If this information is
included, it will not be considered during the review process. Each
page must include the applicant's name and should be numbered. HUD will
not consider the information on any excess pages. The additional items
will also slow the transmission of your application.
C. Submission Dates and Times
A complete application package must be received and validated
electronically by the Grants.gov portal no later than 11:59:59 p.m.
eastern time on or before the application deadline date. In an effort
to address any issues with transmission of your application, applicants
are strongly encouraged to submit their applications at least 48 to 72
hours prior to the application deadline. This will allow an applicant
enough time to make the necessary adjustments to meet the submission
deadline in the event Grants.gov rejects the application. Please see
the General Section for further instructions. Electronic faxes using
the Facsimile Transmittal Cover Sheet (Form HUD-96011) contained in the
electronic application must be received no later than 11:59:59 p.m.
eastern time on the application deadline date.
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 run primarily by an outside entity;
4. Planning and administrative activities that would result in an
applicant exceeding the 20 percent cost limitations (e.g., preparation/
submission of HUD reports); and
5. Curriculum development and/or expansion on an institution's
existing curriculum.
[[Page 11502]]
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. Applicants should
submit their waiver requests in writing using e-mail or fax. Waiver
requests must be submitted no later than 15 days prior to the
application deadline date and should be submitted to:
Susan Brunson, Office of University Partnerships. E-mail: [email protected]. FAX: (202) 708-0309.
Paper applications will not be accepted from applicants that have
not been granted a waiver. If an applicant is granted a waiver, the
Office of University Partnerships will provide instructions for
submission. All applicants submitting applications in paper format must
have received a waiver to the electronic application submission
requirement and the application must be received by HUD on or before
the application deadline date.
V. Application Review Information
A. Criteria
1. Rating Factor 1: Capacity of the Applicant and Relevant
Experience (25 points). This factor addresses the extent to which the
applicant has the resources necessary to successfully implement the
proposed activities in a timely manner.
a. Knowledge and Experience. For First Time Applicants (25 points),
For Previously Funded Applicants (15 points). In rating this subfactor,
HUD will consider the extent to which the applicant clearly addresses
the following:
(1) Describe the knowledge and experience of the proposed project
director and staff, including the day-to-day program manager/
coordinator, consultants (including technical assistance providers),
and contractors in planning and managing the type of project for which
funding is being requested; and
(2) 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.
If key personnel have not been hired, applicants must identify the
position title, provide a description of duties and responsibilities,
and describe the qualifications to be considered in the selection of
personnel, including subcontractors and consultants.
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 how well an applicant has
performed successfully under HUD/TCUP grants. Applicants must
demonstrate this by addressing the following information for all
previously completed and open HUD/TCUP grants:
(1) A list of all HUD/TCUP grants received, including the dollar
amount awarded and the amount expended and obligated as of the date of
this application;
(2) A description of the achievement of specific tasks, measurable
objectives, and specific outcomes consistent with the approved project
management plan;
(3) A list detailing the date the project(s) was completed, was it
completed in the original three-year grant performance period; if not
completed, why (including when it was or will be completed);
(4) A comparison of the amount of proposed leveraged funds and/or
resources to the amount that was actually leveraged; and
(5) A detailed description of compliance with all reporting
requirements, including timeliness of submission, whether reports were
complete and addressed all information (both narrative and financial)
as required by the grant agreement.
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. 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).
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. In addressing this
factor, applicants should provide, at a minimum, the following and must
cite statistics and/or analyses contained in at least one or more
current data sources that are sound and reliable.
(1) Describe the need(s); and
(2) Describe the importance of meeting the proposed needs.
In rating this factor, HUD will consider only current data that is
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, local/Tribal crime statistics, Indian Housing
Plans, etc. When presenting data, include the source and date of the
information.
3. Rating Factor 3: Soundness of Approach (44 points). This factor
addresses the quality and effectiveness of the proposed work plan and
the commitment of the institution to sustain the proposed project
activities.
a. (40 Points) Quality of Work Plan. HUD will evaluate this
subfactor based on the extent to which an applicant provides a clear
detailed description of the proposed project activities, anticipated
accomplishments and the impact they will have on the target population
at the end of the project.
(1) (35 points) Specific Activities. The work plan must describe
all proposed project activities and major tasks required to
successfully implement them. The work plan must also identify the
anticipated accomplishments and impact these activities will have on
the targeted population. In addressing this subfactor, applicants must
provide a clear description of each proposed project activity and
address the following:
(a) Describe each proposed project activity in measurable terms
(e.g., fifty or more students will be receiving computer literacy
training, the number of new classes that will be taught as a result of
building a new structure);
(b) Identify the major tasks in sequential order necessary to
successfully implement and complete each proposed project activity.
Include the target completion dates for the tasks (6 month intervals,
up to 36 months);
(c) List and describe how each activity meets one of the following
Community Development Block Grant (CDBG) Program national objectives:
Benefit low- and moderate-income persons;
Aid in the prevention or elimination of slums or blight;
or
Meet other community development needs having a particular
[[Page 11503]]
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;
(d) Describe the measurable objectives/outcomes that will be
realized as a result of implementing the proposed project; and
(e) Identify the key staff, as described in Factor 1, who will be
responsible for completing each task.
(2) (5 points) Describe clearly how each proposed project activity
will:
(a) Address the needs identified in Factor 2; and
(b) Relate to and not duplicate other activities in the target
area.
b. (2 points) Involvement of the Faculty and Students. The
applicant must describe how it proposes to integrate the institution's
students and faculty into the proposed project activities.
c. (2 points) HUD Policy Priorities. As described in the General
Section, to earn points under this subfactor, HUD requires applicants
to undertake specific activities that will assist the Department in
implementing its policy priorities and that help the Department achieve
its goals and objectives in FY 2008, when the majority of grant
recipients will be reporting programmatic results and achievement. In
addressing this subfactor, 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 is addressed. Applicants that just list a priority will
receive no points.
The total number of points an applicant can receive under this
subfactor is two . Each policy priority addressed has a point value of
one point, with the exception of the policy priority related to removal
of regulatory barriers to affordable housing, which has a value of up
to two points. To receive these two (2) points, an applicant must: (1)
Complete either Part A or Part B (not both), (2) include appropriate
documentation, (3) identify a point of contact, (4) indicate how this
priority will be addressed, and (5) submit the completed questionnaire,
(HUD-27300) ``HUD's Initiative on Removal of Regulatory Barriers''
found in the General Section along with required documentation. It is
up to the applicant to determine which of the policy priorities they
elect to address to receive the available two (2) points.
4. Rating Factor 4: Leveraging Resources (9 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.
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 proposed
project. Resources can 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 can be counted. Examples of potential
sources for outside assistance include:
Tribal, federal, state, and local governments
Tribally Designated Housing Entities
Local or national nonprofit organizations
Banks and/or private businesses
Foundations
Faith-based and other community-based organizations.
To address this factor, an applicant must provide an outline in the
application and have the original written commitment letters, memoranda
of understanding and/or agreements that show the extent and firm
commitment of all proposed leveraged resources (including any
commitment of resources from the applicant's own institution) that
address the following information for each leveraged resource/fund on
file at the time of application submission:
(1) The name of the organization and the executive officer
authorizing the funds/goods and/or services (Only applicable to the
narrative section)
(2) The cash amount contributed or dollar value of the in-kind
goods and/or services committed (If a dollar amount and its use is not
shown, the value of the contribution will not be scored for award);
(3) A specific description of how each contribution is to be used
toward the proposed activities;
(4) A description of the current and/or past working relationship
that the institution has with the organization contributing the
resources and the involvement it will have with this proposed project.
(5) The date the contribution will be made available and a
statement that describes the duration of the contribution;
(6) Any terms or conditions affecting the commitment, other than
receipt of a HUD Grant; and
(7) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services. (Only applicable to
the written documentation) Please remember that only items eligible for
funding under this program can be counted.
DO NOT submit commitment letters, memoranda of understanding and/or
agreements are not required at the time of application submission but
have the originals on file at the time of submission. IF THIS
INFORMATION IS INCLUDED, IT WILL NOT BE CONSIDERED DURING THE REVIEW
PROCESS. Applicants chosen to proceed to the next step in the selection
process will be required to submit the signed commitment letters,
memoranda of understanding and/or agreements outlined in the
application, within seven (7) calendar days after initial contact from
the Office of University Partnerships (OUP). OUP will provide specific
instructions on how these documents must be submitted at that time.
Letters, memoranda of understanding, or agreements must be submitted on
the provider's letterhead and should be addressed to Sherone Ivey,
Associate Deputy Assistant Secretary for University Partnerships. 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. OUP will provide specific
instructions on how these documents must be submitted when contact is
made with the applicant. HUD will only request and consider the
resources/organizations outlined in the application. If OUP does not
receive those documents with the required information and within the
allotted timeframe, an applicant will not receive points under this
factor.
In scoring this factor, HUD will award:
Nine (9) points to an applicant that provides properly
documented leveraging resources as listed in their application that are
10 percent or more of the amount requested under this program;
Seven (7) to eight (8) points to applicants that provide
documentation that includes at least five of the seven required items
outlined above and that represents 7 to 9 percent of the amount
requested under this program;
[[Page 11504]]
Five (5) to six (6) points to applicants that provide
documentation that includes at least four of the seven required items
outlined above and that represents 7 to 9 percent of the amount
requested under this program;
Three (3) to four (4) points to applicants that provide
documentation that includes at least five of the seven required items
outlined above and that represents 4 to 6 percent of the amount
requested under this program;
One (1) to two (2) points to applicants that provide
documentation that includes at least three of the required seven items
outlined above and that represents 4 to 6 percent of the amount
requested under this program; and
Zero (0) points to applicants that provide document
leveraging resources as listed above that are less than 4 percent of
the amount requested.
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 by using the Logic Model. 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 objectives to be achieved;
b. Measurable outcomes the grant will have on the university or the
target population;
This information must be included under this section on a HUD-
96010, Program Logic Model form. HUD has developed a new approach to
completing this form. Please carefully read the General Section for
instructions, training is available. (Form HUD-96010 will be excluded
from the page count.) If an applicant utilizes ``other'' from the Logic
Model categories, then the applicant should describe briefly this
``other'' category within the Rating Factor 5 narrative. If a narrative
is provided, those pages will be included in the page count.
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 to obtain certain expertise.
3. Ranking. HUD will fund applications in rank order, until all
available program funds are awarded. In order to be considered for
funding, an applicant must receive a minimum score of 75 points out of
a possible 100 points; plus 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
shall be selected. If there is still a tie, the application with the
most points for Factor 1shall 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 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 next highest-ranking
application. If an applicant turns down the 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. Corrections to Deficient Applications. See the General Section.
C. Anticipated Announcement and Award Dates.
Announcements of awards are anticipated on or before September 30,
2007.
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
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 to: Sherone Ivey, Office of University Partnerships, Department
of Housing and Urban Development, 451 Seventh Street, SW, Room 8106;
Washington, DC 20410-6000. Applicants may also write to Ms. Ivey 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 discussion
of OMB circulars and governmentwide regulations.
4. Code of Conduct. See the General Section for further discussion.
5. Procurement of Recovered Materials. See the General Section for
further discussion.
6. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Toward
[[Page 11505]]
Government Contractors' Labor Relations on 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.
For FY2007, HUD is considering a new concept for the Logic Model.
The new concept is a Return on Investment (ROI) statement. HUD will be
publishing a separate notice on the ROI concept.
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 e-
mail at [email protected], and Ms. Brunson at [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.
Appendix A--Application Checklist--TCUP
This checklist identifies application submission requirements.
Applicants are requested to use this checklist when preparing an
application to ensure submission of all required elements. Applicants
submitting an electronic application do not have to submit the
checklist. Applicants that receive a waiver of the electronic
application submission requirement should include a copy of the
checklist in their application.
Check off to ensure these items have been included in the
application:
----SF-424 ``Application For Federal Assistance''
----Application Checklist (Applicants that submit paper applications
must include the checklist in their applications)
----Abstract (must include no more than a two-page summary of the
proposed project)
Indicate the page number where each of the Factors is located:
Narrative Statement Addressing the Rating Factors. The narrative
section of an application must not exceed 50 pages in length (excluding
forms, budget narrative and abstract). This information 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, and left and right
sides of the documents) and printed in standard Times New-Roman 12-
point font. Applicants that submit applications via Grants.gov should
review the General Section for information about file names and
extensions. File names should not contain spaces or special characters.
----Factor-I
----Factor-II
----Factor-III
----Factor-IV
----Factor-V
----HUD-96010 Logic Model
Check off to ensure these items have been included in the
application:
----Appendix. The appendix section of an application must not exceed 15
pages in length (excluding forms, budget narrative and assurances).
----Budget
----HUD 424-CB ``Grant Application Detailed Budget'' (``HUD Detailed
Budget Form'' on Grants.gov).
----Budget Narrative (No form provided, but must be submitted for the
total three-year grant period.
Appendix B--All Required Forms
The following forms are required for submission. All required forms
are contained in the electronic application package.
----Application for Federal Assistance (SF-424);
----Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement); (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov).
----Disclosure of Lobbying Activities (SF-LLL); if applicable
----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300)
(``HUD Communities Initiative Form'' on Grants.gov), if applicable;
----Applicant/Recipient Disclosure Update Report (HUD-2880) (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
----Certification of Consistency with RC/EZ/EC-II Strategic Plan (HUD-
2990), if applicable;
----Acknowledgement of Applicant Receipt (Only applicants who submit
paper applications (HUD-2993);
----Client Comments and Suggestions (HUD-2994);
----You Are Our Client Survey (HUD-2994-A); and
----Logic Model (HUD-96010).
----Third Party Documentation Facsimile Transmittal (HUD-96011)
(``Facsimile Transmittal Form'' on Grants.gov) required as the cover
page to third party documents transmitted by facsimile to HUD.
[[Page 11506]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.010
[[Page 11507]]
Fair Housing Initiatives Program
Overview Information
A. Federal Agency Name: 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 2529-
0033. The Federal Register number for this NOFA is FR-5100-N-24.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): Private
Enforcement Initiative (PEI); Education and Outreach Initiative (EOI)
14.408.
F. Dates: The application deadline date shall be on or before May
3, 2007. Applications must be received and validated by Grants.gov no
later than 11:59:59 pm on the application deadline date. Please see the
General Section of the SuperNOFA (the General Section) for information
on electronic deadline and timeliness requirements.
G. Optional, Additional Overview Content Information:
1. Funding Breakdown. This year there are two initiatives, Private
Enforcement and Education and Outreach Initiatives. The following is a
breakdown of each Initiative:
a. Private Enforcement Initiative (PEI)
(1) General Component, and
(2) Performance Based Funding Component
b. Education and Outreach Initiative (EOI)
(1) Regional/Local/Community-Based
(a) General Component
(b) Clinical Law School Component. This Component is being
established to train and develop legal practitioners in the fair
housing arena. Applicants are Minority Serving Institution agencies (as
determined by the Department of Education's Web site) with an
accredited American Bar Association law school and is geared to the
development and implementation of a legal curriculum as it relates to
fair housing.
(2) National-Based Media Campaign Component.
2. Electronic Applications. For FY2007, FHIP electronic
applications will be available on http://www.Grants.gov//Fand_grant_opportunities.jsp and http://www.grants.gov//Apply_for_grants.jsp.
For further instructions on electronic application submission
requirements using Grants.gov, please read the General Section.
3. Fair Housing Initiatives Program (FHIP) Funding. 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 $18.1 million in FY 2007 funds and any potential
recapture is allocated to two (2) initiatives as follows:
a. Private Enforcement Initiative (PEI) $14 million;
b. Education and Outreach Initiative (EOI) $4.1 million.
4. Award Agreements. 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.
5. Eligible Applicants. 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).
6. Private Enforcement Initiative--Performance-Based Funding
Component. Applicants awarded funding under the PEI-(PBFC) for FY 2007
will not be eligible to submit applications for additional FHIP funding
for FY2008 and FY 2009. Applicants awarded funding under this component
will be eligible to apply for additional PEI funding in FY2010.
Applicants awarded PBFC funding in FY 2005 and 2006 are not eligible to
submit applications for additional PEI funding for a three-year period.
Should the grantee's performance for FY2007 be assessed by your HUD
Government Technical Representative (GTR) as anything less than an
``Excellent'' then the grantee will be ineligible to receive PBFC
funding in the second year (FY2008). The same applies if the grantee
receives less than an ``Excellent'' performance assessment in FY2008
then they will be ineligible to receive PBFC funding in the third year
(FY2009), but may apply for FHIP funds under another component as
appropriate.
7. Start Date. For planning purposes, assume a start date no later
than October 19, 2007.
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. The
implementing regulations are found at 24 CFR Part 125. If you are
interested in applying for funding under the 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), and the FHIP
Regulations (24 CFR 125.103-501).
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.
2. Education and Outreach Initiative (EOI). This Initiative assists
organizations 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) and the EOI--National-
Based Program in which activities are conducted on a nationwide basis.
Applicants who apply under EOI R/L/C-B may apply under one or more
of the following Components, as follows: EOI General Component and the
EOI Clinical Law School Component. Applicants who apply under EOI-
National-Based Program may apply under the Media Campaign Component.
All applications submitted under EOI are required to describe a
referral process that will result in referrals of fair housing
complaints to HUD or Fair Housing Assistance Program (FHAP)
substantially equivalent agencies. If funded, you will be required to
develop your complaint referral process.
[[Page 11508]]
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 address more than one type
of housing transaction covered under the Act. Examples of covered
housing transactions include the: rental, sales, or financing of
housing. (See also Full Service Projects below).
b. Complainant means the person, including the Assistant Secretary
for 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 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 the project application: interviewing potential
victims of discrimination; 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 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 or substantially 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. Mortgages with unacceptable terms or conditions or resulting
from unacceptable practices means a mortgage or a group or category of
mortgages with one or more of the terms and conditions as specified
under 24 CFR Part 81.2.
m. Operating budget means an 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) and (d).
p. Rural Areas 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) 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 and who
are:
(1) of an immigrant population (especially racial and ethnic
minorities who are not English-speaking or limited English proficient);
(2) in rural populations,
(3) the homeless,
(4) persons with disabilities (i.e., physical) 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, or
(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 2007, $20 million is appropriated for the Fair
Housing Initiatives Program (FHIP). This appropriated amount may be
supplemented by recaptured funds. Of this amount, approximately $18.1
million is being made available on a competitive basis to eligible
organizations responding to this FHIP NOFA. See the chart in Section
III.A. for a breakdown by Initiative/Component.
A. 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. 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
[[Page 11509]]
Justice, or other enforcement authorities.
If funds are 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. HUD will conduct this performance assessment, in part, by
using the Logic Model (HUD-96010) 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.
B. Project Starting Period. For planning purposes, assume a start
date no later than October 19, 2007.
III. Eligibility Information
A. Eligible Applicants and Activities
The following chart details each FHIP Initiative/Component and the
approximate Funding Available along with Eligible Applicants and
Activities:
----------------------------------------------------------------------------------------------------------------
Allocation Applicant
Initiative/component amount Applicant Project period Award caps eligible
available eligibility activities
----------------------------------------------------------------------------------------------------------------
Private Enforcement $1,000,000 Fair Housing 12-18 months.... $275,000........ Eligible
Initiative (PEI) General Enforcement activities
Component: Assists private, Organizations include: (1)
tax-exempt fair housing (FHOs) with at Complaint
enforcement organizations in least one year intake of
the investigation and of experience allegations of
enforcement of alleged in complaint housing
violations of the Fair intake, discrimination
Housing Act and complaint , testing
substantially equivalent investigation, evaluating
State and local fair housing testing for testing
laws. fair housing results, or
violations, providing
and other
meritorious investigative
claims in the and complaint
two years support for
prior to the administrative
filing of the and judicial
application enforcement of
(24 CFR fair housing
125.401(b)(2) laws: (2)
and Qualified Investigation
Fair Housing of individual
Enforcement complaints and
Organizations systemic
(QFHOs) with housing
at least two discrimination
years of for further
enforcement enforcement
related processing by
experience as HUD through
noted above, testing and
and other
meritorious investigative
claims in the methods; (3)
three years Mediation or
prior to other
filing this voluntary
application resolution of
(24 CFR allegations of
125.103). fair housing
discrimination
after a
complaint has
been filed;
and (4)
litigating
fair housing
cases
including
procuring
expert
witnesses.
Private Enforcement $13,000,000 QFHOs and FHOs 36 months....... $275,000 per See PEI above.
Initiative (PEI) Performance (with at least year for a
Based Funding Component one year of three-year
Assists private, tax-exempt enforcement duration, based
fair housing enforcement related upon
organizations in the experience) appropriations.
investigation and who have Eligible PBFC
enforcement of alleged received applicants must
violations of the Fair excellent receive a
Housing Act and performance minimum score
substantially equivalent reviews for of 95 from the
State and local fair housing FHIP PEI FY '07
laws. awards made in Technical
any two FY's Evaluation
(FY pertains Panel (TEP) to
to the year be considered
for which the for funding.
funding was
appropriated)
beginning with
FY 2003
through FY
2005; and have
received a
minimum score
of 95 on the
most recent of
the 2
performance
reviews from
their
Government
Technical
Representative.
[[Page 11510]]
EOI General Component Open to $2,600,000 QFHOs, FHOs, 12-18 months.... 100,000......... For a list of
applicants for all other public or Eligible
fair housing education and private for Activities See
outreach activities. In profit or not EOI above.
addition to all other for profit
education and outreach organizations
activities, applicants may or
also address the fair institutions,
housing needs of persons or other
with disabilities, the public or
education of consumers about private
fair housing, financial entities that
literacy, credit management, carry out
and how to avoid high cost programs to
loans and abusive lending prevent or
practices that violate the eliminate
Fair Housing Act. discriminatory
housing
practices.
This includes
agencies of
State or local
governments
and agencies
that
participate in
the Fair
Housing
Assistance
Program
(FHAP). See
FHIP NOFA-
Eligibility
Information.
EOI--Clinical Law School $500,000 Same as EOI 12-18 months.... 500,000......... See above.
Component Applications are above. In
solicited for this component addition,
to organize and operate a applicant
fair housing legal-clinical must: (1) Be
education program that will recognized by
benefit the public by the American
producing well-trained Bar
clinicians and lawyers who Association as
are capable of educating and having an
informing the public on fair accredited law
housing rights and school; (2) Be
obligations. legally
authorized by
the State in
which it is
located to
provide a
bachelor's
degree program
and a law
degree
program; and
(3) Be
designated by
the Secretary
of the U.S.
Department of
Education as a
Minority
Serving
Institution
College or
University.
EOI--National-Based Program-- 1,000,000 Same as EOI 12 months....... $1,000,000...... See above.
Media Campaign Component. above. In
Applicants who submit addition,
applications under the EOI applicants
National-Based Media must have five
Campaign must provide a years of
centralized coordination experience as
effort for the development, an
implementation, and advertisement/
distribution of a fair media
housing media campaign organization,
designed for the 40th and must
Anniversary of the signing include in its
of the Fair Housing Act as proposal a
part of FY2008's Fair subcontract
Housing Month Activities. with an
established
fair housing
organization.
----------------------------------------------------------------------------------------------------------------
Eligibility of Successor Organizations for PEI. 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.
B. Cost Sharing or Matching. No matching funds are required for the
Education and Outreach or Private Enforcement Initiatives.
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,
FHIP program applications 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 Initiative 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 deadline 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). HUD will assess performance
ratings for applicants who have received FHIP funding in FY 2003
through FY 2005. If the applicant has received a ``poor'' performance
rating for its most
[[Page 11511]]
recent performance rating from its GTR, its application is ineligible
for the FY 2007 competition. An applicant that does not agree with its
determination of ineligibility for the FY 2007 competition because of
``poor'' performance must address to HUD's satisfaction the factors
resulting in the ``poor'' performance rating before the FHIP
application deadline date. If the ``poor'' performance rating is not
resolved to the Department's satisfaction before the application
deadline date, the application is ineligible for the FY 2007 FHIP NOFA
competition. 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 2004 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 the abstract.
e. Suits Against the United States. An application is ineligible
for funding if, as a current or past recipient of FHIP funds, the
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. An application is ineligible for funding if
the organization 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. 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 for information regarding the
DUNS requirement. You will need a DUNS number to complete your
electronic application as it is a mandatory field on the electronic
application. The Grants.gov registration also requires use of the DUNS
number.
i. Majority of Eligible Activities. Greater than 50 percent of the
activities and costs within the Statement of Work (SOW) and budget are
fair housing related activities.
j. Fair Housing Assistance Program (FHAP). FHAP 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.
k. Minimum Technical Evaluation Panel (TEP) Score. Applicants must
receive a minimum TEP score of 75 to be considered for funding.
l. Application Preference. Applicants may submit multiple
applications to the FHIP. For those applicants who submit multiple
applications the following applies: EOI applicants may receive an EOI
General, and a EOI Clinical Law School Component, or EOI National-Based
Program Media Campaign Component award.
m. Independence of Awards. The application submitted must be
independent and capable of being implemented without reliance on the
selection of other applications.
n. Training funds. The proposed budget must set aside funds to
participate in HUD mandatory sponsored or approved training in the
amount of $7,000 for EOI and PEI components; and $7,000 annually for a
36-month duration for PBFC.
Do not include amounts over the $7,000 (as appropriate) for the
training set-aside in this category. If applicants do not include these
funds in the budget and are selected for an award, HUD will modify the
budget, reallocating the appropriate amount for training.
o. 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).
p. 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.
q. Research Activities. Applicants are ineligible for funding if
between 90-100% of their project is aimed at research.
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 within a fiscal year
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 84
and 85.
u. Reimbursement Requirement. All PEI grantees are required to
reimburse the Federal government for the amount of the grant from all
settlements, conciliations, and agreements obtained as a result of the
use of FHIP funds. As an alternative to returning these funds to HUD,
grantees may choose to use the funds as program income to further fair
housing activities. However, the use of funds for this purpose must be
pre-approved in writing by the Government Technical Representative
assigned to the grant.
v. Clinical Law School Component. To qualify as an applicant under
this Component, an institution must:
(1) Be recognized by the American Bar Association as having an
accredited law school;
(2) Be legally authorized by the State in which it is located to
provide a bachelor's degree program and a law degree program;
(3) Be designated by the Secretary of the U.S. Department of
Education as a Minority Serving Institution College or University, and
(4) Have a high enrollment of needy students defined by 34 C.F.R
607.3. Applicants must submit documentation from the U.S. Department of
Education establishing eligibility (except for item (1) above).
w. National Based Program--Media Campaign Component Applications.
Applicants who submit applications under the Media Campaign Component
must have as their primary responsibility advertisement and media and
have at least five years of experience as an advertisement/media or
public relations organization. In addition, applicants must include as
part of its proposal a subcontract with an established fair housing
organization. Applicants that fail to meet this requirement or include
such subcontract arrangements in their proposals will be ineligible for
funding.
2. Other Program Requirements by Initiative. Under the PBFC,
applicants must receive a minimum FY 2007 TEP score of 95 to be
considered for funding.
3. Performance Measures and Products. For all Initiatives and
Components. Applicants must submit a Logic Model (Form HUD 96010),
which provides outputs and outcomes in their application. Applicants
are also to identify the tools they will use to
[[Page 11512]]
identify program progress against their proposed outputs and outcomes.
See reporting requirements for reporting using the Logic Model and the
frequency of the reporting. The form is located in the Instruction
Download at http://www.grants.gov/applicants/apply---- for--grants.jsp
for the FHIP program. An example of a completed Logic Model is included
within this NOFA. The eLogic Model form is a Microsoft Excel
TM form, which provides a drop down list from which you
select the responses that best fit your proposed program of activities/
outputs and outcomes. The form, in HTML fillable format and a text
Logic Model Master file, is available on the Web site at http://www.grants.gov/applicants/apply--for--grants.jsp for applicants that do
not have access to Microsoft ExcelTM. Training will be
provided by satellite broadcast and webcast. The training materials and
schedule will be available at the above HUD Web site. Applicants should
check the site for dates and times for HUD training on the Logic Model.
For FY2007, HUD is considering a new concept for the Logic Model. The
new concept is a Return on Investment (ROI) statement. HUD will be
publishing a separate notice on the Return on Investment (ROI) concept.
4. Testing Requirements for PEI applicants. All applicants that
propose testing must review the FHIP Regulation at 24 CFR Part 125.
a. Review and Approval of Testing Methodology. If your application
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 2005 and FY
2006, 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, or you have not had your testing methodology previously
approved by HUD, you must submit information in your application.
b. Retainer Fees. FHIP recipients are under specific restrictions
regarding establishment of retainer agreements and recovery of legal
fees from HUD funded cases. Data on fees settlements and verdicts are
public record and must be provided to HUD on an annual basis. Either
the grantee or the individual(s) on whose behalf any action is filed
cannot waive these provisions. For additional information on these
provisions, please see http://www.hud.gov/offices/fheo/library/index.cfm.
IV. Application and Submission Information
A. Requesting an Application Package
This section describes how you may obtain application forms and
additional information about the FHIP program. Copies of the published
General Section, FHIP NOFA and application forms may be downloaded from
the Grants.gov Web site at http://www.grants.gov 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 e-mail to [email protected]. 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 access the Information Center by
calling the Federal Information Relay Service at (800) 877-8339.
B. Content and Form of Application Submission
All applicants must read and adhere to Initiative-specific
information. Applicants are encouraged to review the chart titled
``Summary of Initiatives/Components.'' To submit documents using the
facsimile method, see the General Section for specific procedures
governing facsimile submission.
1. 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 other
than factor five or omitting requested information will result in less
than the maximum points available for the given rating factor or sub-
factor. 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).
2. The chart below gives a brief description of all items to be
included within the application:
------------------------------------------------------------------------
Complete application package Required form or
contains Required content format
------------------------------------------------------------------------
Application for Federal (per required form). Form SF-424.
Assistance.
Survey for Ensuring Equal (per required form). SF-424 Supplement
Opportunity for Applicants. (``Faith Based EEO
Survey (SF-424
SUPP)'' on
Grants.gov).
Budget information.......... (per required form). Form SF-424CB and SF-
424CBW) (``HUD
Detailed Budget
Form and
Worksheet'' on
Grants.gov).
Disclosure of Lobbying (per required form). SF-LLL, if
Activities. applicable.
Applicant-Recipient (per required form). HUD-2880 (``HUD
Disclosure Update Report. Applicant Recipient
Disclosure Report''
on Grants.gov).
Certification of Consistency (per required form). HUD-2990.
with RC/EZ/EC-IIs Strategic
Plan.
Acknowledgement of applicant (per required form). HUD-2993.
receipt (required only if
you are granted waiver to
the electronic application
requirement).
You are our client grant (per required form). HUD-2994-A).
application survey
(optional).
Program Outcome Logic Model. (per required form). HUD-96010.
Third Party Documentation (per required form). HUD-96010
Facsimile Transmittal. (``Facsimile
Transmittal Form''
on Grants.gov).
Facsimile Transmittal Form.. (per required form). HUD-96011.
Race and Ethnic Data (per required form). HUD-27061.
Reporting Form.
[[Page 11513]]
America's Affordable (per required form). HUD-27300 (``HUD
Communities Initiative. Communities
Initiative Form''
on Grants.gov).
Narrative................... Described in Section Format described in
IV.B. of this Section IV.B of
announcement. this announcement.
Letters from third parties Third parties' No specific form or
contributing to cost affirmations of format.
sharing. amounts of their
commitments.
Addendum to Abstract-- Written No specific form or
Correction of Poor documentation that format.
Performance (as performance issues
appropriate). and concerns have
been cured.
Project Abstract............ Short summary of No specific form or
project activities, format.
areas of
concentration and
persons to be
served. Preference
for funding.
------------------------------------------------------------------------
C. Submission Dates and Times. Applications must be received and
validated by http://www.grants.gov/applicants/apply--for--grants.jsp no
later than 11:59:59 p.m. eastern time on the application deadline date
of May 3, 2007, to be considered timely filed. Validation may take up
to 72 hours to complete. Grants.gov will reject applications that do
not meet the deadline requirement. See the General Section for further
details.
D. Intergovernmental Review. Intergovernmental Review is not
applicable to this program.
E. Funding Restrictions
1. PEI Limitations for Education & Outreach--There is a 10% 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 if awarded, funds will be adjusted
to maintain the required limitation.
2. Administrative Costs. Eligible administrative costs include
leases for office space, 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.
F. Other Submission Requirements. Electronic delivery via http://www.grants.gov/applicants/apply--for--grants.jsp is HUD's required
method for application submission. Applicants interested in applying
for FHIP funding must submit their applications electronically or
request a waiver from the Assistant Secretary of FHEO. The request must
state the basis for the waiver request. HUD's regulation on waivers,
found in 24 CFR part 5, states that waivers can be granted for cause.
Applicants must submit their waiver requests, in writing at least 15
days prior to the application deadline, to Ms. Kim Kendrick, Assistant
Secretary for Fair Housing and Equal Opportunity, 451 7th Street, SW.,
Room 5100, Washington, DC 20410. A copy of all waiver requests must
simultaneously be submitted to Myron P. Newry, Director, FHEO-FHIP
Support Division, (same address as above), Room 5226, or by e-mail to
[email protected]. If granted a waiver, the notification will
provide instructions on where to submit the application and how many
copies are required. HUD will not accept a paper application without a
waiver being granted. If you receive a waiver of the electronic
application submission requirement, your application must be received
by HUD no later than 11:59:59 p.m. on the application deadline date.
V. Application Review Information
A. Criteria for Regional/Local 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. 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 complete a summary of staff expertise that will
show sufficient, qualified staff who will be available to complete the
proposed activities. This summary should include: Names of staff
person(s), time each will spend on project, years of fair housing/civil
rights experience for each person, titles of staff persons, and a brief
paragraph on each staff member which outlines his or her experience. Do
not include resumes or other documents. Those that submit resumes or
other lengthy documents on staff experience will have points deducted
from their application based on exceeding the ten-page submission
requirement.
To receive maximum points, your day-to-day program manager must
devote a minimum of 75% of his/her time to the project. This individual
must be stationed in the metropolitan area where the project will be
carried out. This information must be included in the response to this
factor. 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%. You may not
designate more than one person to fit this 75% criterion. 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 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).
If you are applying for the EOI-Clinical Law School Component, you
must:
(1) Show that you will have sufficient, qualified staff or faculty
who will be available to
(2) Have experience in recruitment of law students (submit a
projection of the number of students expected to participate in and
complete the program), marketing (submit a plan to promote the fair
housing curriculum and clinical law program), and fair housing.
[[Page 11514]]
(3) Implement the curriculum design at a MSI (Minority Serving
Institution) with an ABA-accredited law school.
(a) You must also identify all of the administrators of the
clinical program and describe their function, qualifications, and
experience;
(b) Identify persons who will constitute the faculty for the
program and describe their functions, qualifications, and experience;
and
(c) Identify and describe the functions and qualifications of any
other program staff.
(4) You must describe the knowledge and experience of the proposed
overall Faculty Administrator and 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 a fair housing legal-
clinical program. Indicate the percentage of time that key personnel
will devote to your project.
b. Organizational experience. (10) Points for current FHIP
grantees; (15) Points for new applicants. In responding to this sub-
factor, you, the applicant, 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. You must provide a listing of all
affiliate and/or subsidiary organizations, and identify which of these
organizations will assist you in the development and/or implementation
of any portion of your proposed FY2007 FHIP funded project. If you do
not have any affiliates or subsidiaries, you should state this in your
application.
(3) If you are an existing FHIP grantee, you must provide details
about the progress and outcomes of your previous grant.
(a) 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.
(b) If you are applying for funding under PEI, you must provide the
following information when responding to this sub-factor:
(i) If you propose to conduct testing (other than rental or
accessibility testing), provide a brief narrative that documents that
you have conducted successful testing in those areas.
(ii) Discuss your compliance with the requirement to either
reimburse the Federal government for compensation received from FHIP-
funded enforcement activities or use the compensation as program income
to further fair housing activities. If you have not reimbursed the
Federal government or used the funds as program income to further fair
housing activities, explain why you have not. Also, state whether you
reported to HUD any likely compensation that may result in such
reimbursement or use for furthering fair housing. Two (2) points will
be deducted for this sub-factor if you have not complied with the
requirement.
(c) If you are submitting an application under the EOI--Clinical
Law School Component, you are responsible for the development of a
comprehensive concept and design of an Action Plan for the Clinical Law
School. The Action Plan must include a design concept and academic
structural approach that will be used in assessing your capacity to
develop and operate a Fair Housing Legal-Clinical Program.
In order to assess your capacity to design and implement a fair
housing course curriculum, please provide documented information that
your organization has conducted a past clinical project or projects
similar in scope and complexity to the clinical project being proposed.
You must describe the knowledge and experience of the proposed overall
faculty and staff and indicate whether this staff has had prior
knowledge and experience in establishing and implementing a clinical
law project similar to the one being proposed. Further, you must show
that faculty and staff have expertise in implementing a newly designed
clinical curriculum at a MSI with an ABA-accredited law school.
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) for the past two (2) complete
fiscal years (FY 2004 through FY2005).
This information will be provided to the Technical Evaluation Panel
(TEP) by HUD staff. 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 documented fair housing
problems in 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. Applicants should document and use any
relevant information from HUD's Housing Discrimination Study 2000
(HDS2000) to respond to this factor.
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 and experience
within the area;
(b) Populations that will be served--your project may focus on a
specific population and/or protected class; however, you must state
that your project will 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 other organizations provide the services
identified in your application;
(c) Other sources that support the need and urgency for this
project. (Do not include these sources within your application.) Please
provide Web site information where these sources may be found.
Applicants that provide detailed studies, including detailed
consolidated plans for their referenced project area will have points
deducted from this factor based upon the ten-page
[[Page 11515]]
submission requirement. 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. Provide the Web site where these reports may be found
for reference. 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 site at http://www.hud.gov./offices/adm/grants/
fundsavail.cfm.
For all applicants: You must use sound data sources to identify the
level of need and the urgency in meeting the need and provide Web site
addresses for each data source (ex. 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, the outcomes to be accomplished, and
the community or communities' 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. For example, if
you propose to test in areas impacted by Hurricane Katrina in the
states of Louisiana, Mississippi, Alabama or Texas you should document
the number of displaced persons relocated to those areas and the impact
of the numbers of displaced persons upon existing fair housing
services. 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 area was proposed.
(3) 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, grass-roots faith-based and
other community-based organizations and other 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.
b. In addition, with respect to Documentation of Need, the
following apply to specific FHIP Initiatives or Components:
EOI-Clinical Law School Component. Your project must show that you
have data, statistics, and community support to establish a clinical
law project or projects similar in scope and complexity to the clinical
project proposed in this NOFA.
3. Rating Factor 3: Soundness of Approach (35 Points)
You must describe your project in detail and how it will support
the goals and policy priorities outlined in the General Section. For
each goal and policy priority that your project addresses, you must
propose performance measures/outcomes in support of these goals, and
establish numerical baselines and targets for those measures. Attach a
Statement of Work (SOW) and budget.
a. Support of Policy Priorities (8 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 2007. Describe
how your proposed project will further and support HUD's policy
priorities for FY 2007. The quality of the responses provided and the
extent to which a program will further and support 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. It is
up to the applicant to determine which of the policy priorities to
address to receive the available 8 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 by
grassroots faith-based and other community-based organizations, 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. To secure the possible 2 points for efforts to
remove regulatory barriers to affordable housing, an applicant must
submit the completed questionnaire (HUD 27300), and provide the
required documentation and contact information. 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. For the full list of each policy priority, please
refer to the General Section.
b. Proposed Statement of Work (SOW) and Information Requirements
(17 Points). The SOW and budget are attachments that will not count
toward the ten (10)-page limit on the narrative response to this
factor. However, points will be assigned based on the relevance of
proposed activities to needs stated in Factor 2, the attention given to
implementation steps, the consistency of proposed activities with
organizational expertise and capacity, and the accuracy of the SOW and
budget.
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 numbers on the projected clients to be served. Do not
provide ranges or percentages, but a specific number of clients. These
numbers should represent individuals to be served entirely with HUD
FHIP funding. For the EOI General Component, HUD anticipates that
products will be available in at least seven languages, including
English. The languages will include French, Korean, Laotian,
Vietnamese, Chinese, Arabic, and Spanish. Deliverables may include
brochures, Public Service Announcements (PSAs) for radio in both
majority and minority markets and posters and other graphic materials.
Graphic materials may include but are not limited to enlarged
reproductions of existing HUD printed PSAs and HUD materials. Provide
information on media markets coverage with specific protected class
focus, as well as those with Limited English Proficiency and a method
for distribution of the finished product.
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
[[Page 11516]]
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, and includes a brief discussion of 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 out-stationed personnel, contracts and sub-grantees, and
other direct costs, which may include relocation expenses, and
telecommunications expenses and make a final determination of cost
effectiveness based on the above listed items. Also, indicate how the
proposed project is:
(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. If you are awarded a grant or
cooperative agreement under FHIP, staff will request that you include
your approved indirect cost rate as part of your negotiations with HUD.
If you do not have a Federally approved indirect cost rate and HUD is
the cognizant agency, HUD will submit a request within 30 days after
award to establish a rate. For information on indirect cost rates, you
can review HUD's training on http://www.hud.gov./offices/adm/grants/
fundsavail.cfm.
(6) Financial Management Capacity. Describe your organization's
financial management system and your Board's contribution to the
organization. In addition, discuss your capabilities in handling
financial resources, dissemination payments to subcontractors, and
maintaining adequate accounting and internal control procedures.
(7) Grant Application Detailed Budget Worksheet (HUD-424-CBW). The
HUD-424-CBW 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. 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 not count
toward the ten 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 received at application
submission, in the form of firm commitments, or planned collaborative
efforts you have with Fair Housing Assistance Program agencies.
a. Firm Commitment of Leveraging or Collaboration. HUD requires you
to secure resources from sources other than what is requested under
this FHIP NOFA. Leveraging of 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. Funds from an applicant's
previously established investment account(s) may qualify as in-kind
resources; however, documentation must be provided. 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 planning to work with you. In order to
secure points you must establish leveraging of resources by identifying
sources of contributors who have already provided to you letters of
firm commitment from the organizations and/or individuals who will
support your project. Collaboration will consist of activities you have
or plan to have with Fair Housing Assistance Program agencies. You must
provide a letter of firm commitment from that organization and/or
individual, on their letterhead, stating their intent to work with you
on your project. For PEI-PB applicants only, each letter must state the
total dollar amount of in-kind funds and/or resources to be donated to
the fair housing project, and specify the amount to be used each of the
three years of this project. For all applicants, each letter of firm
commitment must:
(1) Identify the organization and/or individual committing
resources to the project and state the timeline for use of these funds
in relation to the project. Further, the letter must 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 dated and 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 General Section 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.
[[Page 11517]]
Five points will be awarded if at least 31% of the project's total
costs are from non-FHIP resources.
Five points will be awarded if your application contains a firm
letter of commitment from a Fair Housing Assistance Program agency
stating their firm commitment to work with you on your project. Should
the letter lack any of the required information listed in (1) through
(3) above, `no' points will be awarded under this factor.
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 the results of the work of your
organization as set out in your budget. Applicants must select from the
list of activities and outcomes detailed in the Logic Model for the
Initiative applied for and should determine from these selections,
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
methods for assessing those against commitments made in the
application, will receive higher points than those that do not. To meet
this Factor requirement, you must submit HUD's Logic Model (HUD-96010).
Instructions and a Microsoft ExcelTM form are provided
in the forms appended to the Instruction Download on http://www.grants.gov/applicants/apply--for--grants.jsp. Applicants that do
not have access to Microsoft ExcelTM may obtain a copy of
the form in HTML fillable format along with a text format of the Master
Logic Model listing, from HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
A narrative response is not required for this factor as all
applicants must use the Logic Model Form to respond to this factor.
Applicants that submit narrative responses rather than use the Logic
Model Form will receive no points under this subfactor. 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 review the activities/outputs and outcomes units of
measurement you selected and in relation to the 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 activities
and outputs for PEI and EOI applicants can be found at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Applicants must select
one or more activities from the listing of ``Fair Housing Services
Provided'' that will be undertaken by your organization. Applicants who
do not select from the list ``Fair Housing Services Provided'' or those
who do not add additional services to the list will not receive any
points under this factor.
(3) Outcome. The Logic Model has a prepared list of activities,
outcomes and indicators associated with Fair Housing. Applicants must
choose from this list of ``Year 1, Year 2, or Year 3'' outcomes that
are provided as part of the FHIP NOFA or applicants may choose others
and provide a brief statement to describe other activities or outcomes.
Applicants who do not select from the list ``Outcomes and Indicators''
or do not select others with a brief description will not receive any
points under this factor. You should assess progress and track
performance in meeting the goals and objectives outlined in the work
plan.
Accountability can be achieved using specific measurement tools to
assess the impact of your activities. Examples include:
Intake Instrument;
Pre/Post Tests;
Customer/Client Satisfaction Survey;
Follow-up Survey;
Observational Survey;
Functioning scale; or
Self-sufficiency scale.
Applicants must also reference policy priorities, as stated in your
response to Factor 3, and relate them to your project's goals, as
appropriate.
B. Criteria for National Based Program Applications
Factors for Award Used to Evaluate and Rate Applications for the
National Education and Outreach Initiative Program. The factors for
rating and ranking applicants and the maximum points for each factor,
are provided below. The maximum number of points awarded any
application is 100. Bonus points are not available for this category of
funding.
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, and the applicant's ability to
develop and implement large information campaign projects as
appropriate, on a national scale. The rating of the ``applicant'' or
the ``applicant's organization and staff'' for technical merit or
threshold compliance, unless otherwise specified, will include any
subcontractors, consultants, and sub-recipients that are firmly
committed to the project.
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.
(5) Points current FHIP grantees
(10) Points for new applicants
a. Number and expertise of staff (this includes subcontractors and
consultants). 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):
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 national 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. For day-to-day managers who do not have at
least 75% (based on full-time) 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
[[Page 11518]]
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 demonstrate capacity by
thoroughly describing your prior experience in conducting national and/
or regional/local media campaigns. You should indicate how this prior
experience will be used in carrying out your proposed activities. Your
application must clearly identify those persons that are on staff at
the time this application is filed, 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) to
perform project tasks; 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).
If the applicant has experienced staff or if the applicant proposes
to use a contractor sub-grantee, the extent to which the applicant
provides a rationale for how it will utilize its staff or a contractor
or sub-grantee to incorporate its proposed activities, methods, and how
these media techniques will most effectively deal with the national
need described by the applicant in response to the need described in
Rating Factor 2. To the extent possible, applicants should demonstrate
effectiveness in terms of scope and cost.
(10) Points for current FHIP grantees
(15) Points for new applicants
b. Organizational experience. In responding to this subfactor, you
must show that your organization has the ability to effectively
develop, implement, and manage a media campaign on a national scale.
(Applicants must be an established media/advertisement organization and
include as part of their proposal a subcontract with an established
fair housing organization.) Applicants for FHIP program funding must
specifically describe their experience in developing or carrying out
programs to prevent or eliminate discriminatory housing practices.
Applicants must discuss their ability to implement a coordinated
national marketing awareness campaign, especially in the areas of fair
housing, discrimination, public health, and housing. In responding to
this subfactor, the applicant must describe the extent to which its
past activities have resulted in successful national media campaigns as
appropriate, especially with respect to developing and implementing
innovative strategies resulting in positive public response. 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
3 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.
(10) Points for current FHIP grantees
(0) Points for new applicants
c. Performance on past project(s). 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) for the past two (2) complete
fiscal years (FY 2004 and FY 2005).
This information will be provided to the Technical Evaluation Panel
(TEP) by HUD staff. 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/Approach to the Problem (10 Points)
This factor addresses the extent to which the applicant documents
and defines the national need that its proposed activities and methods
are intended to address, and how its proposal offers the most effective
approach for dealing with that national need. In responding to this
factor, an applicant will be evaluated on the extent to which the
applicant defines, describes, and documents the national need the
application intends to address, which demonstrates a grasp of the
elements of the problem, its pervasiveness at the national level, and
an understanding of the necessary mass media vehicles. The applicant's
description of the national need will be used to evaluate the depth of
the applicant's understanding of the problem as an indication of
ability to address the problem.
3. Rating Factor 3: Soundness of Approach (45 Points)
This factor addresses the quality and cost-effectiveness of the
applicant's proposed Statement of Work (SOW). You must describe your
project in detail, and how it will support the goals and policy
priorities outlined in the General Section. For each goal and policy
priority that your project addresses, you must propose performance
measures/outcomes in support of these goals, and establish numerical
baselines and targets for those measures. The SOW must address the
strategy, quality and time frames needed to carry out the project and
all activities as proposed.
a. (8 Points) Support of HUD Goals. 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 2007. Describe how your proposed
project will further and support HUD's policy priorities for FY 2007.
The quality of the responses provided and the extent to which a program
will further and support 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 if applicable, must discuss the national need
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, promoting participation by grassroots
faith-based and other community-based organizations, 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. It is up to the applicant to determine which of the policy
priorities to address to receive the available 8 points. To secure the
possible 2 points for efforts to remove regulatory barriers to
affordable housing, an applicant must submit the completed
questionnaire (HUD 27300), and provide the required documentation and
contact information. 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. For
[[Page 11519]]
the full list of each policy priority, please refer to the General
Section.
b. (22 Points) 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 also
include a schedule of proposed activities and products (with interim
implementation steps), staff allocation over the term of the project,
staff acquisitions and training, and activities of partners and
subcontractors. However, points will be assigned based on the relevance
of proposed activities to national needs stated in Factor 2, the
attention given to implementation steps, the consistency of proposed
activities with organizational expertise and capacity, and the accuracy
of the SOW and budget.
For this Component, HUD anticipates that products will be available
in at least 3 languages, including English. Deliverables may include
Public Service Announcements (PSAs) for radio and television in both
majority and minority markets, and posters and other graphic materials.
Graphic materials may include, but are not limited to, enlarged
reproductions of several print PSAs, separately produced and printed
posters for national public dissemination, and the development of ad
slicks to market in newspapers and magazines nationwide. The applicant
should plan on using a clipping service or other appropriate means to
collect information on frequency and scope of the placement of ads.
Applicant's SOW should:
(1) Clearly describe the specific activities and tasks to be
performed, the sequence in which the tasks are to be performed, noting
areas of work which must be performed simultaneously, estimated
completion dates, and the work and program deliverables to be completed
within the grant period, including specific numbers of quantifiable end
products and program improvements the applicant aims to deliver by the
end of the award agreement period as a result of the work performed;
(2) Provide national media market coverage, specific protected
class focus, as well as focus on the 40th Anniversary of the signing of
the Fair Housing Act, and
(3) Describe their methods for distribution of finished materials.
Applicants must describe the methods they will use to distribute and
gauge the effectiveness of their national marketing strategies. In
addition, applicant must be prepared to present the Media Campaign in
time for beginning of Fair Housing Month activities in April of 2008.
c. (15 Points) Budget Form and Budget Information. A written budget
narrative must accompany the proposed budget. 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, and includes a brief discussion of the extent
to which your proposed program is cost effective in achieving the
anticipated results of the proposed activities in the targeted area.
Also, indicate how the proposed project is quantifiable based on the
needs identified in Rating Factor 2. Also indicate whether your
proposed project is justifiable for all cost categories in accordance
with the cost categories indicated in the HUD-424 CB. If you are
awarded a grant or cooperative agreement under FHIP, staff will request
that you include your approved indirect cost rate as part of your
negotiations with HUD. If you do not have a Federally approved indirect
cost rate and HUD is the cognizant agency, HUD will submit a request
within 30 days after award to establish a rate. For information on
indirect cost rates, you can review HUD's training on http://www.hud.gov./offices/adm/grants/fundsavail.cfm.
(4) In addition, the proposed activities will be conducted in a
manner (e.g., languages, formats, locations, distribution, use of
majority and minority media) that will reach and benefit all members of
the public, especially members of target groups identified in Factor 2;
(5) How proposed activities will yield long-term results and
innovative strategies or ``best practices'' that can be readily
disseminated to other organizations and State and local governments;
and
(6) The proposed Media Campaign Component will make available
activities, training and meeting sites, and information services and
materials in places and formats that are accessible to all persons
including persons with disabilities.
4. Rating Factor 4: Leveraging Resources (5 Points Maximum)
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 received at application
submission, in the form of firm commitments, or planned collaborative
efforts you have with Fair Housing Assistance Program agencies.
a. Firm Commitment of Leveraging or Collaboration. HUD requires you
to secure resources from sources other than what is requested under
this FHIP NOFA. Leveraging of 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. These 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. Applicants may also
leverage resources from their organization's previously established
savings and/or investment accounts; however, evidence of these
resources must be provided. If leveraging community resources, in order
to secure points you must establish leveraging of resources by
identifying sources of contributors who have already provided to you
letters of firm commitment from the organizations and/or individuals
who will support your project. Leveraging through collaboration will
require that you provide a list of activities you have or plan to have
with Fair Housing Assistance Program (FHAP) agencies nationwide.
Whether leveraging community or through collaboration, you must
provide a letter of firm commitment from that agency, organization and/
or individual on their letterhead stating their intent to work with you
on your project. Each letter of firm commitment must:
(1) Identify the agency, organization and/or individual committing
resources to the project, the timeframes and timelines for use of the
funds, state that the funds will be used for fair housing to support
the applicant should they be awarded, 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
[[Page 11520]]
(3) Describe how these resources will be used under your SOW. The
letter must be dated and signed by the agency, individual and/or
organization official legally able to make commitments for the
organization. It must also be provided on the letterhead of the agency,
organization and/or individual. 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 the agency or
organizations, including elected officials on the local, State, or
national levels, and/or individuals in your community. See General
Section for instructions on how third party documents are to be
submitted to HUD via the electronic submission process. If your project
will not be supported by non-FHIP resources, then you will not receive
any points under this factor. Points under the factor will be assigned
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.
Five points will be awarded if your application contains a firm
letter of commitment from a Fair Housing Assistance Program agency
stating their firm commitment to work with you on your project. Should
the letter lack any of the required information listed in (1) through
(3) above, `no' points will be awarded under this factor.
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 the results of the work of your
organization as set out in your budget and Statement of Work.
Applicants must select from the list of activities and outcomes
detailed in the Logic Model and should determine from these selections,
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
methods for assessing those measurements against commitments made in
the application, will receive higher points than those that do not. To
meet this Factor requirement, you must submit a completed HUD's Logic
Model (HUD-96010).
Instructions and a Microsoft ExcelTM form are provided
in the forms appended to the Instruction Download on www.Grants.gov/APPLY. Applicants that do not have access to Microsoft
ExcelTM may obtain a copy of the form in HTML fillable
format along with a text format of the Master Logic Model listing, from
HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
A narrative response is not required for this factor as all
applicants must use the Logic Model Form to respond to this Factor.
Applicants that submit narrative responses rather than use the Logic
Model Form will receive no points under this subfactor. 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 review the activities/outputs and outcomes units of
measurement you selected and in relation to the 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 activities
and outputs for EOI applicants can be found at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Applicants must select one or more
activities from the listing of ``Fair Housing Services Provided'' that
will be undertaken by your organization. Applicants who do not select
from the list ``Fair Housing Services Provided'' or who do not add
additional services to the list will not receive any points under this
Factor.
(3) Outcome. The Logic Model has a prepared list of activities,
outcomes and indicators associated with Fair Housing. Applicants must
choose from this list of ``Year 1, Year 2, or Year 3'' outcomes that
are provided as part of the FHIP NOFA or applicants may choose others
and provide a brief statement to describe other activities or outcomes.
Applicants who do not select from the list ``Outcomes and Indicators''
or do not select ``Other'' with a brief description will not receive
any points under this Factor. You should assess progress and track
performance in meeting the goals and objectives outlined in the work
plan.
Accountability can be achieved using specific measurement tools to
assess the impact of your activities. Examples include:
Intake Instrument;
Pre/Post Tests;
Customer/Client Satisfaction Survey;
Follow-up Survey;
Observational Survey;
Functioning scale; or
Self-sufficiency scale.
Applicants must also reference policy priorities, as stated in your
response to Factor 3, and relate them to your project's goals, as
appropriate.
C. 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 (PBFC);
b. Education and Outreach Initiative (EOI)--
(1) Regional/Local/Community Based Program
(a) General Component (EOI-GC);
(b) Clinical Law School Component (EOI-CLS)
(2) National Based Program
(a) Media Campaign Component
c. For all initiatives, all eligible applications will be reviewed
and points awarded based upon:
(1) Narrative responses to the Factors for Award and accompanying
materials, and
(2) RC/EC/EZ-IIs 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 the General Section for
information on Bonus Points.
Only applications with a score of seventy-five (75) points or more
will be considered of sufficient quality for
[[Page 11521]]
funding. Generally, applications of sufficient quality for funding will
be selected in rank order under each Initiative or Component.
PBFC applicants will be evaluated competitively against other PBFC
applicants who apply and have received two years of excellent
performance reviews for FHIP PEI awards made in any two consecutive
years from FY 2003 through FY 2005, as well as scoring a 95 on their
most current performance review. 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 or above 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 will be ranked higher. If applications still have the same
score, the following factors will be selected sequentially until one
applicant can be determined: higher score under Rating Factor 1, the
higher score under Rating Factor 2, the lower amount of FHIP funding
requested.
3. Achieving Geographic Diversity of Awards.
a. PEI and EOI: HUD reserves the right to apply 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
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. For the Clinical Law Program Component, and
the Media Campaign 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 the application, withhold funds after
approval, reallocate funds among activities and/or require that special
conditions be added to the grant agreement, in accordance with 24 CFR
84.14, the requirements of the General Section, or where:
a. HUD determines 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;
b. For PEI, 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 EOI.
D. Anticipated Announcement and Award Dates. For planning purposes,
anticipate an announcement date of September 23, 2007 and an award date
of September 29, 2007.
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 during the period of HUD evaluation, which begins on
the application deadline 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. HUD will communicate only with persons specifically
identified in the application on the SF-424. 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. 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.). The Grant Officer and
Government Technical Representative will determine on a case-by-case
basis if technical assistance or special conditions are required.
Performance Based Funding Component-Applicants selected for funding
under the PBFC will be required to submit a SOW and a separate budget
for each year 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/Support Division, 451
Seventh 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.
[[Page 11522]]
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 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 www.hud.gov 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. Quarterly and 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
------------------------------------ Tasks Submitted by Submitted to
Activities
----------------------------------------------------------------------------------------------------------------
1. Complete HUD-22081 Race and 45 Days.................... GTR/GTM...............
Ethnic Data Reporting Form.
2. Complete HUD-28807 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.
[[Page 11523]]
6. Prepare and Submit Draft of Submit Draft of Report. One month before end GTR/GTM.
Final Report, including HUD 96010. Report your eLogic Model of grant term.
Reporting your short- and
intermediate-term outputs
and outcomes as contained
in the eLogic Model
submitted and approved in
your grant agreement. Your
report and eLogic Model
should identify results
and benefits to date of
the work accomplished
under the FHIP award. In
addition, the eLogic Model
should include an
attachment that addresses
the management questions
applicable to your work
program. Complaint and
testing activities should
provide 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, including a final end of grant term.
Products Not Previously Submitted. Logic Model with all
outputs and outcomes
identified, and management
questions responded to.
Submit all Final Products
not previously submitted
to GTR and GTM.
8. Submit 2 copies of Final Report Submit detailed description Within 90 days after GTR/GTM.
and all final program products of items submitted to GTR end of grant term.
produced under the Grant (with and GTM.
diskette, where feasible) to HUD.
----------------------------------------------------------------------------------------------------------------
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, ext. 7095 or 7050, respectively (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 approval 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 approximate 105 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.
[[Page 11524]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.011
[[Page 11525]]
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: FR-5100-N-09; OMB Approval number
is: 2502-0261.
E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.169
Housing Counseling Assistance Program.
F. Dates: The application deadline date is May 17, 2007.
Applications submitted through http://www.grants.gov must be received
and validated by grants.gov no later than 11:59:59 p.m. eastern time on
the application deadline date. See Section IV of the General Section,
regarding application submission procedures and timely filing
requirements.
G. Available Funds: Approximately $41.08 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,
improve access to affordable housing and preserve homeownership.
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.
B. Grant Applicant Categories. HUD will award a single
comprehensive 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).
Supplemental funding is available to qualified intermediaries 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 Home Equity Conversion Mortgage (HECM) Program is authorized by
section 255 of the National Housing Act (12 U.S.C. 1715z-20).
D. Definitions.
1. Affiliate. An affiliate is a separately incorporated or
organized housing counseling agency connected with an intermediary or
SHFA for the purposes of its housing counseling program. 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.
2. Applicant. ``Applicant'' refers to 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.
3. Branch. ``Branch'' or ``Branch Office'' refers to an
organizational and subordinate unit of an LHCA or Intermediary 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 Branch Office cannot be an applicant, affiliate
or sub-grantee.
4. Grantee. ``Grantee'' refers to the HUD-approved housing
counseling agencies or SHFAs that receive housing counseling funds from
HUD through this NOFA. The term ``Grantee'' includes the agency's
branch or branch offices identified in its application.
5. HUD HECM Network Counselor. A ``HUD HECM Network Counselor'' is
a housing counselor that has passed the HECM exam administered by HUD
and/or its agent, and is approved by HUD to provide HECM counseling
nationally by telephone.
6. Intermediary. ``Intermediary'' refers to a HUD-approved national
or regional organization that provides housing counseling services
through its branches or affiliates.
7. Local Housing Counseling Agency (LHCA). ``LHCA'' refers to 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.
8. 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 fifty
states, Puerto Rico, the District of Columbia, Guam, the Commonwealth
of the Northern Mariana Islands, American Samoa, and the U.S. Virgin
Islands.
9. Sub-grantee. ``Sub-grantee'' refers to 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.
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.
II. Award Information
A. Amount Allocated. Of the approximately $41.5 million
appropriated for housing counseling in FY2007 under the Revised
Continuing Appropriations Resolution, 2007 (Pub. L. 110-5, approved
February 15, 2007), approximately $41.08 million is available for
eligible applicants under this NOFA. Approximately $38.08 million is
available for comprehensive counseling. Approximately $3.0 million is
available for HECM counseling.
B. Specific Allocations. Comprehensive counseling funding is
distributed over three applicant categories, as shown below.
[[Page 11526]]
------------------------------------------------------------------------
Total amount
Applicant categories Who is eligible available
------------------------------------------------------------------------
Category 1--LHCAs................. HUD-approved Local $14,748,800
Housing Counseling
Agencies.
Category 2--Intermediaries........ HUD-approved 21,054,720
National and
Regional
Intermediaries.
Category 3--SHFAs................. State Housing 2,276,480
Finance Agencies.
------------------------------------------------------------------------
1. Category 1--Local Housing Counseling Agencies (LHCAs). For the
grant period October 1, 2007 through September 30, 2008, approximately
$14,748,800 is available from HUD to directly fund HUD-approved LHCAs.
A LHCA can only request funding for its main office and branches
located in the same state as the main office and/or located in one
other contiguous state.
2. Category 2--Intermediaries. For the grant period October 1, 2007
through September 30, 2008, approximately $24,054,720 is available from
HUD to directly fund HUD-approved Intermediaries, including $21,054,720
for comprehensive counseling and $3.0 million for HECM counseling.
3. Category 3--State Housing Finance Agencies (SHFAs). For the
grant period October 1, 2007 through September 30, 2008, approximately
$2,276,480 is available to fund SHFAs that provide housing counseling
services directly or serve as intermediaries to Affiliates who offer
housing counseling services.
C. Individual Awards
1. Category 1. No individual LHCA may be awarded more than
$150,000. HUD anticipates that the average total award for LHCAs will
be approximately $36,000.
2. Category 2. Awards for individual HUD-approved intermediaries
may not exceed $5.5 million, which includes any HECM supplemental
funding. The limit for Comprehensive Counseling is $2.5 million and the
limit for HECM counseling is $3.0 million. HUD anticipates that the
average total award for Intermediaries will be $1.2 million.
3. Category 3. No individual SHFA may be awarded more than
$450,000. HUD anticipates that the average total award for SHFAs will
be approximately $135,000.
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.
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).
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 its Housing Counseling
grant 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
applicable activities outlined in this Section.
a. Individual counseling or group education/classes regarding the
following topics:
(1) Pre-Purchase/Homebuying. This includes: evaluating mortgagor
readiness; search assistance/mobility; fair housing, including whether
or not the beneficiary belongs to a protected class, and how to
recognize discrimination; 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; locating sources and methods to help pay for
accessibility modifications; how to purchase a home using the Section 8
Homeownership Voucher Program; and referrals to community services and
regulatory agencies. Applicants that provide homebuyer education must
also offer individual counseling that complements the group sessions.
(2) Resolving or Preventing Mortgage Delinquency or Default. This
includes: restructuring debt, obtaining re-certification for mortgage
subsidy, establishing reinstatement plans, seeking loan forbearance,
and managing household finances. This can also include helping clients
affected by predatory lending, homeownership preservation and
foreclosure prevention strategies, explaining the foreclosure process,
providing referrals to other sources, and assisting clients with
locating alternative housing, or pursuing loss mitigation strategies.
(3) Non-Delinquency Post-Purchase, Including Improving Mortgage
Terms and Home Improvement. This includes information and advice on
finding favorable mortgage loan terms, personal money management, and
relations with lenders. It also includes: 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. Agencies that provide post-purchase education classes must
also offer individual counseling to complement group sessions.
(4) Locating, Securing, or Maintaining Residence in Rental Housing.
This refers to 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.
(5) Shelter or Services for the Homeless. Includes referrals to
social, community, and homeless services such as emergency shelter or
transitional housing.
b. HECM Counseling. This includes providing the statutorily-
required counseling to individuals/families that may be eligible for,
or are interested in obtaining, an FHA-insured Home Equity Conversion
Mortgage (HECM). This counseling assists elderly homeowners who seek to
convert equity in their
[[Page 11527]]
homes into income that can be used to pay for home improvements,
medical costs, living expenses, or other expenses.
c. 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, including those
of racial, religious or national groups not normally served by the
sponsoring agency. 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. It may also require providing outreach and services
in alternative formats for persons with disabilities).
d. Training. Training to increase the capacity of housing
counselors and program managers.
e. Computer equipment/systems. Computer equipment/systems with the
objective of improving the quality of counseling and education services
available.
f. Administrative Costs. For intermediaries and SHFAs,
administrative costs associated with managing a network of housing
counseling agencies and providing technical assistance.
2. 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 subgrantees, must meet the Threshold
Requirements in the General Section.
b. Minimum grant request. Applications must contain a request for
comprehensive funds of not less than $20,000 from LHCAs, not less than
$50,000 from SHFAs and not less than $200,000 from Intermediaries.
Applications for lesser amounts will not be considered. Intermediaries
must request a minimum of $500,000 for HECM supplemental funding. HUD
will consider the amount of the comprehensive counseling grant being
requested to be the value entered into box 18a on form SF-424. For
intermediaries also requesting HECM supplemental funding, box 18a of
form SF-424 should reflect the total of the comprehensive request and
the HECM supplemental request. For these intermediaries requesting
both, the narrative response to Factor 3 must make clear the exact
comprehensive and supplemental amounts being requested.
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 Housing
Counseling Program NOFA. SHFAs are not required to be HUD-approved, but
must meet the eligibility requirements listed in this NOFA.
d. Applicants Requesting Supplemental HECM Funding. No separate
application is needed to apply for supplemental funding. However,
applicants requesting supplemental HECM funding must meet the following
requirements:
(1) Request the supplemental funding by identifying in box 18a of
form SF-424 the total of the comprehensive request and the HECM
supplemental request, and making clear in the narrative response to
Factor 3 the exact comprehensive and supplemental amounts being
requested;
(2) Identify HECM-related needs in the target community in its
response to Rating Factor 2;
(3) Respond to all HECM-related requests for information throughout
the NOFA;
(4) 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
(5) Indicate in the Rating Factors how many individuals will be
served specifically with the requested supplemental funding for HECM
counseling in addition to those served under the comprehensive
counseling award. Be sure to clearly identify the total number
projected to be served, the activities to be provided, and the output
and outcome goals to be achieved with the supplemental funding.
3. Other Program Requirements
a. To receive a grant or subgrant under this Housing Counseling
NOFA, all applicants and subgrantees (except SHFAs) must be:
(1) In good standing under the laws of the state of their
organization; and
(2) Authorized to do business in the states where they propose to
provide housing counseling services.
(3) 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.
b. 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 exceptions to this rule are: (a) HUD-approved LHCAs with one or
more HUD HECM Network Counselors may receive a sub-grant or be
reimbursed exclusively for HECM counseling activities from a HUD-
approved intermediary administering the HECM supplemental funds made
available through this NOFA or by another entity designated by HUD;
and/or (b) HUD-approved LHCAs may also receive a sub-grant or be
reimbursed for default counseling activities by a HUD-approved
intermediary that is dedicated to foreclosure prevention exclusively.
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 for HECM
counseling.
3. SHFAs. SHFAs may only apply for grants under Applicant Category
3 for comprehensive counseling funds.
c. 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.
(3) Sub-grantees 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) To be eligible for funding under Categories 2 or 3, proposed
sub-grantees or branches must not have directly applied for or received
a grant under Category 1 of this NOFA, or applied for or received a
sub-grant or funding from another intermediary or SHFA under Category 2
or 3 of this NOFA. Sub-
[[Page 11528]]
grantees or branches may apply for and receive funding from only one
intermediary or SHFA under Category 2 or 3, but not both. The only
exceptions to this rule are: (a) Sub-grantees or branches that have one
or more HUD HECM Network Counselors that receive a sub-grant or funding
from an intermediary or SHFA under Category 2 or 3 may also receive a
sub-grant or funding or be reimbursed exclusively for HECM counseling
activities, from a HUD-approved intermediary administering the HECM
supplemental funds made available through this NOFA or by another
entity designated by HUD; and/or (b) sub-grantees or branches may also
receive a sub-grant or be reimbursed for default counseling activities
by an intermediary that is dedicated to foreclosure prevention.
(5) 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.
d. List of HUD-approved Housing Counseling Agencies. Pursuant to
section 106 (c)(5)(D) 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 branches that receive funding under Applicant Categories 2 and 3 of
this NOFA may be placed on this list and must accept subsequent
referrals, or when they do not provide the services sought, make a
reasonable effort to refer the person to another organization in the
area that can 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 and not a condition of 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 www.whitehouse.gov/omb. Applicants can review Indirect Cost Training
on 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 or
exceed the standards for a HUD approved agency.
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
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 e-mail your
questions to Grants.gov">Support@Grants.gov.
B. Content and Form of Application Submission. Please be sure to
read the General Section for application deadline 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, the narrative
portion (responses to all factors) must be limited to 50 double-spaced,
12-point font, single-sided pages. Intermediaries and SHFAs are limited
to a total of 100 double-spaced, 12-point font, single-sided pages for
the narrative portion. 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.
2. Application Checklist. The Application Checklist indicates
forms, information, certifications and assurances that apply to this
NOFA.
Housing Counseling NOFA Application Checklist
a. SF-424, Application for Federal Assistance
b. SF-424 Supplement--Survey on Ensuring Equal Opportunity for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov)
(optional)
c. HUD 424 CB, Grant Application Detailed Budget (``HUD Detailed
Budget Form'' on Grants.gov);
[[Page 11529]]
d. SF-LLL, Disclosure of Lobbying Activities (if applicable)
e. HUD-27300, Questionnaire for HUD's Initiative on Removal of
Regulatory Barriers (``HUD Communities Initiative'' on Grants.gov)
(optional regarding eligibility, but mandatory to receive credit in
Factor 2 for the Regulatory Barriers policy priority)
f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov)
g. HUD-2990, Certification of Consistency with the RC/EZ/EC-II
Strategic Plan (LHCAs only, if applicable)
h. HUD-2991, Certification of Consistency with the Consolidated
Plan (optional)
i. HUD-2994, You Are Our Client Grant Applicant Survey (optional)
j. HUD-96010, Program Outcome Logic Model
k. HUD-96011 Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov) (to be used to transmit
third party documents as part of your electronic application)
l. HUD-9902, Housing Counseling Agency Fiscal Year Activity Report
For the Period October 1, 2005 through September 30, 2006 (only
required for Applicants who did not electronically submit to HUD a form
HUD-9902 for the period October 1, 2005 through September 30, 2006, for
example, applicants that received approval as a HUD housing counseling
agency after September 30, 2006.) HUD will utilize the 9902 data in
HUD's Housing Counseling System. However, HUD will consider a revised
9902 submitted with this application if it is accompanied by an
acceptable explanation regarding why the data was revised.
m. 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. Applicants should verify that their
agency profile information is accurately represented in HUD's Housing
Counseling System (HCS) and validate the information prior to
submitting the grant application.
n. Organization Description. Applicants must provide a brief
description, no more than 225 words, of their organizational history
and proposed grant 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.
o. Narrative statements as required in this NOFA.
C. Submission Dates and Times. A complete application package must
be received and validated electronically by the Grants.gov portal no
later than 11:59:59 p.m. eastern time on or before the applications
deadline date. Applicants are advised to submit their applications at
least 48 to 72 hours in advance of the deadline date and when the
Grants.gov help desk is open so that any issues can be addressed prior
to the deadline date and time. Please note that validation may take up
to 72 hours. Please be sure to read the General Section for timely
submission and receipt. Failure to follow the submission requirements
and procedures may affect your ability to receive an award.
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.1 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, the grant agreement or program
requirements.
F. Other Submission Requirements. Applications must be submitted
via the Grants.gov Web site at http://www.grants.gov/applicants/apply--
for--grants.jsp by no later than the established deadline date and
time. See the General Section for further information. Applicants
interested in applying for funding under this NOFA must submit their
applications electronically or request a waiver from the electronic
submission requirement. Applicants must submit their waiver requests in
writing using e-mail. Waiver requests must be submitted no later than
15 days prior to the application deadline date and should be submitted
to [email protected]. If granted a waiver the notification will
provide instructions on where to submit the application and how many
copies are required. Paper copy applications must be received by the
deadline date. HUD will not accept a paper application without a waiver
being granted. See the General Section for detailed submission and
timely receipt instructions.
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. Form HUD-2990 must be signed by the
organization head of the RC/EZ/EC7-II not the representative of the
jurisdiction in which the RC/EZ/EC-II exists.
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 HECM funding.
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.
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 must 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;
[[Page 11530]]
(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 housing
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) Average years of related experience, such as experience in
mortgage lending, for counselors and project managers;
(g) Proposed average hourly labor-rate for housing counselors and
project managers, including benefits.
(2) Knowledge and Experience (11 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;
The number of years, for key intermediary or SHFA
personnel, of recent experience administering 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 and certifications.
In scoring this section, HUD will evaluate whether the applicant
has experience providing the proposed services. HUD will award higher
scores to applicants with staff and management that have the greatest
combination of experience, training and demonstrated competency.
(a) LHCAs may provide individual descriptions of staff limited to
one page. These descriptions do not count toward narrative page
limitations. Intermediaries and SHFAs acting as intermediaries should
summarize in a single chart, for 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. Total each
column. Do not submit individual resumes for sub-grantee staff. HUD
staff will verify experience information submitted during monitoring
reviews. The following must be included in each person's description:
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.
Individual current housing counseling duties and
responsibilities;
Experience in providing one-on-one and group counseling
(describe each separately);
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. Provide the number of years of
experience for each position listed and indicate:
Where and when each position was held;
Whether the position was full-time or part-time;
In the case of part-time positions, the number of hours
per week.
Applicants for HECM supplemental funding must specify the HECM
experience of project directors, HUD HECM Network Counselors and the
organization. They must also indicate the number of HUD HECM Network
Counselors that are in the applicant's network at the time of
application, and that the applicant proposes to fund with the requested
award;
(b) Also indicate in the chart for all housing counselors and
project directors the specialized trainings received within the last
two years relevant to the proposed activities, including specific
trainings regarding FHA programs. Include when the training was
received and who provided it. Do not include on-the-job training.
Applicants that seek supplemental funds for HECM counseling must
indicate what relevant training counselors received to prepare them as
HECM counselors.
(c) Indicate which housing counselors are certified housing or
financial counselors. Describe what type of certification is held, who
provided it, when the certification was received, and if applicable,
the date certification expires.
(d) Identify the Client Management System utilized by the
applicant, affiliates, and branches, if applicable, during the grant
period October 1, 2005, to September 30, 2006. Applicants that used a
system during this period that interfaces or will interface with HUD's
database will be awarded more points than applicants that did not
utilize a web-based system.
If the applicant does not currently use an on-line or web-based
system but plans to in the coming grant period, October 1, 2007 through
September 30, 2008, indicate which system will be used, 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 Program Requirement Compliance (14 points).
In scoring this Section, HUD will evaluate how well the applicant
met the Program requirements, including reporting and grant document
execution, if applicable, for the period October 1, 2005, to September
30, 2006, and its ability to spend all grant funds allotted.
If the applicant did not receive an FY2005 HUD grant, it must
provide a response, with sufficient detail for HUD to evaluate
compliance, based on activities and requirements under other sources of
funding, such as other federal, state, or local grant awards. Identify
the source(s) and amount(s) of funds used for housing counseling.
Provide relevant contact information for the agencies or organizations
administering these programs so HUD can verify that the information you
report is accurate.
(a) Grantee Requirements. HUD will evaluate the applicant's
performance with regard to the timeliness and completeness with which
the applicant satisfied grant requirements, including grant document
execution, grant reporting requirements including quarterly (if
applicable), mid-term and final reports.
(b) Form HUD-9902. HUD will deduct points if the applicant was
required to submit a form HUD-9902 for the period October 1, 2005
through September 30,
[[Page 11531]]
2006, but failed to do so in a timely manner.
(c) Expending Grant Funds. If grant awards were not fully expended
during the grant period October 1, 2005, to September 30, 2006, 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.
(d) Performance Reviews. Significant findings on performance
reviews conducted by HUD staff will be taken into consideration when
scoring this section. Significant findings may be findings that suggest
an applicant has operated its agency in a manner inconsistent with the
Housing Counseling program.
(e) Housing Counseling System (HCS). HUD will evaluate applicant's
timeliness and effectiveness in validating and updating agency
information in HCS. Intermediaries and SHFAs must describe procedures
and quality control measures used to verify sub-grantee, and if
applicable branch or affiliate, information is validated in HCS on a
regular basis.
(4) Management--Goals and Results (5 points). In scoring this
section, HUD will compare applicant output and outcome goals and actual
results for the period October 1, 2005 through September 30, 2006, and
evaluate subsequent changes in approach resulting from any differences,
if applicable. 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.
For applicants that received a FY2005 housing counseling grant
covering the period October 1, 2005 to September 30, 2006, HUD will
compare the projections made in the Program Outcome and Output Logic
Model, Form HUD-96010 submitted with the FY2005 Housing Counseling
NOFA, including any adjustments based on actual award amounts, to the
corresponding actual results for that period reported by the applicant
on the Form HUD-9902 submitted to HUD.
Applicants who did not receive a FY2005 Housing Counseling Grant
and therefore did not finalize outcome and output projections, or who
are recently approved, or who were a sub-grantee of an intermediary or
SHFA for the period of October 1, 2005 through September 30, 2006, and
are now applying for funding under the LHCA category must indicate the
detailed, quantifiable goals the organization set for itself for the
period covering October 1, 2005 to September 30, 2006, or for the 12
month period ending December 31, 2006 if more appropriate to the
applicant's or other grant-requiring reporting schedule. Also provide
the actual results corresponding to these goals and explain any
differences in goals versus actual results and indicate what
measurement reporting tools were used as well as describe the
evaluation process. The Logic Model Instructions, which is tab 1 of
Form HUD-96010, provides information regarding measurement reporting
tools and the evaluation process. If describing goals corresponding to
other grant programs or sources of funding, provide relevant contact
information for the agencies or organizations administering those
programs so HUD can verify that the goals and corresponding
achievements you report are accurate.
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 in
Factor 3 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/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.
In scoring this Section, HUD will evaluate the degree to which the
applicant provides 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 not receive full 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 projected
work plan in Factor 3 substantively addresses. Up to 2 points are
available for priority (e). 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.
(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.
Identify partnerships with minority-serving institutions of higher
learning such as colleges and trade schools.
(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
[[Page 11532]]
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 required URL references,
points of contact (POC) or other back-up documentation will not be
eligible for the points associated with this policy priority. When
addressing this policy priority, Intermediaries and SHFAs should
complete a HUD-27300 that identifies the jurisdiction in which the
preponderance of services will be performed if an award is made.
c. Rating Factor 3: Soundness of Approach/Scope of Housing
Counseling Services (35 Points). This factor addresses the quality and
effectiveness of the applicant's historical and proposed housing
counseling activities.
(1) Historical Performance-Quality and Complexity of Services (8
Points).
In scoring this section, HUD will evaluate the quality of, the
variety of, and the level of effort and time associated with all the
housing counseling services provided by the applicant from all funding
sources during the period October 1, 2005 through September 30, 2006.
Responses should contain ``Historical Performance'' as part of the
heading for the response. Applicants must provide the following
information:
(a) Average hours of housing counseling per client, for the period
October 1, 2005, through September 30, 2006, for each of the following
service types, including follow-up, the applicant organization
provides. Do not provide a range of hours.
(i) Pre-purchase Counseling
(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) Fair Housing Issues.
(xii) Other (describe)
Describe the level of effort and time required to provide the
housing counseling services described and to meet the needs of clients.
Explain the average counseling time per client figures above. Scoring
will be based on the degree to which the applicant demonstrates, as
compared to other applicants, that sufficient time and resources were
devoted to ensure that clients received quality counseling.
(b) Types of Counseling and Services Offered: HUD will retrieve
this information from the HUD-9902, ``All Counseling Activities''
column, through the Housing Counseling System (HCS). Verify that the
information from this source is accurate. Scoring of the variety of
housing counseling services offered is weighted to provide the most
points for HECM and Post Purchase Default/Loss Mitigation counseling.
(c) Group Education and One-On-One Counseling. For the period
October 1, 2005, through September 30, 2006, HUD will retrieve from
Section 6a-b of form HUD-9902, ``All Counseling Activities'' column,
the number of clients that participated in Homebuyer Education
Workshops or other types of classes offered as group sessions and will
retrieve from Section 7a-e, the number of clients that participated in
one-on-one counseling. Applicants should explain the figures provided
in Form HUD-9902, ``All Counseling Activities'' column, 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. Estimate the percentage of clients participating in both
group education sessions and one-on-one counseling. 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.
(d) For intermediaries and SHFAs, HUD will evaluate the number and
location of sub-grantees and branches that received funding from the
applicant through a FY2005 HUD housing counseling grant(s), if
applicable, covering the period October 1, 2005-September 30, 2006.
(2) Historical Performance--Impact/Outcomes (9 points). To score
this Section, HUD will evaluate the applicant's performance for the
period October 1, 2005, to September 30, 2006 as reported on the HUD
9902, ``All Counseling Activities'' column. The quantity of clients the
applicant served will be compared to similar applicants providing
similar services. Clients served numbers will also be analyzed in the
context of the applicant's total housing counseling budget for the same
period, FY2005. HUD will also consider the degree to which the services
provided were time and resource intensive. Additionally, for
intermediaries and SHFAs, HUD will evaluate the geographic coverage and
scope of the applicant's activities for the period October 1, 2005,
through September 30, 2006, including the number of states served by
affiliates or branches, if applicable, and the overall size of the
housing counseling network during that period.
(a) Cost per client. Clients served figures will be obtained from
the Form HUD-9902, ``All Counseling Activities'' column, for the period
October 1, 2005 through September 30, 2006, submitted to HUD by the
applicant, which reflects activities funded both with HUD housing
counseling grant funds, if applicable, and with other leveraged
resources. Applicants that were not required to submit Form HUD-9902
for the period October 1, 2005 through September 30, 2006 must complete
one as part of this application. In addition, the applicant must
provide the following information.
(i) Total housing counseling budget for the period October 1, 2005-
September 30, 2006, 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.
(ii) If projections for outputs and/or outcomes were not met,
indicate how location, type of counseling, client type, and expenses
may have affected client volume. Justify expenses and explain why they
were reasonable, strategic, and appropriate.
(b) Percentage of Grant Funding Passed Through: Intermediaries and
SHFAs that received one or more FY2005 HUD housing counseling grant,
for the grant period October 1, 2005, to September 30, 2006, 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
FY2005 HUD housing counseling grants for the grant period October 1,
2005, to September 30, 2006, must indicate what percentage of their
grant(s) was spent on
[[Page 11533]]
the salaries and benefits of housing counselors and project directors.
Explain how other funds were spent.
All Applicants must indicate the sources and amounts spent on
formal staff training during the grant period October 1, 2005, to
September 30, 2006. Do not include on-the-job training.
Applicants that did not receive a FY2005 HUD housing counseling
grant must characterize their performance through other housing
counseling funding sources, for example other federal, state or local
government grants, providing as much detail, similar to that requested
above, as possible.
(c) Geographic Coverage: 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, 2005, through September 30, 2006, through:
(i) FY2005 HUD housing counseling grant funds, if applicable.
(ii) All housing counseling resources.
(3) Projected Performance/Work Plan--Quality and Complexity of
Services (9 points). This section involves information on the housing
counseling services and other activities to be conducted during the
period October 1, 2007, through September 30, 2008. 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, as compared to other applicants,
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.
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. There must be consistency
between Rating Factor 3 and the projected outputs and outcomes in
Rating Factor 5. Responses must contain ``Projected Performance'' as
part of the heading for the response.
(a) Describe the various types of housing counseling and education
services, and if applicable intermediary activities, the applicant
proposes to undertake, and identify the geographic area the services
will cover. Also, describe planned follow-up activities, if applicable.
Proposed services and activities must relate to the needs identified in
Rating Factor 2. Scoring of the variety of housing counseling services
offered is weighted to provide the most points for one-on-one
counseling regarding HECM and Post Purchase Default/Loss Mitigation. To
be eligible for the full points available for these service types,
applicants proposing to provide HECM and/or Default/Loss Mitigation
counseling must have prior HUD approval to provide these services.
Intermediaries and SHFAs acting as intermediaries should describe
in detail their plans to train proposed sub-grantees and branches,
provide technical assistance, and evaluate compliance with program
requirements, for example through site visits.
(b) Average hours of housing counseling time the applicant
estimates per client, for each of the activities listed in part (a),
including follow-up. Do not provide a range of hours. If the projected
average times are the same as those listed for the period covering
October 1, 2005-September 30, 2006, the applicant may simply state so
in lieu of listing them again here.
(c) 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, 2007-September 30, 2008 grant period.
(d) Indicate proposed amount to be spent on formal staff training
during the grant period October 1, 2007, to September 30, 2008 from all
sources. Do not include on-the-job training.
(e) Describe plans to effectively serve and/or communicate with
persons with limited English proficiency (LEP) and persons with
disabilities who require alternative formats, for example materials
that are available in languages other than English.
(f) Intermediaries and SHFAs must also:
(i) Describe the housing counseling and education activities to be
provided by proposed sub-grantees and branches, 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.
(4) 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) Identify and 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, nonprofit housing providers, and local or
state government. For example, describe agreements with lenders
regarding non-traditional lending standards or participation in the
Consolidated Planning process or the Analysis of Impediments. Any
written agreements or memoranda of understanding in place should be
described. These agreements and memoranda of understanding will be
reviewed by HUD staff as a part of the biennial reviews and on-site
monitoring visits. Applicants should also highlight internal products
and functions, if applicable, 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 HECM supplemental funding should
highlight the partnerships or internal products that are relevant to
HECM activities.
(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
submit the disclosure forms and materials used by the applicant to
communicate to clients that, while affordable homes, lending
[[Page 11534]]
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. These plans
and disclosures will also be reviewed by HUD staff as a part of the
biennial reviews and on-site monitoring visits.
(5) Projected Performance/Work Plan--Coverage/Efficient Use of
Resources (4 points). In scoring this Section, HUD will evaluate the
geographic coverage of the applicant's proposed activities, and
spending decisions.
(a) Percentage of Grant Funding To Be Passed Through:
Intermediaries and SHFAs must 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.
(b) Geographic Coverage: Intermediaries and SHFAs must identify the
sub-grantees and branches, and corresponding states, the applicant
proposes will receive funding through this grant award. Indicate which,
if any proposed sub-grantees and branches, serve Colonias. In the event
that an intermediary is also applying for HECM supplemental funding,
indicate the agencies and corresponding states in which the HUD HECM
Network counselors you propose to fund are located. Applicants unable
to precisely identify 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, for the period October 1,
2007--September 30, 2008, 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) All Applicants must provide a comprehensive list of all
leveraged funds and in-kind contributions being claimed. Include the
amount and the source, and total it. Intermediaries and SHFAs must
itemize the list of leveraged resources by each proposed sub-grantee
and/or funded branch office. All leveraged resources claimed by an
applicant, including cash and third party in-kind, must meet all of the
criteria set forth in 24 CFR 84.23 and must be accounted for in the
budget form 424CBW.
(2) Additionally, for Category 1--Local Housing Counseling Agencies
(LHCAs), in order to obtain points under this factor, the Applicant
must demonstrate leveraging by providing letters and, if applicable,
copies of relevant grant agreements, from entities or individuals, or
both, committing resources to the project, that include:
(a) The identity of the entity or individual committing resources
to the project.
(b) Dollar value of the resources to be committed. For in-kind
resources with no clear total dollar value indicated, Applicants should
estimate their value and describe in detail how the estimate was
determined. Values for recipient contributions of services and property
shall be established in accordance with the applicable cost principles.
(c) The type of resources to be committed.
(d) An indication that the resources will be available during the
grant period pertaining to this NOFA, October 1, 2007-September 30,
2008.
(e) An indication that the award, or a specific portion of it, is
intended for housing counseling.
(f) The signature of an official of the entity legally able to make
commitments on behalf of the entity.
(g) No conditions that would nullify the commitment. (It is,
however, acceptable for the commitment to be conditional on HUD
funding.)
(3) 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.
(4) Intermediaries and SHFAs should include information on
leveraged resources for only anticipated sub-grantees and branches that
will be funded through this application.
(5) Points for this factor will be awarded based on the amount of
leveraging that meets the criteria in this section and the percentage
of the applicant's total housing counseling budget that the requested
HUD housing counseling funds would represent. The amount of grant funds
requested will impact the ratio used to score this factor, as this
factor evaluates the proposed HUD grant as a percentage of the total
counseling budget. For example, a LHCA requesting the maximum
comprehensive grant amount of $150,000 with leveraged funds equaling
that grant will only receive 7 points. If that same LHCA requests only
$100,000 with the same leveraged funds of $150,000, the score will be
9. 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
16-20%--9 points
21-26%--8 points
27-32%--7 points
33-41%--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 (13
points). This factor emphasizes HUD's determination to ensure that
applicants meet commitments made in their applications and grant
agreements and assess their performance in achieving agreed upon
performance goals. This reflects HUD's Strategic goal to embrace
[[Page 11535]]
high standards of ethics, management and accountability.
The purpose of this factor is for the applicant to identify
projected outputs and outcomes corresponding to the proposed workplan
in Factor 3. The developed logic model submitted with the application
will serve as a reporting tool for applicants selected to receive an
award, allowing HUD to compare proposed program outputs and outcomes
with actual results. In scoring this Factor, HUD will consider the
appropriateness of the goals given the award the applicant is applying
for and evaluate the proposed outputs and outcomes for their
effectiveness and efficiency in delivering housing counseling services
to the population to be serviced. Additionally, scorers will evaluate
the extent to which an applicant's proposal includes one-on-one
counseling or encourages affiliates to undertake one-on-one counseling.
HUD considers one-on-one counseling the most effective form of housing
counseling, as compared to homebuyer education workshops and other
forms of group sessions.
(1) Program Outcome Logic Model (2 points). Applicants must select
appropriate outputs and outcomes from a series of ``pick lists'' for
the Housing Counseling Program. The pick list can be found in the form
HUD-96010 in the Grants.gov Housing Counseling Program Instructions
Download. Using the pick list, for each column of the logic model,
applicants can select and insert their outputs and outcomes in the
appropriate columns of the Logic Model.
The pick lists also provide for an associate unit of measure for
each output and outcome, and applicants must utilize the measure
provided that is associated to the activity. Applicants must identify
projected output and outcome values that correspond to the unit of
measure. For example, insert whole numbers, not percentages, when the
unit of measure is `Households'.
These amounts should represent results to be achieved entirely as a
result of the 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.
Applicants should use the same methodology to complete the logic
model as they do for form HUD-9902. For example, the logic model is not
designed to record the exact number of clients projected or served, but
rather the number of unique counseling or education services provided.
So an individual or household that receives multiple, distinct types of
counseling or education in a reporting period is recorded on the logic
model multiple times. For example, if an individual comes in for one
type of counseling (e.g. pre-purchase), they are recorded. If, later in
the reporting period, the same individual comes in for another type of
counseling, for example default counseling, record this new activity.
By contrast, if multiple topics are covered in one counseling session,
it is only recorded as one activity. Moreover, the form is designed to
capture participation in each complete course on a unique education
topic. For example: whether or not the course is completed in one 8-
hour session, or four 2-hour classes, it is counted as one course.
In addition, HUD has provided a series of management questions,
which awardees will be expected to respond to in reporting back to HUD.
The management questions place a framework around the data you will be
reporting to HUD. The management questions are included in the Logic
Model and applicants should use them as a guide to understanding what
HUD is interested in learning about the major element of your program.
HUD will provide training on the Logic Model through webcasts and
detailed step-by-step instructions for using the new form and format.
The schedule for the webcasts and instructions can be found at http://www.hud.gov/offices/adm/grants/fundsavail. For FY2007, HUD is
considering a new concept for the Logic Model. The new concept is a
Return on Investment (ROI) statement. HUD will be publishing a separate
notice on the ROI concept.
Applicants must complete and submit Form HUD-96010 reflecting
projected outputs and outcomes under the proposed HUD Housing
Counseling grant. The Form HUD-96010 must identify:
(a) Outputs. Outputs are the direct products of the applicant's
activities that lead to the ultimate achievement of outcomes. Based on
the proposed work plan in Factor 3 and the amount being requested
through this NOFA, applicants should select the appropriate outputs and
their associated units of measure from the choices provided in the pick
list, and provide the corresponding number to be achieved for each
proposed output.
If requesting supplemental funding, indicate the specific number of
households the applicant projects it, or if applicable, sub-grantees
and branches, will serve under the comprehensive counseling portion of
the requested award and with requested HECM supplemental funding.
(b) Outcomes. Outcomes are benefits accruing to the households 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. Using the pick lists provided,
applicants should select each appropriate outcome and associated unit
of measure related to the proposed work plan, and provide the
corresponding number to be achieved for each proposed outcome.
Projected outcomes should reflect the number you expect to report in
the HUD Housing Counseling Grant Activities column on the Form HUD-
9902.
The proposed outcomes the applicant provides will be compared to
actual results in the measurement of grant performance and future grant
application evaluations.
(2) Projected Performance/Work Plan--Impact (6 points). In scoring
this Section, HUD will evaluate the proposed outputs from the logic
model, specifically 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, 2007, to
September 30, 2008. Scoring will be based on the cost per client,
compared to historical averages for similar services and similar
applicants. 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.
(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.
(3) Projected Performance--Group Education and One-On-One
Counseling. (3 points). HUD will utilize logic model output projections
to evaluate what percentage of total clients the applicant estimates
will participate in group education, what percentage will participate
in one-on-one counseling, and what percentage will participate in both
group sessions and one-on-one counseling. Applicants must complete each
of these output projections. 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
[[Page 11536]]
provision. Scorers will evaluate the extent to which an agency plans to
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.
(4) Evaluation Plan. (2 points). Applicants must also submit an
evaluation plan for how they are going to track actual accomplishments
against anticipated achievements and ensure that the program can
provide the services projected to be delivered and outcomes projected
to be achieved.
(a) Information Collection. Describe the applicant's procedures for
measuring outputs and outcomes. Describe follow-up activities with
clients to collect outcome information.
(b) Data Analysis and Work Plan Adjustments. Indicate how the
information will be evaluated, and the steps the applicant has in place
to make adjustments to the work plan if performance targets are not met
within established timeframes. 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.
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.
5. Funding Methodology.
a. Comprehensive Counseling. Only applicants who receive a score of
75 points or above will be considered eligible for funding. All
eligible applicants will then be funded in proportion to the score they
receive. Regarding the comprehensive counseling portion of an award,
all grantees will receive the lower of either the comprehensive award
amount determined with the formula, or the amount actually requested by
the applicant. HUD will consider the amount of the comprehensive
counseling grant being requested to be the value entered into box 18a
on form SF-424. For intermediaries also requesting HECM supplemental
funding, box 18a of Form SF-424 should reflect the total of the
comprehensive request and the HECM supplemental request. For those
intermediaries requesting both, the narrative response to Factor 3 must
make clear the exact comprehensive and supplemental amounts being
requested. The minimum award is $20,000 for LHCAs; $50,000 for SHFAs;
and $200,000 for intermediaries.
b. Supplemental Funding. The same methodology described above in
section a will be used to distribute the available HECM supplemental
funds. Regarding supplemental funding, all grantees will receive the
lower of either the supplemental award amount determined with the
formula, or the specific amount of supplemental funding actually
requested by the applicant. Each applicant will only submit one
application and receive a score based on the application for the
comprehensive counseling grant. Comprehensive counseling funds will be
allocated based on this score. Subsequently, for HECM supplemental
funding, responses to each rating factor will be evaluated on a yes/no,
adequate/inadequate basis. An adequate response will result in a score
for the supplemental funding identical to the comprehensive score on
each respective rating factor. An inadequate supplemental response will
result in a 1-point deduction from the comprehensive score. After all
five rating factors have been evaluated, the adjusted ratings will
result in a distinct score for the HECM supplemental funds. This method
will result in scores for supplemental funding that may be equal to the
comprehensive score, or up to five points less than the comprehensive
score. In no case can an applicant receive a higher score on an
application for supplemental funding than it received on its
comprehensive application. An applicant will receive a separate score
for its application for comprehensive counseling, and for HECM
supplemental funding. The base award for the HECM supplemental funding
will be $40,000 for intermediaries. Only applicants scoring 75 points
or above are eligible for supplemental funding. HUD may award one or
more HECM supplemental grants to intermediaries. HECM supplemental
grant funds are awarded based upon scores beginning with the highest
until the funds are expended. Applications that receive 75 points or
more will not necessarily receive supplemental funding.
6. Reallocation of Unspent Funds. If funds designated for a
specific grant Category, HOC, or for supplemental funding remain
unspent after the formulas have been run and award recommendations are
determined, HUD may, at its discretion, reallocate those funds to any
other funding Category or supplemental funding area under this NOFA.
Additionally, HUD may reallocate unspent funds to any HOC jurisdiction
or to HUD Headquarters for awards under this NOFA. HUD may also
reallocate unspent funds for housing counseling support activities. Any
reallocation will be based on demand and unmet need.
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
[[Page 11537]]
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.
C. Reporting
1. Fiscal Year Activity Report. Grantees are required to submit
Form HUD-9902, Housing Counseling Activity Report, quarterly 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. If the actual award amount differs
from the proposed award, Grantees are required to submit an updated
Form HUD-96010, Program Outcome Logic Model, and a corresponding
budget, before the grant agreement will be executed. Additionally,
Grantees will be required to submit an updated Form HUD-96010, Program
Outcome Logic Model, reflecting actual achievements, with each
quarterly, midterm and final report, 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 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.
------------------------------------------------------------------------
Homeownership center States
------------------------------------------------------------------------
Philadelphia Homeownership Center:
Ms. Brenda Bellisario, Director, Connecticut, Delaware, District
Program Support Division, of Columbia, Maine, Maryland,
Wannamaker Building, 100 Penn Massachusetts, Michigan, New
Square East, 12th Floor, Hampshire, New Jersey, New
Philadelphia, PA 19107-3389. For York, Ohio, Pennsylvania,
programmatic information contact: Rhode Island, Vermont,
Robert Wright, Robert-- Virginia, West Virginia.
[email protected], (215) 656-0527
x3406.
Atlanta Homeownership Center:
Ms. Gayle Knowlson, Director, Alabama, Puerto Rico, Florida,
Program Support Division, 40 Georgia, Illinois, Indiana,
Marietta Street, 8th Floor, Kentucky, Mississippi, North
Atlanta, GA 30303-2806. For Carolina, South Carolina,
programmatic information contact: Tennessee.
E. Carolyn Hogans, [email protected], (404) 331-5001,
x2129.
Denver Homeownership Center:
Ms. Irma Devich, Director, Program Arkansas, Colorado, Iowa,
Support Division, 1670 Broadway, Kansas, Louisiana, Minnesota,
Denver, CO 80202-4801. For Missouri, Montana, Nebraska,
programmatic information contact: New Mexico, North Dakota,
Vic Karels, 303-675-1640, Victor-- Oklahoma, South Dakota, Texas,
[email protected]. Utah, Wisconsin, Wyoming.
Santa Ana Homeownership Center:
Mr. Jerrold Mayer, Director, Alaska, Arizona, California,
Program Support Division, Santa Hawaii, Oregon, Idaho, Nevada,
Ana Federal Building, 34 Civic Washington.
Center Plaza, Room 7015, Santa
Ana, CA 92701-4003. For
programmatic information contact:
Rhonda J. Rivera, [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,
the FY2007 Logic Model requirements, 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. 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 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,
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 4210-01-P
[[Page 11538]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.012
[[Page 11539]]
Lead-Based Paint Hazard Control Grant Program, Lead Hazard Reduction
Demonstration Grant Program, and Operation Lead Elimination Action
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
Program, Lead Hazard Reduction Demonstration Program, and Operation
Lead Elimination Action Program).
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: FR-5100-N-20; 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 and 14.905
Lead Hazard Reduction Demonstration Program, and 14.903 Operation Lead
Elimination Action Program.
F. Dates: Applications must be received and validated by Grants.gov
no later than 11:59:59 p.m. eastern time on May 18, 2007 for the Lead-
Based Paint Hazard Control and Operation Lead Elimination Action
Programs, and the application deadline date for the Lead Hazard
Reduction Demonstration is May 30, 2007. See the General Section for
specific instructions regarding application submission.
G. Additional Overview Content Information:
1. Purpose of the Program.
a. The purpose of the Lead-Based Paint Hazard Control 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.
b. The purpose of the Lead Hazard Reduction Demonstration Grant
Program is the same as the Lead-Based Paint Hazard Control, but the
Lead Hazard Reduction Demonstration Grant Program is targeted for urban
jurisdictions with the highest lead-based paint hazard control needs.
c. The purpose of the Operation Lead Elimination Action Program is
to provide grants to private sector and non-profit 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 $148.4 million (Lead-Based Paint
Hazard Control Program, Lead Hazard Reduction Demonstration Program and
Lead Elimination Action Program).
3. Eligible Applicants.
a. To be eligible to apply for funding under the Lead-Based Paint
Hazard Control (LBPHC) Grant Program, the applicant must be a state,
Native American Tribe, city, county, or other unit of local government.
Multiple units of a local government (or multiple local governments)
may apply as 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 Environmental Protection Agency (EPA)
authorized lead-based paint training and certification program.
b. To be eligible to apply for the Lead Hazard Reduction
Demonstration (LHRD) Grant Program, the applicant must be a city,
county, Native American Tribe, or other unit of local government. The
applicant must have at least 3,500 pre-1940 occupied rental housing
units, as listed at the 2000 Census Web site identified in Form HUD
96013, Need/Extent of the Problem. In addition, a State may apply on
behalf of one or more of the eligible local jurisdictions if it has an
EPA-authorized lead-based paint training and certification program. A
list of eligible applicants can be downloaded with the application from
www.grants.gov/Applicants/Apply_for_grants.jsp in Appendix A.
c. To be eligible to apply for funding under the Operation Lead
Elimination Action Program (LEAP), the applicant must be a 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 groups are encouraged to apply. States, cities,
counties and units of local government and their departments are not
eligible.
4. Match. See NOFA Criteria by Grant Program Chart in Section III,
Eligibility Information.
5. Information on application. The applications for this NOFA can
be found at http://www.grants.gov. The General Section contains
information about Grants.gov registration, submission requirements, and
submission procedures.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description. The Lead-Based Paint Hazard Control Program
(LBPHC), the Lead Hazard Reduction Demonstration Grant Program (LHRD)
and the Operation Lead Elimination Action Program (LEAP) are 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, Pub. L. 102-550). HUD's authority for making funding available
under this NOFA for the Lead-Based Paint Hazard Control Program, the
Operation Lead Elimination Action Program and the Lead Hazard Reduction
Demonstration Program is the Revised Continuing Appropriations
Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007). The Lead-
Based Paint Hazard Control Grant Program assists states, Native
American Tribes and local governments, and the Lead Hazard Reduction
Demonstration Program assists urban jurisdictions with the highest
lead-based paint hazard control needs, in undertaking programs for the
identification and control of lead-based paint hazards in eligible
privately owned rental and owner-occupied housing units. Operation Lead
Elimination Action Program (LEAP) provides grants to private sector and
non-profit 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. 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. Refer to the HUD Web
site http://www.hud.gov/offices/lead/regs/leadtitlex.pdf to obtain
information on Title X. HUD's Lead Safe Housing Regulation is available
at http://www.hud.gov/offices/lead/leadsaferule/LSHRFinal21June04.rtf,
and the companion interpretive guidance publication at http://www.hud.gov/offices/lead/leadsaferule/LSHRGuidance21June04.rtf. If you
cannot access the information you can call the NOFA Information Center
at 800-HUD-8929. If you are a hearing- or speech-impaired person, you
may request the information by telephone TTY by calling the toll-free
Federal Information Relay Service at 800-877-8339.
Because lead-based paint is a national problem, these funds will be
awarded to programs that will fulfill the following objectives:
1. Maximize the combination of children less than six years of age
protected from lead poisoning and housing units where lead-hazards are
controlled;
[[Page 11540]]
2. Target the reduction of elevated blood lead levels in children
for the maximum number of low-income families with children less than
six years of age, for the longest period of time;
3. Stimulate lower-cost and cost-effective methods and approaches
to lead hazard control work that can be replicated;
4. Build local capacity to safely and effectively address lead
hazards during lead hazard control, renovation, remodeling, and
maintenance activities by integrating lead safe work practices into
housing maintenance, repair, weatherization, rehabilitation, and other
programs that will continue beyond the grant period;
5. Affirmatively further fair housing and environmental justice;
6. Develop a comprehensive community approach to address lead
hazards in housing by mobilizing public and private resources,
involving cooperation among all levels of government, the private
sector, and grassroots community-based non-profit organizations,
including faith-based organizations, to develop cost-effective methods
for identifying and controlling lead-based paint hazards;
7. Establish a public registry (listing) of lead-safe housing or
inclusion of the lead-safe status of properties in a publicly
accessible address-based property information system to be
affirmatively marketed to families with young children; and
8. To the greatest extent feasible, promote 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, published June 30, 1994).
B. Changes in the FY 2007 NOFA
1. A total of 150 pages for the entire application including
narrative responses, attachments, tables, appendices, and other
required forms.
2. All contributions above the statutory match requirement should
be reported as leveraged contributions.
3. The Lead Hazard Reduction Demonstration Grant Program has a 10
percent match requirement and an 80 percent direct Lead Hazard Control
cost requirement.
II. Award Information
A. Funding Available. From current and past years' funding,
approximately $76.4 million will be available for the Lead-Based Paint
Hazard Control Program, approximately $54.7 million will be available
for the Lead-Based Paint Hazard Reduction Grant Program, and
approximately $17.3 million will be available for Operation Lead
Elimination Action Program.
1. Approximately 26 to 40 grants will be awarded to applicants for
the Lead-Based Paint Hazard Control Program. Approximately 14 to 22
grants will be awarded to applicants for the Lead Hazard Reduction
Demonstration Program, and approximately 9 to 12 grants will be awarded
to applicants for Operation Lead Elimination Action Program. Grant
award amounts for the entire period of performance for Lead-Based Paint
Hazard Control Program grants shall be from approximately $1 million up
to a maximum of $3 million per grant, for the Lead Hazard Reduction
Demonstration Program grants, from approximately $1 million up to a
maximum of $4 million per grant, and for Operation Lead Elimination
Action Program (LEAP) grants a maximum of $2 million per grant.
Applications for amounts larger than the applicable maximum amount for
a program will be deemed ineligible and will not be reviewed.
2. The start date for grants is expected to be no later than
October 1, 2007. The period of performance shall not exceed 36 months.
Period of performance extensions for delays due to conditions beyond
the grantee's control will be considered by HUD in accordance with 24
CFR 84.25(e)(2) or 85.30(d)(2), as applicable, and the OHHLHC Program
Guide. Such extensions, when granted, are one time only, and for no
longer than a period of one year from the original period of
performance end date.
B. Contracts or Other Formal Arrangements.
1. If selected for funding, grantees are required to maintain a
contract administration system to ensure sub-grantee and contractor
conformance with the terms, conditions, and specifications of
contracts. Grantees must enter into written contracts or agreements
with sub-grantees and contractors, which identify specific services to
be provided such as:
Staffing requirements,
Time periods for the performance of work,
Project budget, and total amount of compensation to be
provided,
Methods and documentation requirements for obtaining
reimbursement of expenses,
Record keeping and reporting requirements,
Requirements placed upon the sub-grantee or contractor to
comply with applicable federal laws, regulations, circulars, and
Executive Orders,
Provisions for the grantee with access to financial and
other documents and files for the purpose of monitoring sub-grantee or
contractor performance and compliance with the local contract or
agreement, and applicable Federal laws, regulations, circulars and
Executive orders.
2. All applicants are encouraged to enter into formal arrangements
with grassroots community-based non-profit organizations, including
faith-based organizations, or other community-based organizations,
particularly if such organizations will be reimbursed for eligible
activities under this NOFA. (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
A. Eligible Applicants
See the General Section for additional eligibility requirements
applicable to HUD Programs. See chart below that describes eligible
applicants, match percentage requirement, minimum percentage of federal
funds for direct lead hazard control activities, and maximum
administrative cost.
[[Page 11541]]
Match Requirements and Administrative Costs by Grant Programs
--------------------------------------------------------------------------------------------------------------------------------------------------------
Percent of HUD award
--------------------------------------------------------------------------------------
Programs Eligible applicants Direct lead hazard control
Match costs Administrative cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Lead-Based Paint Hazard Control State, Native American 10%........................ Minimum 65%................ Maximum 10%.
Program (LBPHC). Tribe, city, county, or
other unit of local
government. Multiple units
of a local government (or
multiple local
governments) may apply as
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 Environmental
Protection Agency (EPA)
authorized lead-based
paint training and
certification program.
Lead hazard Reduction Demonstration City, county, Native 10%........................ Minimum 80%................ Maximum 10%.
(LHRD). American Tribe, or other
unit of local government.
The applicant must have at
least 3,500 pre-1940
occupied rental housing
units, as listed at the
2000 Census Web site
identified in Form HUD
96013, Need/Extent of the
Problem. In addition, a
State may apply on behalf
of one or more of the
eligible local
jurisdictions if it has an
EPA-authorized lead-based
paint training and
certification program. A
list of eligible
applicants can be
downloaded with the
application from
www.grants.gov, in
Appendix A.
Operation Lead Elimination Action For-profit and non-profit None....................... Minimum 65%................ Maximum 10%.
Program (LEAP). entities; colleges and
universities; and national
and local groups. For
profit institutions are
not allowed to earn a fee.
--------------------------------------------------------------------------------------------------------------------------------------------------------
B. Cost Sharing and Match
This section applies to all three grant programs. See Chart above
for statutory match requirements. Match and Leverage Guidance in
Appendix B can be downloaded with the application from http://www.grants.gov/applicants/apply--for--grants.jsp. If an applicant does
not meet the minimum requirements of 10 percent match for LBPHC it will
be considered ineligible for an award.
Under Rating Factor 4, Leveraging, HUD provides rating points to
applicants that documenting additional resources to increase the scope
or effectiveness of the proposed program activities. For the LBPHC and
LHRD that have a required match, HUD will award points to applicants
that provide additional resources over required match amount. For LEAP
applicants, which has no matching requirement, HUD will award points
based upon the amount of resources that are leveraged by the applicant.
The larger the amount of funds or in-kind services that are secured by
the applicant, the higher the number of points that will be awarded
under Rating Factor 4. For all programs, match and/or leverage
contributions 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, or other programs that 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 any statutorily required matching
requirement, as applicable. Both CDBG and other local funds must be
used for otherwise eligible grant-related lead hazard control
activities to be eligible as match or leverage funds. For cash and in
kind match and leveraged contributions, the applicant must submit a
letter of commitment, signed by an official of the organization legally
able to make commitments on behalf of the organization. The letter must
indicate the amount and source, and detail how the contribution will
support the proposed grant program. The signature of the authorized
official on the Form SF-424 is deemed as official documentation of
commitment of match or other contributed resources of the applicant
organization. A separate letter from the applicant organization is not
required. For LEAP applicants, a leveraged resource only from the
private sector is considered eligible. All matching and leveraged
contributions shall be used for the same purposes as allowed for by the
federal funds.
C. Other
1. Eligible Costs and Activities. This section applies to all three
grant programs unless otherwise specified.
All lead hazard control activities funded under the LBPHC, LHRD and
LEAP must be conducted in compliance with the applicable requirements
of HUD's Lead-Safe Housing Regulation, 24 CFR part 35, and the
companion Interpretive Guidance publication. 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 eligible costs under each
competitive grant program included in this NOFA: (1) Direct costs for
lead-based paint hazard identification and control activities, (2)
other direct costs, (3) indirect costs, and (4) administrative costs.
a. Definition of Direct Costs and Description of Lead-Based Paint
Hazard Identification and Control Activities.
Direct costs are defined as the allocable portion of allowable
costs incurred directly for the purposes of the grant. Direct costs for
lead hazard control activities consist of lead dust, soil and paint-
chip testing and associated laboratory costs, the purchase or lease of
a maximum of two X-ray fluorescence analyzers (if not otherwise
available), and XRF maintenance, lead paint inspection and risk
assessments, interim controls, abatement of lead-based paint or lead-
based paint hazards (see section C.1(a)(4)(b) for abatement
limitations), occupant protection and temporary relocation of occupants
when lead hazard control work supported by this program is conducted in
a unit, and clearance examinations. Direct costs for
[[Page 11542]]
lead-based paint hazard identification and control activities do not
include universal blood lead testing, housing rehabilitation beyond
what is specifically required to carry out effective lead hazard
control, training, community education and outreach, applied research
and purchase of supplies or equipment and administrative costs.
Eligible activities to meet the minimum 65% (LBPHC and LEAP) or 80%
(LHRD) direct lead hazard control costs, as applicable, are as follows:
(1) Performing lead dust, soil and paint-chip testing, lead-based
paint inspections, risk assessments, clearance examination, 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.
(2) All laboratory analysis in support of required testing and
evaluation under this NOFA must be conducted by a laboratory recognized
for the analysis by the EPA National Lead Laboratory Accreditation
Program (NLLAP).
(3) All lead-based paint testing results, summaries of lead-based
paint hazard control treatments, and clearances 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. Grantee files must
contain verifiable evidence of providing lead hazard control reports,
such as a signed and dated receipt. Refer to 24 CFR 35.125 of the Lead
Safe Housing Regulation.
(4) All lead-based paint hazards identified in housing units and in
common areas of multifamily housing enrolled in this grant program must
be controlled or eliminated by either of the following strategies or a
combination of the two;
(a) Interim Controls. According to the HUD Guidelines, interim
controls of lead-based paint hazards including lead-contaminated dust
and soil in housing must include specialized cleaning techniques to
address lead dust.
(b) Lead-Based Paint Hazard Abatement. Abatement of all lead-based
paint or lead-based paint hazards is generally authorized only in
states or localities that require complete abatement by law. HUD does
not consider abatement of all lead-based paint to be cost effective in
most circumstances; therefore, a grantee must make a special request in
writing prior to conducting complete abatement of lead-based paint or
lead-based paint hazards. Abatement of lead-contaminated soil should be
limited to areas with bare soil in the immediate vicinity of the
structure (i.e., the drip line or foundation of the unit being treated,
and children's play areas).
(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.
These grant funds may be used for lead hazard control work done in
conjunction with other housing rehabilitation programs, to the extent
practicable. HUD encourages integration of this grant program with
housing rehabilitation, maintenance, weatherization, and other energy
conservation activities.
(6) Carrying out temporary relocation of families and individuals
while the remediation is conducted and until the time the affected unit
receives clearance for re-occupancy. See Section III.C.4.e, Real
Property Acquisition and Relocation of the General Section and Section
VI.B.4 of this NOFA for discussion of regulations that apply when
relocating families.
b. Description of Eligible Other Direct Costs.
(1) Purchasing or leasing equipment having a per-unit cost under
$5,000 (except for the purchase or lease of up to two X-ray florescence
analyzers used by the grant program).
(2) Performing blood lead testing and air sampling to protect the
health of the hazard control workers, supervisors, and contractors.
(3) Conducting pre-hazard control blood lead testing of children
under six years of age residing in or frequently visiting units
undergoing lead hazard control work.
(4) Conducting targeted outreach, 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
(e.g., families with children) and disability discrimination, offering
educational materials in languages that are common in the community
other than English, consistent with HUD's published Limited English
Proficiency (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).
(5) Supporting data collection, analysis, and evaluation of grant
program activities. This includes compiling and delivering such data as
may be required by HUD.
(6) Preparing a final report at the conclusion of grant activities.
(7) 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.
(8) Conducting planning, coordination, and training activities to
comply with HUD's Lead-Safe Housing Regulation (24 CFR part 35,
subparts B-R). These activities should support the expansion of a
workforce properly trained in lead-safe work practices that is
available to conduct interim controls on HUD-assisted housing covered
by these regulations.
(9) Conducting outreach and related activities that will result in
increased lead hazard control activities in low-income privately owned
or owner-occupied housing with lead-based paint hazards. For LEAP
grants, outreach and/or related activities, must be tied to a
leveraging strategy.
(10) 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.
c. For reference to the Administrative Cost requirements, please
see Appendix D, which can be downloaded with the application from
http://www.grants.gov/applicants/apply--for--grants.jsp.
d. For reference to the Indirect Cost requirements see Appendix C,
which can be downloaded with the application from http://www.grants.gov/applicants/apply--for--grants.jsp.
[[Page 11543]]
2. Eligibility of HUD-Assisted Housing. The Table 10, ``Eligibility
of HUD Assisted Housing,'' that lists the housing units that may
participate under each of the three competitive programs detailed in
this NOFA can be downloaded with the application from http://www.grants.gov/applicants/apply--for--grants.jsp.
3. Threshold Requirements. To be 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 under the Lead-Based Paint Hazard Control and Lead
Hazard Reduction Demonstration Programs are required to match 10
percent of the funds requested with other funds or resources. There is
no match requirement for LEAP.
b. Applicants under the Lead Hazard Reduction Demonstration Program
must be a city, county, Native American Tribe, or other unit of local
government. The applicant must have at least 3,500 pre-1940 occupied
rental housing units, as listed at the 2000 Census Web site identified
in Form HUD 96013, Need/Extent of the Problem. A list of eligible
applicants can be downloaded with the application from http://www.grants.gov/applicants/apply--for--grants.jsp. In addition, a State
may apply on behalf of one or more of the eligible local jurisdictions
if it has an EPA-authorized lead-based paint training and certification
program. There is no minimum threshold requirement for the number of
pre-1940 occupied units for LBPHC or LEAP.
c. All applicants under the Lead Hazard Reduction Demonstration
Program must provide the actual number of children with documented
elevated blood levels residing within the jurisdiction(s) where the
lead hazard control work will be conducted for the most recent twelve-
month period available since January 1, 2003 and identify the source of
the data. Failure to provide these data will result in the application
not being rated or ranked.
d. EPA Authorization. If you are a state government or 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 and Lead Hazard Control 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 Native American Tribal government. If you do not
have an EPA authorized program on the application submission date, the
application will not be rated or ranked. Further, if you do not have an
EPA authorized program on the grant award date, you will not be awarded
a grant under this NOFA.
e. Consolidated Plans. (This requirement does not apply to Native
American Tribes.) You must submit, as an appendix, the current lead-
based paint element from the approved Consolidated Plan of the
jurisdiction(s) where the lead-based paint hazard control will be
conducted. In lieu of submitting a hard copy of the lead-based paint
element from the current consolidated plan(s), you may substitute a Web
site address. The Web site must contain the lead-based paint element of
the current Consolidated Plan(s). If the jurisdiction does not have a
currently approved Consolidated Plan, but is otherwise eligible for
LBPHC and LHRD grant programs, you must include the jurisdiction's
abbreviated Consolidated Plan, which includes a lead-based paint hazard
control strategy developed in accordance with 24 CFR 91.235. 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.
f. An applicant requesting a grant amount greater than the maximum
grant award amount will be deemed ineligible and not reviewed or rated.
g. Applications that do not have either a narrative response to the
rating factors or form HUD-424 CBW Budget worksheet will not be
reviewed or rated.
h. Fiscal Year 2006 awardees of LBPHC, LHRD, reopened LHRD, or LEAP
grants, are not eligible to apply for any of these three programs
during this competitive NOFA cycle.
i. Applicants may submit up to one application for each of the
competitive programs covered by this NOFA for which they are eligible.
4. Environmental Requirements
a. Recipients of Lead-Based Paint Hazard Control Grants and Lead
Hazard Reduction Demonstration grants must comply with 24 CFR part 58,
Environmental Review Procedures for Entities Assuming HUD Environmental
Responsibilities, and must carry out environmental review
responsibilities as a responsible entity under part 58.
b. Work on properties assisted with LEAP funds under this NOFA is
covered by the provisions of section 305(c) of the Multifamily Housing
Property Disposition Reform Act of 1994, which are implemented by HUD
regulations at 24 CFR part 50. Under part 50, a responsible entity,
usually a local government unit, must assume the environmental review
responsibilities for activities funded under LEAP. Under 24 CFR
50.3(h), if a responsible entity or the recipient objects to the
responsible entity performing the environmental review for LEAP
activities, 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.
c. For all grants under this NOFA, recipients and other
participants in the project are prohibited from undertaking, or
committing or expending HUD or non-HUD funds (including leveraged or
match funds) on a project or activities under this NOFA (on activities
other than listed in 24 CFR 58.34, 58.35(b) or 58.22(f)) until the
responsible entity completes an environmental review and the applicant
submits and HUD approves a Request for the Release of Funds and the
responsible entity's environmental certification (both on form HUD
7015.15). In the case of LEAP grants, the grantee must await HUD's
completing the review and notifying the grantee of the approval of the
environmental review before initiating work. The results of the
environmental review may require that proposed activities be modified
or proposed sites may be rejected. The results of the environmental
reviews may require that proposed activities be modified or proposed
sites rejected. For part 58 procedures, see http://www.hud.gov/offices/cpd/energyenviron/environment/index.cfm. For assistance, contact Edward
Thomas, the Office of Healthy Homes and Lead Hazard Control
Environmental Officer at (215) 861-7670 (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 these funded programs will be given additional guidance in these
environmental responsibilities.
5. Administrative and Other Requirements. If awarded a grant, you
must comply with the requirements and maintain appropriate
documentation to demonstrate compliance with the requirements specified
below. The requirements apply to all grant programs unless otherwise
specified.
a. Lead-Based Paint Hazard Reduction Act of 1992 (Title X of the
Housing and Community Development Act of 1992), Section 1011. Section
217 of Public Law 104-134 (the Omnibus Consolidated
[[Page 11544]]
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:
``Section 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 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 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.''
(1) Trained and Certified Professionals. Funded activities must be
conducted by persons qualified for the activities according to 24 CFR
part 35, subparts B-R (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).
(2) 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.
(3) You must document the income and family composition of
occupants of units assisted to meet Title X requirements. Identify the
key staff who will certify as to the eligibility of each unit assisted
under the grant based on the determination of income, and when
required, the presence of a child under six years of age.
6. 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 hydroblasting 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.
7. 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 examination. Grantees,
subcontractors, sub-grantees, sub-recipients, and their contractors
must adhere to these policies and procedures.
8. 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 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 less than six years of age. The grantee must also provide the
owner with the lead hazard evaluation and control information generated
by activities under this grant, so that the owner can comply with his/
her disclosure requirements under 24 CFR part 35, Subpart A.
9. Testing. In developing your application budget, include costs
for lead paint inspection, risk assessment, and clearance examination
for each dwelling that will receive lead hazard control, as follows:
a. General. All testing and sampling shall comply with the Lead
Safe Housing Rule and conform to the current HUD Guidelines, the EPA
lead hazard standards at 40 CFR part 745, and federal, state, or tribal
regulations developed as part of the appropriate contractor
certification program, whichever is most stringent.
b. Lead-Based Paint and Lead-Based Paint Hazard Identification. A
lead-based paint inspection and risk assessment is required.
c. Clearance Testing. 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.
10. Blood lead testing. Each child under six years of age should be
tested for lead poisoning within the six months preceding the lead
hazard control work. 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).
11. Cooperation With Related Research and Evaluation. You shall
cooperate fully with any research or evaluation sponsored by HUD, CDC,
EPA or another 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 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 the Privacy Rule of the Health Insurance Portability and
Accountability Act of 1996 (HIPAA). HIPAA and the Privacy Rule can be
found at www.hhs.gov/ocr/hipaa.
12. Data Collection. You shall collect, maintain, and provide to
HUD the data
[[Page 11545]]
necessary to document and evaluate grant program outputs and outcomes.
13. Financial Control. Financial control systems shall be
established including methods and procedures to ensure that only grant
eligible expenses are charged to the grant as reimbursable expenses or
project match; that appropriate documentation of time worked on and
charged to the grant is maintained; that no more than 10 percent of
grant funds are used for administrative costs and that indirect cost
allocation plans are updated annually.
14. 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. This sub-factor will be evaluated on the
extent to which an applicant describes how it proposes to:
a. Provide opportunities to train and employ Section 3 residents;
and
b. Award contracts to Section 3 contractors, as each of those terms
is defined in the regulations, 24 CFR Part 135. Applicants that
demonstrate their responsiveness to the section 3 requirements may
receive up to 2 points (see Rating Factor 3). Annual submission of Form
HUD-60002 is required. Regulations regarding the provision of Section 3
of the Housing and Urban Development Act of 1968 can be located at 24
CFR Part 135.
15. Replacing Existing Resources. Funds received under the grant
programs covered under this NOFA shall not be used to replace existing
community resources dedicated to any ongoing project.
16. Certifications and Assurances. By signing the SF-424, you are
agreeing to the certifications and assurances listed in the General
Section and this NOFA.
17. Code of Conduct. If awarded assistance, you will be required,
prior to entering into a grant 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. An applicant who submitted an application
during FY2005 or FY2006 and included a copy of its code of conduct will
not be required to submit another copy if the applicant is listed on
HUD's Web site http://www.hud.gov/offices/adm/grants/codeofconduct/cconduct.cfm. An applicant must also include a copy of its code of
conduct if the information listed on the above Web site 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.). Refer to the General
Section for further information about the Code of Conduct requirements.
18. Lead-Safe Work Practice Training Activities. Under the Lead-
Based Paint Hazard Control Grant Program, you are encouraged to provide
resources to promote the expansion of a workforce that is:
--Properly trained in lead-safe work practices;
--Available to conduct interim controls and/or lead hazard abatement;
--Able to follow lead-safe work practices while performing work on HUD
assisted housing units; and
--Able to safely repair, rehabilitate, and maintain other privately
owned residential property.
19. Coordination among Critical Agencies.
a. Under the Lead-Based Paint Hazard Control or Lead Hazard
Reduction Demonstration programs, you shall participate in the state-
wide or jurisdiction-wide strategic plan to eliminate childhood lead
poisoning as a major public health problem by 2010, or assist in the
development of a plan in states or localities that do not have such a
plan. The CDC strategic elimination plans for state and local childhood
lead poisoning prevention programs can be downloaded from http://www.cdc.gov/nceh/lead/StrategicElimPlans/strategicplans.htm.
Additionally, if awarded lead hazard control or lead hazard
demonstration funds, you shall enter into or extend existing
collaborative arrangements with 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, with their state or tribal health agencies, housing
agencies, development agencies, and code enforcement agencies (or
equivalent). Arrangements must describe how the health department and
the housing and/or development agency have or 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. HUD encourages LEAP applicants to enter into such
agreements.
20. Work Plan. Upon award, you shall develop a work plan including
measurable quarterly performance goals and specific time-phased
objectives for each of the major activities and tasks required to
execute the project. 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, and temporary
relocation.
a. Describe how lead hazard units, especially those known to house
elevated blood lead level children under six years of age, will be
identified, selected, prioritized, and considered for treatment under
this grant and/or other programs of the grantee or grantee's team
members. An elevated blood lead level is defined as an excessive
absorption of lead that is a confirmed concentration of ten (10)
micrograms of lead per deciliter of whole blood.
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, as well as demonstrate the use of other sources of
information on high priority housing;
b. Your work plan should address your jurisdiction's Consolidated
Plan goals for pursuing community planning and development and housing
programs relative to lead and other housing-related issues that affect
the health of residents. The work plan must include a detailed strategy
to:
(1) Obtain data from state or local health departments or from
families themselves (either directly, for example, through service
organizations that families distribute their information) on the
addresses of housing units in which children have been identified as
lead poisoned, as required by 24 CFR 91.100(a)(2).
(2) Continue or enter into collaborative agreements or arrangements
with applicable state or local health and child welfare agencies,
community development organizations, and housing agencies and/or other
housing organizations to team with HUD Lead-Based Paint Hazard Control,
Lead Hazard Reduction Demonstration, and LEAP grantees to identify and
address childhood lead poisoning in the jurisdiction collaboratively,
and describe the methods for coordinating among these agencies.
[[Page 11546]]
(3) Demonstrate specific steps and/or actions that will be taken to
ensure that other resources in the community are utilized to increase
funding, provide training, and to link with other local programs
engaged in lead hazard control activities.
(4) Describe 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 Request for the Release of Funds
(HUD Form 7015.15).
(5) Describe how assistance and funding will flow from you to the
actual performers of the hazard reduction work.
(6) Describe the selection process for sub-grantees, sub-
contractors, or sub-recipients.
(7) Describe the financing mechanism used to support lead hazard
control work in units (name of administering agency, eligibility
requirements, type of financing, etc.), any owner matching requirement,
and the terms, conditions, and amounts of assistance available, include
affordability terms and provisions for forgiveness and recapture of
funds.
(8) Perform combined lead-based paint inspection and risk
assessment procedures using the HUD Guidelines, applicable sections of
the Lead Safe Housing Rule and use EPA standards to identify lead
hazards and to conduct clearance testing.
(9) Describe the process for developing work specifications and
bids on properties selected for lead hazard control work.
(10) The specific intervention methods and clearance procedures to
be conducted for units enrolled and treated.
(11) The number of rental-occupied, vacant, and owner-occupied
units, including the number of single-family and multifamily units,
proposed for interim controls and hazard abatement.
(12) The occupant protection and relocation plan for residents
required to be out of their homes during hazard control activities. The
relocation should be in accordance with Section III.C.4.e.
(13) The outputs and overall outcomes for community education,
outreach, and training activities, including the nature and number of
events and the number of individuals to receive education, outreach,
and training.
(14) The blood lead testing and other measures to be undertaken to
protect children under six years of age and other occupants of units
undergoing lead hazard control work.
(15) 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 (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
HUD's Line of Credit Control System (LOCCS); the number of persons
reached through outreach and education efforts; and the number of
persons trained in lead hazard control courses. For LEAP only, the
quarterly assessment will include one additional performance measure,
which is the amount of leverage.
(16) The grantee's accounting, finance, and internal audit
procedures;
(a) Procedures for tracking funds obtained through government
resources (including HUD, other federal agencies, and state and local
governments), match and leverage; and
(b) Procedures for the procurement process and the reimbursement
process of vendors, contractors, and sub-grantees.
(17) Quarterly performance benchmarks. The benchmarks identified in
the work plan for a 36-month period of performance 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.grants.gov/applicants/apply--for--grants.jsp, in the application
instructions download section.) All applicants are required 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 for the purposes of developing your work plan.
Applicants selected for award may be asked to modify the work plan to
reflect agreed upon benchmarks determined during pre-award
negotiations.
21. Detailed Budget. Submit a detailed budget that identifies the
total budget (federal share and matching and/or leverage contribution)
on Form HUD-424 CBW and budget and cost justification narrative 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. All
applicants must provide a detailed budget for any subcontractors, sub-
grantees, or sub-recipients 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.
22. Institutional Review Board (IRB). Indicate if your program
includes conducting research involving human subjects in a manner which
requires IRB approval and periodic monitoring under 24 CFR part 60,
which incorporates the Department of Health and Human Service's
regulations, at 45 CFR part 46. For additional information on what
constitutes human subjects' research or how to obtain an institutional
assurance, see the Department of Health and Human Services, Office of
Human Research Protection (OHRP) Web site at http://www.hhs.gov/ohrp/.
IV. Application and Submission Procedures
A. Address to Request Application Package
See the General Section for specific procedures concerning the
electronic application submission requirements. The application and
Instructions are available at http://www.grants.gov/applicants/apply--
for--grants.jsp. If you have difficulty accessing the information, you
may call the help desk help line at (800) 518-GRANTS or e-mailing
[email protected].
Guidebook and Further Information: HUD provides a Desktop User
Guide to Find, Register and Apply for Grant Opportunities using
Grants.gov. The Desktop User Guide is available on HUD's Web site at
http://www.hud.gov/utilities/intercept.cfm?/offices/adm/grants/deskuserguide.pdf. If you have difficulty accessing the information,
you may call HUD's NOFA Information Center at (800-HUD 8929. If you are
a hearing-or speech-impaired person, you may request the information by
telephone TTY by calling the toll-free Federal Information Relay
Service at 800-877-8339.
B. Content and Form of Application Submission
Applicants eligible to apply under this NOFA are to follow the
submission requirements described below:
1. Applicant Information
a. Application Format.
(1) Application including narrative responses, attachments, tables,
appendices, and other required forms should be limited to a total of
150 pages. Number all pages of the application sequentially from page 1
to the end of the application, including charts, figures, tables and
appendices. If the application exceeds the 150-page limit and has no
page numbers, HUD will consider only the first 150 pages it
[[Page 11547]]
prints for review (forms will be counted first).
(2) The application narrative response to the Rating Factors is
limited to a maximum of 20 pages (excluding appendices and worksheets)
of size 8\1/2\'' x 11'' using a 12-point (minimum) font with not less
than 1'' margins on all sides.
(3) Materials provided in the appendices should directly refer to
the specific rating factor narrative. Applicants are strongly urged to
not submit information that is not required and/or requested in the
NOFA or relevant to a specific narrative response. The narrative rating
responses should be submitted as a single Microsoft Word document file.
All attachments must identify the related factor in the footer by
providing the rating factor and the page number (e.g., Factor 1
Attachment, pg. 1), and should be submitted as a single zip file
attachment to the electronic application.
b. Information contained in the abstract will not be considered in
the evaluation and scoring of your application.
c. Application Checklist (Voluntary). Your application must contain
all of the required information requested 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 http://www.grants.gov/applicants/apply--for--grants.jsp. The ``Checklist and Submission Table
of Contents'' below includes a list of the required items needed for
submitting a complete application and receiving consideration for
funding.
Checklist and Submission Table of Contents (Counts Towards the 150 Page
Limit)
Application Checklist (paper copy applications only)
Applicant Abstract (limited to a maximum of 2 pages)
Rating Factors Response (limited to a maximum of 20
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;
4. Leveraging and Matching Resources--Form HUD-96015; and
5. Achieving Results and Program Evaluation--Logic Model--Form HUD-
96010.
Other Materials in Support of Rating Factors
Application for Federal Assistance--Form SF-424;
Survey on Ensuring Equal Opportunity for Applicants--Form SF-424
Supplement (Faith Based EEO Survey (SF-424 SUPP) on Grants.gov);
Grant Application Detailed Budget (HUD Detailed Budget Form on
Grants.gov) and Worksheet HUD-424 CBW, Total Budget (Federal Share and
Matching) and Budget Justification Narrative;
Applicant/Recipient Disclosure/Update Report--Form HUD-2880 (HUD
Applicant Recipient Disclosure Report on Grants.gov);
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;
Development Worksheet with Minimum Benchmark Standards (36 Months) Form
HUD-96008;
Match and Leverage Documentation;
Third Party Documentation Facsimile Transmittal (Facsimile Transmittal
Form on Grants.gov)(for electronic applications)--Form HUD-96011;
Questionnaire for HUD's Removal of Regulatory Barriers (HUD Communities
Initiative Form on Grants.gov)--Form HUD-27300, including required
documentation or URL references;
You Are Our Client Survey--Form HUD-2994-A (optional); and
Threshold Requirements (Refer to Section III.C of the General Section,
and Section III.C.3, Threshold Requirements, of this NOFA).
C. Submission Dates and Times. The application must be received and
validated by Grants.gov no later than 11:59:59 p.m. eastern time on the
deadline date. Please note that the validation process may take up to
72 hours. Refer to the General Section for timely submission
requirements.
D. Intergovernmental Review: Not required.
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 D of this NOFA at http://www.grants.gov/applicants/apply--for--grants.jsp.
2. Ineligible Activities. You may not use grant funds for any of
the following 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 and lease of up to two X-ray
fluorescence analyzers used by the grant program.
c. Chelation or other medical treatment costs related to children
with Elevated Blood Lead levels (EBLs). Non-federal funds used to cover
these costs may be counted as part of the required matching
contribution.
d. Lead hazard evaluation or 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. Lead hazard evaluation or control activities in housing covered
by a settlement agreement, consent decree, court order or other similar
action by HUD or EPA regarding the Lead Disclosure Rule (24 CFR part
35, Subpart A, or the equivalent 40 CFR part 745, subpart F), or by HUD
regarding its Lead Safe Housing Rule (24 CFR part 35, subparts B-R).
f. Presumption of the presence of lead-based paint or lead-based
paint hazards. A lead-based paint inspection and risk assessment are
required.
g. Activities that do not comply with the Coastal Barrier Resources
Act (16 U.S.C. 3501).
h. Lead-hazard control or rehabilitation 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: Applicants are required to submit
applications electronically via the Web site http://www.grants.gov. See
the General Section for additional information on the electronic
process and how to request a waiver from the requirement, if necessary.
Applicants
[[Page 11548]]
should submit their waiver requests in writing by e-mail. Waiver
requests must be submitted no later than 15 days prior to the
application deadline date and should be submitted to Jonnette Hawkins,
Director, Program Management and Assurance Division, Office of Healthy
Homes and Lead Hazard Control, [email protected]. If you
are granted a waiver of the electronic application submission
requirement, the application must be received by HUD no later than
11:59:59 p.m. on the application deadline date. The waiver approval
notification will provide further information on where to send the
application and the number of copies to be provided.
V. Application Review Information
A. Criteria: The following section applies to all applicants unless
otherwise specified.
1. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (20 points maximum for all applicants)
All applicants.
a. Capacity of the Applicant (10 points). This rating factor
addresses your capacity to successfully implement the proposed
activities. The applicant must demonstrate that it has sufficient
personnel or will actively retain qualified experts or professionals,
and is prepared to perform lead-based paint hazard evaluation, lead-
based paint 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 to actively perform these program
activities within this 120-day period. All applicants must respond to
this Rating Factor, including completing the Factor 1 Table. The
``applicant'' includes the applicant organization as a whole, and the
applicant staff, including key personnel responsible for implementing
the program.
Applicants are to list by name and/or position title all key
personnel, whether currently vacant or contingent upon an award,
including the percentage of time to be dedicated to the proposed
program. Key personnel should include, at a minimum, one Project
Director and one Program Manager. The applicant must describe the
relevant knowledge and experience of the Project Director and Program
Manager, and any additional key personnel, who will carry out program
activities, including the time commitment of each to the proposed
program. The 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 must describe the roles and
responsibilities of each key personnel, including any/all relevant
current or previous experience in the planning and management of large,
complex and interdisciplinary programs involving housing
rehabilitation, lead hazard control, childhood lead poisoning
prevention, or similar work. Resumes (maximum three pages each for up
to three key personnel) or position descriptions for those key
personnel to be hired, and organizational charts for the grant program
must be submitted as an appendix. Similarly, applicants must list and
describe sub-grantees, sub-contractor organizations, sub-recipients and
consultants that will provide services and carry out critical
activities for the proposed grant program. Provide the capacity of the
above entities as demonstrated by experience in initiating and
implementing related environmental, health, or housing projects. List
key personnel from each sub-grantee or sub-contractor organization who
will provide services, their respective roles and responsibilities on
the proposed program and the time commitment to the proposed program.
b. Relevant Organization Experience (10 points).
(1) New Applicants. Your organizational capacity should be
demonstrated by describing prior experience in initiating and
implementing lead hazard control or related environmental, health or
housing programs. Include a table that lists the relevant and most
recent experience in initiating and implementing lead hazard control
efforts and or related environmental, health or housing programs and/or
grants awarded (which may also include philanthropic/foundation awards
for LEAP applicants). Provide examples of relevant programs that you
currently manage or have previously managed within the past three years
(e.g., Lead Hazard Control, CDBG Housing Rehabilitation, Childhood Lead
Poisoning Prevention Program, Healthy Homes Demonstration,
Weatherization, LEAP, etc). Include the following details for each
project:
Title of the project
Start and end date of the project
Funding Agency
Name of the Project Director and Program Manager
Dollar amount of the project
Project goals and deliverables
Whether or not the project was completed on time and all
goals achieved
Discussion of significant obstacles and how they were
resolved
If grant's performance was rated, the final rating
received HUD's evaluation process will consider an applicant's past
performance record as reported to HUD in effectively organizing and
managing its grant operations, in meeting performance and work plan
benchmarks and goals, and in managing funds, including its 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 possess merit.
(2) Current or previous grantees under any of this NOFA's programs:
HUD will evaluate the applicant's quarterly performance reports for the
most recent four (4) quarters, and award a maximum of 10 points based
on the performance ratings.
2. Rating Factor 2: Need/Extent of the Problem (20 points maximum for
Lead-Based Paint Hazard Control and Lead Hazard Reduction Demonstration
Programs, and 10 points maximum for LEAP).
This factor refers to whether or not the community where eligible
lead hazard control activities will be conducted has significant lead-
based paint hazards to be addressed and an urgent need exists for HUD
funding to address the problem in the identified target area(s). A
target area is the area in which you will be performing lead hazard
control activities; the area may be a whole jurisdiction, or, if a
portion of a jurisdiction is being targeted, a specific set of Census
tracts. Each applicant will be evaluated and scored in this rating
factor based on documented need as evidenced by thorough, credible, and
applicable data and information. For you to receive maximum points for
this rating factor there must be a direct and substantial relationship
between your proposed lead hazard control activities, the Consolidated
Plan's lead element, and the documented community needs. Since an
objective of the program is to
[[Page 11549]]
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). The applicant shall complete the Factor 2
Table--Need/Extent of the Problem.
Multiple tables (one per target area) are permissible. Provide the
number of children less than 6 years of age in the target area(s). You
must identify the Census 2000 tract numbers for each target area that
is smaller than your jurisdiction. The data submitted to HUD may be
verified using data available from the Census http://factfinder.census.gov, HUDuser http://www.huduser.org/datasets/il/fmr99rev/hud99revmd.txt, and other sources available to HUD. 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-1940 housing units, 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, and
other socioeconomic or environmental factors in the applicants target
area(s).
a. Points will be awarded based on the documented number of
children with an EBL entered in the Rating Factor 2 table. Documented
Number of Children with an Elevated Blood Lead (EBL) (5 Points Maximum
for LBPHC and LHRD Programs, and 3 Points Maximum for LEAP). See Rating
Factor 2--Table 1 (LBPHC), Table 2 (LHRD) and Table 3 (LEAP) for
``Points Awarded for the Number of Children Under 6 Years of Age with
an Elevated Blood Lead Level in the Applicant's Target Area(s),'' that
can be downloaded for each grant program from http://www.grants.gov/applicants/apply--for--grants.jsp. Provide the Census tract numbers for
each target area that is smaller than your jurisdiction area(s).
Provide the actual number of children documented as having an elevated
blood lead (EBL) residing within the target area and within the
jurisdiction where the lead hazard control work will be conducted for
the most recent complete calendar year and identify the source of the
data. HUD will accept data for the most recent 12-month period
available since January 1, 2003. States must report the number in each
target area and each city, county, or other area where funds will
actually be used. (Data are needed just in the application, and are not
required during or after grant completion.) 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.
Failure to provide this number in the application means that no points
will be awarded for this sub-factor.
b. Points will be awarded based on other socioeconomic or
environmental factors in the applicants target area(s). (Maximum 5
points for Lead-Based Paint Hazard Control and Lead Hazard Reduction
Demonstration Programs, and 3 Points Maximum for LEAP). Describe the
need and extent of the lead poisoning problem in children under six
years of age in terms of other socioeconomic or environmental factors
that demonstrate the need to establish or continue lead hazard control
work in the jurisdiction and target area(s).
c. Points will be awarded based on the documented housing market
data relevant to the specified target area(s) entered in the Rating
Factor 2 table. (5 Points maximum for LBPHC and LHRD Programs, and 2
Points Maximum for LEAP). Points will be awarded under the LBPHC and
LEAP Programs for the number of pre-1978 occupied housing units in the
applicant's target area(s), see Rating Factor 2--Table 4 (LBPHC) and
Table 5 (LEAP) for ``Points Awarded for Number of Pre-1978 Occupied
Housing Units in Target Area(s),'' that can be downloaded as part of
the program instructions from http://www.grants.gov/applicants/apply--
for--grants.jsp. Points will be awarded under the LHRD program for the
number of pre-1940 occupied rental housing units in the applicant's
target area(s), see Table 6 (LHRD) for ``Points Awarded for Number of
Pre-1940 Occupied Rental Housing Units in Target Area,'' that can be
downloaded as part of the program instructions from http://www.grants.gov/applicants/apply--for--grants.jsp.
d. Points will be awarded based on the documented 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 and entered in the Rating Factor 2 table (5 Points
Maximum for LBPHC and LHRD Grant Programs and 2 Points Maximum for
LEAP). http:/// See Rating Factor 2--Table 7 (LBPHC), Table 8 (LHRD)
and Table 9 (LEAP) for ``Points Awarded for Number of Very Low and Low-
Income Percentages of Families in Target Area(s),'' that can be
downloaded from www.grants.gov, for each grant program.
3. Rating Factor 3: Soundness of Approach (40 points maximum for all
applicants)
Applicants shall complete the Rating Factor 3 Table Soundness of
Approach. (All Applicants: Based on analysis of internal historical
data, lead hazard control costs average approximately $8,000 per unit.
It is, therefore, anticipated that average per unit cost for all
programs under this NOFA will be no more than this value. If your per-
unit cost estimate exceeds the above dollar figure, you should justify
the cost overrun).
The work plan should include specific, measurable, and time-phased
objectives for each major program activity and should reflect benchmark
performance standards for unit evaluation, unit production, match/
leverage funds, community outreach and education, skills training, and
other activities. Examples of benchmarks include number of units to be
made lead-safe, number of children living in units to be made lead-
safe, number of persons to be trained to perform lead hazard control
activities, number of educational programs to be presented and/or the
number of persons to be served by such programs. The benchmark form
(Form HUD--96008) and policy guidance on developing work plans are
available at the HUD Web site: http://www.hud.gov/offices/lead/lhc/pgi/index.cfm.
a. Lead Hazard Control Work Plan Strategy (10 Points all
Applicants): Describe the overall work plan goals and time-phased
strategy to complete work within the 36-month period of performance
(Form HUD--96008). Describe the methods, including schedule and
milestones, that will be used to identify and control lead-based paint
hazards and how the desired project benchmarks will be achieved.
Include information about the estimated numbers of families to be
contacted, units enrolled, units to receive risk assessments and
inspections, units to receive lead hazard control work, individuals/
groups to be reached through education and/or outreach activities and
trained.
Additionally, provide responses to the following:
(1) Program Administration and Financial Management. Describe the
approach and method to successfully administer the proposed program.
(a) Include details about staff and project oversight/monitoring,
contract administration (routine monitoring of all sub-grantees and
contractors to ensure conformity to the terms, conditions and
specifications of
[[Page 11550]]
contracts or other formal agreements), and how funding will flow from
the grantee to those who will perform work under the proposed program.
(b) Discuss the lead hazard control financing strategy, including
verification of financing eligibility requirements, terms, conditions,
dollar limits, amounts available for lead hazard control work in the
various categories of housing (e.g., single-family, multi-family,
vacant, owner or tenant-occupied), and who is responsible for
establishing, administering and overseeing this aspect of the program.
Describe how recapture of grants or loan funds to owners of assisted
units will occur when recipients fail to comply with any terms and
conditions of the financing arrangement (e.g., failure to comply with
affordability, affirmatively marketing and providing priority to
renting units to families with children under six years of age, sale of
property, etc.). Explain the type of assistance (e.g. grants, deferred/
forgivable loans and the basis and schedule for forgiveness), and the
role of other resources such as private sector financing and matching,
if any, from rental property owners.
(c) Describe your involvement in coordination among critical
agencies, including participation in the CDC state-wide or
jurisdiction-wide strategic plan to eliminate childhood lead poisoning
by 2010.
(2) Program Start-Up. Describe program start-up activities during
the first 120 days of the grant (hiring/training staff, establishing
qualified contractor pool, outreach/education and unit enrollment
activities).
Provide information about internal and external capacity-building
steps necessary to ensure a smooth and timely start-up phase. Provide
detailed information about other organizations that provide the
knowledge and skills required to address lead hazard control, including
establishment of a qualified contractor pool, and other lead poisoning
prevention actions that are essential for successfully implementing
your program (e.g., education, testing, housing interventions).
(a) Describe the proposed involvement of grassroots community-based
nonprofit organizations, including faith-based organizations, in the
program activities. These activities may include outreach, community
education, marketing, inspection, and housing evaluations and
interventions.
(b) Explain how you will implement the environmental review and
Request for Release of Funds process, and who is responsible to obtain
the required HUD approval for intended lead hazard control work on
eligible, enrolled units. Include a description of the steps to be
taken, and who will be responsible, to comply with applicable
environmental reviews for individual projects.
(3) Outreach, Recruitment and Unit Enrollment. Describe the methods
and strategies, including the individuals and/or sub-grantees, sub-
recipients or contractors responsible for marketing and outreach to
intended target area(s) and/or residents, including recruitment and
enrollment activities to supply the program with sufficient numbers of
eligible units within an established timeframe.
(a) Describe how you will identify, select, prioritize and enroll
eligible housing units in which you will undertake lead hazard control
interventions, especially those known to house EBL children. Include
the number of eligible privately-owned housing units, including the
number of owner-occupied, rental, vacant, single and/or multi-family
units to be enrolled.
(b) Describe your planned approach to control lead hazards in
vacant and/or occupied units before children are poisoned.
(c) Describe measures you will take to sustain recruitment.
Identify the staff responsible for both monitoring recruitment status
and implementing the measures identified to sustain recruitment.
(d) Explain how you will obtain data from state/local health
departments, Childhood Lead Poisoning Prevention Programs (CLPPP) and
other health care and housing agencies on the addresses of housing
units in which children have been identified as lead poisoned, for
purposes of recruiting and enrolling housing units.
(e) Discuss how referrals from the Section 8, Housing Choice
Voucher program and other agencies that provide housing assistance to
low-income households with children, including CDBG, HOME Investment
Partnerships Program-funded housing programs, weatherization or other
sources, will be received and processed.
(f) Describe how you will obtain information in order to document
the occupants of units assisted and meet the Title X income and family
composition requirements by identifying key staff who will certify as
to the eligibility of each unit assisted, based on the determination of
income, and when required, the presence of a child or children under
six years of age.
b. Technical Approach/Lead Hazard Control Intervention (10 Points
for all Applicants). Describe the technical approach and associated
costs for testing enrolled units, blood-lead testing of children in
enrolled units, lead hazard control methods and strategies, occupant
protection and temporary relocation.
Describe the lead hazard control methods, and strategies, including
the most cost-effective hazard control methods you will undertake and
the number of single and multi-family units that you will treat based
on the method selected (e.g., interim controls and/or hazard
abatement). Explain your strategy to ensure that the units are
maintained lead safe after treatment.
If you maintain that approaches other than interim controls are
necessary, a justification is necessary. For example, abatement might
be justified in an area where significant amounts of low-income housing
stock are highly distressed or where lead hazard control work is being
combined with rehabilitation over $25,000 per housing unit. Where
highly distressed housing stock exists, applicants should explain why
options for households to move to lead-safe housing are not viable.
Complete abatement of lead-based painted surfaces in units is
generally not a cost effective strategy. In cases where only a few
surfaces have identified lead-based paint hazards and if abatement is
cost-effective, the applicant must provide a detailed rationale for
selecting complete abatement as a strategy.
(a) Management. Indicate the individual or entity responsible for,
and describe the process for developing the work specifications and the
lead hazard control contractor bid and selection process (i.e., the
contracting) on properties selected for lead hazard control work.
Explain the management process to ensure the cost-effectiveness of
intended lead hazard control methods.
(b) Coordination.
(1) Explain the coordination of relevant activities among lead
hazard control, rehabilitation, weatherization, and other contractors
performing work other than lead hazard control.
(2) Describe your testing methods, schedule, and costs for lead-
based paint inspections and risk assessments and clearance
examinations. If you propose to use a more restrictive standard than
the HUD/EPA thresholds, provide the standard(s) that will be used. All
testing shall be performed in accordance with applicable regulations.
(3) Describe how you will ensure that contractors, property owners
and maintenance personnel performing interim controls and lead hazard
abatement work are properly trained and/or certified, and how work will
be monitored and supervised to ensure that contractors perform work of
reasonable quality in compliance with work
[[Page 11551]]
specifications and applicable federal/state/local regulations.
(4) Provide a realistic schedule for completing key program
activities and outputs, by quarter, so that all activities and outputs
can be completed before or within the grant period of performance. Key
production activities include unit enrollment, lead-based paint
inspection and risk assessments, hazard control and clearance of units.
Describe the estimated timeframe for treating a typical unit from
referral and intake to hazard control and clearance. Explain how the
program will accommodate emergency referrals (e.g., units occupied by a
child under six years of age with an EBL).
(5) Provide guidelines and/or flowcharts that demonstrate the
agency and team member responsibilities for each step in the unit
production process (from intake and enrollment to completion and
clearance of units). Describe how coordination and hand-offs from
individuals or agencies to and from each step in the unit production
process will be carried out. Discuss how the actual production status
of units, from intake and enrollment to completion and clearance, will
be monitored, and how and when impediments to production will be
identified and remedied.
(6) Relocation:
(a) Describe your plan for the relocation of occupants of units
selected for remediation, if temporary relocation is necessary (see
Section VI B.4, below). If temporary relocation is necessary, address
the use of safe houses and other housing arrangements, storage of
household goods, stipends, incentives, etc., and the source of funding
for relocation.
(b) If relocation is necessary for occupants of rental units,
describe your plan for ensuring right of return and/or first referral
for occupants of units selected for remediation who have had to move
for the remediations to be performed. Describe your plan and the
individual(s) responsible for occupant protection and the temporary
relocation of occupants of units selected to receive lead hazard
control work. Describe strategies to avoid overnight relocation in
small-scale projects consistent with applicable subsections of HUD's
Lead Safe Housing Regulations.
(7) Describe the methods, measures and cost for performing blood
lead testing in children less than six years of age.
(a) Describe strategies to increase blood lead testing of children
within the target area(s).
(b) Explain who will be responsible for ensuring and how you will
ensure that all children less than six years of age who occupy units to
be assisted with lead hazard control work receive blood lead testing
within six months of commencement of work on the unit.
(c) Identify the individual responsible to ensure that children
identified with an elevated blood-lead level are referred to
appropriate medical care and how patient confidentiality, privacy and
the security of medical information is protected as required by the
Health Insurance Portability and Accountability Act (HIPAA) of 1996.
c. Economic Opportunity (7 points for all applicants).
(1) Section 3 Requirement (2 of 7 points). Explain how you will
provide appropriate economic opportunities to Section 3 residents and
Section 3 businesses of the target area, in compliance 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 Section 3 requirements by identifying the number of
individuals to receive such training per discipline, the schedule for
delivering said training for low and very low-income persons living
within the applicant's jurisdiction, and how trained individuals will
be linked to employment opportunities with Section 3 businesses owned
by and/or employ low and very low-income persons living within the
grantee's jurisdiction.
(2) Lead Hazard Control Outreach (5 of 7 points).
(a) Describe your involvement in collaborative agreements or
arrangements with childhood lead poisoning prevention programs,
housing, community development, and code enforcement agencies (or
equivalent) for the target area(s), as applicable. If these
collaborative agreements or arrangements are not yet made, address
plans to develop these agreements.
(b) Discuss the opportunity-to-learn approaches to educate
children, parents, workers, business people, and other community
members about lead poisoning prevention and lead hazard control.
Include how the proposed educational program will continue to meet the
needs of those children already living in units to receive lead hazard
control work.
(c) Community and Private Sector Involvement:
(i) Describe the role of grassroots, community-based nonprofit
organizations, including faith-based organizations, in specific program
activities (e.g., hazard evaluation and control, monitoring, awareness,
education and outreach within the community).
(ii) Explain how the intended education program(s) will be
culturally sensitive, targeted, and linguistically appropriate.
Identify the means available to supply the educational materials in
other languages (identify all that apply) common to the community.
(iii) Include the estimated number of individuals to receive the
intended education and the estimated number of events to be delivered.
(d) Affirmatively Furthering Fair Housing:
(i) Describe 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.
(ii) Identify who will ensure and how the applicant will ensure
that the program will continue to affirmatively market and match
treated units with low-income families with children less than six
years of age in the future.
(iii) Explain how this outreach strategy will avoid housing
discrimination against families with young children, and how families
will have adequate, lead-safe housing choices in the future. 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 or the grantee team.
d. HUD's Departmental Policy Priorities and Consolidated Plan (6
points for all applicants; each policy priority is 1 point, except the
policy priority addressing Removal of Regulatory Barriers (#4, which is
2 points). Please note that HUD Form 27300 requires the submission of
documentation and contact information to receive policy priority
points. Indicate if, and describe how, you will address any of HUD's
departmental policy priorities (see General Section for more detailed
explanation of HUD's policy priorities). Applicants shall also provide
evidence of the priority that the community's Consolidated Plan and
Analysis of Impediments to Fair Housing Choice has placed on addressing
the needs described.
The policy priorities that are applicable to this NOFA, and which
the applicant should address, are: (1) Improving our Nation's
Communities (focus on distressed communities); (2) Providing Full and
Equal Access to Grassroots Community-based Non-profit Organizations,
including Faith-based Organizations in HUD Program Implementation; (3)
Participation of Minority-Serving Institutions in HUD
[[Page 11552]]
Programs; (4) Removal of Regulatory Barriers to Affordable Housing; and
(5) Promoting Energy Efficiency and Energy Star. HUD expects the
applicants to implement Energy Star building techniques and utilize
Energy Star appliances whenever activities of the grant afford the
opportunity. (For information on Energy Star Programs and Appliances,
see http://www.epa.gov/epahome/athome.htm and HUD's scheduled webcast.)
Describe how the proposed program would contribute to satisfying
the stated needs in the Consolidated Plan or Indian Housing Plan, and
eliminate impediments identified in the Analysis of Impediments (AI).
e. Data Collection and other Program Support Activities (2 Points
for all Applicants).
(1) Identify and discuss the specific methods you will use (in
addition to HUD reporting requirements) to document activities,
progress, and program effectiveness. Explain how you will make
necessary changes to improve program performance.
(2) Describe how databases, including web sites, computer, paper or
other formats, will incorporate the provisions of the Privacy Act of
1974, such that the addresses of enrolled, treated and/or cleared
housing units shall not include personal information that could
identify any child affected.
f. Budget Proposal (5 points).
(a) Your budget proposal should thoroughly estimate all applicable
costs (administrative, direct, indirect, and other direct 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. Your
application will be evaluated on the extent to which your resources are
appropriate for the scope of your proposed project.
(b) Your narrative justification associated with these budgeted
costs should be submitted as part of the Total Budget (Federal Share,
Matching and Leveraging), but is not included in the 20-page limit for
this submission. Separate narrative justifications should be submitted
for partners that are submitting separate budgets. Your proposed budget
should clearly identify the funding or cash equivalent amounts being
provided as matching funds and as leveraged funds. These funds should
reflect the numbers and contributions provided in response to Rating
Factor 4, Leverage.
(c) The application will not be rated on the proposed cost;
however, cost will be considered in addition to the rated factors to
determine whether the proposal is 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.
4. Rating Factor 4: Leveraging Resources (10 points maximum for
Lead-Based Paint Hazard Control and Lead Hazard Reduction Demonstration
Program, and 20 points maximum for LEAP). This rating factor applies to
all programs unless otherwise specified.
LBPHC and LHRD applicants will be given higher points for leveraged
contributions that the applicant commits over and above the 10 percent
or 25 percent statutory match requirement. For LEAP applicants,
leveraged contributions at or above 100 percent of the federal
requested amount are eligible to receive higher points. See Section
III.B, Cost Sharing and Match, regarding letters of commitment from
organizations other than the applicant required for the leveraging to
be eligible for points. Based on the documented match/leverage funding,
points will be awarded in accordance with the charts below.
------------------------------------------------------------------------
Lead-based paint hazard control and lead hazard reduction demonstration
-------------------------------------------------------------------------
Documented leveraged contributions of the requested HUD Points
amount: at least (percent) awarded
------------------------------------------------------------------------
10........................................................ 0
15........................................................ 1
20........................................................ 2
30........................................................ 3
40........................................................ 4
50........................................................ 5
60........................................................ 6
70........................................................ 7
80........................................................ 8
90........................................................ 9
100....................................................... 10
------------------------------------------------------------------------
LEAP
------------------------------------------------------------------------
0......................................................... 0
100....................................................... 1.00
110....................................................... 2.25
120....................................................... 3.50
130....................................................... 4.75
140....................................................... 6.00
150....................................................... 7.25
160....................................................... 8.50
170....................................................... 9.75
180....................................................... 11.00
190....................................................... 12.25
200....................................................... 13.50
210....................................................... 14.75
220....................................................... 16.00
230....................................................... 17.25
240....................................................... 18.50
250....................................................... 20.00
------------------------------------------------------------------------
5. Rating Factor 5: Achieving Results and Program Evaluation (10
Points maximum for all applicants). This rating factor reflects HUD's
goal to embrace high standards of ethics, management, and
accountability.
a. Description of program activities, outputs and short-term,
intermediate-term and long-term outcomes (5 points).
(1) State clearly the project goals (``benchmarks'') and activities
to achieve these goals.
(2) Describe how you will measure the results.
(3) Explain how you will document and track your goals, program
activities, and schedules.
(4) Identify the procedures you will follow to make adjustments to
your work plan to improve performance if benchmarks are not met within
established timeframes.
b. Logic Model (5 points).
(1) Submit Form HUD-96010.
HUD is using an electronic Logic Model with dropdown menus from
which you can select needs, activities, and outcomes appropriate to
your program. See the General Section for detailed information on the
use of the Logic Model. HUD is requiring grantees to use program-
specific questions to self-evaluate the management and performance of
their program. Training on HUD's logic model and the reporting
requirements for addressing the Management questions will be provided
via satellite broadcast.
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 evaluation plan, to ensure the project is on schedule
and within budget.
(2) Performance indicators should be objectively quantifiable and
should measure actual achievements against anticipated achievements.
Step 1. The planning component of the logic model should identify the
problem or need and develop a plan. Step 2. The intervention component
of the logic model should identify the kinds of services, activities,
and outputs projected. Step 3. The
[[Page 11553]]
impact component of the logic model should identify the projected
outcomes. Step 4. The accountability (phase one) component of the logic
model should include data sources, measurement, and reporting tools.
Step 5. The accountability (phase two) component of the logic model
should include the evaluation methodology or the evaluation process. As
a planning tool, the logic model can provide the statement of need and
also provide the rationale for the proposed service or activity. For
goals or benchmarks, the logic model can provide a set of quantifiable
goals including timeframes. These goals allow you, the applicant, and
HUD to monitor and assess your progress in achieving your program work
plan. The process for the achievement of outcome goals should include
identifying the expected outcome and the estimated number needed to
achieve the goal or the expected outcome in terms of the community
impact or changes in economic and social status. Some examples of
measurement-reporting tools are survey instruments; attendance logs;
case report; pre-post tests; or waiting lists. Describe where/how data
are maintained, for example, central databases; individual case
records; specialized access databases, tax assessor databases; and
local precinct. Also, identify the location where the database is
maintained, updated, etc., for example, on-site, subcontractor, or
specify (e.g., identify what the other is).
6. Bonus Points (2 Points for All Programs)
Applicants are eligible for two bonus points for projects that the
applicant proposes to conduct in federally designated Empowerment Zones
(EZs), Renewal Communities (RCs), or Enterprise Communities designated
by United States Department of Agriculture (USDA) in round II (EC-IIs)
and that are certified to be consistent with the area's strategic plan
or RC Tax Incentive Utilization Plan (TIUP). Applicants must submit a
completed Certification of Consistency with the RC/EZ/EC-II Strategic
Plan--Form HUD-2990 signed by the appropriate official of the RC/EZ/EC
II and also meet the requirements listed in the General Section for a
possible award of two bonus points.
Discuss whether any of the proposed activities will occur in any of
these areas and how they will benefit the residents of those zones or
communities.
B. Reviews and Selection Process
1. Rating and Ranking. Please refer to the General Section.
a. Applicants 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 of
this NOFA.
b. Remaining Funds. Refer to the General Section for HUD's
procedures if funds remain after all selections have been made within a
category.
c. The scoring criteria to be used to award the maximum points for
this NOFA are based on how fully and thoroughly the applicant answers
each item listed in each rating factor.
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.
b. The maximum number of points to be awarded is 100 plus two bonus
points as described in the General Section and above.
c. The factors for rating and ranking eligible applicants under all
categories, and the maximum points for each factor are stated below:
------------------------------------------------------------------------
Maximum points
-----------------
Rating factors LBPHC &
LHRD LEAP
------------------------------------------------------------------------
1. Capacity of the Applicant and Relevant 20 20
Organizational Experience............................
2. Need/Extent of the Problem......................... 20 10
3. Soundness of Approach.............................. 40 40
4. Matching and Leveraging Resources.................. 10 20
5. Achieving Results and Program Evaluation........... 10 10
Empowerment Zone, Renewal Zones and Enterprise 2 2
Community (II) Bonus Points..........................
-----------------
Total............................................. 102 102
------------------------------------------------------------------------
VI. Award Administration Information
A. Award Notices
1. Applicants Selected for Award.
a. Successful applicants will receive a letter from the Office of
Healthy Homes and Lead Hazard Control Grant Officer providing details
regarding the effective start date of the grant agreement and any
additional data and information to be submitted to execute the grant.
This letter is not an authorization to begin work or incur costs under
the grant.
b. HUD may require that a selected applicant participate in
negotiations to determine the specific terms of the grant agreement,
budget, and Logic Model. Should HUD not be able to successfully
conclude negotiations with a selected applicant, an award will not be
made. Applicants should note that, if they are selected for multiple
awards, they must ensure that they have sufficient resources to provide
the promised match and/or leveraging for the multiple awards. During
negotiations, such applicants would be required to provide alternative
match and/or leveraged resources, if necessary, before the grant can be
awarded in order to avoid committing duplicate match and/or leveraged
resources to more than one OHHLHC grant. If the applicant accepts the
terms and conditions of the grant agreement, a signed grant agreement
must be returned by the date specified. Instructions on how to have the
grant agreement account entered into HUD's Line of Credit Control
System (LOCCS) payment system will be provided. Other forms and program
requirements will be provided. In accordance with OMB Circular A-133
(Audits of States, Local Governments and Nonprofit Organizations), if
an awardee expends $500,000 in federal funds in a single year, they
follow the requirements of the Single Audit Act and must submit their
completed audit-reporting package along with the Data Collection Form
(SF-SAC) to the Single Audit Clearinghouse. The address can be
[[Page 11554]]
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
applicants to request a debriefing.
3. Negotiation. Refer to the General Section for additional
details.
4. 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. 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-hazard control or rehabilitation activities
that are undertaken pursuant to this NOFA.
2. 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.
3. 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.
4. Relocation. 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, that cover any person (including individuals,
businesses, and farms) displaced as a direct result of the acquisition,
rehabilitation, or demolition of real property, apply to this grant
program. If such persons are required to temporarily relocate for a
project, the requirements of the URA regulations at 49 CFR 24.2(a)(9)
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/index.html by entering
the regulatory citation in quotes without any spaces (e.g.,
``49CFR24.2'') in the Quick Search box.). See Section III.C.4.e of the
General Section for additional information about relocation.
5. Davis-Bacon wage rates. The Davis-Bacon wage rates are not
applicable to these programs. However, if you use grant funds in
conjunction with other federal programs, Davis-Bacon requirements will
apply to the extent required under the other federal programs.
6. Procurement of Recovered Materials. See the General Section for
information concerning this requirement.
7. Executive Order 13202. ``Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally-Funded Construction Projects.'' See General
Section for information concerning this requirement.
C. Reporting: Reports shall comply with section VI.C. of the
General Section. In addition, 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. The following items are a part of
OHHLHC reporting requirements.
1. Final Work Plan and Budget are due within sixty days of signing
the grant agreement.
2. Progress reports are due on a quarterly basis. In quarterly
reports, grantees provide information about accomplishments in the
areas of program management; assessment and intervention activities;
community education, outreach, training and capacity building; data
collection and analysis; as well as a listing of completed units and
financial report. 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.
For FY 2007, HUD is considering a new concept for the Logic Model. The
new concept is a Return on Investment (ROI) statement. HUD will be
publishing a separate notice on the ROI concept.
3. Annual report shall be submitted at the end of each fiscal year.
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.
4. Racial and Ethnic Beneficiary Data. HUD does not require LBPHC,
LHRD and LEAP awardees 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 agreement. You must report the data as described in the
General Section and use the Office of Management and Budget's Standards
for the Collection of Racial and Ethnic Data, using Form HUD-27061,
Race and Ethnic Data Reporting Form, if applicable (HUD Race Ethnic
Form on Grants.gov), found on HUD's Web site at http://www.hudclips.org/cgi/index.cgi. Grantees can also use an online system
to meet this requirement, provided the data elements and reports
derived from the system are equivalent to the data collection in the
form HUD-27061.
5. All grant recipients must comply with reporting requirements of
subpart E (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).
VII. Agency Contact(s)
For questions related to the application process, you may contact
the Grants.gov help line at 800-518-GRANTS. For programmatic questions,
you may contact: Ms. Jonnette G. Hawkins, Director, Program Management
and Assurance Division, Office of Healthy Homes and Lead Hazard
Control: Department of Housing and Urban Development; 451 Seventh
Street, SW., Room 8236, Washington, DC 20410-3000; telephone (202) 755-
1785, extension 7593 (this is not a toll-free number); facsimile (202)
755-1000; e-mail: [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 7580 (this
is not a toll-free number); e-
[[Page 11555]]
mail at: [email protected]. If you are a hearing- or
speech-impaired person, you may reach the above telephone numbers via
TTY by calling the toll-free Federal Information Relay Service at 1-
800-877-8339.
VIII. Other Information
A. General. 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. 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 2539-0015. 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 80 hours to prepare the
application, 16 hours to finalize the grant agreement, and 32 hours per
annum for grant administration (progress reporting) per respondent.
This includes the time for collecting, reviewing, and reporting the
data for the application, quarterly reports, and final report. The
information will be used for awardee 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. Appendices A, B, C, D and E of this NOFA are
available for downloading with the application at http://www.grants.gov/applicants/apply for grants.jsp. Appendix E lists HUD's
comments on selected issues related to the Lead Hazard Reduction
Demonstration Grant Program.
[[Page 11556]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.013
[[Page 11557]]
Lead Technical Studies and Healthy Homes Technical Studies Programs
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 and Healthy
Homes Technical Studies.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: FR-5100-N-25, OMB Paperwork Approval
number is 2539-0015.
E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.902,
Lead Technical Studies Grant Program, and 14.906, Healthy Homes
Technical Studies Grant Program.
F. Dates: The application deadline date is May 18, 2007.
Applications must be received and validated by Grants.gov no later than
11:59:59 pm eastern time on the application deadline date. See Section
IV of the General Section, regarding application submission procedures
and timely filing requirements.
G. Additional Information:
1. Purpose: To fund technical studies to improve existing methods
for detecting and controlling lead-based paint and other housing-
related health and safety hazards, to develop new methods to detect and
control these hazards, and to improve our knowledge of lead-based paint
and other housing-related health and safety hazards.
2. Available funding: HUD anticipates that approximately $5.6
million will be available. Of this, approximately $3.6 million is for
Lead Technical Studies and approximately $2.0 million is for Healthy
Homes Technical Studies.
3. Anticipated awards: Approximately 4 to approximately 10 awards
will be made for the Lead Technical Studies Program, ranging from
approximately $200,000 to a maximum of $1 million each for the entire
period of performance. The anticipated amounts and number of individual
awards for the Healthy Homes Technical Studies Program will be
approximately 2 to approximately 6 awards, ranging from approximately
$200,000 to a maximum of $1million each for the entire period of
performance.
4. Type of awards: Cooperative agreements, with substantial
involvement of the government, will be awarded (see Paragraph II.C for
a description of substantial involvement).
5. Eligible applicants: Academic, not-for-profit and for-profit
institutions located in the U.S., state and units of general local
government, and federally recognized Native American tribes are
eligible to apply. For-profit firms are not allowed to earn a fee
(i.e., make a profit from the project).
6. Cost sharing or ``matching'' is not required; however, applicant
``leveraging'' contributions are encouraged (see Section V.A.3.d).
7. There is no limit on the number of applications that each
applicant may submit.
8. The applications for this NOFA can be found at www.grants.gov.:
The General Section contains information on submission requirements and
procedures. Please carefully review the General Section before reading
the program section so that you understand the Grants.gov electronic
application process.
Full Text of Announcement
I. Funding Opportunity Description
A. Purpose of the Programs
The overall goal of both the Lead and the Healthy Homes Technical
Studies programs is to gain knowledge to improve the efficacy and cost-
effectiveness of methods for evaluation and control of lead-based paint
and other housing related health and safety hazards. This also supports
HUD's Strategic Goal to Strengthen Communities and the associated
policy priority to Improve Our Nation's Communities by improving the
environmental health and safety of families living in public and
privately owned housing.
B. Program Description
HUD is funding studies to improve HUD's and the public's knowledge
of lead-based paint hazards and other housing-related health and safety
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 discussed in Appendix A of this NOFA. A list of
references that serves as the basis for the information provided in
this NOFA is provided as Appendix B to this NOFA. Both Appendix A and
Appendix B of this NOFA can be found on HUD's Web site at http://www.grants.gov/applicants/apply--for--grants.jsp.
1. General Goals
a. Lead Technical Studies
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 working 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 appropriate, you are strongly
encouraged to build your proposed study 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).
The results of the 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). For supporting references, including
where to find the Guidelines, see Appendix B on HUD's Web site at
http://www.grants.gov/applicants/apply--for--grants.jsp.
b. Healthy Homes Technical Studies
The overall goals and objectives of the Healthy Home Initiative
(HHI), which includes the Healthy Homes Technical Studies Program and
the Healthy Homes Demonstration Grant Program (see the Healthy Homes
Demonstration Grant Program NOFA published in this SuperNOFA), are to:
(1) 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-related
hazards; and
(2) Build local capacity to operate sustainable programs that will
continue to prevent, minimize, and control housing-related hazards in
low- and very low-income residences when HUD funding is exhausted.
The HHI departs from the more traditional approach of attempting to
correct one hazard at a time. HUD is interested in promoting approaches
that are cost-effective and efficient and result in the reduction of
health threats for the maximum number of residents and, in particular,
low-income children.
In April 1999, HUD submitted a preliminary plan that described the
HHI to Congress. The submission (Summary
[[Page 11558]]
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.
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, poor maintenance,
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. HUD has also developed resource
papers on a number of topics of importance under the HHI, including
mold, environmental aspects of asthma, carbon monoxide, and
unintentional injuries. These resource papers can be downloaded at
http://www.hud.gov/offices/lead/hhi/hhiresources.cfm.
Brief descriptions 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.
2. Community Participation
HUD believes that it is important for researchers to incorporate
some aspect of meaningful community participation in the development
and implementation of studies that are conducted in communities and/or
involve significant interaction with community residents. Community
participation can improve study effectiveness in various ways,
including the development of more appropriate research objectives,
improving recruitment and retention of study participants, improving
participants' involvement in and understanding of a study, improving
ongoing communication between researchers and the affected community,
and more effectively disseminating study findings. HUD encourages
applicants to consider using a ``community based participatory research
(CBPR)'' approach, where applicable, in study design and
implementation. (See, e.g., the report published by the National
Institute of Environmental Health Sciences titled ``Successful Models
of Community-Based Participatory Research'' at: http://www.niehs.nih.gov/translat/pubs.htm). CBPR is characterized by
substantial community input in all phases of a study (i.e., design,
implementation, data interpretation, conclusions, and communication of
results).
C. Authority
The Lead Technical Studies program is authorized under sections
1011(g)(1), 1011(o), and 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.). The Healthy Homes
Technical Studies program is authorized under sections 501 and 502 of
the Housing and Urban Development Act of 1970 (12 U.S.C. 1701z-1 and
1701z-2). Fiscal Year 2007 funds for both programs are authorized under
the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5,
approved February 15, 2007).
II. Award Information
A. Funding Available
Approximately $3.6 million in fiscal year 2007 funds are available
for Lead Technical Studies. Approximately $2.0 million is available for
Healthy Homes Technical Studies. Cooperative agreements will be awarded
on a competitive basis following evaluation of all eligible proposals
according to the rating factors described in Section V.A.3 of this
NOFA. HUD anticipates that approximately 4 to 10 awards will be made
for the Lead Technical Studies Program, and that approximately 2 to 6
awards will be made for the Healthy Homes Technical Studies Program
with awards ranging from approximately $200,000 to no more than $1
million per award for each program. 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 awards on new subjects. 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 not later than
October 1, 2007. The period of performance cannot exceed 36 months from
the time of award. The proposed performance period should include
adequate time for such project components as the Institutional Review
Board process, if required, the recruitment of new staff and/or 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 84.25(e)(2) or
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 than 36 months; however, when developing
your schedule, you should consider the possibility that issues may
arise that could cause delays.
C. Type of Award Instrument
Awards will be made as cooperative agreements. Anticipated
substantial involvement by HUD staff for cooperative agreements may
include, but will not be limited to:
1. Review and suggestion of amendments to the study design,
including: study objectives; field sampling plan; data collection
methods; sample handling and preparation; and sample and data analysis.
2. Review and provision of technical recommendations in response to
quarterly progress reports (e.g., amendments to study design based on
preliminary results).
3. Review and provision of technical recommendations on the journal
article(s) and final study report.
4. Requirements for peer review of scientific data in accordance
with the Office of Management and Budget Information Quality
Guidelines. All HUD-sponsored research is subject to the OMB Final
Information Quality Bulletin for Peer Review (70 FR 2664-2677, January
14, 2005) prior to its public dissemination. In accordance with
paragraph II.2 of the Bulletin, HUD will not need further peer review
conducted on information that has already been subjected to adequate
peer review. Therefore grantees must provide enough information on
their peer review process for HUD to determine whether additional
review is needed.
III. Eligibility Information
A. Eligible Applicants
Academic and non-profit institutions located in the United States,
state and units of general local government, 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 profit from the project. Applications to supplement existing
projects are eligible to compete with applications for new awards.
Federal agencies are not eligible to submit
[[Page 11559]]
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 resource leveraging.
C. Other
1. Eligible Activities
a. Lead Technical Studies.
HUD is particularly interested in the following topics:
(1) Development of alternative or improved clearance methods. The
clearance of a dwelling following lead hazard control activities is
achieved by collecting dust-wipe samples following a standard protocol,
with subsequent analysis of the samples by a laboratory recognized
under the National Lead Laboratory Accreditation Program (NLLAP). Lead
hazard control costs could be reduced if immediate clearance results
could be obtained in the field. Existing techniques that can be used to
analyze dust samples in the field include the use of portable X-ray
fluorescence (XRF) analyzers and anodic stripping voltammetry (ASV)
instruments. It is theoretically possible to also employ colorimetric
methods to analyze clearance samples. These techniques can be used in a
screening context in which a ``failure'' would indicate the need for
additional cleaning before definitive clearance wipe samples are
collected for analysis by an appropriate laboratory. It is possible for
an organization using a field-based technology to achieve recognition
as a portable laboratory under NLLAP; however, it is HUD's
understanding that, to date, this has not been done. HUD is interested
in funding research that improves the performance of portable
analytical technologies for lead dust-wipe analysis with the ultimate
goal of improving the feasibility for such technologies to be used to
conduct definitive analyses in the field.
HUD has funded research for the on-site use of X-Ray Fluorescence
(XRF) for dust wipe lead analysis and does not intend to fund
additional work on this topic through this NOFA.
(2) Reducing exterior soil as a cause of 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. These previous
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 or other additives;
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; development of new sampling method for surface
soils, and reducing surface soil-lead hazards by overlaying with clean
soil and grass cover (see, e.g.: Binns et al., 2004, and Farfel et al.,
2005, in Appendix B).
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 retain
their effectiveness. Also, the relationship between control of soil
lead hazards and interior dust lead levels has not been adequately
described.
(3) Effectiveness of Ongoing Maintenance Activities 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.
(4) 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 and the performance of Lead Hazard Control
grantees and other activities). 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. Applicants proposing
projects under this topic area should focus primarily on the use of
existing data as opposed to the collection of new data through field
activities. An applicant must demonstrate why the collection of any new
data is important in the context of a proposed study (e.g., to validate
a model developed using publicly available data) and that there is a
limited amount of new data being collected.
(5) Other Focus Areas that are Consistent with the Overall Goals of
HUD's Lead Technical Studies Program. HUD will consider funding
applications for technical studies on other topics that are consistent
with the overall goals and objectives of the Lead Technical Studies
program, as described above. In such instances, for an applicant to
receive an award, it is necessary that the applicant describe in
sufficient detail how the proposed study is consistent with the overall
lead technical studies program goals and objectives.
Note: A limited amount of lead hazard control activities, which
involve construction rather than research, may be conducted as part
of a project (see Section IV.E.9 of this NOFA).
b. Healthy Homes Technical Studies
(1) HUD expects to advance the recognition and control of
residential
[[Page 11560]]
health and safety hazards and more closely examine the link between
housing and health. The overall objectives of the Healthy Homes
Technical Studies projects to be funded through this NOFA include, but
are not limited to:
(a) Development and evaluation 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 novel approaches);
(f) Analysis of existing data or generation of limited 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:
(i) The prevalence of carbon monoxide and other indoor air quality
hazards;
(ii) The prevalence and patterns of moisture problems and
biological contaminants associated with excess moisture (e.g., fungi,
mold, bacteria, dust mites);
(iii) The prevalence of specific childhood injury hazards in
housing; and
(iv) Improved understanding of the relationship between a
residential exposure and childhood illness or injury.
Applicants that propose this type of study should discuss how the
knowledge that is gained from the study could be used in a program to
reduce these hazards in target communities.
(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. The OHHLHC has noted
that these types of studies pose a high risk of experiencing
significant delays. 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.
(2) HUD is particularly interested in the following topics:
(a) 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, with an
emphasis on low-income housing.
(b) 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;
(c) 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);
(d) 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;
(e) 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. If
you propose a study in this focus area you should cite and discuss the
theoretical basis for the education/outreach approach that you are
proposing.
(f) Other Focus Areas that are Consistent with the Overall Goals of
HUD's Healthy Homes Technical Studies Program. HUD will consider
funding applications for technical studies on other topics that are
consistent with the overall goals and objectives of the Healthy Homes
Technical Studies program, as described above. In such instances, for
an applicant to receive an award, it is necessary that the applicant
describe in sufficient detail how the proposed study is consistent with
the overall program goals and objectives.
(3) General Information. In proposing to conduct a study on a
particular topic, applicants should consider:
(a) 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;
(b) The efficacy of the proposed methods for hazard control and
risk reduction (e.g., how long is effective hazard reduction
maintained);
(c) Where and how these methods would be applied and tested, and/or
perform demonstration activities; and
(d) The degree to which the study will help develop practical,
widely applicable methods and protocols or improve our understanding of
a residential health hazard.
Applications for a study for which the sole or primary focus is on
lead-based paint hazards are ineligible for funding under the Healthy
Homes Technical Studies program. Such studies should be submitted for
funding under the Lead Technical Studies Program.
Applicants should consider the efficiencies that might be gained by
working cooperatively with one or more recipients of HUD's Healthy
Homes Demonstration and/or Lead Hazard Control grants, which are widely
distributed throughout the United States. Information on current
grantees is available at http://www.hud.gov/offices/lead.
You may address one or more than one of the above technical studies
topic areas within your proposal, or submit separate applications for
different topic areas.
Note: A limited amount of hazard control activities, which
involve construction rather than research, may be conducted as part
of a Healthy Homes Technical Studies project (see Section IV.E.9 of
this NOFA).
2. Threshold Requirements Applicable to all Applicants.
To receive an award of funds from HUD, you must meet all the
threshold requirements in the General Section.
3. Program Requirements.
The following requirements are applicable to both the Healthy Homes
Technical Studies and Lead Technical Studies Programs:
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 cooperative agreement 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 cooperative
agreement.
[[Page 11561]]
b. Regulatory Compliance. Grantees must comply with all relevant
federal, state, and local regulations regarding exposure to and proper
disposal of hazardous materials.
c. Blood Lead Testing. Any blood lead testing, blood lead level
test results, medical referral, or follow-up for children under 6 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).
d. Restricted Use of Funds. HUD technical studies grant funds will
not replace existing resources dedicated to any ongoing project.
e. Laboratory Analysis for Lead. Laboratory analysis covered by the
NLLAP will be conducted by a laboratory recognized under the program.
f. Laboratory Analysis for Mold. Samples to be analyzed for mold
(fungi) must be submitted to a laboratory accredited through the
Environmental Microbiological Laboratory Accreditation Program (EMLAP),
administered by the American Industrial Hygiene Association (AIHA).
g. Human Research. 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, which incorporates
the Department of Health and Human Services (DHHS) Protection of Human
Subjects regulation at 45 CFR part 46.
h. OSHA Compliance. 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.
i. Civil Rights. The institution administering the grant must meet
the civil rights threshold set forth in the General Section.
j. Disclosure. All test results and other information 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 knowledge of lead-based paint
and its hazards to tenants (before initial leasing, or before lease
renewal with changes) and buyers (before sale) (24 CFR Part 35, subpart
A). 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.
k. Privacy. 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. You should
also check to ensure you meet state privacy regulations.
l. Applicants must incorporate meaningful community involvement
into any study that requires a significant level of interaction with a
community during implementation (e.g., projects being conducted within
occupied dwellings or which involve surveys of community residents).
The term community refers to a variety of populations comprised of
persons who have commonalities that can be identified (e.g., based on
geographic location, ethnicity, health condition, common interests).
Applicants should identify the community that is most relevant to their
particular project. There are many different approaches to involving
the community in the conception, design, and implementation of a study
and the subsequent dissemination of findings. Examples include but are
not limited to: Establishing a structured approach to obtain community
input and feedback (e.g., through a community advisory board);
including one or more community-based organizations as study partners;
employing community residents to recruit study participants and collect
data; and enlisting the community in the dissemination of findings and
translation of results into improved policies and/or practices. A
discussion of community involvement in research involving housing-
related health hazards can be found in Chapter 5 of the Institute of
Medicine publication titled ``Ethical Considerations for Research on
Housing-Related Health Hazards Involving Children'' (see Appendix B for
more information on this report).
m. 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 businesses
which provide economic opportunities to low- and very low-income
persons. The regulations may be found at 24 CFR part 135.
n. 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 can be found 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 5 percent
of your total allergen dust samples will consist of Quality Control
samples.
4. 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. Your DUNS number must be included in your
electronic application submission. Be sure to use the DUNS number that
you have registered as an Authorized Organization Representative (AOR)
with Grants.gov and that your eBusiness Point of Contact has authorized
you to submit an application on behalf of the applicant organization
(see the General Section for details about the Grants.gov registration
process).
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
All applications must be submitted electronically. 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/applicants/apply--for--
grants.jsp. If you have difficulty accessing the information you may
call the Grants.gov help line toll-free at (800) 518-GRANTS (4726) from
Monday to Friday from 7 a.m. to 9 p.m. eastern time, or send an e-mail
to [email protected].
[[Page 11562]]
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 contained in
the General Section that are applicable to this funding announcement
(collectively referred to as the ``standard forms''). Copies of these
forms are available on line at http://www.grants.gov/applicants/apply--
for--grants.jsp. 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. Information contained in the abstract will
not be considered in the evaluation and scoring of your application.
Any information you wish to be considered should be provided under the
appropriate rating factor response.
b. All forms as required by the General Section. However, forms
HUD-2991 (Certification of Consistency with the Consolidated Plan) and
HUD-27061 (Race and Ethnicity Data) are not required with the
application for these programs.
c. Materials Submitted. A project description/narrative statement
addressing the rating factors for award under the program (Lead
Technical Studies or Healthy Homes Technical Studies) for which you are
applying. 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. The project description or narrative 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,
with a minimum 12-point font and a minimum margin width of 1-inch. Any
pages in excess of this limit will not be read. The points you receive
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 narrative
response to the rating factor. Supporting materials that are not
referenced or discussed in your responses to the individual rating
factors will not be considered. Additional materials (e.g., appendices)
must be submitted with your application according to the directions in
the General Section. The footer on the pages of these materials should
identify the rating factor that they are supporting.
d. Supporting Materials. 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, a list of references cited in your
responses to the rating factors). Each resume shall not exceed three
pages, and is limited to information that is relevant in assessing the
qualifications and experience of key personnel to conduct and/or manage
the proposed technical studies. This information will not be counted
towards the Rating Factors narrative 25-page limit.
e. Additional Information. Submit other optional 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. Do not
include additional narrative information that is an extension of or
expands upon any of your rating factor responses. Such narrative will
not be considered.
f. Budget. Include a total budget with supporting cost
justification up to four pages, which will cover all budget categories
of the federal grant request. This information will not be counted
towards the Rating Factors narrative 25-page limit. 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, including 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) Allowance for one trip to HUD Headquarters in Washington, DC,
for each year of your grant, planning each trip for two people. The
first trip will occur shortly after grant award for a stay of two or
three days, depending on your location, and the remaining trips will
have a stay of one or two days, depending on your location;
(3) A separate budget proposal for each subrecipient receiving more
than 10 percent of the total federal budget request;
(4) Supporting documentation for salaries and prices of materials
and equipment, upon request; and
(5) Indirect Cost Rates. Organizations that have a federally
negotiated indirect cost rate should use that rate and the appropriate
base. The documentation will be verified during award negotiations.
Organizations that do not have 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.
g. Checklist for Technical Studies Program Applicants.
(1) Applicant Abstract (limited to 2 pages).
(2) Rating Factor Responses (Total narrative response limited to 25
pages.)
(a) Capacity of the Applicant and Relevant Organizational
Experience (21 points).
(b) Need/Extent of the Problem (15 points).
(c) Soundness of Approach (50 points).
(d) Leveraging Resources (6 points).
(e) Achieving Results and Program Evaluation (8 points).
(f) Bonus Points (RC/EZ/EC-II) (2 points).
(3) Required materials in response to rating factors (does not
count towards 25-page limit).
(a) Resumes of Key Personnel (limited to 3 pages per resume).
(b) Organizational Chart.
(c) Letters of Commitment (if applicable)--Letters of commitment
should include language defining the activities to be performed, the
contributions to be made, and the monetary value of each.
Note: HUD recommends against including letters of support that
do not commit services, materials, or funds; they will not add to
the consideration of your application.
(4) Optional material in support of the Rating Factors (20 page
limit).
(5) Required Forms and Budget Material.
(a) Form SF 424 (Application for Federal Assistance).
(b) Form HUD-424-CBW (Budget Worksheet).
(c) Form HUD-96010 (Logic Model Form).
(d) Form SF-424 Supplement, ``Survey on Ensuring Equal
Opportunities for Applicants'' (``Faith Based EEO Survey (SF-424
SUPP)'' on Grants.gov) (to be completed by private nonprofit
organizations only).
(e) Form SF LLL (Disclosure of Lobbying Activities, if applicable).
(f) Form HUD-2880, ``Applicant/Recipient Disclosure/Update Report''
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov).
(g) Form HUD-2990 (Certification of Consistency with the RC/EZ/EC-
II Strategic Plan, required only for applicants who are seeking these 2
bonus points).
[[Page 11563]]
(h) Form HUD-2994-A (You Are Our Client Grant Applicant Survey,
Optional).
(i) Form HUD-27300, ``Questionnaire for HUD's Removal of Regulatory
Barriers'' (``HUD Communities Initiative Form'' on Grants.gov)
including the required information, if applicable.
(j) Form HUD-96011, ``Third Party Documentation Facsimile
Transmittal'' (`` Facsimile Transmittal Form'' on Grants.gov) (Used as
the cover page to transmit third party documents and other information
designed for each specific application for tracking purposes. HUD will
not read faxes that do not use the HUD-96011 as the cover page to the
fax).
C. Submission Dates and Times
Electronic applications must be received and validated by
Grants.gov on or before 11:59:59 PM eastern time on the application
deadline date. Refer to the General Section for submission
requirements.
D. Intergovernmental Review
This NOFA is excluded from the requirement of an Intergovernmental
Review.
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 C of this NOFA, which can
be downloaded from Grants.gov.
2. Indirect Costs. Please see http://www.hud.gov/offices/adm/grants/fundsavail.cfm for reference to the Indirect Cost requirements.
3. Purchase of Real Property. The purchase of real property is not
an allowable cost under this program.
4. Purchase or Lease of Equipment. The 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.
5. Medical Treatment. Medical treatment costs are not allowable
under this program.
6. Profit. For profit institutions are not allowed to earn a
profit.
7. You must comply with the Coastal Barrier Resources Act (16
U.S.C. 3501).
8. You may not conduct lead-based paint or healthy home hazard
control activities or related work that constitutes construction,
reconstruction, repair or improvement (as referenced 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:
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.
9. Construction Activities. The amount of HUD Lead Technical
Studies grant funds used for lead-based paint hazard control activities
may not exceed 20% of the total HUD funds awarded. The amount of HUD
Healthy Homes Technical Studies grant funds used for construction
activities may not exceed 40% of the total HUD funds awarded.
Furthermore, the majority of any funds dedicated to Healthy Homes
construction activities shall be spent for interventions not intended
for lead hazard control.
F. Other Submission Requirements
Applicants are required to submit applications electronically via
the Web site http://www.grants.gov/applicants/apply--for--grants.jsp.
See sections IV.B and F of the General Section for additional
information on the electronic process and how to request a waiver from
the requirement if necessary. Applicants should submit their waiver
requests in writing using e-mail. Waiver requests must be submitted no
later than 15 days prior to the application deadline date and should be
submitted to Ms. Jonnette Hawkins at: [email protected].
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 NOFA. Your application must receive
a total score of at least 75 points to be considered for funding.
2. Award Factors. Each of the five factors is weighted as indicated
by the number of points that are assigned to it. The maximum score that
can be attained is 100 points plus a possible 2 bonus points.
Applicants should be certain that each of these factors is adequately
addressed in the project description and accompanying materials.
3. Rating Factors.
a. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (21 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 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 key and supporting
personnel (14 points). HUD will assess the qualifications of key
personnel to carry out the proposed study as evidenced by relevant
academic background, publications, and recent (within the past 10
years) research experience. Publications and/or 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. HUD will also
evaluate the qualifications of supporting personnel such as
statisticians and research assistants. Partner organizations will also
be evaluated with respect to their qualifications and capabilities to
successfully implement their proposed project roles.
(2) Past performance of the study team in managing similar projects
(7 points). HUD will evaluate your demonstrated ability to successfully
manage various aspects (e.g., personnel management, data management,
quality control, reporting) of a complex technical study, as well as
your overall success in completing projects on time and within budget.
If applicable, provide the number and title of current and past OHHLHC
grants as well as past performance of the organization (applicant and/
or partners) on other grant(s) or project(s) related to residential
environmental health and safety research, or other relevant experience.
Provide details about the nature of the project, the funding agency,
and your performance (e.g., timely completion, achievement of desired
outcomes). You should also discuss the degree to which the results from
past research have been used to develop new or improved methods or
tools for residential hazard assessment or control. If your
organization has an
[[Page 11564]]
active OHHLHC grant or cooperative agreement, provide a description of
the progress and outcomes achieved under that award.
If you completed one or more HUD-funded Technical Studies grants,
your performance will be evaluated in terms of achievements made under
the previous grant(s). If you have completed a previous HUD-funded
Technical Studies grant but you have not published the study results in
a peer-reviewed scientific journal, you should explain why the results
have not been published.
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 will 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.1.a (Lead Technical
Studies) or I.B.1.b (Healthy Homes Technical Studies), as appropriate
for the program to which you are applying. For example, 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 or addresses a need associated
with an important housing-related health hazard, with an emphasis on
children's health. This is especially important for applicants that are
proposing to study a lead or healthy homes topic that is not
highlighted as a priority area by HUD in section III.C of this NOFA;
such applicants that do not provide supporting language to demonstrate
this will not receive points under this rating factor. Specific topics
to be addressed for this factor include (five points for each item):
(1) A concise review of the research need that is addressed in your
study and why it is high priority with respect to the program. For
Healthy Homes Technical Studies applicants, include available
documented rates of illness or injury associated with the hazard or
hazards that you are addressing, including local, regional, and
national data, as applicable.
(2) A discussion of how your proposed project would significantly
advance the current state of knowledge for your focus area, especially
with respect to the development of practical, cost-effective solutions.
(3) A discussion on how you anticipate your study findings will be
used to improve current methods for assessing or mitigating the hazards
under study. 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 (50 Points). This factor
addresses the quality of your proposed technical study plan. Specific
components include:
(1) Soundness of the study design (26 points). Clearly and
thoroughly describe the design of your proposed study and identify the
major objectives. If possible, your study should be designed to address
testable hypotheses that are clearly stated. The study should be
presented as a logical sequence of steps or phases with individual
tasks described for each phase. Your narrative should reflect the
relevant scientific literature, which should be thoroughly cited in
your application. Describe the statistical basis for your study design
and demonstrate that you would have adequate statistical power to test
your stated hypotheses and achieve your study objectives. You should
identify any important ``decision points'' in your study plan and you
should discuss your plans for data management, analysis and archiving.
You should demonstrate that it is clearly feasible to complete the
study within the proposed period of performance and successfully
achieve your objectives. HUD has observed that studies can miss
targeted performance timelines because of delays in the IRB approval
process or unexpected difficulties with recruiting study participants,
and delays in developing new laboratory methods or instruments. 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 of participants, initiating the
development of new methods/instruments).
If you are proposing to conduct a study that includes a significant
level of community interaction (e.g., studies involving participant
recruitment, survey research, environmental sampling on private
property), describe your plan for meaningful involvement of the
affected community in your proposed study. You should define the
community of interest with respect to your proposed study and discuss
why and how your proposed approach to community involvement will make a
meaningful contribution to your study and to the community.
(2) Policy Priorities (5 points). Indicate if your proposed study
will address any of the FY 2007 policy priorities that are applicable
to this NOFA (see the General Section for additional details regarding
these policy priorities). You will receive one point under Rating
Factor 3(2) for each of the applicable FY 2007 policy priorities that
are found in the General Section and applicable to the 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 Technical Studies 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.
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 includes a narrative
response and submits the required documentation as described in Form
HUD 27300 to this policy priority. Applicants may also provide a Web
site address where the documentation can be readily found.
(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. Applicants
that receive awards will be required to submit a Quality Assurance Plan
to HUD. You should plan for this and include Quality Assurance
activities in your study work plan. The Office of Management and Budget
paperwork approval for the Quality Assurance Plan template for this
program is currently pending.
(a) Discuss the major quality assurance mechanisms that are
relevant for your proposed study. Examples of quality assurance
mechanisms include, but are not limited to: procedures for selection of
samples/sample sites, sample handling, use of quality control samples,
validating the accuracy of instrumentation, measures to ensure accuracy
during data management, staff training, and final validation of your
dataset. Documents (e.g., government reports, peer-reviewed academic
literature) that provide the basis for your quality assurance
mechanisms should be cited. Also, identify members of the study team
who will have primary responsibility for drafting and ensuring
compliance with the Quality Assurance Plan. Your application will be
rated on
[[Page 11565]]
the thoroughness, clarity, and validity of your proposed quality
assurance activities, and their appropriateness for ensuring the
validity and quality of the data.
(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 (e.g., transfer of
data from the field to a database). Also, describe any research done
(or planned) to validate the instrument.
(c) Institutional Review Boards. In conformance with the Common
Rule (Federal Policy for the Protection of Human Subjects, codified by
HUD at 24 CFR 60.101, which incorporates the DHHS regulation at 45 CFR
part 46), if your research involves human subjects, your organization
must provide proof (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 DHHS's Office for Human
Research Protections (OHRP).
You do not have to provide proof of IRB approval with your
application. If you do not have IRB approval yet, you should address
how you will obtain such approval. Describe how you will obtain
informed consent (e.g., from the subjects, their parents or their
guardians, as applicable) and discuss the steps you will take to help
ensure participants' understanding of 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. 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/.
(4) Project management plan (5 points). The proposal should include
a management plan that provides a schedule for the clear and
expeditious completion of major tasks, with associated benchmarks and
major study milestones, and major deliverables. If your application
includes multiple organizations, you should identify the organization/
person that has primary responsibility for completion of each of the
major study tasks. 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 plans for preparation of one or more articles for
publication in peer-reviewed academic journals and submission of the
draft(s) to the journal(s) after HUD acceptance. The final deliverable
can be submitted to HUD during the agreed upon period of performance or
during the 90-day closeout period following award expiration.
(5) Budget Proposal (6 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. Your
application will be evaluated on the extent to which your resources are
appropriate for the scope of your proposed study.
(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. Separate narrative justifications should be submitted for
partners that are submitting separate budgets.
(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 (6 Points). Your proposal
should demonstrate that the effectiveness of HUD's 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 (either funded
by HUD or another source) that will be concurrent with your proposed
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: letters of firm commitment, memoranda of understanding,
and/or agreements to participate from those entities identified as
partners in the project efforts. Each document 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. Simple letters that only indicate support of the
proposed study are not sufficient. Leveraging is discussed in Appendix
D, ``Matching and Leveraging Contribution Guidance,'' of this NOFA.
e. Rating Factor 5: Achieving Results and Program Evaluation (8
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 indicators that
will allow you to measure your performance. Performance indicators
should be objectively quantifiable and measure actual achievements
against anticipated goals. 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 the procedures you will follow to
have reliable outcome measures and performance, so that the project
will be recognized as being of high quality that provides benefits to
the community.
In your response to this Rating Factor, discuss the performance
goals for your project and identify specific outcome
[[Page 11566]]
measures. Describe how the outcome information will be obtained,
documented, and reported. You must complete and return the eLogic
ModelTM Form HUD-96010 included in the download instructions
found as part of the application at http://www.grants.gov. You must
show your proposed project short-term, intermediate, long-term and
final results. Instructions on the Logic model are contained in the
General Section and are also contained in Tab 1 of the electronic form.
The form features drop down menus from which to select and construct
the Logic Model response relevant to your proposal. The electronic
logic model with dropdown menus is in the instruction download at
http://www.grants.gov/applicants/apply--for--grants.jsp under the
program NOFA.
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 multiphase study, recruitment of study participants,
developing a new analytical protocol), which should also be clearly
indicated in your study timeline. Also identify potential obstacles in
meeting these objectives, and discuss how you would respond to these
obstacles;
f. Bonus Points (2 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 meet the requirements of the
General Section and submit a completed form HUD-2990, with descriptive
language in the budget discussion describing the actual work that is to
be done in these communities.
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 each
type of Technical Studies Program applications (Lead or Healthy Homes),
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 either type of
Technical Studies Program.
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 Office of Healthy Homes and Lead
Hazard Control 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). This letter is not an authorization to begin work
or incur costs under the award. An executed cooperative agreement is
the authorizing document.
HUD may require that all the selected applicants participate in
negotiations to determine the specific terms of the cooperative
agreement, budget, and Logic Model. If you accept the terms and
conditions of the cooperative agreement, you must return your signed
cooperative agreement by the date specified during negotiation. 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. Applicants should note that,
if they are selected for multiple OHHLHC awards, they must ensure that
they have sufficient resources to provide the promised match and/or
leveraging for the multiple awards. During negotiations, applicants
selected for multiple awards will be required to provide alternative
match and/or leveraged resources, if necessary, before the grant can be
awarded. This is required in order to avoid committing duplicate match
and/or leveraged resources to more than one OHHLHC grant.
Awardees will receive additional instructions on how to have the
grant account entered into HUD's Line of Credit Control System (LOCCS)
payment system or its successor 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
applicants should follow for requesting a debriefing.
B. Administrative and National Policy Requirements
1. Environmental Requirements.
a. Eligible Construction and Rehabilitation Activities.
(1) A Technical Studies award does not constitute approval of
specific sites where activities that are subject to environmental
review may be carried out. Recipients conducting eligible construction
and rehabilitation activities must comply with 24 CFR part 58,
``Environmental Review Procedures for Entities Assuming HUD
Environmental Responsibilities''. Recipients that are States, units of
general local government or Indian tribes must carry out environmental
review responsibilities as a responsible entity under part 58. Where
the recipient is not a State, unit of general local government or
Indian tribe, a responsible entity, usually the unit of general local
government or Indian tribe, must assume the environmental review
responsibilities for construction or rehabilitation activities funded
under this NOFA. Under 24 CFR 58.11, where the recipient is not a
State, unit of general local government or Indian tribe, if a
responsible entity objects to performing the environmental review, 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. In such cases, following grant award
execution, HUD will be responsible for ensuring that any necessary
environmental reviews are completed. See paragraph (2) below for
additional assistance.
(2) For all grants under this NOFA, recipients and other
participants in the project are prohibited from undertaking, or
committing or expending HUD or non-HUD funds (including HUD leveraged
or match funds) on, a project or activities under this NOFA (other
[[Page 11567]]
than activities listed in 24 CFR 58.34, 58.35(b) or 58.22(f)) until the
responsible entity completes an environmental review and the applicant
submits and HUD approves a Request for the Release of Funds and the
responsible entity's environmental certification (both on form HUD
7015.15) or, in the case where the recipient is not a State, unit of
general local government or Indian tribe and HUD has determined to
perform the environmental review under part 50, HUD has completed the
review and notified the grantee of its approval. The results of the
environmental reviews may require that proposed activities be modified
or proposed sites rejected. For Part 58 procedures, see http://www.hud.gov/offices/cpd/environment/index.cfm. For assistance, contact
Edward Thomas, the Office of Healthy Homes and Lead Hazard Control
Environmental Officer at (215) 861-7670 (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 1-800-877-8339.
Recipients of a grant under these funded programs will be given
additional guidance in these environmental responsibilities.
b. All other activities not related to construction and
rehabilitation activities are categorically excluded under 24 CFR
50.19(b)(1), (3), and (9) 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 cooperative 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. 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.
Note: This Order only applies to construction work.
7. Procurement of Recovered Materials. See the General Section for
information concerning this requirement.
8. Davis-Bacon Wage Rates. The Davis-Bacon prevailing wage rates do
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.
C. Reporting
1. Post Award Reporting Requirements. Final budget and work plans
are due 60 days after the start date.
2. 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) approved and
incorporated into your award agreement. For specific reporting
requirements, see policy guidance at: http://www.hud.gov/offices/lead.
For FY 2007, HUD is considering a new concept for the Logic Model. The
new concept is a Return on Investment (ROI) statement. HUD will be
publishing a separate notice on the ROI concept.
3. Racial and Ethnic Beneficiary Data. HUD does not require
grantees to collect racial and ethnic beneficiary data for this
program. 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. 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.hudclips.org/sub_nonhud/html/forms.htm.
4. Final Report. The cooperative agreement will specify the
requirements for final reporting (e.g., final technical report and
final project benchmarks and milestones achieved against the proposed
benchmarks and milestones in the Logic Model which was approved and
incorporated into your cooperative agreement).
5. Draft Scientific Manuscript(s). Grantees will be required to
complete a minimum of one draft manuscript for publication in a peer-
reviewed journal.
VII. Agency Contact(s)
For technical help in downloading an application from Grants.gov or
submitting an application via Grants.gov, call the Grants.gov help desk
at 800-518-GRANTS. For programmatic questions on the Lead Technical
Studies program, you may contact Dr. Robert Weisberg, Office of Healthy
Homes and Lead Hazard Control, at (202) 755-1785, extension 7687 (this
is not a toll-free number) or via e-mail at [email protected]. For programmatic questions on the Healthy Homes
Technical Studies program, you may contact Dr. Peter Ashley, Office of
Healthy Homes and Lead Hazard Control, at (202) 755-1785, extension
7595 (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, at telephone (202) 755-1785, extension 7580 (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. 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 2539-0015. 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 80 hours per respondent for the
application and 16 hours to finalize the cooperative agreement. This
includes
[[Page 11568]]
the time for collecting, reviewing, and reporting the data for the
application. This information will be used for grantee selection. The
reporting burden for completion of the Quality Assurance Plan by
applicants who are awarded a grant is estimated at 24 hours per grantee
(OMB approval is pending). Response to this request for information is
required in order to receive the benefits to be derived.
C. Appendices. Appendices A, B, C and D to this NOFA are available
for downloading with the application at http://www.grants.gov/applicants/apply--for--grants.jsp.
[GRAPHIC] [TIFF OMITTED] TN13MR07.014
[[Page 11569]]
Lead Outreach Grant 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: Lead Outreach Grant Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register number is: FR-
5100-N-26. 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 deadline date is May 18, 2007.
Applications must be received and validated by grants.gov no later than
11:59:59 pm eastern time on the application deadline date. See Section
IV of the General Section, regarding application submission procedures
and timely filing requirements.
G. Additional Important Information:
1. Overall Purpose. This funding opportunity is to provide funding
for information dissemination about lead poisoning prevention through
outreach.
2. Available Funds. Approximately $2 million is available under
this program.
3. Number of Awards. Approximately 5 to 8 cooperative agreements
will be awarded.
4. Type of Awards. The awards will be made as cooperative
agreements.
5. Eligible Applicants. Academic and non-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 are also eligible; however, they are
not allowed to earn a fee (i.e., no profit can be made from the
project).
6. Matching Requirements and Leveraging. Ten percent match or cost
sharing from applicant and partners is required. All contributions,
regardless of source, above the 10 percent match are considered
leverage. Leveraging is encouraged. Applications will receive a higher
score under Rating Factor 4 if you provide evidence of significant cost
sharing and leveraging. Leveraging means increasing the amount or
number of eligible activities that can be performed under this award
through cash or in-kind contributions of resources. Applicants must
provide evidence that proposed matching resources are not from Federal
funds, and provide a statement of commitment that proposed matching or
leveraging resources are not previously committed as match or leverage
to support other applications or existing awards. Match and leveraged
resources may be used only for eligible activities. See Section III.B
and Section V, Rating Factor 4.
7. Limitations on Applications. Each applicant, partner, sub-
contractor and sub-recipient may participate in only one application to
the Lead Outreach program. Outreach applicants are not prohibited from
receiving other OHHLHC grant awards if those grant programs' selecting
official selects them for such awards.
Full Text of Announcement
I. Funding Opportunity Description. Background information about
lead, lead-based paint hazards and other information applicable to this
NOFA can be found at: http://www.grants.gov/applicants/apply--for--
grants.jsp.
A. Purpose of the Program. The purpose of this program is to raise
public awareness and deliver HUD-approved training about lead-based
paint as a source of lead poisoning, childhood lead poisoning
prevention, and proper lead hazard identification, control and lead
safe rehabilitation and maintenance methods for at-risk communities and
children, primarily to underserved populations. Only entities, states
or local governments that are not current Lead-Based Paint Hazard
Control, Lead Hazard Reduction Demonstration, or Operation Lead
Elimination Action Program (LEAP) grantees, or sub-grantees,
contractors or sub-contractors receiving 10 percent or greater of the
award may apply to this program. If an applicant has received previous
OHHLHC funding, the application must clearly explain why there remains
a need for lead outreach in that jurisdiction.
B. Authority. The authority for this program is Sections 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 Revised Continuing Appropriations Resolution, 2007 (Pub. L.
110-5, approved February 15, 2007).
C. Changes in the FY 2007 Competitive NOFA. Listed below are major
changes from the FY 2006 Lead Outreach NOFA:
1. The outreach and education categories have been merged and the
technical assistance category of activity has been eliminated.
2. Eligible outreach and educational activities are clearly
identified and described.
3. For this round of funding, higher points will be awarded to
communities having confirmed elevated blood level (EBL) rates for
children under 6 years of age equal to or greater than 2.5 percent and
that track and report lead poisoning data.
II. Terms of Award
A. Available Funding
Approximately $2 million from fiscal year 2007 and prior year funds
is available under this program. HUD anticipates that approximately
five to approximately eight cooperative agreements will be awarded, for
a minimum of $200,000 and a maximum of $400,000 each for the entire
period of performance.
B. Type of Award and Period of Performance
1. Awards will be made as cooperative agreements.
2. The anticipated start dates for new awards is expected to be no
later than October 1, 2007. The period of performance for awards will
be 24 months from the date of award.
3. 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 OHHLHC Program Guide. If approved, grantees will be
eligible to receive a single extension of up to 12 months in length.
Although applicants are encouraged to plan projects with shorter
performance periods than 24 months, you should consider the possibility
that issues may arise that could cause delays when developing your
schedule.
III. Eligibility Information
A. Eligible Applicants
1. Academic, not-for-profit and for-profit institutions located in
the United States, states and units of general local government, and
federally recognized Native American tribes are eligible to apply. For-
profit firms are not allowed to earn a fee (i.e., make a profit from
the project).
2. Current Lead-Based Paint Hazard Control, Lead Hazard Reduction
Demonstration, or Operation Lead Elimination Action Program (LEAP)
grantees, sub-grantees, entities, states or local governments receiving
10 percent or greater of the grant award are not eligible to apply to
this program as applicants, sub-grantees, team members, contractors or
sub-contractors in any capacity receiving 10 percent or greater of
grant funds. Conversely, an entity may not apply under this NOFA or be
a sub-grantee, sub-contractor, participant, or partner receiving 10
percent or greater of grant funds. An entity that is an existing
grantee, sub-
[[Page 11570]]
grantee, sub-contractor or partner receiving 10 percent or greater of
grant funds on another application or grant may not apply under this
program in any role. Organizations that are ``doing business as'' a
different organization are considered to be the same entity.
Organizations may not qualify for eligibility by applying under a
different name.
B. Cost Sharing or Matching Requirements. A 10 percent match is
required. Leveraging is encouraged. Applicants must provide a matching
contribution of at least 10 percent of the requested cooperative
agreement sum. If an applicant does not include proper documentation of
the minimum 10 percent match requirements in the application, it will
be considered ineligible for an award and will not be reviewed.
Matching contributions may be in the form of cash or in-kind (non-cash)
contributions or a combination of these sources. Matched resources must
be used only for eligible activities. With the exception of Community
Development Block Grant (CDBG) funds, or other programs that only 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 any
statutorily required matching requirement, as applicable. Federal funds
may be used, however, for contributions above the 10 percent match
requirement, provided that these funds are used only for eligible
activities under the Lead Outreach program. The applicant must submit a
letter of commitment for the match or leverage from each organization
other than itself that is providing match or leverage, whether cash
and/or in-kind. The letter must indicate the amount and source of the
match, and detail how the matching funds will be specifically dedicated
to and integrated into supporting the proposed cooperative agreement
program. The signature of the authorized official on the Form SF-424
commits proposed matching or other contributed resources of the
applicant organization. A separate letter from the applicant
organization is not required.
C. Other
1. Threshold Requirements. Applicants must also meet the threshold
requirements of the General Section, including the Civil Rights
threshold.
2. Policies applicable to all activities in this NOFA.
a. Each awardee will be assigned a GTR (Government Technical
Representative) who will provide oversight and approve grantees'
activities and deliverables.
b. Awardees must use existing outreach, training and technical
assistance documents unless they can adequately justify in their
application that a great need exists in their community to
substantively modify existing documents or create new ones. Before
creating a new product (such as a brochure, curriculum or technical
document), grantees must investigate if a similar item already exists
and can be used or revised with a level of effort lower than would be
spent creating a new equivalent product. Applicants must ensure that
materials are appropriate for the target populations, including persons
with Limited English Proficiency (LEP), and for visually impaired or
other disabled persons (see Eligible Activities, below). All new
products and adaptations/translations must be submitted to HUD as
deliverables, in electronic format suitable for web posting.
c. For use under this program, all documents in languages other
than English must be culturally neutral (understandable by speakers of
all dialects of the target language). For a new translation to be
acceptable, grantees must provide evidence that translators are
certified by the American Translators Association. Awardees are
responsible for first determining if a translation already exists.
Quality reviews are required for all translations. Reimbursements will
not be allowed for translations of federal documents that have
previously been translated into the target language.
d. HUD has noted that during prior funding rounds, some applicants
to this program have not met all requirements for application content
and submission. HUD recommends that applicants use and follow the
application checklist in this NOFA to help them identify any missing
elements and complete the application before it is submitted. No
information may be submitted after the deadline date except under the
threshold review process. Although applications with curable
deficiencies are offered an opportunity at threshold review to submit
certain information to cure these deficiencies, non-curable
deficiencies are not correctable and may disqualify an application.
(See General Section.)
3. Eligible Activities. Consideration will only be given to
proposed activities that are specifically listed as eligible in this
NOFA. Other work activities are ineligible. All activities must address
childhood lead poisoning prevention (primarily from lead-based paint in
housing) and/or control at the national, regional, and/or local levels.
If an activity or training curriculum is not specifically listed below,
it may not be used. The following section lists specific eligible
activities.
a. Door-to-door canvasses, small-group meetings, community meeting
visits, health fairs, conducting presentations or speaking engagements
to inform the public and owners of housing, including owners receiving
rehabilitation or other tax credits, about programs that can assist in
control of the identified lead hazards, and other activities to
publicize or conduct events that highlight lead hazards in the home
environment;
b. Earned media (no-cost public service announcements), news
stories in radio, print, or TV to raise public awareness and promote
name recognition for treatment programs;
c. Advertising (paid ads on buses, billboards, etc.);
d. Use of collateral materials and campaign props and incentives.
These materials include outreach brochures and printed materials,
visual presentations, giveaways with outreach providers' phone numbers/
contact information, mascots, cleaning kits, meals not to exceed $10 in
value per meal per person, etc. The use of appropriate training
materials is also eligible, but training materials are not considered
to be collateral materials, props or incentives. (See paragraph
III.C.3.o., Eligible Activities, below.) Outreach materials and props
can support general lead outreach and education efforts. However, the
budget must include details of the items including cost per item. All
expenditures made by a grantee must be linked to specific outreach
activities and listed in the approved budget;
e. Development and maintenance of infrastructure and support such
as telephone hotlines and Web sites;
f. Entering into working arrangements with regional/local non-
profit organizations, including grassroots community-based
organizations, faith-based organizations; chambers of commerce; public
and private social service agencies; corporations, retailers,
construction organizations, or unions for the purpose of coordinating
or conducting joint outreach activities;
g. Other outreach activities designed to disseminate information to
targeted populations identified as being at-risk of lead poisoning;
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
[[Page 11571]]
(LEP) Recipient Guidance, 68 FR 70968 (see above);
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;
k. Innovative use of funds to outreach and education to regional/
local community groups, residents, and other appropriate community
stakeholders to resolve regional/local lead poisoning problems, as
approved by the GTR;
l. Delivery of HUD-approved (or state-approved, as applicable) Lead
Safe Work Practices (Interim Controls), EPA-or state-approved lead
training, Lead Awareness training curricula, or visual assessment
training, for the target audience(s);
m. Training regional/local residents and businesses, including
retail paint sales associates and managers, on identifying and
preventing lead-based paint hazards, and lead safe maintenance and
renovation work practices, etc.;
n. Educating tenants, owners, housing inspectors, and others about
HUD's lead safety regulations, including the Lead Disclosure Rule and
Lead Safe Housing Rule (24 CFR part 35), regional/local building codes,
and HUD's Housing Quality Standards (HQS) and Uniform Physical
Condition Standards (UPCS), as applicable;
o. Training curriculum design, development, maintenance and
evaluation; preparing, distributing appropriate training materials,
including photographs, other graphics and visual presentations
(compliance with copyright and trademark laws is the responsibility of
the grantee);
p. Applying for or maintaining EPA, State or HUD approval of
training program (as applicable);
q. Promoting or marketing training courses directly or through
partnerships with organizations conducting outreach;
r. Delivery of formal or one-on-one or group educational or
training sessions in classrooms, homes or other locations;
s. Delivery of informal one-on-one or group educational sessions,
workshops or demonstrations in homes or other locations (cleaning
techniques, etc.);
t. Participation in training-related partnerships and task forces;
and,
u. Auditing course delivery, training, mentoring and evaluating
trainers to increase lead safety training capacity.
IV. Application and Submission Information
A. Address to Request Application Package. All the information
required to submit an application can be downloaded from the web at
http://www.grants.gov/applicants/apply--for--grants.jsp. Consult the
General Section for more information. If you have difficulty accessing
the information, you may call the Grants.gov helpline toll-free at
(800) 518-GRANTS or e-mail [email protected].
B. Content and Form of Application Submission
1. Application Format. Because of the electronic submission
process, proposals must conform to the formatting requirements below to
be eligible. All material submitted must be required or be in support
of the narrative response to the rating factors. Any material, whether
required or supplemental, that is not properly located in the
application, and referenced and discussed within the narrative
statement as described below, will not be rated. The narrative response
to all rating factors (see below) must be submitted within a single
electronic file within the zip file attached to the application. The
narrative response to the five rating factors may not exceed 25 pages
(excluding required additional materials and worksheets, see below)
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. Each
attachment or appendix must be an individual electronic file. All pages
must be numbered in order starting with the cover page and continuing
through the appendices. HUD is not responsible for electronic
transmission errors or omissions. Applicants are responsible for
verifying the successful transmission of all documents submitted with
their applications.
2. Prohibition on Materials Not Required. Submission of materials
other than those specified as allowable by this NOFA are prohibited.
Reviewers will not consider resumes (other than those called for in
response to the rating factors), reports, charts, letters, or any other
documents attached to the application.
3. Required Application Contents. Applications must contain all of
the information required by this NOFA, including the following items:
a. Application Abstract. An abstract is required. It may not exceed
2 pages of 8\1/2\ x 11 inch paper using a standard 12-point font with
not less than \3/4\inch margins on all sides in length, and must
summarize the proposed project, including the objectives, proposed
activities and expected results, the dollar amount requested, and
contact information for the applicant and project partners. Information
contained in the abstract will not be considered in the evaluation and
scoring of your application. Any information you wish considered should
be provided under the appropriate rating factor. The 2-page abstract
will not be included in the 25-page limit of the application.
The abstract will be used for developing the news release to the
public if the application is funded.
b. Narrative Response. A narrative statement with supporting
required forms and other documents addressing the five rating factors
for award is required. This portion of the application consists of a
narrative response to each of the five rating factors (total 25-page
limit), specific HUD-required forms documents (which do not count
toward the page limit), and optional supplemental material (20-page
limit). Pages in excess of these limits will not be read. Each of
Rating Factors 1-5 has an associated required form (HUD-96012, HUD-
96013, HUD-96014, HUD-96015, and HUD-96010, respectively) that does not
count toward the page limits, and must be located immediately after the
response to that rating factor (see list of forms, below). You 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 sub-factors, each sub-factor
must be presented separately.
All information relative to a given rating factor MUST be contained
in the narrative for that rating factor. If it is found in a different
rating factor, IT WILL NOT BE CONSIDERED. In addition, supplemental
material that is not referenced and discussed within that portion of
the narrative will not be considered.
c. In addition to the abstract and narrative response described
above, the following materials (which do not count toward the page
limits) must be included in the locations specified: resumes, process
flow diagram for the project (not the employer's organizational chart),
budget, and other required forms. The standard forms can be found in
the application package on Grants.gov.
[[Page 11572]]
(1) Resumes and a process flow diagram for your project must be
placed immediately following the narrative response to Rating Factor 1.
Resumes for project director, day-to-day program manager and up to 3
key personnel (limited to 3 pages per resume) are required. (See Rating
Factor 1.)
(2) Include a detailed budget for any sub-contractors, sub-
grantees, or sub-recipients receiving greater than 10 percent of the
federal budget request. Use the budget format discussed in Rating
Factor 3.
(3) Form HUD-96010, Logic Model (See Rating Factor 5).
(4) General letters of support will not be considered and are
discouraged.
d. Applicants are encouraged to use the following checklist to
ensure that all required materials have been prepared and submitted. Do
not submit the checklist (see below) with the application.
Checklist for Applicants
Abstract (Limited to 2 Pages)
Required Information Supporting Rating Factors
1. Capacity of the Applicant and Relevant Organizational
Experience, plus Form HUD-96012; Resumes of Proposed Project Director,
Day-to-day Program Manager and up to 3 Key Personnel; Project
Organization Chart.
2. Need/Extent of the Problem, plus Form HUD-96013.
3. Soundness of Approach, plus Form HUD-96014; budget forms and
narrative budget justification.
4. Matching and Leveraging Resources plus Form HUD-96015,
Leveraging Resources, Letters of Commitment attached immediately after
Rating Factor 4.
5. Achieving Results and Program Evaluation plus Form HUD-96010
Logic Model.
Additional Material Supporting the Rating Factors (attachments,
appendices, etc.: 20-page limit)
Complete Checklist of Required Forms and Budget Material
1. Form SF-424 (Application for Federal Assistance).
2. Form HUD-CBW (Detailed Budget Worksheet).
3. Form SF-424 SUPP (Faith Based EEO Survey) (to be completed by
private nonprofit organizations only).
4. Form SF-LLL (if applicable) (Disclosure of Lobbying Activities).
5. Form HUD-2880 (Applicant Recipient Disclosure Report).
6. Form-2990 Certification of Consistency with the RC/EZ/EC/II
Strategic Plan (required only for applicants who are seeking these
bonus points).
7. Form HUD-2994A You Are Our Client Grant Applicant Survey
(Optional).
8. Form HUD-27300 HUD Communities Initiative (if applicable) (up to
2 points can be awarded).
9. Form HUD-96011 Facsimile Transmittal, for electronic
applications (used as the cover page to transmit third-party documents
and other documentation designed for each specific application for
tracking purposes. HUD will not read faxes that do not use the HUD-
96011 as the cover page to the fax).
C. Submission Dates and Times
Application Submission Dates: Applications must be received and
validated by Grants.gov by 11:59:59 p.m. eastern time on the deadline
date. Refer to the General Section for additional requirements
including registration requirements, deadline dates, Grants.gov
validation, proof of delivery, and other information regarding
electronic application submission via http://www.grants.gov.
D. Intergovernmental Review. Not applicable to this program. See 24
CFR Part 52.
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 A and can be downloaded
with this application from http://www.grants.gov/applicants/apply--
for--grants.jsp. Eligible administrative costs include leases for
office space, under the following conditions:
a. The lease must be for existing facilities not requiring
rehabilitation or construction;
b. No repairs or renovations of the property may be undertaken with
federal funds:
c. Properties in the Coastal Barrier Resources System designated
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be
leased with federal funds.
2. Indirect Costs. You must comply with Indirect Cost requirements.
Guidelines for indirect cost requirements are provided in Appendix B
and may be downloaded as part of your application package from http://www.grants.gov/applicants/apply--for--grants.jsp.
3. HUD will not fund 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, unless prior written approval is obtained from HUD.
c. Identification of lead-based paint or lead-based paint hazards,
hazard reduction (including, interim controls or abatement),
rehabilitation, remodeling, maintenance, repair, or any other
construction work, blood lead testing of adults or children, laboratory
analysis, medical treatment, clearance examinations and visual
assessment.
d. Renovations or construction work on office space leased for the
program.
e. Activities required in order to fulfill court orders or consent
decrees, settlements, conciliation agreements, or other compliance
agreements.
F. Other Submission Requirements
1. Applications are required to be received and validated
electronically via the Web site http://www.grants.gov. See Section IV
of the General Section for additional information on the electronic
process. Waivers may only be granted for cause. See General Section for
further discussion.
2. Waiver of Electronic Submission Requirements. Applicants should
submit their waiver requests in writing by e-mail. Waiver requests must
be submitted no later than 15 days prior to the application deadline
date and should be submitted to Jonnette Hawkins, Director, Program
Management and Assurance Division, Office of Healthy Homes and Lead
Hazard Control, [email protected].
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 NOFA. Your application must receive
a total score of at least 75 points to be considered for funding.
2. Award Factors. Each of the five factors is weighted as indicated
by the number of points that are assigned to it. The maximum score that
can be attained is 100 plus 2 possible bonus points. Applicants should
be certain that each of these factors is adequately addressed in the
project description and accompanying materials.
3. Rating Factors for All Categories.
a. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (20 points). This factor includes information
about the organization, its individual employees
[[Page 11573]]
and partners, and past performance. Higher points will be given for
more recent, relevant experience of high quality. The following areas
will be evaluated: organizational capacity, experience and past
performance, individual staff and participants' qualifications
including education and experience, and specific qualifications related
to the categories of activities under this NOFA. Applicants should not
explain their work plans in this rating factor response, but should
demonstrate the ability and commitment of its organization as a whole
and the individuals proposed to serve on this project.
(1) Organizational Experience. This sub-factor addresses the extent
to which the applicant's organization has the organizational experience
necessary to successfully implement the proposed activities in a timely
manner. HUD will evaluate the organization's experience in initiating,
implementing, and evaluating related outreach, health education and
training and recruitment projects, or solving community problems
directly related to this program. In rating this sub-factor, HUD will
consider the extent to which the proposal demonstrates organizational
experience that is recent and relevant. HUD will consider
organizational experience within the last 5 years to be recent and
experience pertaining to activities of similar scope to be relevant.
(a) Describe whether you have sufficient personnel, or will be able
to quickly hire qualified experts or professionals to begin your
proposed project within 30 days of award, if funded.
(b) Describe how the principal components of your project
organization will participate in, or support, your project, and how you
propose to coordinate with your partners. Include a project-specific
organizational chart indicating the organizational capacities of and
interrelationships among the various entities involved in the project.
Do not provide an organization chart of your employer unless it meets
the project-specific criteria described above.
(c) Past performance in previous projects with an emphasis on
health education, outreach and recruitment, training and education, or
technical assistance. This sub-factor evaluates the extent to which an
applicant has performed previous work successfully. Provide details
about the nature of projects performed through grants or contracts.
Applicants failing to disclose previous grants or contracts with OHHLHC
or HUD may be deemed ineligible for award. To receive maximum points
for this factor, applicants must provide the following specific
information:
(i) A detailed list outlining the period of performance,
achievement of specific tasks, measurable objectives (benchmarks) and
outcomes consistent with the approved timeline/work plan and budget;
(ii) If any applicant, proposed partner, contractor, sub-contractor
or sub-recipient intending to receive 10 percent or greater of the
award funding has had previous OHHLHC grant funding, the application
must provide details about the level of performance on that grant,
clear justification as to why additional funds are requested at this
time and explanation regarding the local lead poisoning surveillance
and a tracking system. If the jurisdiction has no local system for
tracking and reporting blood lead data, do not enter any EBL data on
HUD-Form 96013 (see Rating Factor 2, Need/Extent of the Problem).
(iii) Comparison of previous awards' proposed match or leveraged
resources compared to what was actually matched; and,
(iv) A detailed list outlining the timeliness and completeness of
complying with all reporting requirements. In addressing timeliness,
compare when reports were due with when they were actually submitted.
(2) Individual Qualifications:
(a) Project Director and Day-to-Day Project Manager. OHHLHC
considers these to be among the most important individuals working on
its grants. Programs that do not experience vacancies or high turnover
in these important positions typically have levels of performance and
success that are higher than those of programs having vacancies or high
turnover. Identify by name the individuals proposed to serve as the
overall project director and day-to-day project manager. The terms
``Project Director'' and ``Day-to-Day Project Manager'' must be used
consistently in the application to earn points for individuals having
these responsibilities, regardless of their current employer-assigned
position titles. Describe their individual qualifications that will
enable them to function effectively in their assigned roles, including
knowledge, work experience, management experience, education, training,
and publications. Include specific projects they have performed
involving planning and managing large and complex interdisciplinary
outreach or educational programs, especially those involving housing,
public health, or environmental initiatives.
(b) Other Key Personnel. Identify by name and position up to three
additional key personnel. In this rating factor response, provide the
individual qualifications, experience, percentage commitment to the
project, salary costs to be paid by funds from this program, and role
in the proposed project for each key personnel. You must provide
resumes (or position descriptions and copies of job announcements
including salary range, for vacant positions) for the project director,
day-to-day project manager, and up to three additional key personnel to
receive maximum points for this rating sub-factor.
(c) Sub-recipients (sub-grantees, sub-contractors and consultants).
Include descriptions of their experience and qualifications. Detail
their grant and financial management experience. You may find it useful
to include a table indicating the name, position and percentage
contribution of participating individuals, specifying organizational
affiliation. Describe who is responsible for quality control of
processes and materials produced by sub-recipients.
(3) In addition to other eligibility criteria and knowledge of
OHHLHC's grant programs, applicants must also demonstrate specific
capacity as follows:
(a) Outreach Providers: Specific capacity to provide outreach
services, such as holding community meetings, health fairs, adapting
printed materials, writing public service announcements, etc.
Applications that include development and distribution of media
products in languages other than English must include a discussion of
the applicant's (or sub-grantee's/contractor's) expertise in those
languages and in meeting the informational needs of non-English-
speaking, underserved populations. Outreach grantees involving face-to-
face interaction with the community should have staff that are well-
trained, motivated, committed to the program, and reflect the
characteristics of the target community.
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 activities and an indication of the importance of
meeting the need(s) in the target area. In this round of funding, HUD
is targeting those communities with significant numbers of lead
poisoned children. All applicants are encouraged to target minority
populations and utilize minority media in an effort to achieve
diversity in outreach and educational efforts. 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.
[[Page 11574]]
To earn any points for this factor, the data used must be specific to
the area where the proposed activities will be carried out (for
projects with specific regional/local target areas, do not apply the
data to the entire regional/locality or state). To receive maximum
points for this factor, proposals must demonstrate that the target
area(s) has a rate of elevated blood lead levels in children up to age
six of 2.5 percent or greater. Lead poisoned children are children up
to age 6 (72 months) who are tested and have confirmed blood lead
levels of at least 10 micrograms per deciliter ([mu]g/dL). For this
program, the confirmed EBL rate is the total number of confirmed cases
expressed as a percentage of the total number of children tested.
In order to receive maximum points, proposals addressing one or a
few communities must explain how the targeted community's(ies') Five
Year Consolidated Plan(s) and Analysis(es) of Impediments to Fair
Housing Choice (AI) identify the level of the problem and the urgency
in meeting the need. Only communities whose Consolidated Plans identify
lead-based paint hazards in housing as a serious problem and have a
clear implementation strategy for meeting this need will receive
maximum points for this rating factor. Communities having Consolidated
Plans that indicate the most serious needs and present the clearest
strategies will receive higher points for this rating factor.
To demonstrate these needs, applicants must use surveys or other
analyses contained in at least one or more current and reliable data
sources. In rating this factor, HUD will consider data collected within
the last five (5) years and published by government agencies or peer-
reviewed journals to be current and reliable. Sources for regional/
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),
Comprehensive Plans, community needs analyses such as provided by the
United Way, and other sound, reliable, and appropriate sources.
c. Rating Factor 3: Soundness of Approach (40 Points). This factor
contains three sub-factors:
(1) your goals and objectives;
(2) the quality and cost-effectiveness of your proposed work plan;
and,
(3) proposed budget.
Before developing a work plan, applicants should review the
activities that are not eligible under this program, as described in
Section IV.E.3, above. No points will be awarded for ineligible
activities. Higher points will be given to applications that contain
approaches with clearly articulated goals, activities and sub-
activities, and demonstrate a logical progression of implementation
steps.
(1) Project Goals (10 Points). Describe:
(a) The goals and objectives for your project based on the need
described under Rating Factor 2, and
(b) How proposed activities would address your goals and HUD's
policy priorities.
See the General Section for information on HUD's policy priorities.
The policy priorities that are applicable to the Lead Outreach NOFA and
that are 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 (HUD
Communities Initiative), is part of the application submission to HUD.
Applicants may also provide a Point of Contact Name and phone or email
address and the required documentation as noted in the form HUD 27300.
You may provide a URL for a Web site where the required documentation
is readily accessible for use.
(2) Work Plan (20 Points). HUD will award maximum points for this
sub-factor to applications that demonstrate a high probability of
success of the program, convey the significance of the tasks
identified, and propose realistic time frames. This portion of the
response will be evaluated based on the extent to which the proposed
work plan demonstrates the following:
(a) The general approach and overall strategy;
(b) Specific, measurable and time-phased objectives for each major
program activity, accompanied by a complementary schedule indicating
proposed date(s) of completion (in three-month intervals);
(c) Specific services and/or activities. The work plan must
identify all major tasks and list all proposed activities in sequential
order. For maximum points, the activities must correlate to the needs
explained in the narrative response to Rating Factor 2. All activities
under this program must assist the regional/local area to develop or
implement a strategy to eliminate lead poisoning, target at-risk
populations or areas, and implement programs to meet those populations'
information needs. In addition, grantees' regular, routine activities
must provide information to owners and low-income occupants about
regional/local resources for housing rehabilitation and lead hazard
control programs.
Describe in detail how you will identify and serve participants
receiving services, especially participants in high-risk groups and
communities, vulnerable populations and persons traditionally
underserved. Include a brief, concise outreach strategy or marketing
plan, as applicable, in the work plan and list on the Logic Model
(submitted under Rating Factor 5). To receive maximum points, you must:
(i) Identify your approaches to overcoming poor response,
attendance or participation difficulties and explain how you will
ensure that proposed activities do not duplicate activities by others
for the target area previously completed or currently underway;
(ii) Identify the personnel responsible for major tasks;
(iii) Describe your products or outputs and expected outcomes or
impacts;
(iv) Describe your proposed methods to research existing materials
or develop new ones, and print and disseminate materials for outreach
or training. (Note: All products to be distributed to the public,
whether in hard copy or electronic format, must be submitted to HUD for
review and in final form as deliverables in electronic format suitable
for web posting.)
(v) Describe how you will ensure that materials will be of
consistently high quality and technically sound;
(vi) Describe the plan to manage the project. Include details about
the management and financial systems, and how you will track and ensure
the cost-effectiveness of expenditures and will link them to specific
activities;
(vii) Describe how you propose to coordinate with HUD field offices
and HUD program personnel, as applicable, in your application; and
(viii) Describe how you will 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, consistent with
HUD's published Limited English Proficiency (LEP) Recipient Guidance,
68 FR 70968.
(d) Outreach providers must follow these specific program
requirements:
(i) Increase lead awareness among the general public;
(ii) Provide information to owners and low-income occupants about
regional/
[[Page 11575]]
local resources for housing rehabilitation and lead hazard control
programs; and
(iii) Create a detailed outreach strategy as part of their work
plan.
(e) Training providers must follow these specific program
requirements:
(i) Meet a documented regional/local need to develop a sustainable
capacity of lead safety trained workers and/or EPA-or state-certified
lead professionals;
(ii) Have underserved and minority populations as the primary
target audience;
(iii) Provide information to owners and low-income occupants about
regional/local resources for housing rehabilitation and lead hazard
control programs;
(iv) Perform structured education of other groups about lead
poisoning prevention and control;
(v) Target a specific, appropriate audience;
(vi) Use a HUD-approved curriculum for all interim controls
training and specify in the application all training materials to be
used;
(vii) Provide plans for sustainability including train-the-trainer
programs;
(viii) Design the course materials as ''step-in'' packages so that
HUD or other training providers may independently conduct the course on
their own;
(ix) Make the course materials available to the GTR in sufficient
time for review (minimum of three weeks), for you to provide revision,
and for the GTR to provide concurrence on the content and quality prior
to delivery;
(x) Provide all course materials in an electronic format that will
permit wide distribution among field offices, and HUD grantees (see the
General Section for information on formats acceptable to HUD);
(xi) Arrange for delivery of the training with HUD participation
when requested by the GTR;
(xii) Establish minimum enrollments for deliveries of training
courses; implement and disseminate fair course cancellation policies;
(xiii) Deliver HUD-approved training courses that have been
designed and developed by others on a ''step-in'' basis when requested;
and
(xiv) For Interim Controls (Lead Safe Work Practices), training
providers must comply with HUD's Interim Criteria to Evaluate Training
Courses in Lead Safe Work Practices (http://www.hud.gov/offices/lead).
The costs associated with attending these required sessions are
eligible under the grant.
(f) Institutionalization (applies to all applicants). All
applicants must provide a detailed description of how the applicant
plans to mainstream or continue integrating lead poisoning prevention
into its regular, permanent programs. To evaluate institutionalization,
HUD will evaluate the extent to which the applicant (and partners)
demonstrate:
(i) Other lead poisoning prevention projects that are locally
funded;
(ii) Specific examples of and the degree of implementation of the
Lead Safe Housing Rule in the jurisdiction's publicly-funded housing
programs, as applicable;
(iii) Commitment to undertake project activities in the future;
(iv) Support and involvement of the applicant's organizational
leadership; and
(v) Commitment to include lead-related work in decisions affecting
policy and program development.
(3) Budget Justification (10 Points). HUD is not required to
approve or fund all proposed activities. Your budget will be evaluated
for its reasonableness, clear justification, and consistency with the
work plan. Submit a narrative justification associated with the budget
that explains all budget categories and costs for each major task of
the work plan and that does not simply repeat the budget numbers in the
narrative. Identify the source of funds as HUD, applicant match, or
third-party (partner) leverage. Each budget page should identify the
entity and project year to which it applies. Higher points will be
awarded for greater percentages of sub-contracting and substantive work
performed by bona fide and legitimate grassroots organizations,
including faith-based and other community-based non-profit
organizations, Fair Housing Organizations, advocates for various
minority and ethnic groups, and persons with disabilities. Applicants
should note that national-level organizations are not considered by HUD
to be grassroots organizations, which are generally small, local groups
with social services budgets less than $300,000. In completing the
budget forms and justification, you should address the following
specific 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 one trip annually
to HUD Headquarters in Washington, DC, planning each trip for two
people for 2 or 3 days, depending on your location;
(c) Sub-grantee and Sub-recipient Budgets. Without exception, a
separate budget proposal must be provided for any sub-recipient(s)
receiving greater than 10 percent of the total federal budget request;
(d) Provide supporting documentation for salaries and cost of
materials and equipment; and
(e) Federally Negotiated Indirect Cost Rate, without exception.
Organizations that have a federally negotiated indirect cost rate
should provide documentation of that rate. Organizations not having a
federally negotiated rate schedule must obtain a rate from their
cognizant federal agency. Applicant and sub-grantee budgets should
reference only their own indirect cost rates.
d. Rating Factor 4: Leveraging Resources (15 points). This factor
evaluates the ability to:
(1) Contribute allowable resources from your organization; (2)
leverage (secure) other allowable public and/or private sector
resources (such as financing, supplies, or services) that can be added
to HUD's funds to perform eligible activities; and, (3) sustain your
proposed project from sources other than HUD at the end of the period
of performance. This program has a 10 percent match requirement. Higher
points will be awarded for percentages of leveraged resources, compared
to the amount of HUD funds requested. To receive points for leveraged
resources above the 10 percent required match, all contributions
committed for the period of performance, whether cash or in-kind, must
be expressed in dollar values and documented in a commitment letter (or
memorandum of understanding, or agreement to participate) on official
letterhead submitted with the application signed and dated by a
responsible official legally able to make commitments on behalf of the
organization, from each contributing organization (except that
leveraging from the applicant's own resources does not require a letter
of commitment). The letter must describe the contributed resource(s)
that will be used in your project, and roles and responsibilities as
they relate to the proposed project. Letters must be submitted with
your application.
For more information on matching and leveraging resources, see
Appendix C, which can be downloaded from http://www.grants.gov/applicants/apply--for--grants.jsp.
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. Describe in detail
your Year 1, Year 2 and Total goals. State clearly the project
activities including specific goals
[[Page 11576]]
(outputs) of each activity and how you will achieve those goals.
Describe how you will measure the results. Provide your goals,
activities (outputs), outcomes and projected performance results
(goals) for the entire grant period. In the narrative, explain how you
will document and track your goals, program activities, and schedules.
Identify the procedures you will follow to make adjustments to your
work plan to improve performance if projected outputs and outcomes are
not met within established timeframes. To receive maximum points for
this rating factor, you must explain your plan to actively manage, not
solely implement, the proposed program. All awardees will be required
to use HUD's Logic Model to report results. Grantees may also use a
project management tool, to manage and evaluate the programs'
effectiveness and modify strategies as needed to achieve the greatest
return on HUD's investment. HUD has found that modest additional
actions to gather information about results would enable grantees to
better measure the impact of their outreach and education efforts.
Outcomes that are vague or not measurable will not receive points.
Applicants must complete and return the Logic Model Form HUD-90610.
HUD is using a standardized ``Master'' Logic Model from which you can
select needs, activities (outputs), and outcomes appropriate to your
program. See the General Section for detailed information on use of the
``Master'' Logic Model. HUD is requiring grantees to use program-
specific questions to self-evaluate the management and performance of
their program. Training on HUD's Logic Model and reporting requirements
will be provided via satellite broadcast. In evaluating Rating Factor
5, HUD will consider how you have described the management and
evaluation mechanisms, 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 evaluation plan, to ensure the project is on schedule and
within budget. Instructions for completing the Logic model are found in
Tab 1 of the form HUD 96010. Training on the Logic Model is available
via satellite broadcast and webcast. The training schedule can be found
on http://www.hud.gov/offices/admin/grants/fundsavail.cfm.
f. Bonus Points for Federally Designated Zones and Communities (2
points). HUD will award two bonus points to each application that
includes a valid Form HUD-2990 certifying that the proposed activities/
projects in the application are consistent with the strategic plan for
an empowerment zone (EZ) designated by HUD or the United States
Department of Agriculture (USDA), the tax incentive utilization plan
for an urban or rural renewal community designated by HUD (RC), or the
strategic plan for an enterprise community designated in round II by
USDA (EC-II) and that the proposed activities/projects will be located
within the RC/EZ/EC-II identified above and are intended to serve the
residents. A listing of the RC/EZ/EC-IIs is available on the Internet
at http://www.hud.gov/cr.
B. Reviews and Selection Process.
1. The review and selection process is provided in the General
Section. The General Section also provides the procedures for
correcting deficient 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.
C. Anticipated Announcement and Award Dates. HUD anticipates
announcing awards under this program no later than October 1, 2007.
VI. Award Administration Information
A. Award Notices
1. Notice of Award. Applicants that have been selected for award
will be notified by letter from the Office of Healthy Homes and Lead
Hazard Control 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 cooperative agreement.
2. Negotiations. HUD may require that selected applicants
participate in negotiations to determine the specific terms of the
cooperative agreement, budget, and Logic Model. 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, you must return your signed cooperative
agreement by the date specified during negotiation.
3. Award Adjustments. If funds remain after all selections have
been made, the remaining funds may be redistributed or made available
for other competitions.
4. 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.
5. Start of Work. All awardees are expected to commence activity
immediately upon completion of negotiations, and execution of the
cooperative agreement.
6. Applicant Debriefing. See the General Section for information
regarding unsuccessful 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), 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, Regional/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
[[Page 11577]]
downloaded at: http://harvester.census.gov/sac/.
4. Timely Hiring of Staff. HUD reserves the right to terminate
awards made to recipients that fail to timely hire (within 30 days of
award) staff to fill key positions identified in the applicant's
proposal as vacant.
5. 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.
6. Procurement of Recovered Materials. See the General Section for
further information.
7. 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 cooperative agreement.
2. Racial and Ethnic Data. HUD does not require Lead Outreach
applicants 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 agreement. You must report the data as described in the General
Section and use the Office of Management and Budget's Standards for the
Collection of Racial and Ethnic Data, using Form HUD-27061, Racial and
Ethnic Data Reporting Form, found on http://www.hudclips.org/sub_nonhud/html/forms.htm along with instructions for its use.
3. Progress reporting. Progress reporting is done on a quarterly
and annual basis. For specific reporting requirements, see policy
guidance at: http://www.hud.gov/offices/lead. OHHLHC awardees will
submit quarterly reports via an on-line reporting system and will use
the their Logic Model approved as part of the grant agreement to
measure and report performance for each quarter. The quarterly report
must reflect all benchmarks (output goals) and proposed outcomes
(results) that are indicated on the Logic Model with an associated cost
estimate. For FY 2007, HUD is considering a new concept for the Logic
Model. The new concept is a Return on Investment (ROI) statement. HUD
will be publishing a separate notice on the ROI concept. Deviations
from projected outputs and outcomes, either positive or negative,
should be reported in the Logic Model under the reporting Tab. The
completed Logic Model showing output and outcome status must be
submitted as part of the quarterly progress report.
4. Final Report. An overall final cooperative agreement report, due
at the completion of the cooperative agreement, 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 the
cooperative agreement, 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 cooperative agreement activities). The final report
shall include cumulative achievements, final project outputs, outcomes
and results reported against the project's Logic Model (Form HUD-96010)
as approved and incorporated into your award agreement, including
explanations of any deviations from projected levels of performance.
VII. Agency Contacts
For programmatic questions, you may contact Jonnette Hawkins,
Office of Healthy Homes and Lead Hazard Control; telephone (202) 755-
1785, extension 7593 (this is not a toll-free number) or via e-mail at
[email protected]. For grants administrative questions, you
may contact Mr. Royal Rucker, Office of Healthy Homes and Lead Hazard
Control; telephone (202) 755-1785 extension 7584 (this is not a toll-
free number) or via e-mail at Royal--A.-- [email protected]. If neither of
these individuals is available, you may contact the Office's general
Lead Regulations hotline, at (202) 755-1785, extension 7698. Your call
will be forwarded in one business day for subsequent response by the
appropriate staff. Hearing- or speech-challenged individuals may access
these numbers through TTY by calling the toll-free Federal Information
Relay Service at 800-877-8339.
VIII. Other Information
A. For additional information about this NOFA, program, or for
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. 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 2539-0015. 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 80 hours to prepare the application, 16 hours to finalize the
cooperative agreement, and 32 hours per annum for grant administration
(progress reporting) per respondent. 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
Appendices A, B, and C of this NOFA are available for downloading
with the application at http://www.grants.gov/applicants/apply--for--
grants.jsp.
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[GRAPHIC] [TIFF OMITTED] TN13MR07.015
[[Page 11579]]
Healthy Homes Demonstration Program
Overview Informattion
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 Demonstration Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: FR-5100-N-19, OMB Paperwork approval
number 2539-0015.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.901,
Healthy Homes Demonstration Program.
F. Dates: The application deadline date is May 18, 2007.
Applications must be received and validated by Grants.gov no later than
11:59:59 pm eastern time on the application deadline date. See the
General Section IV, regarding application submission procedures and
timely filing requirements.
G. Additional 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 in low- and very low-income families. The Healthy
Homes Demonstration program is committed to supporting the Departmental
Strategic Goal of strengthening communities by addressing housing
conditions that threaten health. As a part of this commitment, the
Healthy Homes Initiative strives to reduce allergen levels in 5,000
units by 2011, and correspondingly, reduce asthmatic episodes for 3,000
children living in those units.
2. Available Funds. HUD anticipates that approximately $5,000,000
in fiscal year 2007 and prior year funds will be available.
3. Anticipated Awards. Approximately five to seven cooperative
agreements will be awarded for a maximum of $1,000,000 each for the
entire period of performance.
4. Eligible Applicants. Not-for-profit institutions and for-profit
firms state and local governments, federally recognized Indian Tribes,
and colleges and universities located in the United States. For-profit
firms are not allowed to make a profit from the project.
5. Type of award. Cooperative Agreements, with substantial
involvement of the Government, will be awarded (see Paragraph II.C for
a description of substantial involvement).
6. Match. None required, but leveraging strongly encouraged.
7. Limitations. There are no limitations on the number of
applications that each applicant may submit.
8. Information on application. The applications for this NOFA can
be found at http://www.grants.gov/applicants/apply--for--grants.jsp.
The General Section contains information about Grants.gov registration,
submission requirements, and submission procedures.
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
Healthy Homes Initiative: 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/offices/lead/hhi/index.cfm. This site also contains additional information on the HHI.
HUD believes that it is important for grantees to incorporate
meaningful community participation, to the greatest extent possible, in
the development and implementation of programs that are conducted in
communities and/or involve significant interaction with community
residents. Community participation can improve program effectiveness in
various ways, including the development of more salient program
objectives, recruitment and retention of study participants,
participants' understanding of the program, ongoing communication, and
more effectively disseminating study findings.
HUD encourages applicants to consider using a ``community-based
participatory research (CBPR)'' approach, where applicable, in study
design and implementation. For example, see the report published by the
National Institute of Environmental Health Sciences titled ``Successful
Models of Community-Based Participatory Research'' at: http://www.niehs.nih.gov/translat/pubs.htm. CBPR is characterized by
substantial community input in all phases of a study, including the
design, implementation, data interpretation, conclusions, and
communication of results. The HHI seeks proposals that provide a
coordinated approach to address multiple hazards caused by a limited
number of building deficiencies. The HHI approach is anticipated to
reduce labor and travel costs and provide substantial savings, since
separate visits to a home by an inspector, public health nurse, or
outreach worker can add significant costs to project activities. OHHLHC
is in the process of evaluating the effectiveness of the Healthy Homes
Initiative, and, as a result of this evaluation, will be examining the
efficiencies (as measured by per-unit costs and benefits) of a
coordinated approach to assess and remediate multiple housing-related
hazards.
In addition to deficiencies in basic housing facilities that may
impact health and safety, 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 and safety
hazards in the residential environment. While such health hazards will
tend to be found disproportionately in housing that is substandard,
these environmental health and safety hazards also exist in housing
that is otherwise of good quality. ``Housing-Related Health and Injury
Hazards,'' Appendix A, a brief description of the housing-associated
health and injury hazards HUD considers key targets for remediation,
can be downloaded with your application package at http://www.grants.gov/applicants/apply--for--grants.jsp. The Web site http://www.hud.gov/offices/lead/hhi/index.cfm also lists some of the
references that serve as the basis for information provided in the
Healthy Homes Demonstration Program NOFA.
HUD's authority for making funding available under this NOFA is the
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5,
approved February 15, 2007).
B. Healthy Homes Initiative Goals
1. Develop and implement demonstration projects that address
multiple housing-related problems affecting the health of children;
2. Achieve the Healthy Homes Initiative's Departmental Strategic
Goal objective of reducing allergen levels in 5,000 units by 2011, and
correspondingly, reducing asthmatic episodes for 3,000 children living
in those units;
3. 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-related environmental health
and safety hazards;
[[Page 11580]]
4. Build local capacity to operate sustainable programs that will
prevent and control housing-related environmental health and safety
hazards in low- and very low-income residences when HUD funding is
exhausted; and
5. Affirmatively further fair housing and environmental justice.
HUD also encourages applicants to undertake specific activities
that will assist the Department in implementing its Policy Priorities.
HUD's fiscal year 2007 Policy Priorities are discussed in the General
Section.
C. Healthy Homes Demonstration Program Objectives
The objectives of the Healthy Homes Demonstration Program include
direct remediations, including assessment of housing-related hazards,
education and outreach and capacity building. HUD recognizes that, in
many cases, activities may meet multiple objectives. Because the
development and evaluation of effective methods for assessing and
remediating housing-related hazards is the principal focus of the
Healthy Homes Demonstration Program, awardees must expend at least 65
percent of grant funds on direct remediations in the home. Additional
expenditures may include capacity building (training) and information
dissemination.
1. Direct remediations in homes of children where environmental
triggers may contribute to a child's illness, including the following
kinds of activities:
a. Development of cost-effective protocols for identifying homes
that are candidates for remediations, identifying environmental health
and safety hazards in these homes, and screening out homes where
structural or other factors, including cost issues, make remediations
impractical;
b. Development of appropriately scaled, flexible, cost-effective
and efficient assessment and intervention strategies that take into
account the range of unhealthy conditions encountered in housing, that
maximize the number of housing units that receive remediations and the
number of positive or negative health outcomes as a result. HUD
believes health outcomes, particularly the reduction in asthmatic
episodes or injuries, are an important component of this NOFA and wants
to assess how Healthy Homes remediations affect the health of the
population being served relative to the population at large. Therefore,
any health outcome should be documented.
c. Development of methodologies for evaluating the effectiveness of
remediations and assessing the effect of the remediation on the health
of the resident or program participant.
2. Education and outreach that furthers the goal of protecting
children from environmentally induced illnesses, including:
a. Targeting, through education and outreach, specific high-risk
communities and other identified audiences such as homeowners,
landlords, health care providers, pregnant women, children, residential
construction contractors, maintenance personnel, housing inspectors,
real estate professionals, home buyers, and low- or very low-income
minority families;
b. Developing and delivering public outreach programs that provide
information about effective methods for preventing housing-related
childhood diseases and injuries, and promoting the use of these
methods, especially in low- and very low-income residences; and
c. Increasing public awareness of housing-related environmental
health and safety hazards that threaten the health of children, through
the use of media strategies using print, radio and television,
including the use of minority media and provision of materials in
alternative formats and materials for populations with Limited English
Proficiency (LEP).
3. Building capacity in the target community to assure that Healthy
Homes programs are sustained beyond the life of the award period,
including the development of local capacity in target areas for target
groups to operate sustainable programs to prevent and control housing-
related environmental health and safety hazards.
II. Award Information
A. Funding Available
Approximately $5,000,000 in fiscal year 2007 and prior year funds
are available for Healthy Homes Demonstration cooperative agreements.
HUD anticipates that approximately five to seven cooperative agreements
will be awarded, for a maximum of $1,000,000 each for the entire period
of performance.
Applicants may wish to review currently funded grants on the
Healthy Homes Web site at: http://www.hud.gov/offices/lead/hhi/index.cfm.
B. Anticipated Start Date and Period of Performance for New Cooperative
Agreements
1. The start date for new cooperative agreements is expected to be
no later than October 1, 2007, with a period of performance not to
exceed 36 months. For planning purposes, applicants need to include
adequate time for start up activities such as the Institutional Review
Board approval process, recruitment of study participants, fulfillment
of environmental requirements, and development of new methods (e.g.,
survey forms, database, etc.) within this period of performance.
2. 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 85.24(e)(2) or 85.30(d)(2), as
applicable, and the OHHLHC Program Guide. Because delays have been
associated with recruitment and Institutional Review Board approval
issues, HUD encourages applicants to involve all partners in pre-
planning processes. If approved, grantees will be eligible to receive a
single extension of up to 12 months in length. Although applicants are
encouraged to plan projects with shorter performance periods than 36
months, you should consider the possibility that issues may arise that
could cause delays when developing your schedule.
C. Type of Award Instrument
Awards will be made as cooperative agreements. Anticipated
substantial involvement by HUD staff for cooperative agreements may
include, but will not be limited to:
1. Review and suggestion of amendments to the study design,
including: study objectives; field sampling plan; data collection
methods; sample handling and preparation; and sample and data analysis.
2. Review and provision of technical recommendations in response to
quarterly progress reports (e.g., amendments to study design based on
preliminary results).
3. Review and provision of technical recommendations on journal
article(s) and the final report for the project.
4. Collaboration on peer review of scientific data in accord with
the Office of Management and Budget (OMB) Information Quality
Guidelines. All HUD-sponsored research is subject to the OMB Final
Information Quality Bulletin for Peer Review (70 FR 2664-2677,
published on January 14, 2005) prior to its public dissemination. In
accordance with paragraph II.2 of the Bulletin, HUD will not need
further peer review conducted on information that has already been
subjected to adequate peer review. Therefore, grantees must provide
enough information on their peer review process for HUD to determine
whether additional review is needed.
[[Page 11581]]
III. Eligibility Information
A. Eligible Applicants
Eligible applicants include not-for-profit institutions and for-
profit firms, state and local governments, federally recognized Indian
Tribes, and colleges and universities located in the United States.
For-profit firms are not allowed to make a profit 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 if you provide documentation of commitments for significant
leveraging.
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. Applications that do not
address the threshold items will not be funded. Cooperative agreements
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 points is required for consideration for award. The
maximum score that can be attained is 100 points for the narrative
responses and an additional 2 bonus points for activities proposed to
be located in RC/EZ/EC-II communities.
2. Eligible Activities
The following activities and support tasks are eligible under the
Healthy Homes Demonstration Program. a. Assessing (evaluating) housing
to determine the presence of environmental health and safety 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. Remediating existing housing-based environmental health and
safety hazards and addressing conditions that could recur.
c. Undertaking rehabilitation activities to effectively control
housing deficiencies that are required for remediating environmental
health and safety hazards in the unit. Funds under this program may
only be used to address lead-based hazards at the de minimis level (see
24 CFR 35.1350(d)). These lead hazard evaluation and/or control
activities may not be a principal focus of the cooperative agreement.
(Lead hazard evaluation and control activities are carried out under
HUD's Lead-Based Paint Hazard Control Grant Program, Lead Hazard
Reduction Demonstration Grant Program, and Operation Lead Elimination
Action Program.) For information about conducting remediation of de
minimis amounts of lead-based paint hazards, refer to the HUD
Guidelines for the Evaluation and Control of Lead-Based Paint Hazards
in Housing (HUD Guidelines). The HUD Guidelines and/or applicable
regulations may be downloaded from HUD's Web site at http://www.hud.gov/offices/lead/guidelines/index.cfm.
d. Carrying out temporary relocation of families and individuals
while the remediation is conducted and until the time the affected unit
receives clearance for re-occupancy. See III.C.4.e, Real Property
Acquisition and Relocation, of the General Section, and Section VI.B.4
of this NOFA for a discussion of regulations that apply when relocating
families.
e. Environmental sampling and medical testing to protect the health
of the remediation workers, supervisors, and contractors, unless
reimbursable from another source.
f. Conducting testing, analysis, and mitigation for lead, mold,
carbon monoxide and/or other housing-related environmental health and
safety hazards as appropriate, following generally accepted standards
or criteria. A laboratory recognized by the U.S. Environmental
Protection Agency's (EPA's) National Lead Laboratory Accreditation
Program (NLLAP) must analyze paint, soil or dust samples related to
lead-based paint. Samples to be analyzed for fungi should be submitted
to a laboratory accredited in the Environmental Microbiological
Laboratory Accreditation Program (EMLAP), administered by the American
Industrial Hygiene Association (AIHA).
g. Carrying out necessary architectural, engineering and work
specification development and other construction management services.
h. Providing training on Healthy Homes practices to homeowners,
renters, landlords, painters, remodelers, and housing maintenance staff
working in low- or very low-income housing.
i. Providing cleaning supplies for hazard remediation to grassroots
community-based nonprofit organizations, including faith-based
organizations, for use by homeowners and tenants in low-income housing,
or providing these supplies to homeowners and tenants directly. (See
the General Section for more information about grassroots community-
based nonprofit organizations, including faith-based organizations.)
j. Providing incentives (financial or other incentives, including
coupons for a video rental, coupons for groceries, stipends for
completion of surveys, child care, cleaning kits, etc.) with a value up
to $10 for recruitment, through up to $250 for the most significant or
lengthy participation. These incentives are subject to approval by HUD.
Their purpose is to encourage recruitment and retention in the healthy
homes program, and participation in educational and training activities
and other program-related functions.
k. Conducting community education programs on housing-related
environmental health and safety hazards. Materials should be available
in alternative formats for persons with disabilities including Braille,
audio, large type), upon request, and in languages other than English
that are common in the community, consistent with HUD's published
``Limited English Proficiency (LEP) Recipient Guidance'' (see http://www.hud.gov/offices/fheo/library/lepFRguidance.html).
l. Securing liability insurance for housing-related environmental
health and safety hazard evaluation and control activities. This is not
considered an administrative cost.
m. 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 HUD staff and contractors who are performing HUD-funded
research and evaluation studies.)
3. Program Requirements. In addition to the program requirements in
the General Section, applicants must also meet the following program
requirements.
a. Institutional Review Board (IRB) Approval. In conformance with
the Common Rule (Federal Policy for the Protection of Human Subjects,
45 CFR 46, 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 (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 elements of human subject research or obtaining
[[Page 11582]]
an institutional assurance, see the OHRP Web site at: http://www.hhs.gov/ohrp.
b. 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 is
subject to requirements of 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 and
http://privacyruleandresearch.nih.gov/authorization.asp.
c. Community Involvement. Applicants must incorporate meaningful
community involvement in any programmatic study that requires a
significant level of interaction with a community (including, projects
being conducted within occupied dwellings or which involve surveys of
community residents). A community is made up of various groups of
persons who have commonalities that can be identified on the basis of
geographic location, ethnicity, health condition, and common interests.
Applicants should identify the community that is most relevant to their
particular project. There are many different approaches for involving
the community in the conception, design, and implementation of a
project and the subsequent dissemination of findings. Examples include,
but are not limited to: establishing a structured approach to obtain
community input and feedback (such as involving a community advisory
board); including one or more community-based organizations as study
partners; employing community residents to recruit study participants
and collect data; and enlisting the community in the dissemination of
findings and translation of results into improved policies and/or
practices. A discussion of community involvement in research involving
housing-related health hazards can be found in Chapter 5 of the
Institute of Medicine publication titled ``Ethical Considerations for
Research on Housing-Related Health Hazards Involving Children,'' at
http://www.iom.edu/cms/12552/26004/29871.aspx.
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 remediation. Any previous requests for no-cost
extensions will be considered in the evaluation of the capacity of the
applicant under Rating Factor 1.
e. Lead Hazard Control Activities. All lead hazard control
activities must be conducted in compliance with HUD's Lead-Safe Housing
Rule, 24 CFR Part 35. 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. See Section III.C.2.c regarding
lead activity limitations.
f. Compliance with Lead Disclosure Rule. All lead-based paint and
lead-based paint hazard test and hazard reduction results must be
provided to the owner of the unit, 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 may only be used for purposes of remediation of
hazards in the unit and not for retribution/eviction. Disclosure of
other identified housing-related environmental health and safety
hazards to the owner of the unit, for purposes of remediation, is
encouraged but not required unless disclosure is required by Federal,
state or local regulations.
g. Integrated Pest Management. 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.
h. Dust Sampling Protocol. Collection of settled dust samples for
environmental allergen analysis (e.g., cockroach, dust mite) must
follow a standard dust sampling protocol, such as the protocol posted
on the OHHLHC website, http://www.hud.gov/offices/lead/hhi/hhiresources.cfm. If an applicant chooses to use a different protocol,
such as a protocol from the Occupational Safety and Health
Administration (OSHA), the U.S. Environmental Protection Agency (EPA),
the National Institute of Environmental Health Sciences (NIEHS) or the
American Society of Testing and Materials (ASTM), the applicant must
provide a justification to HUD. The awardee is also required to submit
quality control (QC) samples of allergens in household dust, provided
at no cost, as blind samples in the train of samples submitted for
laboratory analysis. For the purpose of budgeting laboratory costs,
assume that 5 percent of your total allergen dust samples will consist
of HUD-provided QC samples.
i. Hazardous Waste Disposal. Awardees must follow procedures for
hazardous waste disposal as required by 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.
j. Worker Protection Procedures. Awardees 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.
k. Written Policies and Procedures. You must have written policies
and procedures for all phases of interventions, including recruitment,
enrollment, participant prioritization, unit assessment, development of
specifications, remediations, training, 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.
l. 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-related environmental health and
safety hazards, including evaluation and remediation methods, building
conditions, medical and familial information (with confidentiality of
[[Page 11583]]
individually-identifiable information ensured) in order to determine
the effectiveness and relative cost of these methods.
m. 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
Section V, Rating Factor 3, for recommendations for implementing
Section 3 Employment Opportunities.
n. Conducting Business in Accordance with HUD Core Values and
Ethical Standards. If selected for an award under the Healthy Homes
Demonstration Program NOFA, 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. 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/codeofconduct/cconduct.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
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/applicants/apply--for--grants.jsp. If you have
difficulty accessing the information you may call the Grants.gov
helpline toll-free at (800) 518-GRANTS or e-mail [email protected].
Helpline customer representatives will assist you in accessing the
information.
B. Content and Form of Application Submission
The following section 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, at least
\3/4\-inch margins) must be included in the proposal. The abstract
should include the title of your proposed project, amount of funding
requested from HUD, amount of funding leveraged or matched, period of
performance, a short summary of the proposed project and the name,
mailing address, e-mail address and telephone number of the principal
contact person for the primary entity. Information contained in the
abstract will not be considered in the evaluation and scoring of your
application. Any information you wish considered should be provided
under the appropriate rating factor. The 2-page abstract will not be
included in the 25 page limit of the application.
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 (for example, Factor
1, Capacity of the Applicant, etc.). You are strongly advised to use
the format of the NOFA as an outline for discussion of your rating
factors. 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, at least \3/4\-inch margins). Any pages
in excess of this limit will not be read. Application packages without
narrative statements addressing the rating factors will not be reviewed
or considered for funding. Applicants should carefully review each
narrative attached to the electronic application to make sure that you
have attached the correct file and not an incomplete one, as this is
not a curable deficiency.
3. The score for each rating factor will be based on the content of
the narrative submitted for each rating factor, supplemented by
materials referenced and discussed in that portion of your narrative
statement. Information relative to a given rating factor must be
contained in the narrative for that rating factor. If it is found in
another rating factor, it will not be considered. In addition,
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 2 pages
each (single-spaced, 12-point font, with at least \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 narrative (maximum 4 pages) with supporting
justification for all budget categories of your funding request, in
accordance with Rating Factor 3, Section V.A.2.c(3). This budget
narrative will not be counted towards the 25-page limit of the
application. 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). (One FTE equals 2,080 hours/year.)
b. You should budget for one trip annually for two people for
meetings at HUD Headquarters in Washington, DC, assuming a 2-3 day stay
per trip depending upon 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.
[[Page 11584]]
Checklist for Healthy Homes Demonstration Program Applicants
Applicant Abstract (Limited to 2 Pages)
Rating Factor Responses (Total narrative response limited
to 25 pages. Rating Factor tables (Forms HUD-96012, 96016, 96015 and
96010) do not count toward the 25-page limit.)
1. Capacity of the Applicant and Relevant Organizational
Experience--Form HUD 96012.
2. Need/Extent of the Problem--Form HUD-96016.
3. Soundness of Approach.
4. Leveraging Resources--Form HUD-96015.
5. Achieving Results and Program Evaluation--Form HUD-96010 (Logic
Model).
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'' (HUD
Detailed Budget Form on Grants.gov).
Form SF-424 Supplement, ``Survey on Ensuring Equal Opportunities
for Applicants'' (Faith-Based EEO Survey on Grants.gov).
Faith-Based EEO Survey (to be completed by private nonprofit
organizations only).
Form SF-LLL, Disclosure of Lobbying Activities
Form HUD-2880, ``Applicant/Recipient Disclosure/Update Report''
(HUD Applicant Recipient Disclosure Report on Grants.gov).
Form HUD-2990, Certification of Consistency with the RC/EZ/EC-II
Strategic Plan (if applicable).
Form HUD-27300, ``Questionnaire for HUD's Removal of Regulatory
Barriers'' (HUD Communities Initiative Form on Grants.gov).
Form HUD-96011, ``Third Party Documentation Facsimile Transmittal''
(Facsimile Transmittal Form on Grants.gov). This is to be used as the
cover page for faxing third party information for electronic
applications only. See the General Section.
Resumes of Project Director, Project Manager and up to 3 Key
Personnel (limited to 2 pages per resume).
Position Descriptions for Key Personnel to be hired (limited to 2
pages per description).
Organizational Chart.
Letters of Commitment (if applicable).
Form HUD-2994A--You are Our Client! Grant Applicant Survey
(Optional).
Optional material in support of the Rating Factors (20-
page limit)
C. Submission Dates and Times. Electronic applications must be
received and validated by Grants.gov on or before 11:59:59 p.m. eastern
time on the application submission date. Refer to the General Section
for submission requirements. 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. See
sections IV.B and IV.F of the General Section for additional
information on the electronic process and how to request a waiver from
this requirement, if necessary.
D. Intergovernmental Review. Not required for this submission.
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 and can be downloaded
with this application at http://www.grants.gov/applicants/apply--for--
grants.jsp.
2. Indirect Costs. You must comply with Indirect Cost requirements.
Guidelines for indirect cost requirements, presented in Appendix C, may
be downloaded as part of your application package at http://www.grants.gov/applicants/apply--for--grants.jsp.
3. Purchase of Real Property is not permitted.
4. 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.
5. Medical costs are not permitted (except for medical testing to
protect the health of the intervention workers, supervisors, and
contractors, unless reimbursable from another source).
6. For-profit organizations cannot receive a fee or profit.
7. Applicants must comply with the Coastal Barrier Resources Act
(16 U.S.C. 3501).
8. You may not use grant funds for 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. HUD requires applicants to submit
applications electronically through http://www.grants.gov unless you
request and are granted a waiver to the electronic submission
requirements. See the General Section. Applicants should submit their
waiver requests in writing by e-mail. Waiver requests must be submitted
no later than 15 days prior to the application deadline date and should
be submitted to Jonnette Hawkins, Director, Program Management and
Assurance Division, Office of Healthy Homes and Lead Hazard Control,
[email protected].
V. Application Review Information
A. Criteria
1. Rating and Ranking. 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.2 of this NOFA. Your application must receive
a total score of at least 75 points to be considered for funding.
Each of the five factors is weighted as indicated by the number of
points that are assigned to it. The maximum score that can be attained
is 100 points for the narrative responses, and 2 bonus points for
activities carried out in a RC/EZ/EC-II. Applicants should be certain
that each of these factors is clearly and comprehensively addressed in
the project description and accompanying materials.
HUD will not review any applications with a request for federal
funding that exceeds the maximum amount specified in this NOFA.
2. Rating Factors. The factors for rating and ranking applicants,
and maximum points for each factor, are provided below. Applicants
should be certain that these factors are adequately addressed in the
narrative relevant to the rating factors and the accompanying
materials.
a. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (15 Points)
This factor addresses your organizational capacity (including the
capacity of your own organization, as
[[Page 11585]]
well as partner organizations) necessary to successfully implement your
proposed activities in a timely manner. The rating of your program
includes any grassroots community-based nonprofit organizations firmly
committed to your project, including faith-based organizations, sub-
contractors, consultants, sub-recipients, and members of consortia. HUD
strongly encourages the formation and development of consortia in
implementing your project goals. Applicants are encouraged to partner,
fund, or sub-contract with grassroots, community-based nonprofit
organizations, including faith-based organizations to carry out program
activities. If these partnerships are proposed, applicants will receive
higher rating points as specified in the General Section. Applicants
should note in their Rating Factor 1 narrative whether they are
submitting multiple applications to OHHLHC, and, if so, the percentage
commitment of staff for each application.
In rating this factor, HUD will consider the three items listed
below.
(1) Capacity and Qualifications of Principal Investigator and Key
Personnel. (6 points). Describe your recent, relevant, and successful
demonstrated experience in undertaking eligible program activities.
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. Include information
on your project staff, their experience with housing and health
programs, percentage commitment to the project, and position titles.
Project directors should commit at least 20 percent and the project
manager's time commitment should be at least 50 percent. Resumes of up
to 2 pages each 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 (including all
partner organizations) , must be included in your application
submission. Position descriptions or job announcements (including
salary range, percent of time commitment, percentage of time covered by
cooperative agreement funds) for unfilled positions should be included
for any key positions that are currently vacant or contingent upon an
award.
Document that you have sufficient personnel, or will be able to
quickly retain qualified personnel to begin your project immediately,
and to perform activities in a timely and effective fashion. 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.
Describe how principal components of your organization will participate
in, or support, your project.
(2) Qualifications of Applicant and Partner Organizations (4
points). Include names, descriptions of the experience and
qualifications of subcontractors. Document how you propose to
coordinate with and monitor sub-contractors, including frequency of
meetings, on-site inspections and submission of formal monthly or
quarterly reports. Discuss your communication and coordination with
partners, including partner responsibilities, meeting frequency, etc.
If partners are community-based grassroots, non-profit organizations,
including faith-based organizations, include documentation
demonstrating their community-based grassroots status, such as
organizational profile, 501(c)(3) status or Social Services budget.
(Lengthy documents are not required; face pages or extracted relevant
text is adequate.)
(3) Past Performance of the Organization (5 points). 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. 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 their benchmarks, may earn
one point based on their demonstrated ability to date. If you received
previous Healthy Homes Demonstration Program funding, you will be
evaluated in terms of your performance and timeliness under the
previous grant.
You must complete and submit the Factor 1, Table 1, Form HUD-96012,
which can be downloaded with your application at http://www.grants.gov/applicants/apply--for--grants.jsp to support narrative information.
b. Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent for your proposed activities to
document housing-related environmental health and safety hazards
(including, but not limited to, mold, allergens, lead-based paint
hazards, carbon monoxide, pesticides, home safety hazards) in your
target area(s) that impact your targeted group(s).
(1) Target Area for Proposed Activities (5 points). Specifically
identify a target area for your proposed activities. Document the
critical level of need for your proposed activities in this target area
by providing data documenting targeted groups that are traditionally
underserved or have special needs. For a maximum score, data provided
should represent the target area, rather than general statistics or
information pertinent to a larger geographic area. If specific
statistics are not available, discuss why this is the case.
(2) Link to Housing-related Health and Safety Hazards (10 points).
Your documentation should summarize available data linking housing-
based environmental health and safety hazards to disease or injuries to
children, especially in low- and very low-income families, in your
target area. Examples of data that might be used to demonstrate need
include:
(a) Economic and demographic data (3 points), including poverty and
unemployment rates and 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://factfinder.census.gov/home/saff/main.html?_lang=en. Applicants should also consult local data sources, such as
city government Web sites, for target area data.
(b) Statistics for your target area that present rates of childhood
illnesses (4 points) (including asthma, elevated blood lead levels) or
injuries (falls, burns) among children residing in your target areas
that could be caused or exacerbated by exposure to conditions in the
home environment; and
(c) The age and condition of housing (3 points). In responding,
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 of comparable quality.
You must complete and submit the Factor 2 Table, Form HUD-96016,
posted at http://www.grants.gov/applicants/apply--for--grants.jsp.
c. Rating Factor 3: Soundness of Approach (50 Points)
(1) Approach for Implementing the Project (36 points). HUD is
interested in
[[Page 11586]]
comparability among the Healthy Homes Demonstration Programs, in order
to further standardize outcomes and performance measures. Therefore,
applicants are encouraged to be explicit in describing proposed project
activities and provide details about designing and implementing their
work plan.
(a) Project Approach (5 points) Describe your approach to implement
your proposed project. In particular describe the methods, schedule and
milestones that will be used to identify and control housing-related
environmental health and safety hazards and to achieve the desired
improvements in the health of the families you serve. Include summary
information about the estimated numbers of clients to be contacted,
clients enrolled, units to be assessed, units to receive remediations,
individuals to be trained, and individuals or groups that will be
reached through education or outreach activities. You are expected to
document environmental outputs (reduction in allergen levels) and
health outcome measures, such as reduction in asthmatic episodes,
pediatric asthma hospitalizations, emergency room visits for asthma,
falls, burns, etc. These outputs and outcomes are critical to achieving
the Healthy Homes Initiative Departmental Goal of reducing allergen
levels in 5,000 units, and correspondingly reducing asthmatic episodes
for 3,000 children living in these units by 2011. The use of tables to
describe schedule, milestones and summary data is encouraged.
(b) Start up (3 Points)
(i) Institutional Review Boards. In conformance with the Common
Rule (Federal Policy for the Protection of Human Subjects, codified by
HUD at 24 CFR 60.101, which incorporates the DHHS regulation at 45 CFR
part 46), if your research involves human subjects, your organization
must provide proof (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 for Human Research Protections (OHRP).
Although you do not have to provide proof of IRB approval with your
application, you should address how you will obtain such approval.
Describe how you will obtain informed consent (e.g., from the subjects,
their parents or their guardians, as applicable) and discuss the steps
you will take to help ensure participants' understanding of 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. 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/.
(ii) Staff and Partner Training and Capacity Building. Provide
detailed information regarding how program staff and, where applicable,
partnering organizations will be trained in the disciplines needed to
successfully implement your project (e.g., resident education,
assessments and remediations). Include an outline of training
curricula, a description of qualifications of trainers, and describe
how individuals or groups to be trained will be selected.
(iii) Quality Assurance (QA) Activities. Successful Healthy Homes
Demonstration Program applicants that are collecting housing,
demographic, medical or environmental data must ensure the quality and
integrity of the data. Describe the elements of your project that will
integrate QA activities into the project design and applicable
activities such as visual assessments, environmental assessments and
questionnaires. Elements you may want to describe include the use of
quality control samples, validated questionnaires and assessment tools,
data collection, data management, statistical analysis, staff training
and monitoring. Your description will be evaluated relative to its
thoroughness, level of detail, and appropriateness for ensuring the
validity and quality of the data. If awarded, you will be asked to
develop a Quality Assurance Plan that describes these elements.
(iv) If you are proposing to conduct a project that includes a
significant level of community interaction (e.g., resident recruitment,
home-based remediations, data collection, environmental sampling in
residences) describe your plan for meaningful involvement of the
affected community in your proposed project. You should define the
community of interest with respect to your proposed project and discuss
why your proposed approach to community involvement will make a
meaningful contribution to your project and to the community.
(v) Describe any proposed involvement of grassroots community-
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 remediations.
(c) Recruitment and Enrollment (6 Points)
(i) Describe how you will identify, select, prioritize, and enroll
units of housing in which you will undertake housing-based health
hazard and safety remediations, targeting low- and very low-income
families with young children under the age of six (72 months) to the
extent feasible.
(ii) Discuss possible recruitment problems, and the probability of
dropouts, and describe measures you will perform to sustain recruitment
and enrollment, including over-recruitment and incentives for
sustainability of participants throughout the period of performance of
the cooperative agreement.
(iii) Describe how you will monitor enrollment and recruitment
status and implement measures identified to sustain enrollment and
recruitment.
(iv) Discuss how you will comply with the Health Insurance
Portability and Accountability Act (HIPAA). See Section III.C.3 for
more information about HIPAA requirements.
(v) Along with HIPAA compliance, describe how you will provide
appropriate program information and gain informed consent from the
subjects, their parents and guardians, as applicable. Describe how you
will ensure that participants understand and consent to the elements of
the program such as the purposes, benefits and risks of the research
activities.
(vi) Describe your proposed methods to reach high-risk groups and
communities, vulnerable populations and traditionally underserved
populations.
(vii) Describe how you will affirmatively further fair housing,
which would include, but not be limited to: (1) Affirmative marketing
of the program to those least likely to apply based on race, color,
sex, familial status, national origin, religion, or 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);
(2) providing materials
[[Page 11587]]
in alternative formats for persons with disabilities; providing
materials in languages other than English for individuals with limited
English proficiency and their families; (3) assuring long-term
residency by families currently living in the community; and (4)
assuring that priority for treated units go to those who need the
features (treatment) of the unit.
(d) Unit Assessments, Occupant Surveys and Medical Referrals (3 Points)
(i) Describe the assessment tools your project will employ to
establish baseline data for unit condition, knowledge of program
participant and/or the health of the occupant(s). These tools include
questionnaires, visual assessment protocols and environmental sampling
and analysis.
(ii) Describe your process for evaluating units of housing in which
you will undertake housing-related environmental health and safety
hazard remediations. Provide an estimate of the total number of owner-
occupied and/or rental units in which you will perform assessments and
conduct remediations.
(iii) Describe the process to be followed for referring children
for medical case management, if applicable. Describe the organizations
that will be involved in this process and their prior experience
providing case management to the target population(s).
(e) Remediations (7 Points)
(i) Describe your process for the development of work
specifications for the selected physical remediations and identify
individuals (or organizations) who will develop the work
specifications. Include specifics about the individual's position or
the organizational role in your project.
(ii) Discuss your process to select and obtain contractors for
conducting remediations in selected units and provide details about the
competitive bidding process.
(iii) Discuss efforts to incorporate cost-effective methods to
address multiple housing-related environmental health and safety
hazards, and describe the specific remediations you will employ to
control these 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 these hazards (e.g., burns, lead
poisoning, asthma). Although program partners have shown that low-cost
housing remediations can be effective in reducing illness and hazardous
conditions, HUD is interested in data that evaluate the cost-
effectiveness over time of carrying out assessments and remediations
for multiple hazards compared to the conventional approach of
identifying and remediating one hazard at a time. The data should be
stratified by the type, size and other housing characteristics, and the
type and extent of assessment and remediation, in order to provide
meaningful and comparable unit costs. Therefore, in your budget
submission, provide an estimate of the cost of each remediation
(material costs and labor costs associated with installation) and an
estimate of costs projected per unit. Describe how you will track the
costs of remediations and provide information about the efficiency of
these remediations. For example, provide information about the cost-
effectiveness, technical effectiveness and sustainability of the
remediations. Include any remediation plans to achieve the Healthy
Homes Initiative's Departmental Strategic Goal of reducing allergen
levels in 5,000 units by 2011, and correspondingly, reducing asthmatic
episodes in 3,000 children.
(iv) Discuss how you will assure that the contractor will comply
with all applicable Federal, state and local regulations.
(v) Describe the financing strategy, including eligibility
requirements, terms, conditions, and amounts available, to be employed
for conducting housing remediations. 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.
(vi) Describe your plan for the relocation of occupants of units
selected for remediation, if temporary relocation is necessary (see
Section VI B.4, below). If temporary relocation is necessary, address
the use of safe houses and other housing arrangements, storage of
household goods, stipends, incentives, etc., and the source of funding
for relocation.
(vii) If relocation is necessary for occupants of rental units,
describe your plan for ensuring right of return and/or first referral
for occupants of units selected for remediation who have had to move
for the remediations to be performed. (see Section VI B.4, below).
(f) Community Education, Outreach and Capacity Building/Training (3
Points)
(i) 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 (include plans for both program
participants and the community at large).
(ii) Discuss whether Healthy Homes training programs will be
expanded to include non sub-grantee organizations, such as public
housing agencies, Tribally Designated Housing Entities, grassroots
community-based or nonprofit organizations, including faith-based
organizations. If so, describe your plan for doing this.
(g) HUD's Departmental Policy Priorities (6 Points). Indicate if,
and describe how, you will address any of HUD's Departmental policy
priorities (see General Section). You will receive points for each of
the applicable FY 2007 policy priorities that are adequately addressed
in your application and incorporated into work plan activities showing
outputs and outcomes to a maximum of six points. 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. HUD expects the applicant to implement Energy Star building
techniques and utilize Energy Star appliances whenever activities of
the grant afford the opportunity. For information on Energy Star
programs and appliances, see http://www.energystar.gov.
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 includes an appropriate
narrative response demonstrating what they have accomplished to date
and submits the required documentation as described in Form HUD 27300.
Applicants may instead provide a Web site address where the
documentation can be readily found.
(h) 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 that are owned by, and/or employ, low-income and minority
residents as
[[Page 11588]]
defined in 24 CFR 135.5. 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 by:
Providing training and employment opportunities for low-
and very low-income persons living within the awardee's jurisdiction;
Purchasing goods and supplies, or contracting for services
from businesses that are owned by, and/or employ, low- and very low-
income persons living within the targeted jurisdiction; information
about Section 3 requirements is available at: http://www.hud.gov/offices/fheo/section3/section3.cfm; and
Describing how your proposed project will provide
opportunities for self-sufficiency, particularly for persons enrolled
in welfare-to-work programs, or provide educational and job training
opportunities.
(2) Approach for Managing the Project (9 points). Considering your
project goals and objectives, describe how you will manage the project.
Provide information on the general management approach including a
management plan that:
(a) Incorporates appropriate project objectives, major tasks/
activities, responsible entities, performance goals, and the process
that you will utilize to assign, track and monitor the performance of
major tasks and activities. All specific activities necessary to
complete the proposed project, such as recruitment, enrollment,
training, education and outreach, unit identification, assessment and
remediation, must be included.
(b) Provides a schedule of milestones and deliverables for the
completion of major tasks and activities, and the delivery of interim
and final products.
(c) Discusses coordination with sub-recipients, partners and staff.
(d) Describes quality assurance activities, including the
collection of data (questionnaires and environmental sampling and
analysis), case management, data entry and report preparation, and
associated corrective actions.
(3) Budget Justification (5 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-
424-CBW. An electronic copy is available at: http://www.grants.gov/applicants/apply--for--grants.jsp. You must thoroughly document and
justify all budget categories and costs and all major tasks for
yourself, sub-recipients, partners, major subcontractors, joint venture
participants, or others contributing resources to the project. Include
a 4-page (maximum) narrative that describes clearly and in detail your
budgeted costs for each required program element (major task) included
in your overall plan (at least 65 percent of the budget must be
expended for direct remediation). Include a separate, detailed budget
for any sub-grantee proposed to receive more than 10 percent of the
total federal budget request.
d. Rating Factor 4: Leveraging Resources (5 Points)
This factor addresses your ability to secure other community
resources (e.g., financing, supplies, and/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. Resources may also be provided by state and local
governmental entities. While cost sharing or matching is not required,
HUD will award a higher score under this rating factor if you provide
documentation of commitments for significant leveraging. HUD's Matching
and Leveraging Contribution Guidance, Appendix D, may be downloaded
with your application at http://www.grants.gov/applicants/apply--for--
grants.jsp. Applicants should note that, if they are submitting
multiple proposals to OHHLHC and are selected for multiple awards, they
may not use the same resources for match and/or leveraging. During
cooperative agreement negotiations, awardees will be required to
provide alternative match and/or leveraged resources than were proposed
in the original applications. In other words, awardees may not commit
duplicate matching and/or leveraged resources to multiple OHHLHC
programs.
(1) 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. Include in the narrative the details of the commitment, the
amount being leveraged, or if the commitment is in-kind, the specific
names, percent of time, supplies and other resources, and value of each
commitment.
(2) The signature of the authorized official on the Form SF-424
commits matching or other contributed resources of the applicant
organization. The applicant must obtain 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. Each letter of commitment, memorandum of
understanding, or agreement to participate shall include the
organization's name and the proposed level of commitment and roles and
responsibilities as they relate to the proposed project. The commitment
must be on official letterhead and signed by an official legally able
to make commitments on behalf of the organization and dated. Letters
must be submitted with your application.
(3) Include information to address the following elements.
(i) The extent to which you have coordinated your activities with
other known organizations that are not directly participating in your
proposed work activities (organizations other than sub-grantees and
program partners), but with which you share common goals and
objectives.
(A) Describe your plan for integrating and coordinating housing-
related environmental health and safety hazard remediations with other
housing-related activities (e.g., rehabilitation, weatherization,
correction of code violations, and other similar work).
(B) Describe your plans to generate and use public subsidies or
other resources, such as loan funds, to finance future remediations to
prevent and control housing-related environmental health and safety
hazards, particularly in low-or very low-income families with children
under the age of six years.
(ii) 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, Form HUD-96015,
Leveraging Resources that is posted at http://www.grants.gov/applicants/apply--for--grants.jsp.
e. Rating Factor 5: Achieving Results and Program Evaluation (15
points)
[[Page 11589]]
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. In your
response to this rating factor, you are to discuss the performance
goals for your project and specific outcome measure results. Discuss
the specific methods you will use to measure progress towards your
goals, track and report results of assessments and remediations, and
evaluate the effectiveness and cost-effectiveness of remediations [see
requirements discussed in V.A.2.c(1)(e)(iii)]; identify important
project milestones (e.g., the end of specific phases in a multi-phased
project) and deliverables specific to your project timeline; 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); and identify benchmarks such as number of units that
received intervention, percent of remediations that occurred in high-
risk communities, etc., that you will use to track the progress of your
project.
Identify how your project will be held accountable for meeting
project goals, objectives, and the actions undertaken in implementing
the program. Provide assurances that work plans and performance
measures developed for your project will be achieved in a timely and
cost-effective manner.
Your project should focus particular attention on identifying
specific resident, or program participant, health outcomes and describe
how these outcomes will be measured. Resident health outcomes do not
necessarily require medical testing, such as spirometry or documenting
blood lead levels, and may be assessed using questionnaires or other
tools. Careful attention should be given to the relationship between
the program's remediations (e.g., physical changes in the environment,
changes to cleaning protocols, in-home training or provision of
educational materials) and the effect on resident health, particularly
the reduction in asthmatic episodes for children. As part of your
health outcomes, include a discussion of how your program will support
the Healthy Homes Initiative's Departmental Strategic Goal of reducing
allergen levels in 5,000 units by 2011, and correspondingly, reducing
asthmatic episodes in 3,000 children living in these units.
In addition, you should describe how you will evaluate the benefits
of your proposed remediations relative to their costs or alternative
approaches to achieving these same outcomes. For example, you could
compare the costs and benefits of the healthy homes approach in which
multiple housing-related environmental health and safety hazards are
assessed and remediated by a comprehensive method, to costs and
benefits associated with adopting a ``single hazard'' model in which
separate assessments and remediations are carried out by several
different programs. You could also estimate the monetary benefits of
remediations that prevent illness (e.g., reducing asthma symptoms) or
reducing injuries.
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 measures 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.
You must submit Form HUD-96010. HUD is using an electronic Logic
Model with drop down menus from which you can select needs, activities,
and outcomes appropriate to your program. See the General Section for
detailed information on use of the Logic Model. HUD is requiring
grantees to use program-specific questions to self-evaluate the
management and performance of their program. For FY 2007, HUD is
considering a new concept for the Logic Model. The new concept is a
Return on Investment statement. HUD will be publishing a separate
notice on the ROI concept. Training on HUD's logic model will be
provided via satellite broadcast.
f. Bonus Points: RC/EZ/EC-II (2 points)
Applicants are eligible to receive 2 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 signed by the
appropriate official of the RC/EZ/EC-II.
B. Reviews and Selection Process. The review and selection process
is provided in the General Section. The General Section also provides
the procedures for correcting deficient applications.
VI. Award Administration Information
A. Award Notices
1. Applicants Selected for Award.
(a) Successful applicants will receive a letter from the Office of
Healthy Homes and Lead Hazard Control Grant Officer providing details
regarding the effective start date of the cooperative agreement and any
additional data and information to be submitted to execute a
cooperative agreement. This letter is not an authorization to begin
work or incur costs under the cooperative agreement or grant.
(b) HUD may require that a selected applicant participate in
negotiations to determine the specific terms of the cooperative
agreement and budget. Should HUD not be able to successfully conclude
negotiations with a selected applicant, an award will not be made. If
the applicant accepts the terms and conditions of the cooperative
agreement, a signed cooperative agreement must be returned by the date
specified. Instructions on how to have the cooperative agreement
account entered into HUD's Line of Credit Control System (LOCCS)
payment system will be provided. Other forms and program requirements
will 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
applicants to request a debriefing.
3. Negotiation. Refer to the General Section for additional
details.
4. Adjustments to Funding. Refer to the General Section for
additional details.
B. Administrative and National Policy Requirements
1. Environmental Requirements. Under the Revised Continuing
Appropriations Resolution, 2007 (Pub. L. 110-5, approved February 15,
2007), 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 funds. In
accordance with part 58, applicants under this NOFA that are States,
units of general local government or Indian
[[Page 11590]]
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 Program
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 Edward Thomas, the Office of Healthy
Homes and Lead Hazard Control Environmental Officer at (215) 861-7670
(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. ``Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally-Funded Construction Projects.'' See General
Section for information concerning this requirement. http://www.hud.gov/.
3. Procurement of Recovered Materials. See the General Section for
information concerning this requirement.
4. Relocation. 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, that cover any person (including individuals,
businesses, and farms) displaced as a direct result of the acquisition,
rehabilitation, or demolition of real property apply to this grant
program. If such persons are required to temporarily relocate for a
project, the requirements of the URA regulations at 49 CFR 24.2(a)(9)
must be met. HUD recommends you review these regulations when preparing
your proposal. (They can be downloaded from the Government Printing
Office website at http://www.gpoaccess.gov/cfr/index.html by entering
the regulatory citation in quotes without any spaces (e.g.,
``49CFR24.2'') in the Quick Search box.). See Section III.C.4.e of the
General Section for additional information about relocation.
5. Davis-Bacon Wage Rates. The Davis-Bacon wage rates are not
applicable to this program. However, if you use grant funds in
conjunction with other federal programs, Davis-Bacon requirements will
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.
2. Progress reports are due on a quarterly basis. In quarterly
reports, grantees provide information about accomplishments in the
areas of program management and capacity building; assessment and
intervention activities; community education, outreach, training and
capacity building; data collection and analysis; as well as a listing
of completed units and financial report. 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. 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. The final report
shall also respond to the management questions found in the Logic Model
and approved for your program. Specific information on all reporting
requirements will be provided to successful applicants.
4. Racial and Ethnic Beneficiary Data. HUD does not require Healthy
Homes Demonstration Program awardees 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 cooperative agreement. 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, ``Race and
Ethnic Data Reporting Form,'' if applicable (HUD Race Ethnic Form on
Grants.gov) found on http://www.hudclips.org/sub_nonhud/html/forms.htm, along with instructions for its use.
VII. Agency Contacts
For questions related to the application download submission
process, you may contact the Grants.gov helpline at 800-518-GRANTS. For
programmatic questions, you may contact by writing: Emily E. Williams,
Director; Healthy Homes Division; Department of Housing and Urban
Development; Office of Healthy Homes and Lead Hazard Control; 451
Seventh Street, SW., Room 8236; Washington, DC 20410-3000; or by
telephone at (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) 402-7580 (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. General. For additional general, technical, and program
information pertaining to the Office of Healthy Homes and Lead Hazard
Control, visit: http://www.hud.gov/offices/lead.
[[Page 11591]]
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 2539-0015. 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 80 hours to prepare the application
and 16 hours to finalize the cooperative agreement. This includes the
time for collecting, reviewing, and reporting the data for the
application. This information will be used for grantee selection. The
reporting burden for completion of the Quality Assurance Plan by
applicants who are awarded a grant is estimated at 24 hours per grantee
(OMB approval is pending). Response to this request for information is
required in order to receive the benefits to be derived.
[[Page 11592]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.016
[[Page 11593]]
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 (HCV) Family
Self-Sufficiency (FSS) Program Coordinators.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: FR-5100-N-15, the OMB Approval
Number is 2577-0178.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.871,
Section 8 Housing Choice Vouchers.
F. Dates: The application deadline date is May 18, 2007. Please see
the General Section for timely receipt requirements.
G. Additional Information: The purpose of the HCV FSS program is to
promote the development of local strategies to coordinate the use of
assistance under the HCV program with public and private resources to
enable participating families to increase earned income, reduce or
eliminate the need for welfare assistance, and make progress toward
economic independence and self-sufficiency. The FSS program and this
FSS NOFA support the Department's strategic goal of 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.
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 Revised Continuing
Appropriations Resolution, 2007 (Pub. L. 110-5, approved February 15,
2007) allows funding for program coordinators under the HCV FSS program
under Section 23 of the United States Housing Act of 1937. Through
annual NOFAs, HUD has provided funding to public housing agencies
(PHAs) that are operating HCV FSS programs to enable those PHAs to
employ program coordinators to support their HCV FSS programs. In the
Fiscal Year (FY) 2007 HCV 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 with Public Housing
Information Center (PIC) data confirming that their FSS families have
purchased homes and to applicants whose PIC data demonstrate program
accomplishments, such as increased HCV FSS program size, increased
earned income of program participants, and families successfully
completing their FSS contracts. HUD will accept applications from both
new and renewal PHAs that have HUD approval to administer an HCV FSS
program. PHAs funded under the HCV FSS NOFA in FY 2005 or FY 2006 are
considered ``renewal'' PHAs in this NOFA. These renewal PHAs are
invited to apply for funds to continue previously funded HCV FSS
program coordinator and FSS homeownership coordinator positions that
they have filled.
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 as defined 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.
To support the Department's initiatives on Colonias, a selection
preference is again included 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 reach out to persons with disabilities who
are HCV program participants and might be interested in participating
in the FSS program. PHAs are also encouraged to include agencies on
their FSS Program Coordinating Committee (PCC) that work with and
provide services to families with disabilities.
Applicants must administer the FSS program in accordance with HUD
regulations and requirements in 24 CFR part 984, which govern the HCV
FSS Program, and must comply with existing HCV program requirements,
notices, and guidebooks.
B. Number of Positions for Which Eligible PHAs May Apply. Eligible
PHAs may apply for funding for HCV FSS program coordinator positions
under this NOFA as follows:
1. Renewal PHA Applicants. PHAs that qualify as eligible renewal
PHA applicants under this NOFA may apply for continuation of each FSS
coordinator position, including homeownership coordinator positions,
awarded under the HCV FSS NOFA in FY 2005 or FY 2006 that has been
filled by the PHA.
2. New PHA Applicants. New PHA applicants may apply for HCV FSS
program coordinator positions as follows: a) up to one full-time HCV
FSS coordinator position for a PHA applicant with HUD approval to
administer a HCV FSS program of 25 or more FSS slots and b) up to one
full-time HCV FSS coordinator position per application for joint PHA
applicants that together have HUD approval to administer a total of at
least 25 HCV 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 HCV FSS NOFA in FY 2005 or FY 2006.
2. New PHA Applicant. PHAs that did not receive funding under the
HCV FSS NOFA in FY 2005 or FY 2006 that have HUD approval to administer
a HCV FSS program 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 HCV FSS program slots
identified in the PHA's HUD-approved FSS Action Plan, or if requested
by Moving to Work (MTW) PHA applicants, the number of slots in the
applicant's MTW agreement. The total may include both voluntary and
mandatory HCV FSS program slots. This number is used in determining the
eligibility of new applicant PHAs under this NOFA.
4. Qualifying FSS Homeownership Program. Qualifying homeownership
programs include the HCV Homeownership Program and other programs
administered by the PHA or other entities that prepare HCV program FSS
participants for making the transition from renting to homeownership.
5. The Number of HCV FSS Program Participants. The total number of
families shown in HUD's PIC data system or applicable MTW report, as
enrolled in the applicant's HCV FSS program at the end of a calendar
year, plus those families that successfully completed their FSS
contracts during that calendar year.
6. Percentage of Families with Positive FSS Escrow Balances. A
[[Page 11594]]
percentage that will be computed by HUD and used to determine funding
order of priority 2 applicants under this NOFA. It is the sum of the
number of HCV FSS families with positive escrow balances and the number
of families that successfully completed their FSS contracts as a
percentage of HCV FSS families with FSS progress reports. This
calculation will be made using data for the period from December 31,
2005 through December 31, 2006 that has been submitted to HUD on the
Form HUD-50058. For MTW applicants, a comparable reporting source may
be used.
7. HCV Program Size. The number of HCVs in a PHA's program as
determined by HUD using Voucher Management System (VMS) data.
8. HCV FSS Program Size Increase Percentage. A percentage
calculated for renewal PHA applicants whose number of HCV FSS
participants in Calendar Year 2006 is higher than their Calendar Year
2005 number of participants.
II. Award Information
Available Funds. This NOFA announces the availability of
approximately $47,000,000 in FY 2007 to employ FSS program and FSS
homeownership coordinators for the HCV FSS program. If additional
funding becomes available during FY 2007, HUD may increase the amount
available for coordinators under this NOFA. A maximum of $65,500 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 HCV 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 PHA Applicants. Those PHAs that received funding under
the HCV FSS NOFA in FY 2005 or FY 2006. To continue to qualify as
renewal PHAs, the FY 2007 application of joint applicants must include
at least one PHA applicant that meets this standard. Joint applicants
can change the lead PHA in their FY 2007 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 HCV FSS program of
at least 25 slots that applies to new applicant PHAs.
2. New PHA Applicants. PHAs that were not funded under the HCV FSS
NOFA in FY 2005 or FY 2006. The new applicant PHA must be authorized
through its HUD-approved FSS Action Plan to administer an HCV FSS
program of at least 25 slots, or be a PHA with HUD approval to
administer an HCV FSS program 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 HCV FSS slots. Joint applicants must
specify a lead co-applicant that will receive and administer the FSS
program coordinator funding.
3. MTW PHAs. New and renewal PHAs that are under MTW agreements
with HUD may qualify for funding under this NOFA if the PHA administers
an FSS program. When determining the size of a new applicant 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 Eight 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 HCV or Moderate
Rehabilitation programs that are resolved prior to this NOFA's
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 HCV FSS program in accordance
with applicable HUD regulatory and statutory requirements.
b. A PHA whose SEMAP troubled designation has not been removed by
HUD or whose major program management findings or other significant
program compliance problems have not been resolved by the application
due date may apply if the PHA meets the requirements stated in Section
III.C.3.e. of this NOFA.
B. Cost Sharing or Matching. None required.
C. Other
1. Eligible Activities. Funds awarded to PHAs under this FSS NOFA
may only be used to pay salaries and fringe benefits of HCV FSS program
staff. Funding may be used to employ or otherwise retain for one year
the services of HCV FSS program coordinators and HCV 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 the General Section for further
information about the DUNS number requirement.)
(3) Compliance with Fair Housing and Civil Rights Laws. The General
Section of the SuperNOFA applies.
(4) Additional nondiscrimination and other requirements. The
General Section of the SuperNOFA applies. The Affirmatively Furthering
Fair Housing requirements of the General Section also apply. Section 3
of the Housing and Urban Development Act of 1968 does not apply to this
program.
(5) The PHA must have a financial management system that meets
federal standards. See 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.
(6) 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. 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 an HCV
FSS program, have filled eligible FSS program coordinator positions for
which they are seeking renewal funding, executed FSS contracts of
participation with HCV FSS program families, and submitted reports on
participant families to HUD via the form HUD-50058, or a similar report
for MTW PHA applicants.
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
[[Page 11595]]
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 HCV 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 HCV FSS slots (voluntary
and/or mandatory slots) the PHA intends to fill. New PHA applicants
with previously approved HCV 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 new applicant MTW PHA may request that the number of FSS
slots 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 Sections III.A., 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 submit a
written request that HUD determine their eligibility for the
preference. The request must be submitted prior to the application
deadline date and must be sent to Lorenzo ``Larry'' Reyes, Coordinator,
SW Border Colonias and Migrant Farmworker Initiative, Office of
Departmental Operations and Coordination, Department of Housing and
Urban Development, 451 Seventh Street, SW., Room 3120, Washington, DC
20410. Any PHA that fails to submit its request by the application
deadline will be ineligible for the Colonias preference.
d. Homeownership Preferences. See priority funding categories in
Section V.B.2. of this FSS NOFA. Reported HCV FSS home purchase numbers
will be subject to post audit.
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 and 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. If an applicant that is
required to have an agreement under this section fails to submit the
required agreement, this will be treated as a technical deficiency. See
General Section for more information on Corrections to Deficient
Applications.
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 HCV 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. See the General Section
for additional information on the Code of Conduct requirement.
IV. Application and Submission Information
A. Addresses To Request Application Package
1. Web site. A copy of this funding announcement for the HCV FSS
program may be downloaded from the following Web site: http://
www.Grants.gov/applicants/apply--for--grants.jsp.
2. Further Information. 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 when you
download the instructions from the www.Grants.gov Web site identified
above.
3. 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
form SF-424; the SF-LLL, if appropriate; the form HUD-52651, the HCV
FSS application form; HUD-2880, ``Applicant/Recipient Disclosure/Update
Report'' (HUD Applicant Recipient Disclosure Report on Grants.gov);
HUD-2994-A, You are our Client Grant Applicant Survey; HUD-2991,
Certification of Consistency with the Consolidated Plan; and an
Affirmatively Furthering Fair Housing statement in accordance with the
General Section. In addition, the application must include a completed
Logic Model (form HUD-96010) showing proposed performance measures
applicable to the one-year term of the funding requested under this
NOFA. See the General Section for information on the Logic Model. A
copy of form HUD-52651, the HCV FSS application form, and the HUD-
96010, Logic Model form, are part of the INSTRUCTIONS download.
Applicants choosing the Outputs/Outcomes category of ``Other'' must
include a brief narrative explanation of the category in their
application package. In completing the SF-424, renewal PHAs should
select the continuation box on question 2, type of application. The
Federal Identifier requested in 5a. is the PHA number of each applicant
PHA (e.g., MD035 or AK002). The Federal Award Identifier is the PHA
number including the increment number for the last award (e.g.,
MD035V012 or AK002V005). 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 Section
17 of the SF-424. In Section 18 of SF-424 (Estimated Funding), complete
only 18.a., which will be the amount requested from HUD in the FY 2007
FSS application, and 18.g., Total. The dollar amounts entered in 18.a.
and 18.g. must be the total requested under
[[Page 11596]]
this NOFA. Those totals should include amounts for fringe benefits, if
applicable, and the percentage increase for renewal PHA applicants. In
completing Part IV. A. of form HUD-52651, enter the salary requested
per position under the NOFA with the percentage increase included.
C. Submission Date and Time. Your completed application must be
received and validated by Grants.gov no later than 11:59:59 p.m.
eastern time on the application deadline date. Please note that
validation may take up to 72 hours. Applicants should carefully read
the section titled ``APPLICATION and SUBMISSION INFORMATION'' in the
General Section.
D. Intergovernmental Review. This NOFA is not subject to Executive
Order (EO) 12372, Intergovernmental Review of Federal Programs.
E. Funding Restrictions
1. Salary Cap. Awards under this NOFA are subject to a cap of
$65,500 per year per full-time coordinator position funded. Under this
NOFA, if PHAs apply jointly, the $65,500 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 application due date. Examples of
acceptable reasons for increases above one percent would be a 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. An HCV FSS program
coordinator may only serve HCV families while the public housing FSS
program serves only public housing residents. In FY 2007, 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 FY 2007 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 the General
Section. Electronic application submission is mandatory unless an
applicant requests, and is granted, a waiver to the requirement.
Applicants should submit their waiver requests in writing using e-mail.
Waiver requests must be submitted no later than 15 days prior to the
application deadline date and should be submitted to [email protected] and to [email protected]. The subject line
of the email message should be FY'07 HCV FSS NOFA Waiver Request. If an
applicant is granted a waiver, then the approval will provide
instructions for submitting paper copies to the appropriate HUD
office(s). All paper applications must be received by the application
deadline date to meet the requirements for timely submission.
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 Grants Management Center (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 HCV 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. Review 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 with a minimum of fifteen (15) HCV
FSS program participants or graduates that purchased homes between
October 1, 2000, and the publication date of this FSS NOFA and an
increase of at least ten (10) percent in the number of participants in
the applicant's HCV FSS program from Calendar Year 2005 to Calendar
Year 2006. Both the number of home purchases and the percentage
increase in the number the HCV FSS program participants will be
determined by HUD using PIC data from form HUD-50058 or as otherwise
reported for MTW PHAs.
Funding Category 2--Eligible renewal PHA applicants with programs
that have families with positive escrow balances and/or families that
successfully completed their FSS contracts between December 31, 2005,
and December 31, 2006.
Funding Category 3--Eligible renewal PHA applicants with qualifying
homeownership programs and an increase in the number of HCV FSS program
participants of at least ten (10) percent from Calendar Year 2005 to
Calendar Year 2006.
Funding Category 4--New PHA applicants with HUD approval to
implement an FSS program of at least 25 slots.
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 the Percentage Increase
of HCV FSS Program Participants for each eligible applicant and will
use this percentage in making funding decisions. HUD will fund eligible
applicants in order starting with those that have the highest
Percentage Increase of HCV FSS Program Participants. If funding is not
sufficient to fund all applicants with the same Percentage Increase of
HCV FSS Program Participants, HUD will select among eligible applicants
by HCV program size starting with eligible applicants with the smallest
HCV program size.
b. Funding Category 2. If funds remain, HUD will process requests
of eligible Funding Category 2 applicant PHAs. HUD will first calculate
the Percentage of Families with Positive FSS escrow balances for all
eligible Funding Category 2 applicants. If there are not sufficient
monies to fund all eligible funding category 2 applicants, HUD will
fund eligible applications starting with those with the highest
positive escrow percentage. If there are not sufficient monies to fund
all applications with the same positive escrow percentage, HUD will
select eligible applicants in order by HCV program size starting with
eligible
[[Page 11597]]
applicants with the smallest HCV program size.
c. Funding Category 3. If funds remain, HUD will process eligible
Funding Category 3 applications. If there is not enough funding for all
applicants, HUD will use the Percentage Increase of HCV FSS
Participants to determine selection order, starting with applicants
with the highest Percentage Increase of HCV FSS Participants. If funds
are not sufficient for all applicants with the same Percentage Increase
of HCV FSS Participants, HUD will fund eligible applicants by HCV
program size starting with eligible applicants with the smallest HCV
program size.
d. Funding Category 4. If funds remain after all Category 1 through
3 applicants have been funded, HUD will process applications from
eligible Category 4 new PHA applicants. If there are not sufficient
monies to fund all eligible Category 4 PHA applicants, HUD will first
fund eligible applications from those PHAs qualifying for the Colonias
preference. If there are not sufficient monies to fund all eligible
Colonias PHA applicants, HUD will fund them starting with the smallest
HCV program size first. If funding remains after funding all eligible
Category 4 Colonias PHA applicants, HUD will then begin funding
eligible non-Colonias applicants by HCV program size, starting with
eligible applicants with the smallest HCV program size first.
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. The General Section
provides the procedures for corrections to deficient applications.
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.
c. An application from a PHA that does not comply with the
prohibition against lobbying activities of the General Section.
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 Independent Public Accountant audit findings
for the HCV program and/or Moderate Rehabilitation program or has 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 that do not meet the Threshold
requirements identified in this NOFA and the General Section.
C. Anticipated Announcement and Award Dates. It is anticipated that
award announcements will take place during either the month of July or
August 2007.
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 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 the 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 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. Under 24 CFR 50.19(b)(4) and (12), no
environmental review is required in connection with activities
conducted under this NOFA, because the NOFA provides funds for
employing a coordinator to provide only 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 the related environmental authorities.
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 HUD's policy
priorities of providing increased homeownership opportunities and
increased self-sufficiency of low-income families through employment.
Consequently, funding priority in this NOFA will be given to those PHA
applicants that demonstrate that a minimum of 15 of their FSS families
have become homeowners that have increased their FSS program size by at
least 10 percent in calendar year 2006 and to applicants with program
participants who have increased their earned income since enrolling in
FSS and/or have families that completed their FSS contracts in the last
calendar year. See 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 PIC system data obtained
from form HUD-50058. MTW PHAs that do not report to HUD on form HUD-
50058 will be asked to submit an annual report to HUD with the same
information on FSS program
[[Page 11598]]
activities that is provided to HUD by non-MTW PHAs via form HUD-50058.
Each recipient 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. Recipients shall use
quantifiable data to measure performance against goals and objectives
outlined in their Logic Model. An annual Performance Report consisting
of the updated Logic Model and answers to the Program Management and
Evaluations Questions must be submitted to the Public Housing Director
in the recipient's local HUD field office no later than 30 days after
the ending date of the one-year funding increment provided to the
recipient under this NOFA. For FY 2007, HUD is considering a new
concept for the Logic Model. The new concept is a Return on Investment
(ROI) statement. HUD plans to issue a Federal Register notice
soliciting comment on the ROI concept. 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 (HUD Race Ethnic Form on Grants.gov), or a comparable
form. Form HUD-50058, which provides racial and ethnic data to HUD's
PIC data system, is a comparable program form.
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.
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 HCV FSS
program and preparation of an application. For more information about
the date and time of this broadcast, you should consult the HUD website
at 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.
G. of the General Section.
Attachment A--PHAs That Operate in Areas Containing Colonia Communities
------------------------------------------------------------------------
------------------------------------------------------------------------
Arizona PHAs
------------------------------------------------------------------------
City of Douglas Housing Authority...... City of Nogales Housing
Authority.
City of Eloy Housing Authority......... City of Yuma Housing Authority.
Cochise County Housing Authority....... Yuma County Housing Authority.
------------------------------------------------------------------------
Pinal County Housing Authority......... Section 8 Housing for Graham
County, Arizona Department of
Housing.
--------------------------------
California PHAs
------------------------------------------------------------------------
City of Calexico Housing Authority..... Housing Authority of the County
of Riverside.
Imperial Valley Housing Authority......
------------------------------------------------------------------------
New Mexico PHAs
------------------------------------------------------------------------
City of Alamogordo Housing Authority... City of Las Cruces/Dona Ana
County Housing Authority.
City of Truth or Consequences Housing City of Socorro Housing
Authority. Authority.
Eddy County--Region VI................. Housing Authority of the
Village of Santa Clara.
Lordsburg Housing Authority............ Otero County--Region VI.
Silver City Housing Authority--Region V Sunland Park Housing Authority.
Town of Baynard Housing Authority......
------------------------------------------------------------------------
Texas PHAs
------------------------------------------------------------------------
Alamo Housing Authority................ Asherton Housing Authority.
Bracketville Housing Authority......... Brownsville Housing Authority.
Cameron County Housing Authority....... Carrizo Housing Authority.
Del Rio Housing Authority.............. Dona Housing Authority.
Eagle Pass Housing Authority........... Ed Couch Housing Authority.
Edinburg Housing Authority............. Elsa Housing Authority.
Harlingen Housing Authority............ Hidalgo County Housing
Authority.
Laredo Housing Authority............... La Joya Housing Authority.
Los Fresnos Housing Authority.......... McAllen Housing Authority.
Mercedes Housing Authority............. Mission Housing Authority.
Pharr Housing Authority................ Port Isabel Housing Authority.
[[Page 11599]]
San Benito Housing Authority........... San Juan Housing Authority.
Starr County Housing Authority......... Weslaco Housing Authority.
Willacy County Housing Authority....... Uvalde Housing Authority.
Zapata County Housing Authority........
------------------------------------------------------------------------
[[Page 11600]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.017
[[Page 11601]]
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: FR-5100-N-02, OMB Approval Number
2506-0169.
E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.250,
Rural Housing and Economic Development.
F. Application Date: The application deadline date is May 23, 2007.
Applications submitted through http://www.grants.gov must be received
and validated by grants.gov no later than 11:59:59 Eastern time on the
application deadline date. The validation process may take up to 72
hours.
G. Optional, Additional Overview Information
Purpose of Program: The purpose of the Rural Housing and Economic
Development program is to provide support for 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
provide support for 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 U.S. 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 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 United States 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 who, in the employment of a farm
operator, engages in 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 fiscal year (FY) 2007 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; and
b. Affirm that the firm commitment is contingent only upon the
receipt of FY2007 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 tribes can be found in the notice published by the
Department of the Interior on November 25, 2005 (70 FR 71194) 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) that serves the eligible rural area
identified in the application (including a local affiliate of a
national organization that provides technical assistance in rural
areas); or
b. Any public nonprofit entity such as a Council of Governments
that will
[[Page 11602]]
serve specific local nonprofit organizations in the eligible area.
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 of 20,000 or less and not located in
a Metropolitan Statistical Area.
10. State Community and/or Economic Development Agency means any
state agency whose primary purpose is promotion of economic development
statewide or in a local community.
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 $16,830,000 in Fiscal Year (FY)
2007 funding (plus any additional funds available through recapture)
are being made available through this NOFA.
2. Funding Award Amount. HUD will award up to approximately
$16,830,000 on a competitive basis for Support for Innovative Housing
and Economic Development Activities to federally recognized Indian
tribes, state housing finance agencies (HFAs), state community and/or
economic development agencies, local rural nonprofit organizations, and
community development corporations to support innovative housing and
economic development activities in rural areas. The maximum amount
awarded to a successful applicant will be $300,000.
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, 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.
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 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.
Permissible activities may include, but are not limited to the
following:
a. The 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;
b. Preparation of plans or of architectural or engineering
drawings;
c. Preparation of legal documents, government paperwork, and
applications necessary for construction of housing and economic
development activities to occur in the jurisdiction;
d. Acquisition of land and buildings;
e. Demolition of property to permit construction or rehabilitation
activities to occur;
f. Purchase of construction materials;
g. Homeownership counseling, including on the subjects of fair
housing counseling, credit counseling, budgeting, access to credit, and
other federal assistance available, including features for persons with
disabilities, such as full accessibility, visitability, and universal
design;
h. 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 (all meetings and conferences should be provided in
alternative formats for persons with a variety of disabilities, as
appropriate, and in applicable languages common in the community for
limited English proficient (LEP) families);
i. Establishing Community Development Financial Institutions
(CDFIs), lines of credit, revolving loan funds, microenterprises, and
small business incubators; and
j. Provision of direct financial assistance to homeowners/
businesses/developers, etc. This can be in the form of default
reserves, pooling/securitization mechanisms, loans, grants, the funding
of existing individual development accounts, or similar activities.
2. Statutory and Regulatory Requirements. To be eligible for
funding under HUD NOFAs issued during FY 2007, 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.
[[Page 11603]]
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 to businesses 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
section 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. You may call the Grants.gov support desk
at 800-518-GRANTS, or e-mail the support desk at Grants.gov">Support@Grants.gov for
assistance in downloading the application.
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 follow the directions in
the General Section.
b. Application Items. Your application must contain the items
listed below.
(1) An abstract with 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 Application for Federal Assistance (SF-424)
(application form).
(4) SF-424 Supplement Survey on Equal Opportunity for Applicants
(optional submission).
(5) Facsimile Transmittal (HUD-96011). (This must be used as the
cover page to transmit third-party documents as part of your electronic
application).
(6) Disclosure of Lobbying Activities (SF-LLL).
(7) Applicant/Recipient Disclosure/Update Report (HUD-2880).
(8) You Are Our Client Grant Applicant Survey (HUD 2994-A)
(Optional).
(9) Program Outcome Logic Model (HUD-96010).
(10) A budget for all funds (federal and non-federal including the
Detailed Budget Form (HUD-424-CB) and the Grant Application Detailed
Budge Worksheet (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.'' This documentation, which will not be counted
in the 15-page limitation, 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. The total narrative
response to all factors should not exceed 15 pages and should be
submitted on 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, and if you
place key information on those pages, you may fail 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.
(16) Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers (Form HUD-27300). To get the points for this policy priority,
you must include the documentation or references to website links where
the information can be found.
All applicants are required to use the following format in their
15-page narrative responses to the rating factors included in the
program NOFA:
Factor 1--Relevant Organizational Experience;
Factor 2--Need and Extent of the Problem;
Factor 3--Soundness of Approach;
Factor 4--Leveraging Resources; and
Factor 5--Achieving Results and Program Evaluation.
See section V. of this NOFA for further details.
C. Submission Dates and Times
1. Electronic Application Submission. Applications for the Rural
Housing and Economic Development program must be received and validated
by Grants.gov no later than 11:59:59 p.m. Eastern Time on the
application deadline date. Applicants are advised to submit their
applications at least 48 to 72 hours in advance of the deadline date
and when the Grants.gov help desk is open so that any issues can be
addressed prior to the deadline date and time. Please note that
validation may take up to 72 hours. You will receive an acknowledgement
of receipt from Grants.gov when your application has been successfully
received, and later that it has been validated or rejected. Please see
the General Section for more detailed information. If you do not
receive the validation or rejection notice within 24 to 48 hours,
contact the Grants.gov help desk.
2. Applicants are advised to carefully read their application
submission and timely receipt requirements in the General Section since
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 application submitted closest in time before the due date will be
the one reviewed by HUD. HUD will not accept application addendums
after
[[Page 11604]]
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 HUD in accordance with the information
contained in the program office's cure notification.
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. 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 FY 2007, because HUD
will only accept electronic applications submitted through
www.grants.gov.
Applicants may request a waiver of the electronic submission
requirement. Paper applications will not be accepted unless the
applicant has received a waiver to the electronic submission
requirement. Applicants should submit their waiver requests in writing
in the form of a letter of request. Waiver requests must be submitted
no later than 15 days prior to the application deadline date and should
be submitted to the Office of Rural Housing and Economic Development,
451 Seventh Street, SW., Room 7137, Washington, DC 20410. Instructions
regarding the number of copies to submit and to what address will be
contained in the approval to the waiver request. Paper submissions must
be received at the appropriate HUD office(s) no later than the deadline
date.
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 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 workplan, as further described in
Rating Factor 3, within the 36-month award period.
a. Team members, composition, and experience (10 points). HUD will
evaluate the experience (including for 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 work plan. 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 work plan;
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 work plan 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 7 years. When responding, please
be sure to provide the dates, job titles, and relevancy of the past
experience to the 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 is in relationship to the work plan activities, the greater the
number of points 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 FY 2007 should indicate the
fiscal year and funding amount. HUD 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
[[Page 11605]]
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 to national levels of need. This means that an
application that provides data that show levels of need in the project
area at 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 point;
(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 point;
(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; and 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 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.htm
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 2-
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
meet 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 (eight 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 (21 points). This factor
addresses the overall quality of your proposed work plan, 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 work plan 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
short-term and long-term goals and objectives to be achieved through
the proposed activities based on annual benchmarks; 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
work plan on a spreadsheet showing each project to be
[[Page 11606]]
undertaken and the tasks (to the extent necessary or appropriate) in
your work plan to implement the project with your associated budget
estimate for each activity/task. Your work plan 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 (8 Points). Policy priorities are outlined in
detail in the General Section. You should document the extent to which
HUD's policy priorities are advanced by the proposed activities.
Applicants that include activities that can result in the achievement
of the following departmental policy priorities will receive higher
rating points in evaluating their application for funding. Seven
departmental policy priorities are listed below. When you include
policy priorities, describe in brief detail how those activities will
be carried out and if selecting item (6), Removal of Barriers to
Affordable Housing, be sure to include the required Points of Contact
information and documentation or references to the documentation to
receive points.
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 10 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 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 on a
comparison of the extent of leveraged funds with the requested Rural
Housing and Economic Development award. 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, that will be providing the
leveraging 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 percent or more of requested HUD Rural Housing and Economic
Development funds = 10 points;
b. 49-40 percent of requested HUD Rural Housing and Economic
Development funds = 8 points;
c. 39-30 percent of requested HUD Rural Housing and Economic
Development funds = 6 points;
d. 29-20 percent of requested HUD Rural Housing and Economic
Development funds = 4 points;
e. 19-9 percent of requested HUD Rural Housing and Economic
Development funds = 2 points;
f. Less than 9 percent 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 (24
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 application instructions at www.Grants.gov and
submit the completed form with their application. HUD has provided an
electronic Logic Model that will enable applicants to select from lists
the appropriate needs statement(s), activities/outputs, and outcomes
that the applicant is proposing in the application submission. The
listing of the activities is referred to as the Master Logic Model List
and each list is unique to the program funding opportunity. The
application instructions found on www.Grants.gov/Apply include the
eLogic ModelTM that you can complete and attach to your
electronic application submission. Applicants who do not have Microsoft
Excel software should
[[Page 11607]]
contact the SuperNOFA Information Center at 800-HUD-8929. 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.
Applicants may select items from each column of the list that reflect
their activity outputs and outcomes and copy and paste them into the
appropriate column in the Logic Model form. In completing the Logic
Model, applicants are expected to select from the lists of appropriate
outputs and outcomes for their proposed work plan. The eLogic
ModelTM and Master Logic Model listing also identify the
unit of measure that HUD is interested in collecting for the outputs
and outcomes selected. In making the selections for each output and
outcome, applicants are to complete the appropriate proposed number of
units of measure to be accomplished. The space next to the output and
outcome is to capture the anticipated units of measure. Multiple
outputs and outcomes may be selected per project.
Under this rating factor, applicants will receive a maximum of 24
points based on how they propose to effectively address program goals
and performance measures. HUD will evaluate and analyze how well an
applicant implemented the required Rural Housing and Economic
Development output and outcome goals and identified other stated
benefits or outcomes of the applicant's program. In order to receive
the highest number of points, applicants should present a clear plan to
address the RHED output and outcome measures.
1. Output Measures are quantifiable. RHED outputs include: number
of housing units constructed; number of housing units rehabilitated;
number of jobs created; number of participants trained; number of new
businesses created; and number of existing businesses assisted.
2. Outcomes Measures are benefits accruing to the program
participants and/or communities during or after participation in the
RHED program. RHED outcomes include: the number of housing units
rehabilitated that will be made available to low-to-moderate-income
participants; the percentage change in earnings as a result of
employment for those participants; the percent of participants trained
who find a job; annual estimated savings for low-income families as a
result of energy efficiency improvements; and the increase in
organizational resources as a result of assistance (e.g., dollars
leveraged).
You must clearly identify the outcomes to be achieved and measured.
Proposed program benefits should include program activities,
benchmarks, and interim activities or performance indicators with
timelines. Applications should include an evaluation plan that will
effectively measure actual achievements against anticipated
achievements.
3. Logic Model. HUD requires RHED applicants to develop an
effective, quantifiable, outcome-oriented evaluation plan for measuring
performance and determining whether goals have been met using the
Master Logic Model for RHED. The model can be found in the download
instructions portion of the application at www.Grants.gov. In preparing
your Logic Model, first open the Form HUD-96010 and go to the
instruction tab and follow the directions in the tab. Your application
must include the form to receive any points under this factor.
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.
Although the following list is not all-inclusive, program outcomes
for the Rural Housing and Economic Development program must include,
where applicable:
a. Total number of housing units constructed;
b. Total number of housing units rehabilitated;
c. Number of Housing units rehabilitated that will be made
available to low-to moderate-income participants;
d. Number of Housing units constructed that will be made available
to low-to moderate-income participants;
e. Number of jobs created;
f. Percentage change in earnings as a result of employment for
those participants;
g. Number of participants trained;
h. Percent of participants trained who find a job;
i. Number of new businesses created;
j. Number of existing businesses assisted; and
k. Annual estimated savings for low-income families as a result of
energy efficiency improvements.
l. Increase in program accomplishments as a result of capacity
building assistance (e.g. the number of employees hired or retained, or
the efficiency or effectiveness of services provided); and
m. 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.
The applicant's proposed budget must reflect a breakdown of
estimated dollar amount of the Rural Housing and Economic Development
grant to be expended on each of the activities/outputs and the
anticipated results included on the Form HUD-96010 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 renewal community
(RCs), empowerment zone (EZs), or enterprise communities (ECs)
designated by the U.S. Department of Agriculture (USDA) in round II RC/
EZ/EC. A listing of federally designated RC/EZ/EC-II is available on
the Internet at http://www.hud.gov/crlocator.
This notice contains a certification (Form 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 that 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; it's the
applicant's 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, HUD Inspector General or Government
Accountability Office reports or findings, or 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.
[[Page 11608]]
(3) Ranking. Applicants will be selected for funding in accordance
with their rank order. 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 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, Rating Factor 1, Rating Factor 5, and Rating Factor 4.
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 05-07, entitled ``Field Environmental
Review Processing for Rural Housing and Economic Development (RHED)
Grants,'' issued August 30, 2005, which can be found at www.hud.gov/offices/cpd/energyenviron/environment/lawsandregs/notices.cfm. HUD's
funding commitment is contingent on 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 will be funded.
(2) HUD reserves the right to utilize this year's funding to fund
previous years' errors prior to rating and ranking this year's
applications.
(3) If a balance remains, HUD reserves the right to utilize those
funds toward the following year's awards.
(4) Please see the section VI.A.2 and 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 that you, the
applicant, may want to provide. HUD may contact you to clarify an item
in your application or to correct technical deficiencies. See section
V.B.4. of the General Section for more detailed information on this
topic.
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.
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. Procurement of Recovered Materials. See the General Section for
further information.
3. 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 information.)
4. 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.
5. 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.
1. Reporting Requirements. 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,
grantees
[[Page 11609]]
must include a completed Logic Model (Form HUD 96010), which identifies
output and outcome achievements. For FY2007, HUD is considering a new
concept for the Logic Model. The new concept is a Return on Investment
statement. HUD will be publishing a separate notice on the ROI concept.
If you are reporting race and ethnic data, you must use Form HUD-27061,
Race and Ethnic Data Reporting Form.
2. Racial and Ethnic Data. 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 (instructions for its
use), found on www.HUDclips.org, a comparable program form, or a
comparable electronic data system for this purpose.
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 Ms. Linda Streets, Community Planning and Development
Specialist, Ms. Monica Wallace, Community Planning and Development
Specialist, Mr. James Hedrick, Presidential Management Fellow, or Ms.
Nikki Bowser, Community Planning and 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) or 1-877-787-2526 (this
is 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, staff will be available at the
above number 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
A. 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 http://www.hud.gov.
B. 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 11610]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.018
[[Page 11611]]
Resident Opportunity and Self-Sufficiency (ROSS)--Elderly/Persons With
Disabilities Program
Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Public and Indian Housing.
B. Funding Opportunity Title: Resident Opportunity and Self-
Sufficiency (ROSS)--Elderly/Persons With Disabilities Program (formerly
known as Resident Services Delivery Model--Elderly/Persons With
Disabilities).
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: FR-5100-N-17; OMB Approval Number is
2577-0229.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.876,
Resident Opportunity and Self Sufficiency.
F. Dates: The application deadline date is July 19, 2007.
Applications submitted through http://www.grants.gov must be received
and validated by grants.gov no later than 11:59:59 eastern time on the
application deadline date. Please note that validation may take up to
72 hours.
G. Additional Information
1. Purpose of Program: The purpose of the ROSS--Elderly/Persons
With Disabilities 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 improve the living conditions of public and
Indian housing residents who are elderly and/or disabled. Applicants
should be aware that receipt of grant funds in no way guarantees
further funding beyond the 3-year grant term and should be sure that
services commenced pursuant to this grant will be sustained
independently in the future or that the cessation of these activities
will not negatively impact residents. This is especially important for
any meal programs to meet residents' nutritional needs.
2. Funding Available. HUD expects to award a total of approximately
$20,000,000 in ROSS--Elderly/Persons With Disabilities grants in FY
2007. This amount includes $10,000,000 appropriated in FY 2007 and
$10,000,000 in rollover funds.
3. Award Amounts. Awards, depending on the grant category, unit
count, and type of grantee will range from $125,000 to $450,000. Please
see the funding breakdown chart below.
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 PHAs or tribes/TDHEs); and RAs. 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.
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 is 3 years from the execution date of
the grant agreement.
----------------------------------------------------------------------------------------------------------------
Maximum grant amount (units
refers to the number of
Grant program Total funding Eligible applicants units occupied by elderly/
disabled, as indicated on
ROSS Fact Sheet (HUD-
-----------------------------------------------------------------------------------------------52751))----------
ROSS--Elderly/Persons With Approximately $20 PHAs/Tribe/TDHE....... $250,000 for PHAs/Tribes/
Disabilities. million. TDHEs with 1-217 units.
$350,000 for PHAs/Tribes/
TDHEs with 218-1,155
units.
$450,000 for PHAs/Tribes/
TDHEs with 1,156 or more
units.
Resident Associations. $125,000.
Nonprofit entities.... $125,000 per RA; up to
$375,000.
----------------------------------------------------------------------------------------------------------------
The applicant may use up to $68,000 maximum per year and in
accordance with local wage standards (see Funding Restrictions) for the
salary and fringe benefits of a Project Coordinator. Additionally, the
applicant may use funds for delivery of services.
Full Text of Announcement
I. Funding Opportunity Description
A. Purpose. The purpose of the ROSS--Elderly/Persons with
Disabilities 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 improve the living conditions of public and Indian housing
residents who are elderly and/or disabled. Please note that no elderly
individual or person with a disability may be required to take
services.
B. 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 and/or
Indian housing residents eligible for the services provided.
3. Contract Administrator (CA) means an overall grant administrator
and/or a financial management agent that oversees the implementation of
the grant and/or the financial aspects of the grant. (See the
``Threshold Requirements'' and ``Program Requirements'' sections for
more information.) All nonprofit applicants, all RAs, and PHAs that are
troubled at time of application must have a CA and are required, per
the Threshold Section, to submit a signed Contract Administrator
Partnership Agreement. The agreement must be for the entire grant term.
The CA 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. CAs must also
assist PHAs to meet HUD's reporting requirements. CAs may be: local
housing agencies; community-based organizations such as
[[Page 11612]]
community development corporations (CDCs), churches, temples,
synagogues, and 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 ROSS applications are also ineligible to be contract
administrators. Organizations that the applicant proposes to use as the
CA must not violate or be in violation of other conflicts of interest
as defined in 24 CFR part 84 and 24 CFR part 85.
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 tribes to act on behalf
of each such tribe authorizing or establishing the housing entity as
defined by Section 4(21) of Native American Housing Assistance and
Self-Determination Act (NAHASDA).
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 or any state-
recognized tribe eligible for assistance under section 4(12)(C) of
NAHASDA.
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 tribal housing (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 in that it 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 must submit their IRS
determination letter to prove their nonprofit (e.g., 501(c)(3)) status
with their funding application. 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 the applicant is 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
one.
14. Person with disabilities: This NOFA uses the definition of
person with disabilities found at 24 CFR 5.403.
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 who preferably has experience working with
supportive services. Project Coordinators 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 (RCs), Resident
Management Corporations (RMCs), City-Wide Resident Organizations,
Regional Resident Organizations (RROs), Statewide Resident
Organizations (SROs), Jurisdiction-Wide Resident Organizations, and
National Resident Organizations (NROs), Resident Organization (RO) for
tribal entities, Site-Based Resident Associations, and Tribal/TDHE
Resident Groups. The NOFA will use ``Resident Association'' or ``RA''
to refer to all eligible types of resident organizations. See 24 CFR
Part 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., it is not limited to HUD-defined
regions;
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. Consists of residents only, and only residents may vote;
b. If it represents residents in more than one development or in
all of the
[[Page 11613]]
developments of the tribal/TDHE community, it shall fairly represent
residents from each development that it represents;
c. Adopts written procedures providing for the election of specific
officers on a regular basis; and
d. Has 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. Supportive Services means activities including, but not limited
to:
a. Meal services adequate to meet nutritional need;
b. Wellness programs;
c. Job training;
d. Coordination of volunteer activities;
e. ESL or other educational classes; and
f. Congregate services.
23. 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 SRO's board of
directors.
24. 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).
C. Regulations Governing the ROSS Grant
ROSS--Elderly/Persons with Disabilities is governed by 24 CFR part
964.
II. Award Information
A. Performance Period and Award Type
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
grant term must be submitted in writing 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 has been
accomplished to date. Extensions may be granted only once by the field
office or area ONAP for a period not to exceed 6 months and may be
granted for a further 6 months by the Headquarters Program Office at
the request of the Field Office or Area ONAP.
3. Type of Award. Grant agreement.
4. Subcontracting. Subcontracting is permitted. Grantees must
follow federal procurement regulations found in HUD regulations at 24
CFR part 84.40-84.48 and 24 CFR part 85.36.
B. Funding Amounts
1. Total Funding. HUD expects to award approximately $20,000,000
under this funding category of ROSS. This amount includes $10,000,000
appropriated in FY 2007 and $10,000,000 in rollover funds.
Awards will be made as follows:
a. PHAs must use the number of conventional public housing units
occupied by elderly and disabled residents as of September 30, 2006,
per their budget to determine the maximum grant amount they are
eligible for in accordance with the categories in the chart above. On
the Fact Sheet, PHAs should clearly indicate the number of conventional
public housing units occupied by elderly and disabled residents under
their Annual Contributions Contract.
b. The maximum grant award is $125,000 for each RA.
c. Nonprofits are eligible applicants if they are representing or
acting at the behest of an RA. Accordingly, nonprofit applicants must
show support from that RA. Nonprofits that have support from an RA are
limited to $125,000 for each RA. A nonprofit organization may not
receive more than $375,000 in FY 2007 ROSS-Elderly/Disabled grant
funding, but may propose to serve more than 3 RAs. In cases where
nonprofit applicants are not able to obtain support from RAs, they must
obtain letters of support from PHAs or tribes/TDHEs.
Note: All nonprofit applicants that do not include a letter of
support from an RA must include a letter of support from a PHA or
tribes/TDHE. Please see the Threshold Requirements section for more
information. Support letters must indicate the developments to be
served by the nonprofit organization. Funding for nonprofit
applicants that do not receive letters of support from RAs will be
determined as follows. Support letters must indicate the
developments to be served by the nonprofit organization as well as
the number of conventional public housing units occupied by elderly
and persons with disabilities.
------------------------------------------------------------------------
Number of conventional units occupied by elderly/disabled Maximum
residents 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 occupied by elderly
and persons with disabilities counted as Formula Current Assisted Stock
for FY 2006, as defined in 24 CFR part 1000.316. 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, identified in their housing inventory as of
September 30, 2006, and occupied by elderly/disabled residents. Tribes
should clearly indicate the number of units under management occupied
by elderly/disabled residents on the Fact Sheet.
III. Eligibility Information
A. Eligible Applicants. PHAs, tribes/TDHEs, RAs, and nonprofit
organizations (supported by resident organizations or PHAs/tribes/TDHEs
). PHAs that are recipients of the Elderly/Disabled Renewal Service
Coordinator funding through Operating Subsidy are not eligible to apply
for this ROSS funding category. If you are unsure if your organization
falls into this category, please contact the Public and Indian Housing
Information and Resource Center at 800-955-2232.
B. Cost Sharing or Matching
Information for All Applicants: Match is a threshold requirement.
Applicants who do not demonstrate that they have a match of 25 percent
of the total requested grant amount will fail the threshold requirement
and will not receive further consideration for funding.
C. Other
1. Eligible Activities. Applicants should propose implementing
comprehensive programs within the 3-year grant term, which will result
in improved living conditions for the elderly/persons with disabilities
population. Improved living conditions may mean, but is not limited to,
aging-in-place or assistance to live independently. Proposals should
involve partnerships with organizations that will help grantees provide
enhanced services to the elderly/
[[Page 11614]]
persons with disabilities they will serve. All applicants must complete
a descriptive narrative and work plan and a Logic Model covering the 3-
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 these populations. Eligible activities include,
but are not limited to the following:
a. Hiring of a qualified Project Coordinator to run the grant
program. A qualified Project Coordinator should have at least 2 years
of experience managing programs and have experience working with
supportive services. The Project Coordinator is responsible for:
(1) 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.);
(2) Designing, coordinating, referring to and delivering, as
relevant, grant activities based on residents' needs, such as those
activities listed below;
(3) Monitoring the progress of program participants and evaluating
the overall success of the program. A portion of grant funds may be
reserved to ensure that evaluations can be completed for all
participants who received assistance through the program. This may
include software for tracking and evaluation to meet HUD's reporting
requirements. Project Coordinators and grantees are responsible for
ensuring that all federal requirements are followed.
b. Coordination, referral to, and delivery of meal services
adequate to meet nutritional needs (i.e., not related to entertainment
activities);
c. Coordination, referral to, and delivery of transportation
services including purchase, rental, or lease of a vehicle for the
grantee and limited in use for program purposes and fuel for program
activities;
d. Coordination, set-up, and referral to assistance with daily
activities (ADLs);
e. Coordination, set-up, and referral to housekeeping assistance;
f. Coordination, referral to, and delivery of wellness programs
including, but not limited to, health and nutrition programs,
preventive health education, referral to rehabilitation services,
structured programs to build social support, services for the disabled,
and other community resources;
g. Coordination, set-up, and referral to personal emergency
response;
h. Coordination, referral to, and delivery of congregate services.
This includes supportive services provided in a congregate setting at a
conventional public housing development; and
i. Coordination, referral to, and delivery of case management;
j. Coordination and referral to health services (e.g., medical and
dental check-ups);
k. Coordination, referral, and delivery of job training
opportunities under Section 3 of the Housing and Urban Development Act
of 1968;
l. Coordination and referral of residents to employment
opportunities under Section 3 of the Housing and Urban Development Act
of 1968;
m. Salary and fringe benefits of staff;
n. Lease or rental of space for program activities, but only 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 Resources System designated
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be
leased or rented with Federal Funds.
o. Administrative Costs, for all applicants, may include, but are
not limited to, purchase of furniture, office equipment and supplies,
local travel, utilities, printing, postage, administrative salaries,
and lease or rental of space for program activities (subject to the
lease restrictions in the preceding paragraph). To the maximum extent
practicable, when leasing space or purchasing equipment or supplies,
business opportunities should be provided to businesses under Section 3
of the Housing and Urban Development Act of 1968. Administrative costs
must not exceed 10 percent of the total grant costs. All administrative
costs should be delineated and allocated as direct costs--an indirect
cost rate will not be accepted;
p. Other supportive services;
q. Staff training;
r. Long-distance travel (subject to funding restrictions); and
s. Evaluation costs for the grant program, including tracking or
evaluation software to meet HUD's reporting requirements.
2. Threshold Requirements. The criteria below apply to all
applicants unless otherwise indicated. Additional information about
threshold requirements may also be found in the General Section.
Applicants must respond to each threshold requirement clearly and
thoroughly by following the instructions below. If the application
fails any threshold requirement, it will be considered a failed
application and will not receive consideration for funding.
a. Match. All applicants are required to have in place firm match
commitments, either in cash or in-kind, for 25 percent of the requested
grant amount, as defined in this NOFA. Joint applicants must together
have at least a 25 percent match of the requested grant amount.
Applicants who do not demonstrate the minimum 25 percent match of the
requested grant amount will fail this threshold requirement and will
not receive further consideration for funding. If you are applying for
more than one category of ROSS grant (i.e., ROSS--Family &
Homeownership), you must use different sources of match donations for
each grant application. Additionally, you must indicate which other
ROSS grant(s) you are applying for by attaching a page to your
application 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 (MOUs), or tribal resolutions 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 between the publication date of this
NOFA and the application deadline published in this NOFA, or the
amended deadline and indicate how the commitment will relate to the
proposed program. The commitment must be available at the time of
award. A match that is proposed for ineligible activities will not be
accepted. Although ineligible as a use of grant funds for applicants,
the direct delivery of ADLs, housekeeping, and personal emergency
response will be accepted as match if provided by a partner. 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 for instructions for
submitting the required letters with your electronic application.
Committed amounts in excess of the 25 percent of the requested
grant amount may be considered as leveraged
[[Page 11615]]
funds for higher points under Rating Factor 4.
(1) The value of 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: PHA 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 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 or Indian Housing Block
Grant (IHBG) funds; 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 under Rating Factor 1, as well as applicants'
past performance, to determine whether applicants have the capacity to
manage the grant for which they are applying. The area Offices of
Native American Programs (ONAPs) 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 and respond to Rating Factor 1 to
ensure their applications address each of the criteria. If applicants
fail to address what is requested in Rating Factor 1, their
applications will fail this threshold and will not receive further
consideration.
c. Contract Administrator Partnership Agreement. All nonprofit
applicants, all RAs, and troubled PHAs (troubled as of the application
deadline) are required to submit a signed Contract Administrator
Partnership Agreement. The agreement must be for the entire grant term.
If an applicant that is required to have a Contract Administrator
Partnership Agreement fails to submit one, or if it is incomplete,
incorrect or insufficient, this will be treated as a technical
deficiency. See the General Section for more information on Corrections
to Deficient Applications. Troubled PHAs are ineligible to be contract
administrators. Grant writers who assist applicants in preparing their
ROSS applications are also ineligible to be contract administrators.
d. Letters of Support for Nonprofit Applicants.
(1) All nonprofit applicants must include one or more letters of
support from RAs. If the RAs are inactive, then a nonprofit applicant
must submit an accompanying letter of support from the PHA or tribe/
TDHE that is indicating support for the application. All letters of
support must be signed by an authorized representative of the
supporting organization and be dated between the publication date of
this NOFA and the application deadline published in this NOFA, or the
amended deadline.
(2) Nonprofit applicants that do receive support from RAs must also
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 must describe to what extent they are
familiar with the nonprofit applicant and indicate their support and
understanding of the nonprofit organization's application. Letters must
include contact information and the name and title of the person
authorized to sign for the organization and should be on letterhead. If
RA letterhead is not available, the letter may be submitted on PHA
letterhead.
(5) All nonprofit applicants that do not provide letters of support
from RAs 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, certify the number of
conventional units occupied by elderly/persons with disabilities in
those developments, and identify the ROSS funding 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.
(6) Applications from nonprofit organizations that 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 on 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. General Section Thresholds. All applicants will be subject to
all Thresholds requirements listed in the General Section.
h. 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. See the General Section 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 grantees to meet HUD's reporting requirements. Contract
administrators may be: local housing agencies; community-based
organizations such as community development corporations (CDCs),
churches, temples, synagogues, or
[[Page 11616]]
mosques; nonprofit organizations; and state/regional associations and
organizations. Troubled PHAs are not eligible to be contract
administrators. Grant writers who assist applicants to 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.
b. Requirements for All Applicants. All applicants, lead and non-
lead, should refer to ``Other Requirements and Procedures Applicable to
All Programs'' of the General Section 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. Applicants may desire to
provide a broad range of services supported by grants from a number of
ROSS funding categories. Applicants may submit more than one
application only based on the criteria below:
a. General. Applicants may submit up to one application for each
ROSS funding category (i.e., one application for ROSS-Elderly/Persons
with Disabilities, one application for ROSS-Family, etc.), except for
nonprofits. Nonprofit organizations may submit more than one
application per ROSS funding category provided they will be serving
residents of distinct PHAs or Tribes/TDHEs.
b. More than one application per development. Only one application
per funding category will be funded for a particular development. For
example, if multiple applicants apply for ROSS-Elderly/Persons with
Disabilities for the same development, only the highest scoring
application will be considered for award. If multiple applicants are
interested in providing services to a development and the services are
funded under the same ROSS funding category, it is suggested the
applicants work together to submit one application on behalf of the
development.
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 as outlined in Section III.C. of the
General Section. 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 (the RA) or, if the RA is inactive, the
RAB. (If the support letter is from the RAB, the applicant must also
provide a support letter from the PHAs or tribes/TDHEs.) The PHA,
tribe/TDHE, or RA that is part of a joint application may not also
submit separate applications as sole applicants under this NOFA.
Note: Joint applicants may combine their eligible units to
determine the maximum funding amount the applicants are eligible to
receive. Please enter the total number of eligible units on the ROSS
Fact Sheet.
5. Eligible Participants. All ROSS--Elderly/Persons with
Disabilities program participants must be residents of conventional
public housing or NAHASDA-assisted housing and must be elderly or
disabled. See the Definitions Section for more information.
6. Eligible Developments. Only conventional public and Indian
housing developments or NAHASDA-assisted housing may be served by ROSS
grant funds. Other housing/developments, including but not limited to
private housing, federally insured housing, federally subsidized or
assisted (e.g., assisted under Section 8, Section 202, Section 811, or
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. The purpose of the Energy Star partnership is to
promote energy efficiency in the affordable housing stock, and also to
help protect the environment. 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. 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-STAR7-YES (888-782-7937).The hearing-
impaired may call 888-588-9920 (TTY).
IV. Application and Submission Information
A. Application Components. 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/applicants/apply--for--grants.jsp; 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 by sending an e-mail
to [email protected]. You may request general information from the
NOFA Information Center (800-HUD-8929) 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.
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.
B. Content and Form of Application Submission
1. Application Format Information for All Applicants. Before
preparing an application for any ROSS funding, applicants should
carefully review the program description, ineligible activities,
program and 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, 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, where applicable, in the General Section. This will help ensure
fair and accurate review of your application.
2. Content and Format for Submission
a. Content of Application
[[Page 11617]]
Applicants must write narrative responses to each of the rating
factors, that follow this section. Under some sections, applicants are
also asked to complete and include provided forms. Applicants will be
evaluated on whether their responses contained in the narratives and on
the forms demonstrate that they have the necessary capacity to
successfully manage the proposed program. Applicants should ensure that
their narratives are written clearly and concisely so that reviewers,
who may not be HUD staff, may fully understand their proposal. Also, if
information provided on one of the grant forms is not self-explanatory,
narrative should be provided to clarify.
b. Format of Application
(1) Applications may not exceed 40 narrative pages. Narrative pages
must be typed in Times New Roman font style, double-spaced, numbered,
with a font size 12, and with one-inch margins all around. Supporting
documentation, required forms, and certifications will not be counted
toward the 40-page 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 for
instructions on how to submit supporting documentation with your
electronic application.
(2) A checklist is provided here to help applicants ensure that
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. When submitting electronically, you do not need to
submit these in TABS. Be sure to name each attachment clearly following
the instructions in the General Section.) Copies of the forms may be
downloaded with the application package and instructions from http://www.grants.gov/applicants/apply--for--grants.jsp. You must use the
forms that are included with the 2007 application so as to avoid using
outdated forms that may be on HUDCLIPS or found from another source.
Please include a header in your narrative pages and any other
additional pages that includes the applicant name and the requirement
being responded to.
TAB 1: Required Forms from the General Section 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-424);
3. SF-424 Supplement, ``Survey on Ensuring Equal Opportunities for
Applicants'' (``Faith Based EEO Survey (SF-424-SUPP)'' on Grants.gov);
4. HUD-27300, ``Questionnaire for HUD's Removal of Regulatory
Barriers'' (``HUD Communities Initiative Form'' on Grants.gov);
5. ROSS Fact Sheet (HUD-52751);
6. HUD-4247-CB, ``Grant Application Detailed Budget'' (``HUD
Detailed Budget Form'' on Grants.gov);
7. Grant Application Detailed Budget Worksheet (HUD-424-CBW)--
please remember to include a separate HUD-424-CBW for any sub-contract
of 10% or more of federal funds;
8. HUD-2880, ``Applicant/Recipient Disclosure/Update Report''
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov);
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), (for all applicants except for tribes/TDHEs and non-profits
serving tribes/TDHEs);
11. Certification of Consistency with the Indian Housing Plan if
applicable (HUD-52752) (for tribes/TDHEs and non-profits serving
tribes/TDHEs);
12. Certification of Resident Council Board of Election (HUD-52753)
(for RA applicants and non-profit applicants being supported by one or
more RAs);
13. Disclosure of Lobbying Activities (SF-LLL), if applicable;
14. Disclosure of Lobbying Activities Continuation Sheet (SF-LLL-
A), if applicable;
15. You Are Our Client Grant Applicant Survey (HUD-2994-A)
(optional)
16. HUD-96011, ``Third Party Documentation Facsimile Transmittal''
(``HUD Facsimile Transmittal Form'' on Grants.gov). (For use with
electronic applications as the cover page to provide third-party
documentation.)
17. Code of Conduct per General Section instructions;
18. Statement on Affirmatively Further Fair Housing per General
Section instructions.
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 RAs/PHAs/tribes/TDHEs (Threshold
requirement for all nonprofit applicants);
4. List of Resident Organizations Supporting Nonprofit Applicants
(required only for nonprofit applicants) (HUD-52754);
5. IRS nonprofit determination letter proving 501(c)(3) status
(this is a threshold requirement for all nonprofit applicants); and
6. Contract Administrator Partnership Agreement (required for all
nonprofit organizations, RAs, and PHAs troubled at the time of
application submission) (HUD-52755).
TAB 3: Narrative for Rating Factor 1 and ROSS Program Forms
1. Narrative for Rating Factor 1;
2. Chart A: Program Staffing (HUD-52756);
3. Chart B: Applicant/Contract Administrator Track Record (HUD-
52757);
4. Resumes/Position Descriptions.
TAB 4: Narrative for Rating Factor 2.
TAB 5: Narrative and work plan for Rating Factor 3. See 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);
C. Submission Dates and Times
1. Deadline Dates.
a. The application must be received and validated by Grants.gov no
later than 11:59:59 p.m. eastern time on the application deadline date.
Please note the validation process may take up to 72 hours. If you
submit a waiver request and it is approved, the notification of
approval of the waiver request will provide instructions on where to
submit the paper application. See the General Section and Section F.
below for instructions regarding waivers to the electronic application
submission requirement. If you receive a waiver of the electronic
application submission, your application must be received by the
application deadline date. See the General Section and Section F. below
for waiver and mailing requirements.
D. Intergovernmental Review: Not applicable.
E. Funding Restrictions
1. Reimbursement for Grant Application Costs. Grantees 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 applicants:
a. Types of Salaries. ROSS-Elderly/Persons with Disabilities funds
may only be used for the types of salaries described in this section
according to the restrictions described herein.
b. Project Coordinator. All applicants may propose to hire a
qualified Project Coordinator to run the grant program.
[[Page 11618]]
The ROSS-Elderly/Persons with Disabilities program will fund up to
$68,000 in combined annual salary and fringe benefits for a full-time
Project Coordinator. Applicants may propose a part-time Project
Coordinator at a lesser salary. For audit purposes, applicants must
have documentation on file demonstrating that the salary and fringe
benefits of the Project Coordinator are comparable to similar
professions in their local area.
c. Non-administrative 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 applicant
personnel or subcontractors who, as their primary responsibility,
provide services directly to residents that participate in the
activities described in this application (e.g., case managers, and
wellness program staff, among other positions.) Clerical, legal,
finance, supervisory, executive and all other non-direct services staff
may be paid for activities related to the grant, but subject to the 10%
total administrative costs limit.
3. Administrative Costs. Administrative costs may include, but are
not limited to, purchase of furniture, office equipment and supplies,
local travel, utilities, printing, postage, administrative salaries,
and lease or rental of space for program activities (subject to lease
restrictions--See Eligible Activities section of this NOFA).
Administrative costs, including administrative salaries, 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. All administrative costs should be delineated and allocated as
direct costs--an indirect cost rate will not be accepted.
4. 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 be given consideration only for the
maximum grant for which they are eligible. If awarded a grant, the
grantee will work with the Field Office to re-apportion the grant funds
for eligible activities proposed in the original application.
5. Ineligible Activities/Costs. Grant funds may not be used for
ineligible activities. Match will not be counted if it is proposed to
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. Purchase of space;
d. New construction, costs for construction materials;
e. Rehabilitation or physical improvements;
f. Entertainment costs;
g. 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;
h. Purchase of non-prescription or prescription medications;
i. Costs, which exceed limits, identified in the NOFA for the
following: Project Coordinator, administrative expenses, and long-
distance travel;
j. Cost of application preparation;
k. Vehicle insurance and/or maintenance;
6. ROSS funds cannot be used to hire or pay for the services
(salary, fringe benefits, etc.) of a Contract Administrator.
7. Other Budgetary Restrictions. Some long-distance travel may be
necessary during the term of the grant in order for professional grant
staff to attend training conferences related to program purposes or
activities. 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.
F. Other Submission Requirements
1. All applicants are required to submit their applications
electronically via Grants.gov, unless they request and are approved by
HUD for a waiver of that requirement. Please refer to the General
Section for information on how to submit your application and all
attachments electronically via Grants.gov.
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.
3. For Waiver Recipients Only. Applicants should submit their
waiver requests in writing using mail. Waiver requests must be
postmarked no later than 15 days prior to the application deadline date
and should be sent to Anice Schervish, 451 Seventh Street, SW., Room
3236, Washington, DC 20410. Applicants who have received waivers to
submit paper applications (see the General Section for more
information), must submit their applications to: HUD Grants Management
Center, Mail Stop: ROSS-Elderly/Persons with Disabilities, 501 School
Street, SW., 8th floor, Washington, DC 20024. The waiver approval will
provide detailed instructions.
4. Number of Copies. When the waiver request is approved the
applicant will be provided information on how many copies are needed
and where to submit the copies. Only applicants receiving a waiver to
the electronic submission requirement may submit a paper copy
application. Any paper applications submitted without an approved
waiver will be considered ineligible.
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 applications 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 listed above.
Note: Applicants should carefully review each rating factor
before writing a response and completing forms. Applicants'
narratives and forms should be as descriptive as possible, to ensure
that every requested item is addressed. Applicants should make sure
their narratives and forms thoroughly address the Rating Factors
below. Applicants should include all requested information according
to the instructions found in this NOFA. This will help ensure 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 (up to 7 Points).
(a) Staff Experience (up to 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
[[Page 11619]]
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 = 2,080 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 application.
An applicant will receive up to 4 points if the applicant provided
the requested materials in sufficient detail to demonstrate an
experienced and well-coordinated proposed staff. Documentation
indicates that the project coordinator and proposed staff have recent
(experience within the last 5 years), relevant (pertaining to the
specific or similar activities being proposed), and successful
(experience producing specific results) experience in conducting and
completing similar activities.
(b) Organizational Capacity (up to 3 Points). Applicants will be
evaluated based on whether they 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. Provide
resumes and position descriptions (where staff is not yet hired) for
all key personnel. (NOTE: Resumes/position descriptions and other HUD
forms do not count toward the page limit.)
An applicant will receive up to 3 points if the applicant shows its
ability (in-house or with partners) to implement the proposed program
and attaches resumes and position descriptions (where staff is not yet
hired) for all key personnel. Reviewers may also consult HUD-52756.
(2) Past Performance of Applicant/Contract Administrator (up to 8
Points).
(a) Applicants' past experience may include, but is not limited to,
running and managing programs aimed at improving living conditions for
the targeted elderly/persons with disabilities population.
(b) Applications 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
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.
(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 impact on
emergency care, improved living or health conditions of assisted
population, and access to greater number of social services. Improved
living conditions may mean, but is not limited to, aging-in-place or
assistance to live independently.
(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 significant numbers of
residents;
(iii) Description of timely expenditure of program funding
throughout the term of past grants. Timely means drawdowns made
commensurate with the level of activities completed and per the
approved application. Timely expenditure also refers to fully expending
all grant funds by the end of the grant term;
(iv) Description of Past Leveraging. Applicants must describe how
they have created leveraging partnerships for funding or in-kind
services for previous projects, the extent of the leveraging
partnerships, and how the leveraging and partnerships benefited
participants. The applicant will receive up to 8 points if the
following is shown:
Achievement of specific measurable outcomes and
objectives;
A description of success in attracting and keeping
residents involved in past grant-funded training programs and
documentation that shows that the grant activities benefited a
significant number of residents;
A description of timely expenditure of program funding
throughout the term of past grants. Timely means regular draw-downs
throughout the life of the grant, i.e., quarterly draw-downs, with all
funds expended by the end of the grant term;
A description of how the applicant has leveraged funding
or in-kind services beyond amounts that were originally proposed for
past projects.
An applicant will receive up to 6 points if the applicant fully
addressed at least 3 of the 4 items of review criteria listed above. An
applicant will receive up to 4 points if the applicant fully addressed
at least 2 of the 4 items of review criteria listed above. An applicant
will receive 2 points if the applicant fully addressed 1 of the 4 items
above. An applicant will receive 0 points if the applicant failed to
address all of items 1 through 4.
(3) Program Administration and Fiscal Management (up to 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. Applicants should also
include:
(a) A complete description of an applicant's 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., PHAS troubled PHAs, resident
associations, and nonprofit applicants); and
(b) any of an applicant's audit findings or material weaknesses in
the past five years (HUD Inspector General, management review, fiscal,
etc.), and what has been done to address them.
An applicant will receive up to 10 points if the applicant provides
a comprehensive narrative description of (i) the project management
structure and program accountability, including the use of a contract
administrator, if applicable; the narrative (ii) describes staff's
roles and responsibilities, and (iii) details how staff and partners
will report to the project coordinator and other senior staff, as well
as (iv) the lines of accountability among all components of the
proposed program, and (v) if applicable, a list of any audit findings
in the past 5 years (HUD IG, management review, fiscal, etc.),
[[Page 11620]]
material weaknesses and what the applicant has done to address them.
An applicant will receive up to 8 points if the applicant has fully
addressed three of (i)-(iv). An applicant will receive up to 6 points
the applicant has fully addressed two of (i)-(iv). An applicant will
receive up to 4 points if the applicant has adequately fully addressed
one of (i)-(iv). If an applicant provides audit findings or material
weaknesses but does not provide what the applicant has done to address
them, the applicant will lose two points. An applicant will receive 0
points if all of (i)-(v) are missing or inadequate.
b. Rating Factor 2: Need/Extent of the Problem (up to 20 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.
(1) Socioeconomic Profile (up to 5 points). A thorough
socioeconomic profile of the eligible residents to be served by the
program, including education levels, income levels, health statistics,
economic statistics for the local area, etc. Applicants may either
provide data for the local area and show that the residents reflect the
local area or may provide resident-specific data.
An applicant will receive up to 5 points if the applicant provided
a thorough socioeconomic profile of the eligible residents to be served
by the program, including education levels, income levels, health
statistics and economic statistics that show a need for services. An
applicant will receive up to 3 points if the applicant provided a basic
socioeconomic profile of the area, but did not show that the residents
to be served reflect that profile. An applicant will receive 0 Points
if the applicant failed to provide the socioeconomic data on the
community and/or profiles of the eligible residents.
(2) Demonstrated Link Between Proposed Activities and Local Need
(up to 15 points). Applicant's narratives 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. The applicant must, in the narrative for this rating
factor, describe the service needs of the targeted residents, show
which service needs are already being met by local resources and which
service needs the applicant is unable to meet using existing resources,
and demonstrate that these services are of a high-priority for the
targeted elderly/disabled residents. The applicant may also indicate a
need for a Project Coordinator, which it may pay up to the $68,000
maximum per year from grant funds for salary and fringe benefits in
accordance with local wage standards (see Funding Restrictions).
An applicant will receive up to 15 points if the applicant
narrative demonstrates a direct, clear relationship between the
proposed activities, community needs and the purpose of the program
funding. The applicant has described the service needs of the targeted
residents, shown which service needs are already being met by local
resources and which service needs the applicant is unable to meet using
existing resources, and demonstrated that these services are of a high
priority for the targeted elderly/disabled. An applicant will receive
up to 10 points if the applicant's narrative demonstrates a strong
relationship between the proposed activities, community needs and the
purpose of funding, but does not show which services are already being
met by existing local resources. An applicant will receive up to 5
points if the applicant's narrative shows a tenuous relationship
between the need and proposed activities and does not show existing
local resources or lack thereof. An applicant will receive 0 Points if
the applicant failed to demonstrate a clear relationship among the
proposed activities, community needs and the purpose of the program
funding.
c. Rating Factor 3: Soundness of Approach (up to 30 points)
This subfactor addresses both the quality and cost-effectiveness of
an applicant's proposed program and/or work plan. The narrative and
work plan must indicate a clear relationship between proposed
activities, the targeted population's needs, and the purpose of the
program funding. Applicant's proposed program must address HUD's policy
priorities outlined in this Rating Factor.
In rating this factor HUD will consider:
(1) Quality of the Work Plan (up to 20 points). This factor
evaluates both the applicant's proposed program and/or work plan and
budget which will be evaluated based on the following criteria:
(a) Specific Services and/or Activities (up to 10 points).
Applicants' narrative must describe the proposed program (i.e.,
specific services, course curriculum, and activities) they plan to
offer and who will be responsible for each. In addition to the
narrative, applicants may also provide a work plan, which should list
the specific services, activities, and outcomes they expect. The
proposed program narrative and work plan must show a logical order of
activities and must tie to the outcomes and outputs applicants identify
in the Logic Model (see Rating Factor 5). Applicants' narrative must
explain how their proposed activities will:
(i) Involve community partners in the delivery of services (up to 5
points).
An applicant will receive up to 5 points if the applicant's
narrative describes the involvement of partner organizations to deliver
or support its proposed programs. An applicant will receive up to 3
points if the applicant narrative describes the existence of other
community-based organizations in the area, but does not describe firm
connections between program activities and the delivery or support of
the proposed program. An applicant will receive 0 points if the
applicant does not intend to involve any community partners in the
delivery or support of its proposed program.
(ii) Offer comprehensive services (versus a small range of
services) geared toward achieving the enhancement of the residents'
quality of life. If the proposed program activities are part of a more
comprehensive plan funded through other resources, please provide a
description of the comprehensive program clearly delineating those
proposed activities to be funded by the ROSS-Elderly/Persons with
Disabilities grant category. (up to 5 points).
An applicant will receive up to 5 points if the applicant narrative
describes the specific services and activities they plan to offer
through their whole program (HUD-funded and not) and who will be
responsible for each and the narrative shows how the applicant will
provide a range of services and activities that are intended to enhance
the residents' quality of life. An applicant will receive 3 points if
the applicant fully describes the proposed program, but the program
does not address a spectrum of activities that will be provided by the
applicant. An applicant will receive 0 points if the applicant failed
to provide sufficient information to determine if the proposed program
will contain a range of services and no outcomes are identified.
(b) Feasibility and Demonstrable Benefits (up to 5 points). This
subfactor examines whether an applicant's work plan is logical,
feasible, and likely to achieve its stated purpose during the term of
the grant. HUD seeks to fund applications that will quickly produce
demonstrable results and advance the purposes of the ROSS program. The
[[Page 11621]]
applicant's work plan should demonstrate that their project is ready to
be implemented shortly after the grant award, but not to exceed three
months following the execution of the grant agreement. The work plan
must indicate time frames and deadlines for accomplishing major
activities and show the ability to complete all activities within the
period of performance for the proposed budget.
An applicant will receive up to 5 points if the work plan and
supporting narrative are logical and feasible, and demonstrates that
the proposed project is ready for implementation within three months of
execution of the grant agreement. The work plan also indicates
timeframes and deadlines for accomplishing major activities within the
period of performance and how well the proposed activities address the
needs described in Rating Factor 2. The applicant will receive up to 3
points if the work plan and supporting narrative are logical and
feasible, but do not demonstrate that the project is ready for
implementation within 3 months of grant agreement execution and can be
completed within the period of performance. An applicant will receive 0
points if the applicant failed to provide sufficient information to
determine that the project is logical and feasible or whether the
project would be ready for implementation within three months of
execution of the grant agreement, or can be completed within the period
of performance.
(c) Budget Appropriateness/Efficient Use of Grant (up to 5 Points).
The score in this sub-factor will be based on the following:
(i) Justification of expenses. Applicants will be evaluated 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.
(iii) Please note that the budget form HUD-424CBW requires that a
separate 424-CBW form be submitted for each sub-contract of 10 percent
or more of the requested grant amount. If an application proposes to
sub-contract 10 percent or more of the requested grant amount and does
not include a separate 424-CBW for each 10 percent or more sub-
contract, all points for Budget Appropriateness/Efficient Use of Grant
will be lost (5 points). If 424-CBWs for sub-contracts for 50 percent
or more of the requested grant amount are not included, the application
will lose 10 points.
An applicant will receive up to 5 points if expenses are
reasonable, thoroughly explained, support the objectives of the
proposal and are commensurate with the level of effort necessary to
accomplish the goal. An applicant will receive up to 3 points if the
expenses somewhat support the objectives of the proposal or are only
somewhat commensurate with the level of effort necessary to accomplish
the goals. An applicant will receive 0 points if expenses are not
reasonable and/or the requested funds are not commensurate with the
goals and anticipated results of the proposed program.
(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 (up to 8 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 HUD's policy priorities listed below.
(a) Improving the Quality of Life in Our Nation's Communities (2
points). The applicant's narrative and work plan must indicate the
types of activities, service, and programs applicants will offer which
can help residents to continue to live independently.
An applicant will receive up to 2 points if the work plan and
supporting narrative indicate the types of activities, services and
programs that will be offered to help residents successfully continue
to live independently. An applicant will receive 0 points if the
application did not provide sufficient information to determine whether
the types of activities, services and training programs that will be
offered will help residents continue to live independently.
(b) Providing Full and Equal Access to Grassroots Faith-Based and
Other Community-Based Organizations in HUD Program Implementation (up
to 4 points). HUD encourages applicants to partner with grassroots
organizations, e.g., civic organizations, 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 and other supportive services. In
order to receive points under this subfactor, applicants' narrative and
work plan must describe how applicants will work with these
organizations and what types of services they will provide. An
applicant will receive up to 4 points if the applicant's narrative and
work plan clearly name the grassroots organizations with whom they will
be working, describes what types of services will be provided by those
organizations, and describes how these partnerships will contribute to
the achievement of the goals and proposed outcomes for the program. An
applicant will receive up to 2 points if the applicant indicates that
it will work with grassroots organizations, but does not indicate the
types of services that will be provided by these organizations. An
applicant will receive 0 points if neither the work plan or narrative
provide a description of how the applicant will work with grassroots
organizations (civic organizations, faith-based and/or other community-
based organizations) and the types of services that will be provided.
(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 must complete form HUD-27300
(``Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers''). A copy of HUD's Notice titled ``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/offices/adm/grants/frregbarrier.pdf. The
information and requirements contained in HUD's regulatory barriers
policy priority apply to this FY 2007 NOFA. A description of the policy
priority and a copy of form HUD-27300 can be found in the application
package posted on http://www.Grants.gov/applicants/apply--for--
grants.jsp. Applicants are encouraged to read the Notice as well as the
General Section to obtain an understanding of this policy priority
[[Page 11622]]
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, Web site
address, 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. Applicants can attach the required documentation, URL
references, and contact information using the attachment capability at
the bottom of the electronic form. Reference material/documentation can
be scanned and attached to the form HUD-27300 and submitted with the
application or faxed to HUD following the facsimile submission
instructions. When providing documents in support of your responses to
the questions on the form, please provide the applicant name and
project name and whether you were responding under column A or B, then
identify the number of the question and the URL or document name and
attach using the attachment function at the end of the electronic form.
(3) Economic Opportunities for Low- and Very Low-Income Persons
(Section 3) (2 Points).
You will receive 2 points if your application demonstrates that you
will implement 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 its
implementing regulations at 24 CFR part 135 in connection with this
grant, if awarded. Information about Section 3 can be found at HUD's
Section 3 Web site at http://www.hud.gov/offices/fheo/section3/section3brochure.cfm. Your application must describe how you will
implement Section 3 through the proposed grant activities. You must
state that you will, to the greatest extent feasible, direct training,
employment, and other economic opportunities to:
(a) Low- and very low-income persons, particularly those who are
recipients of government assistance for housing, and
(b) Business concerns which provide economic opportunities to low-
and very low-income persons.
An applicant will receive 2 points if the applicant describes how
it will implement Section 3 through the proposed grant activities and
states that it will, to the greatest extent feasible, direct training,
employment, and other economic opportunities to Section 3 interests
(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). An applicant will receive 0 points if the applicant does not
describe implementing Section 3 through proposed grant activities and
does not state that it will direct training, employment and other
economic opportunities to Section 3 interests.
d. Rating Factor 4: Leveraging Resources (up to 10 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. 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.
Leveraging in excess of 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. A match will
not be accepted if it is proposed to be used for ineligible activities.
Please see the section on Threshold Requirements in this NOFA 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--4 points (with partnerships) 2 points (without partnerships);
26-50--6 points (with partnerships) 4 points (without
partnerships);
51-75--8 points (with partnerships) 6 points (without
partnerships);
76 or above--10 points (with partnerships) 8 points (without
partnerships).
e. Rating Factor 5: Achieving Results and Program Evaluation (up to
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. Outputs should produce outcomes for your program. Examples
of outputs are the number of elderly persons referred to for social or
health care services, the number of persons equipped with emergency
response resources, etc. ``Outcomes'' are benefits accruing to the
residents, families, and/or communities during or after their
participation in the ROSS program. Applicants must clearly identify the
outcomes to be achieved and measured. Outcomes are not the development
or delivery of services or program activities but the results of the
services delivered or program activities--the ultimate results of the
program. Examples of outcomes are: the number of persons able to live
independently and have avoided long-term care placement, the number of
persons that have had improved living conditions or quality of life as
a result of receiving increased social services, etc.
(4) 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, 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
[[Page 11623]]
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.
Applicants will be evaluated based on how comprehensively they
propose to measure their program's outcomes. The applicant will receive
up to 15 points if the applicant provided a work plan, narrative and
Logic Model that (a) describes the goals, objectives, outcomes, and
performance measurements to be achieved over the term of the program;
(b) includes short, intermediate and long term goals; (c) indicates
what will be measured and (d) how it will be measured and (e) shows
steps to be taken if performance targets are not met within the
established timeframes. An applicant will receive up to 12 points if
the applicant has fully addressed at least 4 of the 5 items of review
criteria (a-e). The applicant will receive up to 9 points if the
applicant has fully addressed at least 3 of the 5 items of review
criteria (a-e). The applicant will receive up to 6 points if the
applicant has fully addressed at least 2 of the 5 items of review
criteria (a-e). The applicant will receive up to 3 points if the
applicant has fully addressed at least 1 of the 5 items of review
criteria (a-e). An applicant will receive 0 points if the applicant did
not provide the Logic Model or enough information to determine the
program goals, outcomes and/or performance measurements.
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 ROSS-Elderly/Persons with Disabilities grant; a review of 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.
Twenty-five percent (25%) of funds will be set aside for Resident
Associations and all qualifying Resident Association applications will
be funded first, up to 25 percent of the funding amount. 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
ONAP for funding. After this ``round,'' HUD will select the second-
highest-ranked application in each of the ten federal regions and ONAP
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 ONAP 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 ranked order (by score), regardless of region and ONAP and will
fully fund as many as possible with remaining funds. If remaining funds
in one program are too small to make an award, they may be transferred
to another ROSS program.
3. Tie Scores. In the event of a tie score between two applications
in the ROSS-Elderly/Persons with Disabilities funding category that
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.
VI. Award Administration Information
A. Award Notices.
1. 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 on 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.
2. Debriefings. All applicants 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 more
information on debriefings.
B. 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 lead and non-lead applicants are subject to the requirements
specified in Section III.C. of the General Section. Grantees are
subject to regulations and other requirements found in:
a. 24 CFR Part 84 (``Uniform Administrative Requirements for Grants
and Agreements with Institutions of Higher Education, Hospitals, and
Other Nonprofit Organizations'');
b. 24 CFR Part 85 (``Administrative Requirements for Grants and
Cooperative Agreements to State, Local, and Federally Recognized Indian
Tribal Governments'');
c. 24 CFR Part 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 that
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.
C. Reporting
1. Semi-Annual Performance Reports. Grantees must submit semi-
annual performance reports to the field office or area ONAP. These
progress reports must include financial reports (SF-269A) and a Logic
Model (HUD-96010) showing achievements to date against outputs and
outcomes proposed in the application and approved by HUD. Each
quarterly report must identify any deviations (positive or negative)
from outputs and outcomes proposed and
[[Page 11624]]
approved by HUD, by providing the information in the reporting TAB of
the approved Logic Model. Grantees must use quantifiable data to
measure performance against goals and objectives outlined in their
program and/or work plan. Performance reports are due to the field
office or Area ONAP 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. For FY 2007, HUD is considering a new concept for
the Logic Model. The new concept is a Return on Investment (ROI)
statement. HUD will be publishing a separate notice on the ROI concept.
2. Final Report. All grantees must submit a final report to their
local field 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 program and/or work plan. Grantees must
use quantifiable data to measure performance against goals and
objectives outlined in their program and/or work plan. The final report
must also include responses to the management questions found in the
Logic Model and approved for your program. The financial report must
contain a summary of all expenditures made from the beginning of the
grant agreement to the end of the grant agreement and must include any
unexpended balances. The final narrative, Logic Model, and financial
report are due to the field office 90 days after the termination of the
grant agreement.
3. Final Audit. Grantees that expend $500,000 in federal funds in a
given program or fiscal year 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.
4. Racial and Ethnic Data. 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, funded recipients should
use form HUD-27061 (Racial and Ethnic Data Reporting Form).
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 Information Relay Service at 800-877-8339.
VIII. Other Information
A. Code of Conduct. Please 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 consider the amount of
unfunded qualified applications in deciding to which program it will
transfer the extra funds.
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 49.5 hours per respondent for the
application. This includes the time for collecting, reviewing, and
reporting the data for the application. 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.
[[Page 11625]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.019
[[Page 11626]]
Resident Opportunity and Self-Sufficiency (ROSS) Family and
Homeownership Program
Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Public and Indian Housing.
B. Funding Opportunity Title: ROSS Family and Homeownership, under
the Resident Opportunity and Self-Sufficiency (ROSS) program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: 5100-N-18; OMB Approval Number 2577-
0229.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s):
Resident Opportunity and Self Sufficiency, 14.870.
F. Dates: The application deadline date is June 27, 2007.
Applications submitted through http://www.grants.gov must be received
and validated by grants.gov no later than 11:59:59 Eastern time on the
application deadline date. The validation process may take up to 72
hours.
G. 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 and housing self-sufficiency.
2. Funding Available. HUD expects to award a total of approximately
$30,000,000 in ROSS--Family and Homeownership grants in FY 2007. This
amount includes $18,000,000 appropriated in FY 2007 and $12,000,000 in
rollover funds.
3. Award Amounts. Awards, depending on the unit count and type of
grantee, will range from $125,000 to $1,000,000. Please see the 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 (SROs); 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.
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 3 years
from the execution date of the grant agreement.
----------------------------------------------------------------------------------------------------------------
Maximum grant amount (units
refers to the number of
Grant program Total funding Eligible applicants family-occupied units as
indicated on ROSS Fact
Sheet (HUD-52751)
----------------------------------------------------------------------------------------------------------------
ROSS--Family and Homeownership..... $30 million........... PHAs/Tribes/TDHEs..... $250,000 for 1-780 units.
$350,000 for 781-2,500
units.
$500,000 for 2,501-7,300
units.
$1,000,000 for 7,301 or
more units.
Resident Associations. $125,000.
Nonprofit entities.... $125,000 per RA; Maximum
award is $375,000.
----------------------------------------------------------------------------------------------------------------
Full Text of Announcement
I. Funding Opportunity Description
A. ROSS Family and Homeownership. The purpose is to provide funding
to assist PHAs, tribes/TDHEs, RAs, nonprofit organizations (including
grassroots community based organizations such as faith-based
organizations), to create programs that 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 economic and housing self-sufficiency.
The Homeownership component provides funds to recipients 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. ROSS-Elderly/Persons with Disabilities funding is
being offered under a separate notice in the 2007 SuperNOFA.
B. Definition of Terms
1. City-Wide Resident Organization consists of members of 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 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.
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;
[[Page 11627]]
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 tribes to act on behalf
of each such tribe authorizing or establishing the housing entity as
defined by Section 4(21) of NAHASDA.
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 or any state-
recognized tribe eligible for assistance under section 4(12)(C) of the
Native American Housing Assistance and Self-Determination Act of 1996
(NAHASDA).
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 member of a tribe (as defined
above) who has been assisted by NAHASDA.
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 cannot 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 must submit their IRS
determination letter to prove their nonprofit (e.g. 501(c)(3)) status
with their funding application. 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 (described in the Application Review Information section of
this NOFA), HUD's field offices will evaluate applicants for past
performance to determine whether an applicant has the capacity to
manage the grant for which it is applying. The area Office of Native
American Programs (ONAP) will review past performance for tribal/TDHE
submissions. Field offices will also 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 and program
accessibility. Please see 24 CFR 5.403.
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.
[[Page 11628]]
20. Secretary means the Secretary of the Department 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 has statewide jurisdiction;
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).
C. Regulations Governing the ROSS Program
ROSS Family and Homeownership is governed by 24 CFR Part 964.
II. Award Information
A. Performance Period and Award Type
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
grant term must be submitted in writing 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 or area
ONAP for a period not to exceed 6 months and may be granted for a
further 6 months by the HUD Headquarters program office at the request
of the Field Office or area ONAP.
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.
5. Total Funding. HUD expects to award a total of approximately
$30,000,000 in ROSS--Elderly/Persons with Disabilities grants in FY
2007. This amount includes $18,000,000 appropriated in FY 2007 and
$12,000,000 in rollover funds. Awards will be made as follows:
a. PHAs must use the number of occupied conventional family public
housing units as of September 30, 2006, per their budget to determine
the maximum grant amount they are eligible for in accordance with the
chart above. (Use form HUD-51751, ROSS Fact Sheet). Applicants should
clearly indicate on the fact sheet the number of eligible units under
their Annual Contributions Contract.
b. The maximum grant award is $125,000 for each RA.
c. Nonprofits are eligible applicants if they are representing or
acting at the behest of an RA. Accordingly, nonprofit applicants must
show support from that RA. Nonprofit organizations that have support
from an RA are limited to $125,000 for each RA. A nonprofit
organization may not receive more than $375,000 in FY 2007 ROSS-Family
& Homeownership grant funding, but may propose to serve more than 3
RAs. In cases where nonprofit applicants are not able to obtain support
from RAs, they must obtain letters of support from PHAs and/or tribes/
TDHEs.
Note: All nonprofit applicants that do not include a letter of
support from an RA must include a letter of support from a PHA or
tribe/TDHE. Please see Threshold Requirements for more information.
Support letters must indicate the developments to be served by the
nonprofit organization. Funding for nonprofit applicants that do not
receive letters of support from RAs will be determined as follows.
Support letters must indicate the developments to be served by the
nonprofit organization as well as the number of family occupied
conventional public housing units in those developments.
------------------------------------------------------------------------
Maximum
Number of family occupied conventional units funding
------------------------------------------------------------------------
1-780 units................................................ $125,000
781-2,500 units............................................ 250,000
2,501 or more units........................................ 375,000
------------------------------------------------------------------------
Applicants should see the General Section 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 FY 2006 as defined in 24 CFR 1000.316.
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 that are
identified in their housing inventory as of September 30, 2006, for
family units. Tribes should clearly indicate the number of units under
management on the Fact Sheet.
III. Eligibility Information
A. Eligible Applicants. Eligible applicants are PHAs, tribes/TDHEs,
RAs, and nonprofit organizations (including those nonprofit
organizations supported by resident organizations, PHAs, or tribes/
TDHEs).
B. Cost Sharing or Matching. The required match is 25 percent of
requested funds and the match is a threshold requirement. Therefore,
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. Eligible Program Activities
Applicants should propose implementing comprehensive programs
within the 3-year grant term which will result in improved housing and
economic self-sufficiency for Public and Indian Housing residents.
Proposals should involve partnerships with organizations that will
enhance grantees' ability to provide educational programs, housing
counseling, fair housing counseling, job training and other supportive
services for residents. All applicants must complete a work plan
covering the 3-year grant term.
The eligible activities are listed in the following five
categories, from basic to advanced: (1) Life-Skills Training; (2) Job
Training, Job Search, and Placement Assistance; (3) Post-Employment
Follow-up; (4) Activities to Support Career Advancement and Long-Term
Economic Self-Sufficiency; and (5) Homeownership. 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. Only applicants proposing activities in Category 5
(Homeownership), and able to show existing linkages to an existing
homeownership program such as, for PHAs, Housing Choice Voucher-
Homeownership, Section 32, or homeownership programs and resources
offered by other organizations or state or local homeownership programs
and for Tribes/TDHEs, 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
[[Page 11629]]
assistance, will be eligible for 2 points in Rating Factor 3, Soundness
of Approach, under ``Addressing HUD's Policy Priorities--Providing
Increased Homeownership and Rental Opportunities for Low- and Moderate-
Income Persons * * *'' Funds may be used for, but are not limited to,
the activities described below.
(Category 1) Life-Skills Training (for Youth and Adults). An
applicant's proposals can cover, but are not limited to, 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
program.
Note: Stipends and salaries serve different purposes. Resident
salaries can only be used to hire residents to help program staff
with the implementation of grant activities.
(Category 2) Job Training, Job Search, and Placement Assistance.
Eligible activities include but are not limited to:
(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, and 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, and interpersonal and teamwork skills.
(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, and to create a job placement program
that refers trained residents to participating employers and other
local area employers.
(h) Professional clothing or uniforms related to new employment.
(i) Career advancement and planning programs. Such programs should
be designed to:
(i) Set career goals;
(ii) Provide strategies such as finding a strong professional
mentor within an organization for which residents may be working, 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 onto a career ladder and
achieve upward mobility.
(Category 3) 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.
(Category 4) 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 postsecondary 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 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 ROSS
FamilyHomeownership-funded ISAs. Grantees shall consult the Internal
Revenue Service regarding possible tax consequences of the ISAs on
participating residents.
(b) Housing Counseling to increase homeownership opportunities.
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, the Real
Estate Settlement Procedures Act (RESPA), and home maintenance.
(Category 5) Homeownership. Applicants should be able to show
existing 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), or homeownership programs and resources offered by other
organizations or state or local homeownership programs.
Tribes/TDHEs should be able to show existing 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. Proposals
should 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.
Eligible activities include, but are not limited to:
(1) 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) RESPA; and
(l) Fair Housing Counseling.
(2) ISAs. You may create programs that encourage residents to save
and contribute to match savings accounts such as Individual Development
Accounts (IDAs). ISAs are to be used solely 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.
[[Page 11630]]
b. Eligible Other Activities
(1) Hiring of a qualified project coordinator to run the grant
program. A qualified project coordinator must have at least 2 years of
experience in managing programs and should have experience working on
supportive services programs. If Category 5 activities are being
proposed, a qualified grant coordinator must have experience working on
homeownership programs designed for typically underserved populations.
The project coordinator should be hired for the entire 3-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 in the Indian area;
(e) Designing, coordinating, and providing 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 may be
reserved to ensure that evaluations can be completed for all
participants who received training through this program. This may
include software for tracking and evaluation to meet HUD's reporting
requirements. For more information on how to measure performance,
please see Rating Factor 5 in the ``Application Review Information''
section of this NOFA.
(2) Staff training.
(3) Long distance travel subject to funding restrictions.
(4) Lease or rental of space for program activities, but only under
the following conditions:
(i) The lease must be for existing facilities not requiring
rehabilitation or construction except for minimal alterations to make
the facilities accessible for a person with disabilities;
(ii) No repairs or renovations of the property may be undertaken
with federal funds; and
(iii) Properties in the Coastal Barrier Resources System designated
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be
leased or rented with federal funds.
(5) Stipends. Stipends are an eligible use of grant funds, and
stipends may be used for reasonable out-of-pocket costs. Stipends may
also 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.
(6) Hiring of Residents. Grant funds may also be used to hire a
resident(s) as program staff.
(7) Supportive Services.
(a) After-school programs for school-age children to include
tutoring, remedial training, and 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
help 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
including purchase, rental, or lease of a vehicle for the grantee and
limited in use for program purposes and fuel for program activities.
(d) Childcare while residents are participating in program-related
activities.
(e) Parenting courses.
(f) Nutrition courses.
(g) Health care information and services including referrals to
mental health providers and alcohol and other drug abuse treatment
programs.
(h) English as a second language (ESL) classes.
(i) Housekeeping courses.
(j) 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.
(8) Hiring or otherwise retaining other staff as necessary for
program activities.
(9) Evaluation.
(10) Administrative Costs. Administrative costs may include, but
are not limited to, purchase of office furniture, or office equipment
and supplies, program outreach, printing and postage, local travel,
utilities, administrative salaries, and lease or rental of space for
program activities (subject to lease restrictions above). To the
maximum extent practicable, when leasing space or purchasing equipment
or supplies, business opportunities should be provided to businesses
under Section 3 of the Housing and Urban Development Act of 1968.
Administrative costs, including administrative salaries, must not
exceed 10 percent of the total grant amount requested from HUD. All
administrative costs should be delineated and allocated as direct costs
an indirect cost rate will not be accepted;
2. 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 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 (i.e., ROSS-Elderly), 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 your application 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 to be used for
ineligible activities will not be accepted. 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 between
the publication date of this NOFA and the application deadline
published in this NOFA, or amended deadline, and indicate how the
commitment will relate to the proposed program. If the commitment is
in-kind, the letters should explain exactly what services or material
will be provided. The commitment must 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
[[Page 11631]]
commitment indicating the type of match (cash or in-kind) and how the
match will be used. Please see the General Section for instructions for
submitting the required letters with your electronic application.
Committed amounts in excess of the 25 percent of the requested
grant amount may be considered as leveraged funds for higher points
under Rating Factor 4 (described in the ``Application Review
Information'' section of this NOFA).
(1) The value of 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: PHA 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 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; Indian Housing Block
Grant (IHBG) funds; 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 the grant for
which they are applying. The area 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 RAs, and PHAS troubled PHAs (as of the application
publication date) are required to submit a signed Contract
Administrator Partnership Agreement. The agreement must be for the
entire grant term. If an applicant that is required to have a Contract
Administrator Partnership Agreement and fails to submit one or it is
incomplete, incorrect or insufficient, this will be treated as a
technical deficiency. See the General Section for more information on
Corrections to Deficient Applications. 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 one or more letters of
support from resident associations (RAs). In the event that RAs are
inactive, nonprofit applicants must 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 be dated between the publication date of this NOFA and
the application deadline published in this NOFA, or the amended
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 must describe to what extent they are
familiar with the nonprofit applicant and indicate their support and
understanding of the nonprofit organization's application. Letters must
include contact information and the name and title of the person
authorized to sign for the organization and should, whenever possible,
be on letterhead. If RA letterhead is not available, the letter may be
submitted on PHA letterhead.
(5) All nonprofit applicants that do not provide letters of support
from resident associations must provide a letter(s) 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 for
instructions for submitting the required letters with your electronic
application.
(6) 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 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. General Section Thresholds. All applicants will be subject to
all Threshold requirements listed in the General Section.
h. 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.
3. Program Requirements
a. Contract Administrator. The contract administrator must assure
that the financial management system and
[[Page 11632]]
procurement procedures that will be in place during the grant term will
fully comply with either 24 CFR part 84 or 85, as appropriate. Contract
administrators 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 grantees to meet
HUD's reporting requirements. 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.
b. Requirements Applicable to All Applicants. All applicants, lead
and non-lead, should refer to ``Other Requirements and Procedures
Applicable to All Programs'' of the General Section 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. Applicants may desire to
provide a broad range of services supported by grants from a number of
ROSS funding categories. Applicants may submit more than one
application only based on the criteria below:
a. General. Applicants may submit up to one application for each
ROSS funding category (i.e., one application for ROSS-Elderly/Persons
with Disabilities, one application for ROSS-Family-Homeownership,
etc.), except in the case of nonprofits. Nonprofit organizations may
submit more than one application per ROSS funding category provided
they will be serving residents of distinct PHAs or Tribes/TDHEs.
b. More than one application per development. Only one application
per funding category will be funded for a particular development. For
example, if multiple applicants apply for ROSS-Family-Homeownership for
the same development, only the highest scoring application will be
considered for award. If multiple applicants are interested in
providing services to a development and the services are funded under
the same ROSS funding category, the applicants should work together to
submit one application on behalf of the development.
c. Joint applications. Two or more applicants may join together to
submit a joint application for proposed grant activities. However,
joint applications must designate a lead applicant. In addition, 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) Letter(s) 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.
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: Joint applicants may combine their eligible units to
determine the maximum funding amount the applicants are eligible to
receive. Please enter the total number of eligible units on the ROSS
fact sheet.
5. Eligible Participants. All ROSS Family and Homeownership 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 and NAHASDA-assisted 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. The purpose of the Energy Star partnership is to
promote energy efficiency of the affordable housing stock and to help
protect the environment. 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. 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 Request an Application Package. Copies of the
published NOFAs and application forms for HUD programs announced
through NOFAs may be downloaded from the grants.gov Web site at http://www.grants.gov/applicants/apply--for--grants.jsp; if you have
difficulty accessing the information, you may receive customer support
from Grants.gov by calling its Support Desk at (800) 518-GRANTS, or by
sending an e-mail to [email protected]. You may request general
information from the NOFA Information Center (800-HUD-8929) 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.
B. Content and Form of Application Submission
1. Application Format Information for All Applicants. 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.
[[Page 11633]]
Applicants must write narrative responses to each of the rating
factors, that appear after this section. Applicants will be evaluated
on whether their responses demonstrate that they have the necessary
capacity to successfully manage the proposed 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 their proposal.
b. Format of Application
(1) Applications may not exceed 40 narrative pages. Narrative pages
must be typed, double-spaced, numbered, be in Times New Roman, 12-point
font, and have one-inch margins and font size 12. Supporting
documentation, required forms, and certifications will not be counted
toward the 40 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 for instructions on how
to submit supporting documentation with your electronic application.
(2) A checklist is provided here to ensure applicants 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. When
submitting electronically, you do not need to submit these in TABS. Be
sure to name each attachment clearly.) Copies of the forms may be
downloaded with the application package and instructions from http://www.grants.gov/applicants/apply--for--grants.jsp. You must use the
forms that are included with the 2007 application so as to avoid using
outdated forms that may be on HUDCLIPS or found from another source.
Please include a header in your narrative pages and any other
additional pages that includes the applicant names and the requirement
being responded to.
TAB 1: Required Forms From the General Section 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-424);
3. SF-424 Supplement, ``Survey on Ensuring Equal Opportunities for
Applicants'' (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
4. Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers (HUD-27300) (``HUD Communities Initiative Form'' on
Grants.gov);
5. ROSS Fact Sheet (HUD-52751);
6. HUD-424-CB, ``Grant Application Detailed Budget'' (``HUD
Detailed Budget Form'' on Grants.gov);
7. Grant Application Detailed Budget Worksheet (HUD-424-CBW)--
please remember to include a separate HUD-424-CBW for any sub-contract
of 10% or more of federal funds;
8. HUD-2880, ``Applicant/Recipient Disclosure/Update Report''
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov);
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) (for all applicants except for tribes/TDHEs and non-profits
serving tribes/TDHEs);
11. Certification of Consistency with the Indian Housing Plan (HUD-
52752) (for tribes/TDHEs and non-profits serving tribes/TDHEs);
12. Certification of Resident Council Board of Election (HUD-52753)
(for RA applicants and non-profit applicants being supported by one or
more RAs);
13. Disclosure of Lobbying Activities (SF-LLL), if applicable;
14. Disclosure of Lobbying Activities Continuation Sheet (SF-LLL-
A), if applicable;
15. You Are Our Client Grant Applicant Survey (HUD-2994-A)
(Optional);
16. HUD-96011, ``Third Party Documentation Facsimile Transmittal''
(``Facsimile Transmittal Form'' on Grants.gov) (For use with electronic
applications as the cover sheet to provide third party documentation);
17. Code of Conduct per General Section Instructions; and
18. Statement on Affirmatively Furthering Fair Housing per General
Section Instructions.
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. Letter(s) of Support from Resident Associations/PHAs/tribes/
TDHEs (Threshold requirement for all nonprofit applicants);
4. Chart of Resident Associations Participating (required only for
nonprofit applicants) (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 all
nonprofit organizations, resident associations, and PHAS-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;
5. Statement attesting to Housing Choice Voucher Homeownership
program, Section 32 or other program, if proposing activities in
Category 5.
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: Rating Factor 5
1. Narrative;
2. Logic Model (HUD-96010).
C. Submission Dates and Times
1. Deadline Dates. The application must be received and validated
by Grants.gov no later than 11:59:59 p.m. eastern time on the deadline
date. Please note that the validation process may take up to 72 hours.
If you submit a waiver request and it is approved, the notification of
approval of the waiver request will provide instructions on where to
submit the paper application. See the General Section and Section F.
below for instructions regarding waivers to the electronic application
submission requirement. If an applicant receives a waiver to the
electronic application submission requirement, the application must be
received by the application deadline date.
D. Intergovernmental Review: Not applicable.
E. Funding Restrictions
1. Reimbursement for Grant Application Costs. Grantees are
prohibited from using ROSS grant funds to reimburse any costs incurred
in conjunction with preparation of their ROSS application.
2. Covered Salaries.
a. Project Coordinator. All applicants may propose to hire a
qualified project coordinator to run the program. The ROSS Family and
Homeownership program will fund up to $68,000 in combined annual salary
and fringe benefits for a full-time project coordinator. Applicants may
propose a part-time coordinator at a lesser salary. For audit purposes,
applicants must have documentation on file
[[Page 11634]]
demonstrating that the salary and fringe benefits of the project
coordinator are comparable to similar professions in their local area.
b. Resident Salaries. No more than 5 percent of ROSS Family and
Homeownership funds may be used to pay for resident salaries. This does
not apply to contracting with resident-owned businesses.
c. Types of Salaries. ROSS Family and Homeownership funds may only
be used for the types of salaries described in this section according
to the restrictions described. Non-administrative 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 applicant personnel or subcontractors who, as their primary
responsibility, provide services directly to residents that participate
in the activities described in this application e.g., housing and
credit counselors, case managers, job trainers, and childcare
providers, among other positions. Clerical, legal, finance,
supervisory, executive and all other non-direct services staff may be
paid for activities related to the grant, but subject to the 10 percent
total administrative costs limit.
3. Administrative Costs. For all applicants, administrative costs
may include, but are not limited to, purchase of furniture, office
equipment and supplies, program outreach, printing and postage, local
travel, utilities, administrative salaries, and lease or rental of
space for program activities (subject to restrictions on leasing; see
Eligible Activities section of this NOFA). Administrative costs,
including administrative salaries, 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. All administrative costs should
be delineated and allocated as direct costs--an indirect cost rate will
not be accepted;
4. Individual Savings Accounts (ISAs). ROSS Family and
Homeownership 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. 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. Funding Requests in Excess of Maximum Grant Amount. Applicants
that request funding in excess of the maximum grant amount that they
are eligible to receive will be given consideration only for the
maximum grant for which they are eligible. If a grant is awarded, the
grantee will work with the field office or area ONAP to re-apportion
the grant funds for eligible activities proposed in the original
application.
7. 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 (this does not include
stipends);
b. Purchase, lease, or rental of land;
c. New construction, costs for construction materials;
d. Rehabilitation or physical improvements except for minimal
alterations to make the facilities accessible for a person with
disabilities;
e. Vehicle insurance and/or maintenance;
f. Entertainment costs;
g. Purchasing food;
h. 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;
i. Purchase of non-prescription or prescription medications;
j. Down payment assistance (NOTE: Participants may use their ISAs
for this purpose);
k. Revolving loan funds;
l. Costs that exceed limits identified in the NOFA, for the
following: Project Coordinator, resident salaries, ISAs, stipends,
administrative expenses, and long distance travel;
m. Cost of application preparation;
n. Scholarships for degree programs;
o. purchase of space
8. ROSS funds cannot be used to hire or pay for the services of a
Contract Administrator.
9. Other Budgetary Restrictions. Some long-distance travel may be
necessary during the term of the grant in order for professional grant
staff to attend training conferences related to program purposes or
activities. 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.
F. Other Submission Requirements
1. All applicants are required to submit their applications
electronically via Grants.gov unless they request and are approved by
HUD for a waiver of that requirement. Please refer to the General
Section for information on how to submit your application and all
attachments electronically via Grants.gov.
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.
3. For Waiver Recipients Only. Applicants should submit their
waiver requests in writing using mail. Waiver requests must be
postmarked no later than 15 days prior to the application deadline date
and should be sent to Anice Schervish, 451 Seventh Street, SW., Room
3236, Washington, DC 20410. Applicants who have received waivers to
submit paper applications (see the General Section for more
information) must submit their applications to: HUD Grants Management
Center, Mail Stop: ROSS Family and Homeownership, 501 School Street,
SW., 8th floor, Washington DC 20024.
4. Number of Copies. Only applicants receiving a waiver to the
electronic submission requirement may submit a paper copy application.
When the waiver request is approved, the applicant will be provided
information on how many copies are needed and where to submit the
copies. All paper applications must be received by the deadline date.
Any paper applications submitted without an approved waiver will be
considered ineligible.
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.
Note: Applicants should carefully review each rating factor
before writing a response.
[[Page 11635]]
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 (up to 25 Points).
This factor addresses whether the applicant has the organizational
capacity and 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 (up to 7 Points).
(a) Staff Experience (up to 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 with an
understanding of your 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 application.
An applicant will receive up to 4 points if the applicant provided
the requested materials in sufficient detail to demonstrate an
experienced and well-coordinated proposed staff. Documentation
indicates that the project coordinator and proposed staff have recent
(experience within the last 5 years), relevant (pertaining to the
specific or similar activities being proposed), and successful
(experience producing specific results) experience in conducting and
completing similar activities.
(b) Organizational Capacity (up to 3 Points). Applicants will be
evaluated based on whether they 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. Provide
resumes and position descriptions (where staff is not yet hired) for
all key personnel. (Resumes/position descriptions and other HUD forms
do not count toward the page limit.) An applicant will receive up to 3
points if the applicant provided a description of its ability (in-house
or with partners) to implement the proposed program and attached
resumes and position descriptions (where staff is not yet hired) for
all key personnel. Reviewers may also consult HUD-52756.
(2) Past Performance of Applicant/Contract Administrator (up to 6
Points).
(a) Applicants' past experience may include, but is not limited to,
running and managing programs aimed at assisting residents of low-
income housing to achieve housing and economic self-sufficiency.
(b) Applicants must indicate past grants they received and managed,
the grant amounts, and grant terms (years) of the grants, which are
counted toward past experience.
(c) Applicants' narratives must describe how they (or their
Contract Administrator) successfully implemented past grant programs
designed to promote resident self-sufficiency, moving from welfare to
work, and/or helping residents move to market-rate rental housing or
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 reduced welfare
dependency, higher incomes, higher rates of employment, increased
savings, moving from subsidized housing to market rate rental housing;
and for Category 5, the number of families in homeownership counseling
pipeline, and the 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 and accurate expenditure of program
funding throughout the term of past grants. This means regular (i.e.,
quarterly) and accurate drawdowns throughout the life of the grant,
with all funds expended by the end of the grant term;
(iv) Description of past leveraging. Applicants must describe how
they have created leveraging partnerships for funding or in-kind
services for previous projects, the extent of the leveraging
partnership, and how leveraging and partnerships benefited program
participants.
Past experience may include, but is not limited to, running and
managing programs aimed at assisting residents of low-income housing to
achieve economic self-sufficiency. Reviewers may consult the narrative
and/or the HUD-52757. The applicant will receive up to 6 points if the
following is shown:
achievement of specific measurable outcomes and objectives
in terms of benefits gained by participating residents;
a description of success in attracting and keeping
residents involved in past grant-funded training programs, and
documentation that shows that the grant activities benefited a
significant number of residents;
a description of timely expenditure of program funding
throughout the term of past grants. Timely means regular draw-downs
throughout the life of the grant, i.e., quarterly draw-downs, with all
funds expended by the end of the grant term;
a description of how the applicant has leveraged funding
or in-kind services beyond amounts that were originally proposed for
past projects. In addition to addressing items 1-4 above, the
application must also: indicate past grants received, the grant
amounts, and grant terms (years) of the grants, which are being
counting toward past experience; AND
describe how the applicant (or their Contract Coordinator
Administrator, if applicable) successfully implemented past grant
programs designed to promote self-sufficiency, moving from welfare to
work, and/or helping residents move to market rate rental housing.
[[Page 11636]]
An applicant will receive up to 4 points if the applicant
sufficiently addressed at least 3 of the 4 items of review criteria
listed above. An applicant will receive up to 2 points if the applicant
sufficiently addressed at least 2 of the 4 items of review criteria
listed above. An applicant will receive 0 points if the applicant only
addressed one or did not address any of items 1 through 4.
(3) Program Administration and Fiscal Management (up to 12 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. Applicants should also
include the following:
(a) 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., PHAS troubled PHAs, resident associations, and
nonprofit applicants);
(b) Applicants must list any audit findings or material weaknesses
in the past five years (HUD Inspector General, management review,
fiscal, etc.), and what has been done to address them;
An applicant will receive up to 12 Points if the applicant provided
a comprehensive narrative description of (i) the project management
structure and program accountability, including the use of a contract
administrator, if applicable; the narrative (ii) describes staff's
roles and responsibilities and (iii) details how staff and partners
will report to the project coordinator and other senior staff, as well
as (iv) the lines of accountability among all components of the
proposed program; and (v) if applicable, a list of any audit findings
in the past 5 years (HUD IG, management review, fiscal, etc.), material
weaknesses and what the applicant has done to address them. An
applicant will receive up to 9 points if the applicant has fully
addressed three of (i) through (iv). An applicant will receive up to 6
points if the applicant has fully addressed two of (i) through (iv). An
applicant will receive up to 3 points if the applicant has fully
addressed one of (i) through (iv). If an applicant provides audit
findings or material weaknesses but does not provide what the applicant
has done to address them, the applicant will lose two points. An
applicant will receive 0 points if all of (i) through (v) are not
addressed.
b. Rating Factor 2: Need/Extent of the Problem (up to 14 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 (up to 6 points). A thorough
socioeconomic profile of the eligible residents to be served by the
program, including education levels, income levels, and other socio-
economic statistics for the local area pertinent to the proposed
program, etc. Applicants may either provide data for the local area and
show that the residents reflect the local area or may provide resident-
specific data.
An applicant will receive up to 6 points if the applicant provided
a thorough socioeconomic profile of the eligible residents to be served
by the program, including education levels, income levels, and other
pertinent socio-economic data for the local area. An applicant will
receive up to 3 points if the applicant provided a basic socioeconomic
profile of the area, but did not show that the residents to be served
reflect that profile. An applicant will receive 0 Points if the
applicant failed to provide the socioeconomic data on the community
and/or profiles of the eligible residents.
(2) Demonstrated Link Between Proposed Activities and Local Need
(up to 8 points). Applicants' narratives 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.
An applicant will receive up to 8 points if the applicant narrative
demonstrates a strong, clear relationship between the proposed
activities, community needs and the purpose of the program funding. An
applicant will receive up to 4 points if the applicant narrative
demonstrates a tenuous relationship between the proposed activities,
needs, and the purpose of program funding. An applicant will receive 0
points if the applicant failed to demonstrate a clear relationship
between the proposed activities, community needs and the purpose of the
program funding.
c. Rating Factor 3: Soundness of Approach (up to 34 Points).
This factor addresses both the quality and cost-effectiveness of
applicants' proposed work plan. The narrative and work plan must
indicate a clear relationship between proposed activities and intended
outcomes, the targeted population's needs, and the purpose of the
program funding. Applicants' proposed 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 (up to 22 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 (up to 12 points).
Applicants' narratives must describe the specific services, course
curricula, 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 proposed program narrative
and 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' narratives must explain how their proposed
activities will:
(i) Involve community partners in the delivery of services (4
points);
An applicant will receive up to 4 points if the applicant narrative
describes the involvement of partner organizations to deliver or
support their proposed programs. An applicant will receive up to 2
points if the applicant narrative describes the existence of other
community-based organizations in the area, but does not describe firm
connections between program activities and the delivery or support of
the proposed program. An applicant will receive 0 points if the
applicant does not intend to involve any community partners in the
delivery or support of their proposed program.
(ii) Offer comprehensive services (versus a small range of
services) geared toward achieving the following (6 points):
--Enhancing economic opportunities for residents leading to economic
self-sufficiency and homeownership or other housing self-sufficiency;
An applicant will receive up to 6 points if the applicant narrative
describes the specific services, course curricula, and activities they
plan to offer and who will be responsible for each; the narrative shows
that the proposed program involves a comprehensive range of services
and activities that are intended to move
[[Page 11637]]
participants along a continuum towards economic self-sufficiency; and
the narrative shows a logical order and progress and outcomes are
identified. An applicant will receive up to 3 points if the applicant
fully describes the proposed program, but the program does not address
a spectrum of activities. An applicant will receive 0 points if the
applicant failed to provide sufficient information to determine if the
proposed program will contain a continuum of services, no logical order
is described and no outcomes are identified.
(b) Feasibility and Demonstrable Benefits (up to 5 points). This
factor examines whether applicants' work plans are logical, feasible
and likely to achieve its stated purpose during the term of the grant.
HUD's intention is to fund applications that will quickly produce
demonstrable results and advance the purposes of the ROSS program.
The work plan should demonstrate that their projects are ready to
be implemented shortly after the grant award, but not to exceed three
months following the execution of the grant agreement. The work plan
must indicate time frames and deadlines for accomplishing major
activities.
An applicant will receive up to 5 points if the work plan and
supporting narrative are logical, feasible, and demonstrate that the
proposed project is ready for implementation within three months of
execution of the grant agreement. The work plan also indicates
timeframes and deadlines for accomplishing major activities and how
well the proposed activities address the needs described in Rating
Factor 2. The applicant will receive up to 3 points if the work plan
and supporting narrative are logical and feasible, but do not
demonstrate that the project is ready for implementation within 3
months of grant agreement execution. An applicant will receive 0 points
if the applicant failed to provide the information to determine that
the project is logical and feasible or whether the project would be
ready for implementation within three months of execution of the grant
agreement.
(c) Budget Appropriateness/Efficient Use of Grant (up to 5 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.
(iii) Please note that the budget form HUD-424 CBW requires that a
separate 424-CBW form be submitted for each sub-contract of 10% or more
of the requested grant amount. If an application proposes to sub-
contract 10% or more of the requested grant amount and does not include
a separate 424-CBW for each 10 percent or more sub-contract, all points
for Budget Appropriateness/Efficient Use of Grant will be lost (5
points). If 424-CBWs for sub-contracts for 50 percent or more of the
requested grant amount are not included, the application will lose 10
points.
An applicant will receive up to 5 Points if expenses are
reasonable, thoroughly explained, support the objectives of the
proposal and are commensurate with the level of effort necessary to
accomplish the goal. An applicant will receive up to 3 points if the
expenses somewhat support the objectives of the proposal or only
somewhat commensurate with the level of effort necessary to accomplish
the goals. An applicant will receive 0 points if expenses are not
reasonable and/or the requested funds are not commensurate with the
goals and anticipated results of the proposed program.
(d) Ineligible Activities. Two points will be deducted for each
type of 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 (up to 10 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' narratives and work plans will be evaluated based on how
well they meet the following HUD policy priorities:
(i) Improving the Quality of Life in Our Nation's Communities (up
to 2 points). In order to receive points in this category, applicants'
narrative and/or 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.
An applicant will receive up to 4 points if the work plan and
supporting narrative indicate the types of activities, services and
training programs that will be offered to help residents successfully
move along the spectrum of self-sufficiency. An applicant will receive
0 points if the application did not provide sufficient information to
determine whether the types of activities, services and training
programs that will be offered will help residents successfully
transition from welfare to work and earn higher wages.
(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
(NOTE: Only applicants proposing Category 5-Homeownership activities
are eligible for these points.) (up to 2 points). In order to receive
points in this category, applicants' narratives and/or work plans must
indicate the types of activities and training programs they will offer
which can help residents successfully transition to homeownership.
Applicants that indicate that they have existing linkages to an
existing homeownership program (such as, for PHAs, Housing Choice
Voucher-Homeownership, Section 32, or homeownership programs and
resources offered by other organizations or state or local
homeownership programs or for Tribes/TDHEs, 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, must provide a specific statement
attesting to these linkages and indicating the minimum number of
homeownership opportunities (e.g,. the number of HCV-Homeownership
vouchers or number of homes in the Section 32 program that will be
dedicated to ROSS participants) that will be provided annually to
residents successfully completing the requirements of the programs
funded by this NOFA.
An applicant will receive 2 points if the application indicates the
applicant has existing linkages to an existing homeownership program
such as HCV-Homeownership, Section 32, Mutual Help Homeownership
Opportunity Program, SHOP, Section 184, IHBG or other state or local
homeownership (not just homeownership training) programs AND provides a
specific statement indicating the minimum number of homeownership
opportunities that will be provided annually. An applicant will receive
0 points if the applicant does not provide a specific statement
indicating the minimum number of homeownership opportunities that will
be provided annually OR does not
[[Page 11638]]
describe its existing linkages to existing homeownership programs.
(iii) Providing Full and Equal Access to Grassroots Faith-Based and
Other Community-Based Organizations in HUD Program Implementation (up
to 4 points). HUD encourages applicants to partner with grassroots
organizations, e.g., civic organizations, 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, and
providing job training and other supportive services. In order to
receive points under this factor, applicants' narratives and/or work
plans must describe how applicants will work with these organizations
and what types of services they will provide.
An applicant will receive up to 4 points if the applicant's
narrative and work plan clearly name the grassroots organizations with
whom they will be working, describe what types of services will be
provided by those organizations, and describe how these partnerships
will contribute to the achievement of the goals and proposed outcomes
for the program. An applicant will receive up to 2 points if the
applicant indicates that it will work with grassroots organizations,
but does not indicate the types of services that will be provided by
these organizations. An applicant will receive 0 points if neither the
work plan or narrative provide a description of how the applicant will
work with grassroots organizations (civic organizations, faith-based
and/or other community-based organizations), and the types of services
that will be provided.
(iv) 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/offices/adm/grants/frregbarrier.pdf. The
information and requirements contained in HUD's regulatory barriers
policy priority apply to this FY2006 NOFA. A description of the policy
priority and a copy of form HUD-27300 can be found in the application
package posted on www.Grants.gov. 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 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,
Web site link, 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 attach required documentation or identify a URL or reference.
Reference material/documentation can be scanned and attached to the
form HUD-27300 and submitted with the application or faxed to HUD
following the facsimile submission instructions. When providing
documents in support of your responses to the questions on the form,
please provide the applicant name and project name and whether you are
responding under column A or B, then identify the number of the
question and the URL or document name and attach using the attachment
function at the end of the electronic form.
(3) Economic Opportunities for Low- and Very Low-Income Persons
(Section 3) (up to 2 Points).
You will receive 2 points if your application demonstrates that you
will implement 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 its
implementing regulations at 24 CFR part 135 in connection with this
grant, if awarded. Information about Section 3 can be found at HUD's
Section 3 website at http://www.hud.gov/offices/fheo/section3/section3brochure.cfm. Your application must describe how you will
implement Section 3 through the proposed grant activities. You must
state that you will, to the greatest extent feasible, direct training,
employment, and other economic opportunities to:
(a) Low- and very low-income persons, particularly those who are
recipients of government assistance for housing, and
(b) Business concerns which provide economic opportunities to low-
and very low-income persons.
An applicant will receive 2 points if the applicant describes how
it will implement Section 3 through the proposed grant activities and
states it they will, to the greatest extent feasible, direct training,
employment, and other economic opportunities to Section 3 interests
(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.) An applicant will receive 0 points if the applicant does not
describe implementing Section 3 through proposed grant activities and
does not state that they will direct training, employment and other
economic opportunities to Section 3 interests.
d. Rating Factor 4: Leveraging Resources (up to 10 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.
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. Match proposed to be used for ineligible activities
will not be accepted. The additional resources and services must be
firmly committed, must support the proposed grant activities and must,
in
[[Page 11639]]
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 the 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 4 points (with partnerships), 2 points (without partnerships);
26-50 6 points (with partnerships), 4 points (without
partnerships);
51-75 8 points (with partnerships), 6 points (without
partnerships);
76 or above 10 points (with partnerships), 8 points (without
partnerships).
e. Rating Factor 5: Achieving Results and Program Evaluation (up to
17 Points).
(1) An important element in any supportive service program is the
development and reporting of performance measures and outcomes. This
factor emphasizes HUD's determination to ensure that applicants develop
performance and outcome measures that are focused on residents'
achieving economic and housing self-sufficiency--reducing and
eliminating dependency on any type of subsidized housing or welfare
assistance. Additionally, achieving outcomes and accurate evaluation
will assist HUD in meeting its commitment to federal requirements for
accountability. 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. The narrative describes how the
measurement tools are used to collect and verify reported data and to
modify the program if goals are not being met.
(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. Outcomes are not the development or delivery of
services or program activities but the results of the services
delivered or program activities--the ultimate results of the program.
Applicants must clearly identify the outcomes to be achieved and
measured. Examples of outcomes are: increasing homeownership rates,
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).
(4) 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' narratives, work plans, and Logic
Models 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' 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.
(Applicants will be evaluated based on how comprehensively they
propose to measure their program's outcomes.)
Applicant will receive up to 17 points if the applicant provided a
work plan, narrative and Logic Model that (a) describes the goals,
objectives, outcomes, and performance measurements to be achieved over
the term of the program; (b) includes short, intermediate, and long-
term goals; (c) indicates what will be measured; (d) indicates how it
will be measured; and (e) shows steps to be taken if performance
targets are not met within the established timeframes. An applicant
will receive up to 14 points if the applicant fully addresses four of
the five items of review criteria. An applicant will receive up to 11
points if the applicant fully addresses three of the five items of
review criteria. An applicant will receive up to 7 points if the
applicant fully addresses two of the five items of review criteria. An
applicant will receive up to 4 points if the applicant fully addresses
one of the five items of review criteria. An applicant will receive 0
points if the applicant did not provide the Logic Model or enough
information to determine the program goals, outcomes and/or performance
measurements.
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 ROSS Family and Homeownership grant program; whether your
application submission is complete, on time and meets the 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.
Twenty-five percent (25%) of funds will be set aside for Resident
Associations and all qualifying Resident Association applications will
be funded first, up to 25 percent of the funding amount. HUD's
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 ONAP for funding. After this ``round,'' HUD will select the
second highest-ranked application in each of the 10 federal regions and
ONAP 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 ONAP 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 ONAP 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 ROSS program. If there are remaining funds in
any ROSS program after all qualifying applications have been awarded,
those funds may be transferred to another ROSS program.
3. Tie Scores. In the event of a tie score between two applications
that target the same developments, HUD will
[[Page 11640]]
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.
VI. Award Administration Information
A. Award Notices
1. 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 on 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.
2. Debriefings. All applicants 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.
B. 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) are subject to the
requirements specified in Section III.C. of the General Section.
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 that provide
economic opportunities to low- and very low-income persons.
4. Fair Housing and Civil Rights Laws. Applicants and their sub-
recipients 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.
C. Reporting
1. Semi-Annual Performance Reports. Grantees must submit semi-
annual performance reports to the field office or area ONAP. These
progress reports must include financial reports (SF-269A) and a Logic
Model (HUD-96010) showing achievements to date against outputs and
outcomes proposed in the application and approved by HUD. Each
quarterly report must identify any deviations (positive or negative)
from outputs and outcomes proposed and approved by HUD, by providing
the information in the reporting TAB of the approved Logic Model. HUD
anticipates that some of the reporting of financial status and grant
performance will be through electronic or Internet-based submissions.
Grantees must use quantifiable data to measure performance against
goals and objectives outlined in their work plan. 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. For FY 2007, HUD is considering a new
concept for the Logic Model. The new concept is a Return on Investment
(ROI) statement. HUD will be publishing a separate notice on the ROI
concept.
2. Final Report. All grantees must submit a final report to their
local field 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 must use
quantifiable data to measure performance against goals and objectives
outlined in their work plan. The final report must also include
responses to the management questions found in the Logic Model and
approved for your program. The financial report must contain a summary
of all expenditures made from the beginning of the grant agreement to
the end of the grant agreement and must include any unexpended
balances. The final Logic Model and financial report are due to the
field office 90 days after the termination of the grant agreement.
3. Final Audit. Grantees that expend $500,000 in federal funds in a
given program or fiscal year 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. Racial and Ethnic Data. HUD requires that funded recipients
collect racial and ethnic beneficiary data. HUD has adopted the Office
of Management and Budget's (OMB) 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.
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 Information Relay Service at 800-877-8339.
VIII. Other Information
A. Code of Conduct. Please 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 consider the amount of
unfunded qualified applications in deciding to which program the extra
funds will be transferred.
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
[[Page 11641]]
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 49.5 hours per respondent for the
application. This includes the time for collecting, reviewing, and
reporting the data for the application. 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.
[[Page 11642]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.020
[[Page 11643]]
Public and Indian Housing Family Self-Sufficiency Program Coordinators
Under 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, Office of Public
Housing Investments.
B. Funding Opportunity Title: Public and Indian Housing Family
Self-Sufficiency (PH FSS) Program Coordinators.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: FR 5100-N-16; OMB Approval Number is
2577-0229.
E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.877.
F. Application Deadline: The application deadline date is June 6,
2007. Please see the General Section for application submission,
delivery, and timely receipt requirements.
G. Additional Overview Content Information:
1. Purpose of Program: The purpose of the Public Housing FSS (PH
FSS) program is to promote the development of local strategies to
coordinate the use of assistance under the Public Housing program with
public and private resources, enable participating families to increase
earned income, reduce or eliminate the need for welfare assistance, and
make progress toward achieving economic independence and housing self-
sufficiency. The FSS program and this FSS NOFA support the Department's
strategic goals of helping HUD-assisted renters make progress toward
housing 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 or move to other non-assisted housing. An FSS
program coordinator assures that program participants are linked to the
supportive services they need to achieve self-sufficiency.
2. Funding Available: HUD expects to award a total of approximately
$12,000,000 in FY 2007. This amount includes $10,000,000 appropriated
in FY 2007 and $2,000,000 in rollover funds.
3. Award Amounts: Awards will pay only for the annual salary and
fringe benefits of PH FSS Coordinators. Award amounts will be based on
locality pay rates for similar professions. Each new or renewal
position amount will not exceed $65,500.
4. Eligible Applicants: Eligible applicants are Public Housing
Authorities (PHAs) and tribes/Tribally Designated Housing Entities
(TDHEs) that administer PH FSS programs. All applicants must have an
approved PH FSS Action Plan on file with their local HUD field office
or Area Office of Native American Programs (ONAP) prior to this NOFA's
application deadline. Non-profit organizations and resident
associations are not eligible to apply 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 is one year from the execution date
of the grant agreement.
Full Text of Announcement
I. Funding Opportunity Description
A. Authority and Program Description. The Revised Continuing
Appropriations Resolution, 2007 (Pub. L. 110-5, approved February 15,
2007) allows funding for program coordinators under the Resident
Opportunity & Self-Sufficiency program. Through annual NOFAs, HUD has
provided funding to public housing agencies (PHAs) or tribes/TDHEs that
are operating PH FSS programs to enable those applicants to employ
program coordinators to support their PH FSS programs. In FY 2007 PH
FSS Program Coordinator NOFA, HUD is again making funding available to
PHAs/Tribes/TDHEs to employ PH FSS program coordinators for one year.
HUD will accept applications from both new and renewal applicants that
have HUD approval to administer a PH FSS program. PHA/Tribe/TDHEs
funded under the ROSS PH FSS NOFA in FY 2005 or 2006 are considered
``renewal'' applicants in this NOFA. These renewal applicants are
invited to apply for funds to continue previously funded PH FSS program
coordinator positions. Funding priority will be given to renewals for
applicants that have achieved a ``High Performer'' status on their most
recent Public Housing Assessment System (PHAS) review and tribes/THDEs
that have been determined eligible as a renewal applicant (PHAS score
requirement is not applicable to tribes/THDEs). Second priority will be
given to standard performer renewal applicants. Third priority will be
given to troubled performer renewal applicants and fourth priority will
be given to new applicants. There will be no funding for expanding the
number of coordinator positions in an existing program.
The maximum number of positions that a new applicant, including new
joint applicants, may receive is one full-time FSS program coordinator.
Applicants must administer the FSS program in accordance with HUD
regulations and requirements in 24 CFR Part 984, which govern the PH
FSS program and must comply with the existing Public Housing program
requirements, notices, and guidebooks. This includes using a Program
Coordinating Committee (PCC) to secure the necessary resources to
implement the FSS Program. See 24 CFR 984.202 for more information.
B. Number of Positions for Which Eligible Applicants May Apply.
Eligible applicants may apply for funding for PH FSS program
coordinator positions under this NOFA as follows:
1. Renewal Applicants. Applicants that qualify as eligible renewal
applicants under this NOFA may apply for the continuation of each PH
FSS coordinator position awarded under the ROSS PH FSS NOFA in FY 2005
or 2006.
2. New Applicants. An applicant that meets the requirements for a
new applicant under this FSS NOFA may apply for PH FSS program
coordinator positions as follows:
a. Up to one full-time PH FSS coordinator position for an applicant
with HUD approval to administer a PH FSS program of 25 or more FSS
slots; or
b. Up to one full-time PH FSS coordinator position per application
for joint applicants that together have HUD approval to administer a
total of at least 25 PH FSS slots.
C. Definitions. The following definitions apply to the funding
available under this NOFA.
1. Renewal Applicant. Applicants that received funding under the
ROSS PH FSS NOFA in FY 2005 or 2006.
2. New Applicant. Applicants that did not receive funding under the
ROSS PH FSS NOFA in FY 2005 or FY 2006 that have HUD approval to
administer a PH FSS program of at least 25 slots or that fulfill the 25
slot minimum by applying jointly with one or more other applicants who
together have approval to administer at least 25 PH FSS slots.
3. Tribally Designated Housing Entity (TDHE) is an entity
authorized or established by one or more Indian tribes to act on behalf
of each such tribe authorizing or establishing the housing entity as
defined by Section 4(21) of NAHASDA.
4. Indian Tribe means any tribe, band, nation, or other organized
group or a community of Indians, including any
[[Page 11644]]
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.
5. MTW PHAs. New and renewal PHAs that are under MTW agreements
with HUD may qualify for funding under this NOFA if the PHA administers
an FSS program. When determining the size of a new applicant, MTW PHA's
HUD-approved FSS program, the PHA may request 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. However, this number must be at least 25 in
order to qualify as a new applicant.
6. FSS Program Size. The total number of PH FSS program slots
identified in the applicant's HUD-approved PH FSS Action Plan, or, if
requested by MTW PHA applicants, the number of slots in the applicant's
MTW agreement. The total may include both voluntary and mandatory PH
FSS program slots.
7. Action Plan. Describes the policies and procedures of the PHA or
tribe/TDHE for operation of a local FSS program. For a full description
of the minimum amount of information that the Action Plan must contain,
please see 24 CFR 984.201.
8. Positive Graduation Percentage. The percent of public housing
FSS families that have successfully graduated from the program between
October 1, 2000, and the publication date of this NOFA as shown in FSS
exit reports submitted to HUD on Form HUD-50058 or as otherwise
reported to HUD by MTW PHAs. The data source is Form HUD-52767 as well
as HUD's PIC data system records of Form HUD-50058 PH FSS program exit
reports that were effective between October 1, 2000, and the
publication date of this NOFA.
9. The Number of PH FSS Program Participants. The total number of
families formerly or currently enrolled in the applicant's PH FSS
program between October 1, 2000 and the publication date of this NOFA.
For renewal applicants funded for the first time under the 2006 NOFA,
please use the enrollments anticipated by the due date of this NOFA.
The data source is Form HUD-52767 as well as HUD's PIC data system
records of Form HUD-50058 reports that were effective between October
1, 2000, and the publication date of this NOFA.
10. Percentage of Families with Positive FSS Escrow Balances. The
number of current or former PH FSS families with positive escrow
balances as a percentage of total number of PH FSS program
participants. The data source is Form HUD-52767 as well as HUD's PIC
data system records of Form HUD-50058 PH FSS program progress reports
that were effective between October 1, 2000, and the publication date
of this NOFA, or as otherwise reported to HUD by MTW PHAs.
11. PH FSS Program Coordinator. A person 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 being made, such as 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 ensuring
that FSS escrow accounts are established and properly maintained for
eligible families. FSS Coordinators may also perform job development
functions for the FSS program.
II. Award Information
A. Available Funds. This NOFA announces the availability of
approximately $12,000,000 in FY 2007 to employ FSS program coordinators
for the PH FSS program. This amount includes $10,000,000 appropriated
in FY 2007 and $2,000,000 in rollover funds. If additional funding
becomes available during FY 2007, HUD may increase the amount available
for PH FSS program coordinators under this NOFA. A maximum of $65,500
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 grant. Funding amounts for individual grantees will be
contingent upon HUD field office approval.
B. Grant Term. The grant term is one year from the execution date
of the grant agreement.
C. Grant Extensions. Requests to extend the grant term beyond the
grant term must be submitted in writing 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 or area
ONAP for a period not to exceed 6months and may be granted for longer
by the HUD Headquarters Program Office at the request of the Field
Office or Area ONAP.
III. Eligibility Information
A. Eligible Applicants. Eligible applicants are PHAs and tribes/
TDHEs that administer low-rent public housing programs. New and renewal
applicants must have an approved PH FSS Action Plan on file with their
local HUD field office or Area ONAP prior to this NOFA's application
deadline. PHAs/tribes/TDHEs eligible to apply for funding under this
NOFA are:
1. Renewal Applicants. Those PHAs or Tribes/TDHEs that received
funding under the PH FSS NOFA in FY 2005 or 2006. To continue to
qualify as renewal applicants, the FY 2007 application of joint
applicants must include at least one applicant that meets this
standard. Joint applicants can change the lead applicant in their
FY2007 application. A grantee that was originally funded as part of a
joint application, that wishes to now apply separately will continue to
be considered a renewal applicant for funding purposes, but must be
able to meet the FSS minimum program size requirement of a HUD-approved
PH FSS program of at least 25 slots that applies to new applicants.
2. New Applicants. Applicants that were not funded under the PH FSS
NOFA in FY 2005 or FY 2006. The new applicant PHA or Tribe/TDHE must be
authorized through its HUD-approved FSS Action Plan to administer a PH
FSS program of at least 25 slots, or be an applicant with HUD approval
to administer PH FSS programs of fewer than 25 slots that applies
jointly with one or more other applicants so that together they have
HUD approval to administer at least 25 PH 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 a PH FSS program. When determining the size of a MTW
PHA's HUD-approved PH FSS program, the PHA may request that the number
of PH FSS slots reflected in the PHA's MTW agreement be used instead of
the number in the PHA's PH FSS Action Plan. However, this number must
be at least 25 in order to qualify as a new applicant.
4. Troubled Applicants
[[Page 11645]]
a. An applicant that has been designated by HUD as troubled under
the Public Housing Assessment System (PHAS), 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 applicant's Low Rent Public Housing
program that are resolved prior to the 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 applicant to administer
its PH FSS program in accordance with applicable HUD regulatory and
statutory requirements.
b. The requirements that apply to an applicant whose PHAS troubled
designation has not been removed by HUD or whose major program
management findings or other significant program compliance problems
that have not been resolved by the deadline date are stated in the
Program Requirements section of this NOFA.
B. Cost Sharing or Matching. None required.
C. Other
1. Eligible Activities. Funds awarded to applicants under this FSS
NOFA may only be used to pay salaries and fringe benefits of PH FSS
program staff. Funding may be used to employ or otherwise retain for
one year the services of PH FSS program coordinators. PH 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. Please note that
even with a part-time program coordinator, the 25-slot minimum must be
retained.
2. Theshold Requirements
a. All Applicants
(1) Each applicant must qualify as an eligible applicant under this
NOFA and must have submitted an FSS application in the format required
by this NOFA that was received and validated by Grants.gov by the
application deadline date. Validation may take up to 72 hours.
(2) All applications must include a Dun and Bradstreet Universal
Numbering System (DUNS) number. (See 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 the General Section for details.
(4) The applicant must have a financial management system that
meets federal standards. See 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. Continued funding for existing coordinator
positions. In addition to meeting the other requirements of this FSS
NOFA, renewal applicants must continue to operate a PH FSS program and
have executed FSS contract(s) of participation with PH FSS program
families.
c. New Applicants. New applicants must meet the all requirements of
this FSS NOFA including those in Section III.A above regarding
eligibility.
d. Troubled Applicants. Contract Administrator Partnership
Agreement. Applicants 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 on having a signed Partnership Agreement
included in the application. If an applicant that is required to have a
Contract Administrator Partnership Agreement fails to submit one or if
it is incomplete, incorrect, or insufficient, this will be treated as a
technical deficiency. See General Section for more information on
Corrections to Deficient Applications. The Contract Administrator must
ensure 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. Troubled applicants are not eligible to be contract
administrators. Grant writers who assist applicants to prepare their
FSS applications are ineligible to be Contract Administrators.
3. Program Requirements
a. Hiring a PH FSS Program Coordinator. Funds awarded under this
NOFA may only be used to employ or retain the services of a PH FSS
Program Coordinator for the one-year grant term. A PH FSS Program
Coordinator must:
(1) Work with the Program Coordinating Committee and with local
service providers to ensure that PH FSS 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
accomplished through case management. FSS coordinators may also perform
job development functions for the FSS program.
(3) Monitor the progress of program participants and evaluate the
overall success of the program.
b. 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/Tribe/TDHE office.
c. FSS Action Plan. The requirements for the PH FSS Action Plan are
stated in 24 CFR 984.201. For a new applicant to qualify for funding
under this NOFA, the PHA/Tribe/TDHE's initial PH FSS Action Plan or
amendment to change the number of PH FSS slots in the PHA/Tribe/TDHE's
previously HUD-approved PH FSS Action Plan, must be submitted to and
approved by the local HUD field office or Area ONAP prior to the
application due date of this PH FSS NOFA. An FSS Action Plan can be
updated by means of a simple one-page addendum that reflects the total
number of PH FSS slots (voluntary and/or mandatory slots) the applicant
intends to fill. New applicants with previously approved PH FSS Action
Plans may wish to confirm the number of HUD-approved slots their local
HUD field office has on record. An MTW PHA may request that the number
of PH FSS slots reflected in its MTW agreement be used instead of the
number of slots in the PHA's PH FSS Action Plan.
d. Eligible families. Current residents of public/Indian housing
are eligible. Eligible families that are currently enrolled or
participating in local public/Indian housing self-sufficiency programs
are also eligible.
e. 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 and be
individually designed to benefit the subject family.
f. Contract term. The contract with participating families shall be
for 5 years. During this time, each family will be required to fulfill
its contractual
[[Page 11646]]
obligations. PHAs or tribes/TDHEs may extend contracts for no more than
2 years for any family that requests an extension of its contract,
provided the PHA or tribe/TDHE finds 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.
g. 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 that are not low-income are
not entitled to an escrow/credit.
IV. Application and Submission Information
A. Addresses to Request Application Package. Applications are
available from http://www.grants.gov/applicants/apply--for--grants.jsp.
The Download Instructions and the Application Download provide the
information and forms that you need to apply for funding under this
NOFA. 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]. You may request
general information, from the NOFA Information Center (800-HUD-8929)
between the hours of 10 a.m. and 6:30 p.m. (eastern time) Monday
through Friday, except on federal holidays. 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.) 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.
B. Content and Format of Application Submission
1. Content of Application. In addition to any information required
in the General Section, each new and renewal applicant must complete
the forms on the list below. Copies of the forms may be downloaded with
the application package and instructions from http://www.grants.gov/applicants/apply--for--grants.jsp. You must use the forms that are
included with the 2007 application so as to avoid using outdated forms
that may be on HUDCLIPS or found from another source.
a. SF-424 Application for Federal Assistance--In completing the SF-
424, renewal applicants should select the continuation box on question
2, type of application. In section 18 of the SF-424, estimated funding,
complete only 18.a., which will be the amount requested from HUD in the
FY 2007 FSS application, and 18.g., Total.
b. SF-424 Supplement, Survey on Ensuring Equal Opportunity for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov)
c. SF-LLL Disclosure of Lobbying Activities (if applicable)
d. HUD-2880--Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov)
e. HUD-2991--Certification of Consistency with the Consolidated
Plan ( for PHA applicants)
f. HUD-52752--Certification of Consistency with Indian Housing Plan
(for Tribes/TDHE applicants)
g. Contract Administrator Partnership Agreement, required for
troubled PHA applicants (see HUD-52755)
h. HUD-96011 Facsimile Transmittal, even if not transmitting any
faxes (``HUD Facsimile Transmittal'' on Grants.gov)
i. HUD-52767 Family Self-Sufficiency Funding Request Form.
j. The HUD-2994-A--``You Are Our Client Applicant Survey'' is
optional.
k. In addition, the application must include a completed Logic
Model (form HUD 96010) showing proposed performance measures. See the
General Section for information on the Logic Model.
l. Code of Conduct per General Section instructions
m. Statement on Affirmatively Furthering Fair Housing per General
Section instructions.
2. Budget Forms. There are no budget forms required for this
application.
C. Submission Date and Time. Your completed application must be
received and validated by Grants.gov no later than 11:59:59 p.m.
eastern time on the application deadline date. Please note that
validation may take up to 72 hours. Applicants should carefully read
section IV titled ``APPLICATION and SUBMISSION INFORMATION'' in the
General Section regarding HUD's procedures pertinent to the submission
of your application.
D. Intergovernmental Review. Intergovernmental Review is not
applicable to this program.
E. Funding Restrictions
1. Salary Cap. Awards under this NOFA are subject to a cap of
$65,500 per year per full-time coordinator position funded. Under this
NOFA, if applicants apply jointly, the $65,500 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 applicant
separately.
2. Limitation on Renewal Funding Increases. For renewal coordinator
positions, applicants will be limited to a three 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
applicant's written justification and at least three comparables that
must be submitted to the field office by the applicant at the time they
submit their FY2007 PH FSS Program Coordinator application to HUD.
Examples of acceptable reasons for increases above 3 percent would be
the 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
applicant is eligible under this NOFA. If the funding increase is not
approved by the local field office or area ONAP, the applicant will be
eligible for renewal at the level of the most recent award.
3. Ineligible Activities
a. Funds under this NOFA may not be used to pay the salary of an
FSS coordinator for a Housing Choice Voucher (HCV) FSS program. A PH
FSS program coordinator may only serve Low-Rent Public Housing families
while the HCV FSS program serves only HCV families. The funding for HCV
FSS program coordinators is being made available through a separate
NOFA included in the FY 2007 Super NOFA.
b. Funds under this FSS NOFA may not be used to pay for services
for FSS program participants.
c. Funds under this FSS NOFA may not be used to pay for
administrative activities.
F. Other Submission Requirements. Electronic application submission
is mandatory unless an applicant requests, and is granted, a waiver to
the requirement. Applicants should submit waiver requests in writing
using mail. Waiver requests must be postmarked no later than 15 days
prior to the application deadline date and should be sent to Anice
Schervish, 451 7th Street, SW., Room 3236 Washington, DC 20410. If HUD
grants a waiver, the applicant will be notified of the application
submission requirements for paper copy applications. Paper copy
applications must be received by the appropriate HUD office no later
than the application deadline date to meet the deadline submission
requirements.
[[Page 11647]]
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 or area ONAP office and the Grants Management
Center to determine whether or not they are technically adequate based
on the NOFA requirements. Field offices or area ONAPs will provide to
the Grants Management Center (GMC) in a timely manner, as requested,
information needed by the GMC to make its determination, such as the
HUD-approved PH FSS program size of new applicants and information on
the administrative capabilities of applicants.
B. Reviews and Selection Process
1. 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:
a. Funding Category 1--Applications from eligible renewal
applicants designated ``high performer'' in their most recent PHAS
review and tribes/THDEs that have been determined eligible as a renewal
applicant (PHAS score requirement is not applicable to tribes/THDEs)
will be funded for continuation of previously funded eligible
positions.
b. Funding Category 2--Eligible renewal applicants designated
standard performers on the most recent PHAS review will be funded for
continuation of previously funded eligible positions.
c. Funding Category 3--Eligible renewal applicants designated
troubled performers on the most recent PHAS review will be funded for
continuation of previously funded eligible positions.
d. Funding Category 4--Applications from eligible new applicants
agreeing to implement an FSS program of at least 25 slots.
2. Order of Funding.
a. Funding Category 1.--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 calculate, for each eligible applicant, the
applicant's Positive Escrow Percentage and Graduation Percentage and
will use these percentages in making funding decisions. Definitions of
the FSS Positive Escrow Percentage and Graduation Percentage are
included in the Definitions Section (Section I.C.) of this NOFA.
HUD will begin funding eligible Funding Category 1 applicants
starting with the 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 fund eligible
applicants in order starting with those that have the highest
Graduation Percentage first. If funding is not sufficient to fund all
applicants with the same FSS Positive Escrow Percentage and/or
Graduation Percentage, HUD will select among eligible applicants by PH
FSS program size (number of approved slots) starting with eligible
applicants with the largest PH FSS 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. If there are not enough funds to fund all of
Funding Category 2, HUD will use same criteria as above for Funding
Category 1.
c. Funding Category 3.--If funding remains after funding all
Funding Category 2 applications, HUD will then process eligible Funding
Category 3 applications. If there are not enough funds to fund all of
Funding Category 2, HUD will use the same criteria as above for Funding
Category.
d. Funding Category 4.--If funding remains after funding all
Funding Category 1, 2, and 3 applications, HUD will then process
requests of eligible Funding Category 4 applicants. If there are not
sufficient monies to fund all eligible positions requested, HUD will
begin funding positions starting with applicants with the largest PH
FSS program size (number of approved slots) first.
3. 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.
4. Corrections to Deficient Applications. The General Section of
the SuperNOFA provides the procedures for corrections to deficient
applications.
5. Unacceptable Applications. After the technical deficiency
correction period (as provided in the General Section), the GMC will
disapprove applications that it determines are not acceptable for
processing. Applications from applicants 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
applicant as defined under this PH FSS NOFA or an application that does
not comply with the requirements of Section IV.B., IV.C. and IV.F. of
this NOFA.
b. An application from an applicant that does not meet the fair
housing and civil rights threshold requirements of the General Section
of the SuperNOFA.
c. An application from an applicant that does not comply with the
prohibition against lobbying activities of this NOFA.
d. An application from an applicant that has been debarred or
otherwise disqualified from providing assistance under the program.
e. An application that did not meet the application deadline date
and timely receipt requirements as specified in this NOFA and the
General Section.
f. Applications will not be funded that do not meet the threshold
requirements identified in this NOFA and the General Section.
VI. Award Administration Information
A. Award Notices. Successful applicants will receive an award
letter from HUD. Successful applicants 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. Administrative and National Policy Requirements
1. Environmental Impact. Under 24 CFR 50.19(b)(4) and (12),
activities under this NOFA 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.
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). Section 3 requirements do not apply to this program.
4. Fair Housing and Civil Rights Laws. Please see the General
Section for more information.
[[Page 11648]]
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
Draft LEP Recipient Guidance (68 FR 70968).
6. Communications. Successful applicants should ensure that notices
of and communications during all training sessions and meetings shall
be provided in a manner that is effective for persons with hearing,
visual, and other communication-related disabilities consistent with
Section 504 of the Rehabilitation Act of 1973. See 24 CFR Section 8.6.
7. 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
helping HUD-assisted renters make progress toward self-sufficiency by
giving funding preference to PHA/Tribes/TDHEs whose FSS programs show
success in moving families to economic self-sufficiency. You can find
out about HUD's Strategic Framework and Annual Performance Plan at
http://www.hud.gov/offices/cfo/reports/cforept.cfm3.
8. HUD Policy Priorities. This NOFA supports the HUD policy
priority of helping HUD-assisted renters make progress toward self-
sufficiency. In this NOFA, funding priority is given to those
applicants that demonstrate that their FSS families have increased
their earned income since enrolling in FSS. 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 or as
otherwise agreed for MTW PHAs. HUD's assessment of the accomplishments
of the FSS programs of grantees funded under this NOFA may be based in
part on Public Housing Information Center (PIC) system data obtained
from the Form HUD-50058. MTW PHAs that do not report to HUD on 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 Form HUD-50058. A grantee is also required to submit a
completed Logic Model (HUD-96010) showing accomplishments against
proposed outputs and outcomes as part of their annual reporting
requirement to HUD. Grantees shall use quantifiable data to measure
performance against goals and objectives outlined in their Logic Model.
Semi-annual Performance Reports consisting of the updated Logic Model
are due in the field office on July 30 and January 31 of each year. For
FY 2007, HUD is considering a new concept for the Logic Model. The new
concept is a Return on Investment statement. HUD will be publishing a
separate notice on the ROI concept. 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. Form 50058 used in concurrence with the PIC Data system
is a comparable form. Applicants that receive awards from HUD should be
prepared to report on additional measures that HUD may designate at the
time of award.
D. Debriefings. 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 that announcement, 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.
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.
Prior to the application deadline, staff at the number given above will
be available to provide general guidance, but not guidance with
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. Persons with hearing or speech impairments may use the
Grants.gov helpdesk e-mail.
B. Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the PH 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. Code of Conduct. Please 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 consider the amount of un-
funded qualified applications in deciding to which program the extra
funds will be transferred.
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 40 hours per respondent for the
application. This includes the time for collecting, reviewing, and
reporting the data for the application. 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.
[[Page 11649]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.021
[[Page 11650]]
Self-Help Homeownership Opportunity Program (SHOP)
Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Community Planning and Development.
B. Funding Opportunity Title: Self-Help Homeownership Opportunity
Program (SHOP).
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: FR-5100-N-06; OMB Approval Number
2506-0157.
E. Catalog of Federal Domestic Assistance (CFDA) Number: Self-Help
Homeownership Opportunity Program. The CFDA number is 14.247.
F. Dates: The application deadline date for electronic submission
and validation in Grants.gov is June 13, 2007. Applications submitted
through http://www.grants.gov must be received and validated by
grants.gov no later than 11:59:59 Eastern time on the application
deadline date. The validation process may take up to 72 hours.
G. Optional, Additional Overview Information:
SHOP funds are awarded to national and regional nonprofit
organizations and consortia demonstrating experience in administering
self-help housing programs in which the homebuyers contribute a
significant amount of sweat-equity toward construction or
rehabilitation of the dwelling. The amount available for SHOP in Fiscal
Year (FY) 2007 is approximately $19,800,000.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description
SHOP funds are to be used to facilitate and encourage innovative
homeownership opportunities on a national geographically diverse basis
through self-help housing programs that require significant sweat-
equity by the homebuyer toward the construction or rehabilitation of
the dwelling.
SHOP programs are administered by national and regional nonprofit
organizations and consortia. Units developed with SHOP funds must be
decent, safe, and sanitary non-luxury dwellings and must be made
available to eligible homebuyers at prices below the prevailing market
prices. Eligible homebuyers are low-income individuals and families
(i.e., those whose annual incomes do not exceed 80 percent of the
median income for the area, as established by HUD) who would otherwise
be unable to purchase a dwelling but for the provision of sweat equity.
Housing assisted under this Notice of Funding Availability (NOFA) must
involve labor contributed by homebuyers and volunteers in the
construction of dwellings and other activities that involve the
community in the project.
B. Authority
Funding made available under SHOP is authorized by Section 11 of
the Housing Opportunity Program Extension Act of 1996 (42 U.S.C. 12805
note) (the ``Extension Act'').
II. Award Information
Approximately $19,800,000 will be available for this program in
FY2007. Any unobligated funds from previous competitions or additional
funds that may become available due to deobligation or recapture from
previous awards or budget transfers may be added to the FY2007
appropriation to fund applications submitted in response to this NOFA.
Awards will be made to successful applicants in the form of a grant.
Grant funds must be expended within 24 months of the date that they are
first made available for draw-down in a line of credit established by
HUD for the grantee, except that grant funds provided to affiliates
that develop five or more units must be expended within 36 months.
III. Eligibility Information
A. Eligible Applicants
You must be a national or regional nonprofit public or private
organization or consortium that has the capacity and experience to
provide or facilitate self-help housing homeownership opportunities.
Your organization or consortium must undertake eligible SHOP activities
directly and/or provide funding assistance to your local affiliates to
carry out SHOP activities. You must propose in your application to use
a significant amount of SHOP funds in at least two states. Affiliates
must be located within the regional organization's or consortium's
service area.
A national organization is defined as an organization that carries
out self-help housing activities or funds affiliates that carry out
self-help housing activities on a national scale. A regional
organization is defined as an organization that carries out self-help
housing activities or funds affiliates that carry out self-help housing
activities on a regional scale. A regional area is a geographic area,
such as the Southwest or Northeast that includes at least two states.
The states in the region need not be contiguous, and the service area
of the organization need not precisely conform to state boundaries.
A consortium is defined as two or more nonprofit organizations
located in at least two states that individually have the capacity and
experience to carry out self-help housing activities or fund affiliates
that carry out self-help housing activities on a national or regional
scale and enter into an agreement to submit a single application for
SHOP funding on a national or regional basis. The consortium must
propose to use a significant amount of SHOP funds in each state
represented in the consortium. All consortium members must receive SHOP
funds and one organization must be designated as the lead entity. The
lead entity must submit the application and, if selected for funding,
execute the SHOP Grant Agreement with HUD and assume responsibility for
the grant on behalf of the consortium in compliance with all program
requirements.
A consortium agreement, executed and dated by all consortium
members for the purpose of applying for and using FY2007 SHOP funds,
must be submitted with your application. A consortium's application
must be a single integrated document that demonstrates the consortium's
comprehensive approach to self-help housing. All consortium members
must be identified in your application. The integrated application must
reflect all consortium members' programs as a single program and may
only briefly summarize the individual consortium members' past
experiences in factor 1. All other components of the application must
reflect an overall consortium program design. Individual program
designs for consortium members or affiliates within the integrated
document will not be considered by HUD in scoring an application. Upon
being funded, the lead entity must enter into a separate agreement with
each consortium member. The agreement must include the requirements of
the FY2007 SHOP Grant Agreement between HUD and the consortium and set
forth the individual consortium member's responsibilities for
compliance with HUD's 2007 SHOP program.
An affiliate is defined as:
(1) a local public or private nonprofit self-help housing
organization that is a subordinate organization (i.e., chapter, local,
post, or unit) of a central organization and covered by the group
exemption letter issued to the central organization under Section
501(c)(3) of the Internal Revenue Code; or
[[Page 11651]]
(2) a local public or private nonprofit self-help housing
organization with which the applicant has an existing relationship
(e.g., the applicant has provided technical assistance or funding to
the local self-help housing organization); or
(3) a local public or private nonprofit self-help housing
organization with which the applicant does not have an existing
relationship, but to which the applicant will provide necessary
technical assistance and mentoring as part of funding under the
application.
You must carry out eligible activities or you must enter into an
agreement to fund affiliates to carry out eligible activities. If you
are a consortium, each of your affiliates must receive funds and be
linked to an individual consortium member.
Your application may not propose to fund any affiliate or
consortium member that is also included in another SHOP application.
You must ensure that any affiliate or consortium member under your
FY2007 application is not also seeking FY2007 SHOP funding from another
SHOP applicant. If an affiliate applies for funds through more than one
applicant, it may be disqualified for any funding.
B. Cost Sharing or Matching
Applicants are required to leverage resources for the construction
of self-help housing assisted with SHOP. Failure to provide
documentation of leveraged resources that meet the submission
requirements for firm commitments as stated in factor 4 will result in
a lower application score.
C. Other
1. Eligible Activities
The costs of eligible activities may be incurred by the applicant
(and by affiliates, if permitted by the applicant) after the
publication date of the NOFA and charged to the SHOP grant, provided
that the applicant and affiliates comply with the requirements of this
NOFA (including relocation and environmental review requirements) and
provided that these costs are included in the application. Applicants
and affiliates incur costs at their own risk, because applicants that
do not receive a SHOP grant cannot be reimbursed or reimburse
affiliates.
Eligible activities are:
a. Land acquisition, including financing and closing costs, which
may include reimbursing an organization, consortium, or affiliate, upon
approval of any required environmental review, for non-grant amounts
expended by the organization, consortium, or affiliate to acquire land
before completion of the review;
b. Infrastructure improvements, including installing, extending,
constructing, rehabilitating, or otherwise improving utilities and
other infrastructure, including removal of environmental hazards; and
c. Administration, planning, and management development, including
the costs of general management, oversight, and coordination of the
SHOP grant; staff and overhead costs of the SHOP grant; costs of
providing information to the public about the SHOP grant; costs of
providing civil rights and fair housing training to local affiliates as
well as any expenses involved in affirmatively furthering fair housing;
and indirect costs (such as rent and utilities) of the grantee or
affiliate in carrying out the SHOP activities.
2. Threshold Requirements
HUD will not consider an application from an ineligible applicant.
An applicant must meet all of the applicable threshold requirements
listed in the General Section published on January 18, 2007, and the
SHOP threshold requirements described below:
a. Organization and Eligibility. You must be eligible to apply
under SHOP (see Section III.A.).
b. Nonprofit Status. You must describe how you qualify as an
eligible applicant and provide evidence of your public or private
nonprofit status, such as a current Internal Revenue Service (IRS)
ruling that your organization is exempt from taxation under Section
501(c)(3) or 501(c)(4) of the Internal Revenue Code of 1986. If you are
a consortium, each consortium member must submit evidence of its
nonprofit status to the lead entity for inclusion in the consortium's
application package.
c. Consortium Agreement. If you are a consortium, each consortium
member must enter into and sign a consortium agreement for the purpose
of applying for SHOP funds and carrying out SHOP activities. Your
consortium agreement must be submitted as an appendix to your
application.
d. Amount. The amount of SHOP funds you request must be sufficient
to complete a minimum of 30 self-help housing units and may not exceed
an average investment of $15,000 per unit.
e. Homebuyer Eligibility. Eligible homebuyers are low-income
individuals and families (i.e., those whose incomes do not exceed 80
percent of the median income for the area, as established by HUD). You
must specify the definition of ``annual income'' to be used in your
proposed program. You may use one of the following three definitions of
``annual income'' to determine whether a homebuyer is income-eligible
under SHOP:
(1) ``Annual income'' as defined at 24 CFR 5.609; or
(2) ``Annual income'' as reported under the Census long-form for
the most recent available decennial Census; or
(3) ``Adjusted gross income'' as defined for purposes of reporting
under the IRS Form 1040 series for individual federal annual income tax
purposes.
You may also adopt or develop your own definition of annual income
for use in determining income eligibility under SHOP subject to review
and approval by HUD. You must include your definition of ``annual
income'' in your Program Summary.
f. Experience. You must demonstrate successful completion of at
least 30 self-help homeownership units in a national or regional area
within the 24-month period immediately preceding the publication of
this NOFA. For dwellings to qualify as self-help homeownership units,
the homebuyers must have contributed a significant amount of sweat-
equity toward the construction as set forth in this section.
g. Sweat Equity. Your program must require homebuyers to contribute
a minimum of 100 hours of sweat equity toward the construction or
rehabilitation of their own homes and/or the homes of other homebuyers
participating in the self-help housing program. In the case of a
household with only one adult, the requirement is 50 hours of sweat
equity toward the construction of these homes. Sweat equity includes
training for construction on the dwelling units, but excludes homebuyer
counseling and home maintenance training. All homebuyers, including
homebuyers with disabilities, must meet these minimum hourly sweat
equity requirements; however, grantees must permit reasonable
accommodations for persons with disabilities in order for them to meet
the hourly requirements. For example, homebuyers with disabilities may
work on less physical tasks or administrative tasks to meet this
requirement, or a volunteer(s) may enter into an agreement to
substitute for the disabled person. No exception to meeting these
hourly sweat equity requirements may be made.
h. Community Participation. Your program must involve community
participation in which volunteers assist in the construction or
rehabilitation of dwellings. Volunteer labor is work performed by an
individual without promise, expectation, or compensation for the work
rendered. For mutual self-
[[Page 11652]]
help housing programs that are assisted by the U.S. Department of
Agriculture's Rural Housing Services/Rural Development under Section
523 of the Housing Act of 1949 (7 CFR part 1944, subpart I) or which
have a program design similar to the Section 523 program, the work by
each participating family on other participating families' homes may
count as volunteer labor. A mutual self-help housing program generally
involves four to ten participating families organized in a group to use
their own labor to reduce the total construction cost of their homes
and complete construction work on their homes by an exchange of labor
with one another.
i. Eligible Activities. You must use the SHOP funds for eligible
activities (see Sections III.C.1 and IV.E.) and carry out the
activities yourself or fund affiliates to carry out the activities.
3. Threshold Submission Requirements.
In order for your application to be rated and ranked, all threshold
requirements must be met. Threshold requirements 2(d) through (i) above
do not require separate submissions, but must be addressed in the
program summary and/or in the submission requirements for the rating
factors listed below in Section V, Application Review Information
Criteria.
4. Other Requirements.
Other requirements applicable to the SHOP program are set forth in
Section III.C.4, ``Additional Nondiscrimination and Other
Requirements'' of the General Section. The following requirements also
apply to SHOP:
a. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). SHOP recipients must comply with Section 3 of the Housing
and Urban Development Act of 1968 (Section 3), 12 U.S.C. 170lu
(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 requirement of 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 to business
concerns that provide economic opportunities to low- and very-low
income persons.
b. Real Property Acquisition and Relocation. SHOP projects are
subject to the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended (Uniform Act or URA) (42
U.S.C. 4601), and the government-wide implementing regulations issued
by the U.S. Department of Transportation at 49 CFR Part 24. The URA is
a federal law that establishes minimum standards for federally-funded
programs and projects that require the acquisition of real property
(real estate) or displace persons from their homes, businesses, or
farms. The URA's protections and assistance apply to the acquisition,
rehabilitation, or demolition of real property for federal or federally
funded projects.
SHOP grantees and affiliates must comply with all applicable URA
requirements in order to receive SHOP funds for their programs and
projects; non-compliance could jeopardize SHOP funding. Real property
acquisitions for a SHOP-assisted program or project conducted before
completion of an environmental review and HUD's approval of a request
for release of funds and environmental certification are also subject
to the URA. SHOP grantees and affiliates must ensure that all such real
property acquisitions comply with applicable URA requirements.
Generally, real property acquisitions conducted without the threat
or use of eminent domain, commonly referred to as ``voluntary
acquisitions,'' must satisfy the applicable requirements and criteria
of 49 CFR 24.101(b)(1) through (5). Evidence of compliance with these
requirements must be maintained by the affiliate and submitted to and
maintained by the SHOP grantee. It is also important to note that
tenants who occupy property that may be acquired through voluntary
means must be fully informed of their eligibility for relocation
assistance. This includes notifying such tenants of their potential
eligibility when negotiations are initiated, notifying them if they
become fully eligible, and, in the event the purchase of the property
will not occur, notifying them that they are no longer eligible for
relocation benefits. Evidence of compliance with these requirements
must be maintained by the affiliate and submitted to and maintained by
the SHOP grantee.
Additional information and resources pertaining to real property
acquisition and relocation for HUD-funded programs and projects are
available on HUD's Real Estate Acquisition and Relocation Web site at
http://www.hud.gov/relocation. You will find applicable laws and
regulations, policy and guidance, publications, training resources, and
a listing of HUD contacts if you have questions or need assistance.
c. Environmental Requirements. The environmental review
requirements for SHOP supersede the environmental requirements in the
General Section. All SHOP assistance is subject to the National
Environmental Policy Act of 1969 and related federal environmental
authorities and regulations at 24 CFR part 58. SHOP grant applicants
are cautioned that no activity or project may be undertaken, or federal
or non-federal funds or assistance committed, if the project or
activity would limit reasonable choices or could produce an adverse
environmental impact, until all required environmental reviews and
notifications have been completed by a unit of general local
government, tribe, or State, and until HUD approves a recipient's
request for release of funds under the environmental provisions
contained in 24 CFR part 58. Notwithstanding the preceding sentence, in
accordance with section 11(d)(2)(A) of the Housing Opportunity
Extension Act of l996 and HUD Notice CPD-01-09, an organization,
consortium, or affiliate may advance non-grant funds to acquire land
before completion of an environmental review and HUD's approval of a
request for release of funds and environmental certification. Any
advances to acquire land prior to such approval are made at the risk of
the organization, consortium, or affiliate, and reimbursement from SHOP
funds for such advances will depend on the result of the environmental
review.
d. Statutory and Program Requirements. SHOP is governed by Section
11 of the Housing Opportunity Program Extension Act of 1996 (42 U.S.C.
12805 note) (the Extension Act), and this NOFA. There are no program
regulations. You must comply with all statutory requirements applicable
to SHOP as cited in Section I, Funding Opportunity Description, and the
program requirements cited in this NOFA. Pursuant to these
requirements, you must:
(1) Develop, through significant amounts of sweat-equity by each
homebuyer and volunteer labor, at least 30 dwelling units at an average
cost of no more than $15,000 per unit of SHOP funds for land
acquisition and infrastructure improvements;
(2) Use your grant to leverage other sources of funding, including
private or other public funds, to complete construction or
rehabilitation of the housing units;
(3) Develop quality dwellings that comply with local building and
safety codes and standards that will be made available to homebuyers at
prices below the prevailing market price;
(4) Schedule SHOP activities to expend all grant funds awarded and
substantially fulfill your obligations
[[Page 11653]]
under your grant agreement, including timely development of the
appropriate number of dwelling units. Grant funds must be expended
within 24 months of the date that they are first made available for
draw-down in a line of credit established by HUD for the grantee,
except that grant funds provided to affiliates that develop five or
more units must be expended within 36 months; and
(5) Not require a homebuyer to make an up-front financial
contribution to a housing unit other than cash contributed for down
payment or closing costs at the time of acquisition.
IV. Application and Submission Information
A. Address To Request Application Package
This NOFA contains all the information necessary for national and
regional nonprofit organizations and consortia to submit an application
for SHOP funding. This section describes how you may obtain application
forms and additional information about the SHOP program NOFA. Copies of
the published SHOP NOFA and related application forms for this NOFA may
be downloaded from the grants.gov Web site at http://www.grants.gov/applicants/apply--for--grants.jsp. If you have difficulty accessing the
information, you may receive customer support from Grants.gov by
calling its help desk at (800) 518-GRANTS or by sending an e-mail to
[email protected]. If you do not have Internet access and you need to
obtain a copy of this NOFA, you may contact HUD's NOFA Information
Center toll-free at (800) HUD-8929. Individuals with hearing or speech
impairments may access this number via the toll-free Federal
Information Relay Service at 800-877-8339.
1. Application Kit. There is no application kit for this program.
All the information you need to apply is contained in this NOFA and is
available at http://www.grants.gov/applicants/apply--for--grants.jsp.
The NOFA forms are available to be downloaded from http://www.grants.gov/applicants/apply--for--grants.jsp. Pay attention to the
submission requirements and format for submission specified for this
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. Be sure to review your application submission against the
requirements in the Federal Register for this NOFA.
2. Guidebook and Further Information. See the General Section.
B. Content and Form of Application Submission
You must meet all application and submission requirements described
in the General Section. Your application should consist of the items
listed in the section below called Assembly Format and Content. HUD's
standard forms can be found in the application located on Grants.gov.
1. Page Limits. There are page limits for responses to the five
rating factors. A national or regional organization is limited to 40
pages of narrative to respond to the five rating factors. A consortium
is permitted up to 5 additional pages to address the past experiences
of its individual consortium members. Required appendices, forms,
certifications, statements, and assurances are not subject to the page
limitations. All pages must be numbered sequentially 1 through 40 or
45, for factors 1 through 5. Your application may contain only the
items listed in the Assembly Format and Content checklist below. In
responding to the five factors, information must be included in your
narrative response to each factor, unless this NOFA states that it
should be included as an appendix. If you are submitting material using
the fax method described in the General Section, the narrative should
refer to the documents being faxed as part of your narrative response
to the factor. Any supplemental information not required in the program
summary, narratives or appendices requested by HUD that further
explains information required in the five factors will not be reviewed
for consideration in the scoring of the application.
2. Assembly Format and Content. Your FY2007 application will be
composed of an Application Overview, Narrative Statements (rating
factors), Forms, and Appendices. In order to receive full consideration
for funding, you should use the following checklist to ensure that all
requirements are addressed and submitted with your electronic
application.
a. Application Overview (Not subject to the page limitations)
------SF-424, Application for Federal Assistance (signed by the
Authorized Organization Representative (AOR) who is legally authorized
to submit the application on behalf of the applicant and has been
approved by the eBusiness Point of Contact to submit the application
via Grants.gov. (See the General Section.)
------SF-424 Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424-SUPP)'' on Grants.gov).
------Self-Help Housing Organization Qualification--Narrative
describing qualification as an eligible applicant and Evidence of
Nonprofit Tax Exempt Status (in accordance with Section III.C. of this
NOFA).
------Consortium Agreement, if applicable.
------Program Summary (including definition of ``annual income'').
b. Narrative Statements Addressing: (Subject to the page
limitations described above.)
------Factor 1--Capacity of the Applicant and Relevant Organizational
Staff (including organizational chart).
------Factor 2--Need/Extent of the Problem (limited to five pages).
------Factor 3--Soundness of Approach.
------Factor 4--Leveraging Resources.
------Factor 5--Achieving Results and Program Evaluation.
c. Forms, Certifications, and Assurances: (Not subject to the page
limitations.)
------HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed
Budget Form'' on Grants.gov).
------HUD-424-CBW, Grant Application Detailed Budget Worksheet.
------SF-LLL, Disclosure of Lobbying Activities, as applicable.
------HUD-2880, Applicant/Recipient Disclosure/Update Report. (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov).
------HUD-2990, Certification of Consistency with the RC/EZ/EC-II
Strategic Plan.
------HUD-96011, Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov) required for electronic
submissions of third party documents.
------HUD-2994-A, You Are Our Client Grant Applicant Survey (optional)
------HUD-96010, Program Outcome Logic Model.
d. Appendices (Not subject to the page limitations.)
------A copy of your code of conduct (see the General Section).
------Leveraging documentation--firm commitment letters (see factor 4).
------Survey of potential affiliates, if applicable (see factor 2).
------Demonstration of past performance for new applicants (see factor
5).
[[Page 11654]]
------HUD-27300, Questionnaire for HUD's Initiative on Removal of
Regulatory Barriers (``HUD Communities Initiative Form'' on
Grants.gov), if applicable. (See factor 3.)
------Evaluative criteria for Removal of Regulatory Barriers to
Affordable Housing in affiliate selection process, if applicable (see
factor 3).
Other information should not be submitted and will not be
considered in scoring the application.
e. Certifications and Assurances. Applicants are placed on notice
that by signing the SF-424 cover page noted above in 2.a., Application
Overview, the applicant is certifying to all information described in
Section IV.F of the General Section.
C. Submission Date and Time
The electronic application must be received and validated no later
than 11:59:59 p.m. Eastern time by Grants.gov on the application
deadline date, which is June 13, 2007. The validation process may take
up to 72 hours. If an applicant is granted a waiver to the electronic
application submission requirement, the application must be received at
HUD Headquarters by the application deadline date, which is June 13,
2007 (see General Section).
D. Intergovernmental Review
Executive Order 12372 review does not apply to SHOP.
E. Funding Restrictions
1. Administrative costs. Administrative costs may not exceed 20
percent of any SHOP grant. Indirect costs may only be charged to the
SHOP grant under a cost allocation plan prepared in accordance with OMB
Circular A-122.
2. Pre-agreement costs. After the publication date of the NOFA, but
before the effective date of the SHOP Grant Agreement, an applicant and
affiliates, if permitted by the applicant, may incur costs that may be
charged to their SHOP grant, provided the costs are eligible (see
Section III.C.1.) and in compliance with the requirements of this NOFA
(including relocation and environmental review requirements) and the
application. Applicants and affiliates incur costs at their own risk,
because applicants that do not receive a SHOP grant cannot be
reimbursed or reimburse affiliates. To be eligible for reimbursement
with SHOP funds, pre-agreement costs must be identified in the
application.
3. Ineligible Costs. Costs associated with the rehabilitation,
improvement, or construction of dwellings and any other costs not
identified in Section III.C.1. are not eligible uses of SHOP funds.
Acquiring land for land banking purposes (i.e., holding land for an
indefinite period) is an ineligible use of program funds. Acquisition
undertaken by the applicant or its affiliate before the publication
date of the NOFA is not an eligible cost. SHOP funds may not be
expended on a property unless its acquisition by the grantee, (includes
individual consortium members), or its affiliates complies with the
Uniform Relocation Assistance and Real Property Acquisition Policies
Act of 1970 (URA). SHOP funds may not be used for lobbying activities.
These requirements also apply to the reimbursement of pre-agreement
costs (see Section IV.E.2).
F. Other Submission Requirements
You must meet all submission requirements described in the General
Section. Refer to the General Section for detailed submission
instructions, including methods and deadlines for submission.
1. No Facsimiles or Videos. HUD will not accept an entire
application sent by facsimile (fax). However, third-party documents or
other materials sent by facsimile in compliance with the submission
requirements and received by the application submission date will be
accepted. Facsimile corrections to technical deficiencies will not be
accepted. Videos submitted as part of an application will not be
viewed.
2. Applications must be received and validated by Grants.gov by the
application deadline date.
3. Waivers to the Electronic Submission Process: Applicants may
request a waiver of the electronic submission process for good cause
(see the General Section for more information). Applicants may submit
waiver requests by facsimile or by e-mail no later than 15 days prior
to the June 13, 2007, application due date. Applicants may e-mail their
requests to [email protected] or send a facsimile to Lou
Thompson at (202) 708-1744. Requests should include a subject line
titled ``SHOP--Electronic Application Waiver Request.'' Applicants who
are granted a waiver based on a HUD-approved justification must submit
their applications in accordance with the requirements stated in the
approval to the waiver request.
V. Application Review Information
A. Criteria
Rating Factor l: Capacity of the Applicant and Relevant Organizational
Staff (25 Points)
This factor examines the extent to which you, as a single applicant
or consortium (including individual consortium members), have the
experience and organizational resources necessary to carry out the
proposed activities effectively and in a timely manner. Any applicant
that does not receive at least 15 points under this factor will not be
eligible for funding.
In evaluating this factor, HUD will consider your recent (last five
years) and relevant experience in carrying out the activities you
propose (including experience in developing accessible/visitable
housing), and your administrative and fiscal management capability to
administer the grant, including the ability to account for funds
appropriately. All applicants, including individual consortium members,
must have capacity and experience in administering or facilitating
self-help housing. If you are sponsoring affiliate organizations that
do not have experience in developing self-help housing, HUD will assess
your organization's experience in providing technical assistance and
the ability to mentor new affiliates.
Submission Requirements for Rating Factor 1
a. Past Experience (10 points). You must describe the past
experience (most recent five years) of your organization in carrying
out self-help housing activities (specify the time frame during which
these activities occurred) that are the same as, or similar to, the
activities you propose for funding, and demonstrate that you have had
reasonable success in carrying out and completing those activities. You
must include the average number of sweat equity hours provided per
homebuyer family, and the average number of volunteer labor hours
provided per unit. You may demonstrate reasonable success by showing
that your previous activities were carried out as proposed, consistent
with the time frame you proposed for completion of all work.
b. Management Structure (12 points). You must provide a description
of your organization's or consortium's management structure, including
an organizational chart that identifies all key management positions
and the names and positions of staff managing SHOP. You must also
describe your key staff and their specific roles and responsibilities
for the day-to-day management of your proposed program to be funded
from FY2007 SHOP funds. You must indicate if you will or will not be
working with organizations that are inexperienced in carrying out self-
help housing and describe the technical assistance you will provide
them and how you will mentor these
[[Page 11655]]
organizations to develop capacity either directly or indirectly
resulting in development of FY2007 SHOP-assisted units.
c. Experience Developing Accessible Housing (3 points). You must
demonstrate your experience in and ability to construct and alter self-
help housing by describing the kinds of features you have used to
design homes in accordance with universal design and visitability
standards, or to otherwise make homes physically accessible. You must
provide yearly data for the last five years on the number of accessible
units completed.
Rating Factor 2: Need/Extent of the Problem (10 Points)
This factor examines the extent to which you demonstrate an urgent
need for SHOP funds in your proposed target areas based on the need for
affordable housing, using quality data identified by sources to
substantiate that need.
The purpose of this factor is to make sure that funding is provided
where a need for funding exists. You must identify the community need
or needs that your proposed SHOP activities are designed to address. If
you plan to select some or all affiliates after application submission,
you must demonstrate how the selection of affiliates will help to
address the needs identified in the proposed target areas.
Submission Requirements for Rating Factor 2 (Five Page Limit)
Extent of Need for Affordable Housing (10 points). You must
establish the need for affordable housing and the specific need for
SHOP funds in the communities or areas in which your proposed
activities will be carried out. You must specifically address the need
for acquisition and/or infrastructure assistance for self-help housing
activities in these identified areas and how your proposed SHOP
activities meet these needs. Also, to the extent information is
available, you must address the need for accessible homes in the target
area(s); evidence of housing discrimination in the target area(s); and
any need for housing shown in the local Analysis of Impediments to Fair
Housing Choice, if appropriate. This information must be tied to the
examples of housing problems that are noted in b. below. Applicants
that select affiliates after application submission must submit a list
of affiliates they surveyed and upon which they are basing their need
for SHOP funding, and the specific criteria to be used to select
communities or projects based on need.
In reviewing applications, HUD will consider the extent, quality,
and validity of the information and data submitted that addresses the
need for affordable housing in the target area and how recent the data
sources are. ``Recent'' means the most recent updated U.S. Census data,
as appropriate, and other information and data issued within the last
five years of this NOFA that address indicators of social or economic
decline that best capture the applicant's situation. Such information
must include:
a. Housing market data in the proposed target areas including, but
not limited to: low-income, minority, and disability populations;
number of home sales and median sales price; and homeownership, rental,
and vacancy rates. This information can be obtained from state or
regional housing plans, the American Housing Survey, the United States
Census, Home Mortgage Disclosure Act data or other local data sources,
such as Consolidated Plans, comprehensive plans, local tax assessor
databases, or relevant realtor information. Data included in your
application must be recent and specific to your proposed target areas;
and
b. Housing problems in the proposed target areas such as
overcrowding, cost burden, housing age or deterioration, low
homeownership rate (especially among minority families, families with
children, and families with members with disabilities), and lack of
adequate infrastructure or utilities.
Rating Factor 3: Soundness of Approach (45 Points)
This factor examines the quality and soundness of your plan to
carry out a self-help housing program. In evaluating this factor, HUD
will consider the areas described below:
a. Your proposed use of SHOP funds, including the number of units
and the type(s) of housing to be constructed, and the use of sweat
equity and volunteer labor; your schedule for expending funds and
completing construction, including interim milestones; the proposed
budget and cost effectiveness of your program; your plan to reach all
potentially eligible homebuyers, including those with disabilities and
others least likely to apply; and your procedures for meeting section 3
requirements.
b. How your planned activities further five of eight HUD policy
priorities described in the General Section. The five policy priorities
that apply specifically to SHOP in FY2007 are:
(1) Providing increased homeownership opportunities for low- and
moderate-income persons, persons with disabilities, the elderly,
minorities, and families with limited English proficiency;
(2) Encouraging accessible design features: visitability in new
construction and substantial rehabilitation and universal design;
(3) Providing full and equal access to grassroots, faith-based, and
other community-based organizations in HUD program implementation;
(4) Participation in Energy Star; and
(5) Removal of regulatory barriers to affordable housing.
c. How you plan to meet section 3 requirements for jobs and
training and contracting opportunities for SHOP-funded infrastructure
improvements.
Submission Requirements for Rating Factor 3
Activities. Describe the types of activities that you propose to
fund with SHOP and the proposed number of units to be assisted with
SHOP funding, the housing type(s) (single family or multifamily, or
both) to be assisted and the form of ownership (fee simple,
condominium, cooperative, etc.) you propose to use.
a. Sweat Equity and Volunteer Labor (7 points). Describe your
program's requirements for sweat equity and volunteer labor (i.e.,
types of tasks and numbers of hours required for both sweat equity and
volunteer labor) and how you will provide reasonable accommodations for
persons with disabilities by identifying sweat equity assignments that
can be performed by the homebuyer regardless of the disability, such as
providing administrative, clerical, organizational, or other office
work or minor tasks on-site. Reasonable accommodation can include sweat
equity by the homebuyer that can be performed regardless of the
disability or substitution of a non-homebuyer designee(s) to perform
the sweat equity assignments on behalf of the homebuyer. Volunteers
substituting for disabled homebuyers must enter into an agreement to
complete the work on behalf of the homebuyers. Include the dollar
values of both the sweat equity and volunteer labor contributions.
b. Funds Expenditure, Construction, and Completion Schedules (7
points). Submit a construction and completion schedule that expends
SHOP funds and substantially fulfills your obligations if you are
funded. You must provide a definition of ``substantially fulfills'' and
specifically state the percentage or number of properties that you
propose to be completed and conveyed to homebuyers at the time all
grant funds are expended. Your construction schedule must include the
number of dwelling units to be completed within
[[Page 11656]]
24 months or, in the case of affiliates that develop five or more
units, within 36 months, and a time frame for completing any unfinished
units.
Your schedule must also include interim milestones or benchmarks
against which HUD can measure your progress in: (1) Selecting local
affiliates if they are not specifically identified in the application,
(2) expending funds, and (3) completing acquisition, infrastructure,
and housing construction activities, and occupancy by homebuyers within
these schedules. These milestones or benchmarks should be established
at reasonable intervals (e.g., monthly, quarterly).
c. Budget (7 points). Provide a detailed budget including a
breakdown for each proposed task and each budget category (acquisition,
infrastructure improvements, and administration) funded by SHOP in the
HUD-424-CB and 424-CBW. You must include a line item for the cost of
monitoring consortium members and affiliates at least once during the
grant period. Your detailed budget must also include leveraged funding
to cover costs of completing construction of the proposed number of
units. Budget amounts on the HUD-424-CB and 424-CBW must agree with
amounts stated elsewhere in the application.
d. Cost Effective (6 points). Demonstrate the extent to which after
the investment of SHOP funds, the contribution of sweat equity and
volunteer labor, donations (e.g. land or building materials, etc.), in-
kind contributions, and financing subsidies, reduces the average sales
price to the homebuyer below the appraised value of the house or market
value of comparable housing in the neighborhood. Applicants showing a
larger reduction of the sales price to the homebuyer from the appraised
value as a result of the homebuyer's sweat equity, volunteer labor, and
other contributions will receive a higher score.
e. Policy Priorities (6 points). Describe how each of the five HUD
policy priorities identified specifically for SHOP is furthered by your
proposed activities. You will receive up to one point for each of the
first four policy priorities based on how well your proposed work
activities address the specific policy. You can receive up to two
points based on how well you address policy priority 5, removal of
regulatory barriers to affordable housing, for which you must submit
form HUD-27300 (America's Affordable Communities Initiative,
Questionnaire for HUD's Initiative on Removal of Regulatory Barriers)
and where required, provide the documentation and point of contact
information. Applicants are encouraged to read HUD's notices published
in the Federal Register on March 22 (69 FR 13450) and April 21 (69 FR
21663), 2004, to obtain an understanding of this policy priority and
how it can impact your score. There are exceptions as provided below.
Applicants that identify affiliate organizations and jurisdictions
to be served in their application to HUD should address the questions
in Part A or Part B, but not both, of form HUD-27300 for the
jurisdiction in which the majority or plurality of services will be
performed.
Applicants that do not identify affiliates and communities to be
served in their application to HUD, but select affiliates competitively
or through another method after application submission to HUD, may
address this policy priority by including it as an evaluative criterion
in their affiliate selection process. Such applicants may receive up to
2 points by requiring affiliate applicants for the awarded SHOP funds
to complete the questions in either Part A or B, as appropriate. In
order to receive points, applicants that identify affiliates after
application submission must include their evaluative criterion as an
appendix, and, if awarded SHOP funds in FY2006, must demonstrate how
the evaluative criteria that were included in your FY2006 application
were implemented. You must also describe how the evaluative criteria in
your FY2006 SHOP program affected or will affect the selection and
funding of affiliates for FY2007, to the extent this has been
completed. The narrative for your evaluative criteria does not count
against the page limits described in Section IV.B.1., Page Limits.
Applicants applying for funds for projects located in local
jurisdictions and counties/parishes are invited to answer the 20
questions under Part A. An applicant that scores at least five points
in column 2 will receive 1 point in the NOFA evaluation. An applicant
that scores 10 points or more in column 2 will receive 2 points in the
NOFA evaluation. The community(ies) must be identified on the form HUD-
27300.
Applicants applying for funds for projects located in
unincorporated areas or areas otherwise not covered in Part A are
invited to answer the 15 questions in Part B. Under Part B, an
applicant that scores at least 4 points in Column 2 will receive 1
point in the NOFA evaluation. An applicant that scores 8 points or
greater will receive a total of 2 points in the evaluation. The
community(ies) must be identified on the form HUD-27300.
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, Web site address, or brief statement
indicating where the back-up information may be found, and a point of
contact including a telephone number or email address. To receive
points for this priority, applicants must provide this additional
information, including separate contact information if the contacts are
different for the individual questions. If the contact is the same,
please note that is the case.
f. Program Outreach (5 points). Describe materials or services that
will be used to reach potential homebuyers, including persons least
likely to apply. For example, what alternative formats will be used to
reach persons with a variety of disabilities and what language
accommodations will be made for persons with limited English
proficiency.
g. Performance and Monitoring (5 points). Describe your plan for
overseeing the performance of consortium members and affiliates,
including a plan for monitoring each consortium member and affiliate
for program compliance at least once during the term of the grant. Your
plan should address when and how you will shift funds among consortium
members and affiliates to ensure timely and effective use of SHOP funds
within the schedule submitted for item b. above.
h. Section 3 Procedures (2 points). Under section 3 of the Housing
and Urban Development Act of 1968, to the greatest extent feasible,
opportunities for job training and employment arising in connection
with housing rehabilitation, housing construction, or other public
construction projects must be given to low- and very low-income persons
in the metropolitan area (or non-metropolitan county) in which the
project is located. In addition, to the greatest extent feasible,
contracts for work to be performed in connection with housing
rehabilitation, housing construction, or other public construction
projects are given to business concerns that provide economic
opportunities for low- and very low-income persons in the metropolitan
area (or non-metropolitan county) in which the project is located. The
regulations implementing section 3 are found at 24 CFR Part 135.
Because SHOP funds may only be used for acquisition and infrastructure
improvements, section 3 requirements apply only to SHOP projects for
which
[[Page 11657]]
the amount of SHOP funds for the infrastructure improvements (together
with any other covered section 3 housing and community development
assistance for infrastructure) meets the threshold amount of $200,000.
Based on the SHOP maximum average investment of $15,000 per unit,
section 3 would generally only apply to a SHOP project with at least 14
units where the entire SHOP amount (if no other covered section 3
housing and community development assistance is provided to the grantee
or affiliate for infrastructure) is $200,000 or more.
Regardless of whether the Section 3 threshold is met, all
applicants are required to describe procedures they have in place for
section 3 compliance in the event that they meet the section 3
threshold in carrying out their proposed FY2007 SHOP activities. You
must clearly explain your procedures for complying with these
requirements (1) for projects you will undertake directly, and (2) for
projects to be undertaken by affiliates. In the case of projects
undertaken by affiliates, your procedures must state how you will
inform affiliates of their responsibilities under section 3 and how you
will monitor compliance. One point will be awarded for addressing job
training and employment opportunities. One point will be awarded for
addressing contracting opportunities.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure other resources that
can be combined with HUD's program resources to fully fund your
proposed program. When combined with the SHOP grant funds, homebuyer
sweat equity, and volunteer labor, your leveraged resources must be
sufficient to develop the number of units proposed in your application.
HUD will consider only those leveraging contributions for which current
firm commitments as described in this factor are submitted. A firm
commitment means a written agreement under which the applicant, a
partner, or an entity agrees to perform services or provide resources
for an activity specified in your application. Firm commitments in the
form of cash funding (e.g., grants or loans), in-kind contributions,
donated land and construction materials, and donated services will
count as leverage. Leveraging does not include the dollar value of
sweat equity and volunteer labor for your proposed activities.
Leveraging does not include financing provided to homebuyers. However,
financing provided through the U.S. Department of Agriculture's Section
502 direct loans to homebuyers, for construction of their dwellings
counts as leveraging for mutual self-help housing programs. Firm
commitments must be substantiated by the documentation described below.
Submission Requirements for Rating Factor 4
Firm Commitments of Resources (10 points). Provide firm commitments
(letters, agreements, pledges, etc.) of leveraged resources or services
from the source of the commitment. In order to be considered, leveraged
resources or services must be committed in writing and include your
organization's name, the contributing organization's name (including
designation as a federal, state, local, or private source), the
proposed type of commitment, and the dollar value of the commitment as
it relates to your proposed FY2007 SHOP-funded activities. Each letter
of commitment must be signed by an official of the organization legally
able to make the commitment on behalf of the organization. See Other
Submission Requirements, of the General Section regarding the
procedures for submitting third-party documentation. Each letter of
commitment must specifically support your FY2007 SHOP application or
specific projects in your FY2007 application. If your organization
depends upon fundraising and donations from unknown sources/providers,
you must submit a separate letter committing a specific amount of
dollars in fundraising to your proposed FY2007 SHOP program. Applicants
must ensure that duplicate letters for fundraising amounts are not
submitted by both the applicant and its affiliates. Also, if you have
received funds from organizations and agencies from previous years that
are not committed to another activity and you have the sole discretion
to commit these funds to your FY2007 SHOP program, you must submit a
separate letter committing these dollars to your FY2007 SHOP program.
In all instances, the dollar amount must be stated in the letters.
Letters of commitment may be contingent upon your receiving a grant
award. Letters of commitment must be included as an appendix to your
application, and do not count toward the page limitation noted in
Section IV.B.1. Unsigned, undated, or outdated letters, letters only
expressing support of your organization or its proposal, or those not
specifically stating the dollar amount or linking the resources to your
FY2007 SHOP application or specific projects in your FY2007 application
do not count as firm commitments.
To receive full credit for leveraging, an applicant's leveraging
resources must be clearly identified for its FY2007 SHOP application
and must total at least 50 percent of the amount shown on forms HUD-
424-CB needed to complete all properties, minus the proposed SHOP grant
amount, homebuyer sweat equity, and volunteer labor.
Rating Factor 5. Achieving Results and Program Evaluation (10 Points)
This factor assesses an applicant's past performance and emphasizes
HUD's determination to track whether applicants meet commitments made
in their applications.
a. Past Performance. For applicants that previously received SHOP
grants, HUD will assess your organization's past performance based upon
performance reports that demonstrate your organization's completion of
eligible SHOP activities, the number of families provided housing,
financial status information focusing on timely use of funds, and other
program outcomes. HUD will consider whether you had funds deobligated
for failure to meet your drawdown and construction schedules or funds
were returned because of monitoring findings or other program
deficiencies. HUD may also use monitoring reports, audit reports, logic
models, and other information available to HUD in making its
determination under this factor. For applicants that received SHOP
grants in previous years, HUD will assess your success in meeting
benchmarks in the most recent 3 full years of participation in the
program. If you are not a current SHOP grantee, HUD will assess your
performance in undertaking similar activities and identifying and
meeting outcomes during the past three years. You must supplement your
narrative with internal or external performance reports or other
information that will assist HUD in making its determination under this
factor. Supplemental information and reports from applicants that have
not received SHOP grants do not count against the page limitations.
b. Logic Model form HUD-96010. HUD requires SHOP applicants to
develop an effective, quantifiable, outcome-oriented evaluation plan
for measuring performance and determining whether goals have been met
using the Master Logic Model for SHOP, which can be found in the
download instructions portion at www.grants.gov. In preparing your
Logic Model, you must first open the form HUD-96010 and go to the
instruction tab and follow the directions in the tab. ``Outcomes'' are
benefits accruing to the families and/or communities during or
[[Page 11658]]
after participation in SHOP. The self-help housing units developed are
outputs as described under this factor, not outcomes. Applicants must
clearly identify the outcomes to be achieved and measured. Examples of
outcomes for SHOP include increasing the homeownership rate in a
neighborhood or among low-income families by a certain percentage,
increasing financial stability (e.g., increasing assets of the low-
income homebuyer households through home equity accumulation or
reducing total housing costs compared to rents that SHOP participants
previously paid) or increasing housing stability during and beyond the
grantee's period for reporting on property completions. See Reporting
in Section VI.C. Outcomes must be quantifiable.
In addition, applicants must establish interim benchmarks for which
outputs lead to the ultimate achievement of outcomes. ``Outputs'' are
the direct products of the applicant's program activities. Examples of
outputs for SHOP include the number of houses constructed, number of
sweat equity hours, or number of homes rehabilitated. Outputs should
produce outcomes for your program and outputs must be quantifiable.
``Interim benchmarks'' are steps or stages in your activities that,
if reached or completed successfully, will result in outputs for your
program. Examples of interim benchmarks for SHOP include income-
qualifying homebuyers, obtaining building permits, or securing
construction materials and equipment.
Program evaluation requires that you identify program outcomes,
outputs, benchmarks, and performance indicators that will allow you to
measure your performance. Performance indicators must be objectively
quantifiable and measure actual achievements against anticipated
achievements. Your evaluation plan must 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. This factor reflects HUD's goal
to embrace high standards of ethics, management, and accountability.
Successful applicants will be required to periodically report on their
progress in achieving the proposed outcomes identified in the
application. Applicants should refer to the General Section for more
information on the Master Logic Model.
Submission Requirements for Rating Factor 5
a. Past Performance (7 points). For applicants that received SHOP
grants in previous years, you must summarize your past performance,
including any delays you encountered and the mitigating actions taken
to overcome them to successfully complete your program. HUD will
measure your past performance using tools such as monitoring reports,
audit reports, quarterly and annual reports, disbursement data, prior
years' logic models demonstrating success in meeting outputs and
outcomes, and other information currently in-house against what you
stated you would do in your previous applications and your summary. New
applicants must provide a summary of your performance in carrying out
self-help housing, including any delays you encountered and the
mitigating actions taken to overcome them to successfully complete your
program. Your narrative summary must be supported by existing internal
or external performance reports or other information that will assist
HUD in measuring your performance for carrying out self-help housing
and demonstrating outcomes beyond the provision of housing units. The
supplemental reports and information must be included as an appendix
and will not count against the page limitations.
b. Program Evaluation Plan (3 Points). The FY2007 application
provides an eLogicModelTM that allows the applicant to
select from drop down menus the elements of their program to be
captured in the Logic Model. Instructions for the eLogic
ModelTM are found in Tab 1 of the form HUD-96011 found in
the instructions download to your electronic application. The Master
Logic Model listing also identifies the unit of measure that HUD will
collect for the output and outcome selected. Applicants must identify a
unit of measure and establish a goal for each output and outcome. HUD
expects applicants to identify more than one output and outcome. You
must summarize your program evaluation plan that measures your own
program performance. Your plan must measure the performance of
individual consortium members and affiliates, including the standards
and measurement methods, and the steps you have in place or how you
plan to make adjustments if you begin to fall short of established
benchmarks and timeframes. Applicants who identify two or more outputs
and outcomes that reflect their proposed activities and work plan and
prepare an evaluation plan that meets these criteria will receive a
higher score. For FY2007, HUD is considering a new concept for the
Logic Model. The new concept is a Return on Investment (ROI) statement.
HUD will be publishing a separate notice on the ROI concept.
B. Review and Selection Process
1. Factors for Award Used to Evaluate Applications. HUD will
evaluate all SHOP applications that successfully complete technical
processing and meet threshold and submission requirements for Factors 1
through 5. The maximum number of points awarded for the rating factors
is 100 plus the possibility of an additional 2 bonus points for RC/EZ/
EC-II.
2. RC/EZ/EC-II Bonus Points. Applicants may receive up to 2 bonus
points for eligible activities that the applicant proposes to locate in
federally designated Empowerment Zones (EZs), renewal communities
(RCs), or enterprise communities (ECs) 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 an urban or rural renewal community designated by
HUD (RC) on the strategic plan for an enterprise community designed in
round II by USDA (EC-II). For ease of reference in this notice, all of
the federally designated areas are collectively referred to as ``RC/EZ/
EC-IIs'' and the residents of these federally designated areas as ``RC/
EZ/EC-II residents.'' The RC/EZ/EC-II certification, a valid HUD-2990
form, must be completed for an 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 site 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. Copies of
the certification can be found in the electronic application. The
certification must be completed and signed by the appropriate official
in the RC/EZ/EC-II for an applicant to be considered for RC/EZ/EC-II
bonus points. In addition to the RC/EZ/EC-II certification, applicants
must provide the location of the EC/EZ/EC-II (name of town, city,
state, or other locale) if not otherwise identified on the
certification, and the number of units to be developed within the RC/
EZ/EC-II in order to receive credit.
[[Page 11659]]
RC/EZ/EC-II bonus points will be awarded as follows: 2 points to an
applicant with over 25 percent of its proposed units in RC/EZ/EC-II; 1
point for 10 to 25 percent of units in RC/EZ/EC-IIs; and 0 points below
10 percent of units in RC/EZ/EC-II zones.
3. Rating. Applications that meet all threshold requirements listed
in Section III.C will be rated against the criteria in Factors 1
through 5 and assigned a score. Applications that do not meet all
threshold factors will be rejected and not rated.
4. Ranking and Selection Procedures. Applications that receive a
total of 75 points or more (without the addition of RC/EZ/EC-II bonus
points) will be eligible for selection. After adding any bonus points
for RC/EZ/EC-IIs HUD will place applications in ranked order. HUD will
consider ranked order, funds availability, and past performance in the
selection and funding of applications.
5. Technical Deficiencies. After the application submission date
and consistent with regulations in 24 CFR part 4, subpart B, HUD may
not consider any unsolicited information you may want to provide.
However, HUD may contact you to clarify an item in your application or
to correct technical deficiencies. 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. However, HUD may not seek clarification of
items or responses that improve the substantive quality of your
response to any rating factor.
Examples of curable (correctible) technical deficiencies include
inconsistencies in the funding request, a failure to submit
certifications. In each case, HUD will notify you in writing by
describing the clarification or technical deficiency. See the General
Section for additional information.
6. HUD's Strategic Goals to Implement HUD's Strategic Frameworks
and Demonstrate Results. See the General Section for HUD's Strategic
Goals.
7. Policy Priorities. Refer to the General Section for information
regarding application criteria addressing HUD's policy priorities.
Note: From all applications that receive SHOP funds, HUD intends
to add relevant data obtained from the ``Removal of Regulatory
Barriers'' policy priority 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.
VI. Award Administration Information
A. Award Notices
1. HUD reserves the right to:
a. fund less than the amount requested by any applicant based on
the application's rank, the applicant's past performance, and the
amount of funds requested relative to the total amount of available
funds; and/or
b. fund less than the full amount requested by any applicant to
ensure a fair distribution of the funds and the development of housing
on a national, geographically diverse basis as required by the statute.
HUD will not fund any portion of an application that is ineligible
for funding under program threshold requirements in Section III.C or
which does not meet other threshold and pre-award requirements in
Section III.C. The minimum grant award shall be the amount necessary to
complete at least 30 units at an average investment of not more than
$15,000 per unit or a lesser amount if lower costs are reflected in the
application. If any funds remain after all selections have been made,
these funds may be available for subsequent competitions.
2. 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 e-mail
by its authorized official whose signature appears on the SF-424, or
his or her successor in the office and submitted to Ms. Lou Thompson,
Office of Affordable Housing Programs, U.S. Department of Housing and
Urban Development, 451 Seventh Street, SW., Room 7164, Washington, DC
20410-7000. Information provided during a debriefing will include, at a
minimum, the final score you received for each rating factor, final
evaluation 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
1. Grantees are required to comply with the following
administrative and financial requirements: A-122 Cost Principles for
Non-Profit 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).
2. Copies of the OMB Circulars may be obtained from EOP
Publications, New Executive Office Building, Room 2200, 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.
3. Refer to all award administration information requirements
described in Section VI (``Award Administration Information'') of the
General Section.
C. Reporting. Grantees are required to submit quarterly and annual
(consortium members/affiliates) reports providing data on the
construction status, unit characteristics, and income and racial and
ethnic composition of homeowners in SHOP-funded properties. For each
reporting period, as part of the required quarterly report to HUD,
grant recipients must include a completed Logic Model (form HUD-96010),
which updates the output and outcome achievements identified in your
application with which HUD can evaluate the effectiveness of the SHOP
funding. Applicants are also required to report annually their response
to the management questions contained in the eLogic ModelTM
for the SHOP program.
VII. Agency Contact
Further Information and Technical Assistance. Before the
application due date, HUD staff may provide general guidance and
technical assistance about this NOFA. However, staff is not permitted
to assist in preparing your application. Also, following selection of
applicants, but before awards are announced, staff may assist in
clarifying or confirming information that is a prerequisite to the
offer of an award. You may contact Ms. Lou Thompson, SHOP Program
Manager, Office of Affordable Housing Programs, Department of Housing
and Urban Development, 451 Seventh Street, SW., Room 7164, Washington,
DC 20410-7000, telephone (202) 708-2684 (this is not a toll-free
number). This number can be accessed via TTY by calling the toll-free
Federal Information Relay Service Operator at (800) 877-8339. For
technical support for downloading an application or electronically
submitting an application, please call Grants.gov help desk at 800-518-
GRANTS (this is a toll-free number) or send an e-mail to
[email protected].
VIII. Other Information
A. Review Sections VIII.A., B., E., F., and G. (``Other
Information'') of the General Section, and note that these
[[Page 11660]]
subsections are incorporated by reference into this NOFA.
B. Paperwork Reduction Act. The information collection requirements
contained in this document were 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 2506-0157. 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, quarterly and 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.
[[Page 11661]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.022
[[Page 11662]]
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.
D. Funding Opportunity Number: FR-5100-N-04; OMB Approval Number
2506-0133.
E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.241
Housing Opportunities for Persons With AIDS Program.
F. Dates: The application deadline date is May 31, 2007.
Applications submitted through http://www.grants.gov must be received
and validated by grants.gov no later than 11:59:59 Eastern time on the
application deadline date. The validation process may take up to 72
hours. Refer to the General Section for application submission and
timely receipt requirements.
G. Additional 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 needs of low-income persons with
Human Immunodeficiency Virus/Acquired Immunodeficiency Syndrome (HIV/
AIDS). 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 health care 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 NOFA.
2. Available Funds. Approximately $28,463,000 in FY2007 funding is
made available under the Revised Continuing Appropriations Resolution,
2007 (Pub. L. 110-5, approved February 15, 2007). Funds for the renewal
of expiring HOPWA competitive grants that have successfully undertaken
permanent supportive housing projects will be distributed under a
separate, simplified process, described in a separate notice from this
NOFA. Funds under this NOFA will be made available after those awards
with the remaining funds. This notice makes available funding for two
types of HOPWA competitive grants for new projects: (1) Long-term
project awards for housing activities to be conducted by eligible
states and units of general local government in areas that are not
eligible for formula allocations or in the balance of the state areas
outside of eligible metropolitan statistical areas by a governmental
agency that is not eligible to receive formula grants; and (2) awards
for Special Projects of National Significance (SPNS) projects that will
undertake housing service delivery models to provide HOPWA clients with
improved stable housing arrangements by a governmental agency or an
eligible nonprofit organization.
As initiated in FY2006, the Department will again advise existing
grantees that provide permanent supportive housing of the procedure for
qualifying for additional funds as a renewal of an expiring HOPWA
grant. Such grantees will not be required to submit an application
under this competition for a renewal grant.
3. Eligible Applicants. States, units of general local government,
and nonprofit organizations are eligible to apply.
4. Match. None.
5. Authorities. HOPWA program regulations at 24 CFR Part 574 and
the AIDS Housing Opportunity Act (42 U.S.C. 12901-12912), govern the
program.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description
1. Long-Term Projects in Non-formula Areas. HUD will award funding
for short-term, transitional and/or permanent supportive housing
activities. These projects should improve stable housing arrangements
for eligible persons who reside in areas that do not qualify for Fiscal
Year (FY) 2007 HOPWA formula allocations. Applications should be
submitted by state or the unit of general local government undertaking
activities in the balance of state areas outside of eligible
metropolitan statistical areas.
2. Special Projects of National Significance (SPNS). SPNS projects
will provide assistance that stabilizes housing for eligible persons
through model and/or innovative service delivery models. Consistent
with the selection considerations established at 42 U.S.C.
12903(c)(3)(C), SPNS projects will demonstrate potential replicability
in the larger HOPWA program.
3. Definitions for all HOPWA grants.
a. 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 4 episodes of
homelessness in the past 3 years. For this program, a disabling
condition is defined as a diagnosable substance abuse disorder, serious
mental illness, developmental disability, or chronic physical illness
or disability, including AIDS or a disabling condition due to HIV,
including the co-occurrence of two or more of these conditions.
b. Lease or Occupancy Agreement. In establishing that an eligible
person has obtained permanent supportive housing and a legal right to
remain 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
and timely prior notice by either the tenant or the landlord. A short-
term lease or lease in the name of the provider may be used to
undertake transitional housing activities.
c. Nonprofit Organization. Nonprofit organizations include those
that: (1) Are state or locally chartered; (2) Are organized under state
or local laws; (3) Have no part of earnings inuring to the benefit of
any member, founder, contributor or individual; (4) Have 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 (5) Have 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).
d. Permanent Supportive Housing. Housing in which the eligible
person has a continuous legal right to remain in the unit and which
provides the eligible person with ongoing supportive services through
qualified providers.
e. Transitional Housing. Housing that will help facilitate the
movement of eligible person(s) to permanent housing within 24 months.
B. Statutory and Regulatory Requirements
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. 12901-12912), which govern the
program.
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C. Availability of Other HOPWA Resources
1. Formula Allocations and Renewal Funds. 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 FY2007, HUD distributed $256,162,000 in HOPWA funds by formula
to the qualifying cities for 83 eligible metropolitan statistical areas
(EMSAs) and to 39 eligible states for areas outside of EMSAs. In
addition, expiring projects that provided permanent supportive housing
under a competitive award in a prior year may qualify for renewal
funds, as authorized by statute. In 2006, HUD provided $16,488,302 to
16 renewal projects that were eligible, consistent with CPD Notice 06-
06, Standards for Fiscal Year 2006 HOPWA Permanent Supportive Housing
Renewal Grant Applications, issued on May 15, 2006 (the notice is
available at http://www.hudclips.org/sub_nonhud/cgi/pdfforms/06-06CPD.doc).
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) section 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 current 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. The total available HOPWA competitive funding in FY2007
is approximately $28,463,000. After first awarding funds to renew
existing HOPWA permanent housing projects in FY2007, HUD estimates that
approximately $10 million will be available for new projects.
B. Announcement of Awards. HUD anticipates that projects awarded
under this notice will be announced by August 31, 2007. HUD expects
that selected projects will undertake program activities under a grant
agreement for a 3-year operating period.
C. Minimum and Maximum Grant Award. In order to fairly distribute
available funding, the conditions on grant size for award that you may
receive is:
1. For program activities (e.g., activities that directly benefit
eligible persons): at least $500,000 and up to $1.3 million;
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). A grantee
cannot also receive project sponsor administrative costs even when the
grantee carries out the program activities directly;
4. Total maximum grant amount for all categories of grant awards
under this NOFA is $1.43 million.
D. Average Grant Award. Based on the results of the 2006 HOPWA
competition, the average grant award for the 10 grants selected was
$1,099,589.
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.
2. General Eligibility for Expiring Grant Projects. To be eligible
for a new grant for an existing HOPWA project, a project that does not
qualify for renewal as a permanent supportive housing project, or
significantly changes an existing project, the project must meet all
program requirements. Existing HOPWA projects that show poor
performance or unresolved grants management issues up to the date of
the public announcement of awards under this NOFA will not be funded.
Unresolved problems may include: (1) HUD knowledge that planned
activities remain significantly delayed in their implementation; (2) A
significant number of planned housing units are vacant; (3) Required
annual progress reports are not timely filed with HUD; (4) 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.
3. General Eligibility for Applicants and Sponsors. States, units
of general local government, and nonprofit organizations may apply
under the SPNS grants category to propose new projects or for
additional funding to existing projects that do not qualify as
permanent supportive housing renewal grants.
States and units of general local government may apply under the
``Long-term'' category, if the project entails housing activities in
areas that did not receive or are not designated to receive HOPWA
formula allocations in FY2007 or the government agency is not eligible
to receive formula funds will serve a balance of state area outside of
any EMSA. 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, leveraging is encouraged and
addressed in Rating Factor 4 Leveraging.
C. Other
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.A of this NOFA for eligibility based on applicant requirements,
project sponsor requirements, and the lack of any unresolved management
issues for applicants who currently administer HOPWA grants; and
(2) Your application complies with the Dun and Bradstreet Data
Universal Numbering System (DUNS). More information on the requirement
of the DUNS can be found in the General Section.
b. 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, it must also
satisfy the nonprofit requirements established in the definition of an
eligible nonprofit organization found in 24 CFR 574.3 and in the
definition section of this NOFA.
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
[[Page 11664]]
requirement, HUD reserves the right to cancel and/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
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 Opportunity Act and the HOPWA regulations at 24 CFR 574.510,
environmental reviews for HOPWA activities are to be completed by
responsible entities 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 (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)) 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). The recipient, its project sponsors 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 24 CFR 58.2) has completed the
environmental review procedures required by 24 CFR part 58 and the
environmental certification and the 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
required to use the HOPWA Budget Form (form HUD-40110-B) found in the
instructions to the published NOFA on Grants.gov/Apply in this 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 commitment to use other funds for this
purpose. This form is consistent with the new Annual Progress Report
that grantees will be required to complete. In establishing and
reporting on performance goals, applicants are required to use the
Logic Model (Form HUD-96010) as described under paragraph (e).
Applicants must establish a reasonable client outcome goal on achieving
housing stability, reducing risks of homelessness and improving access
to care 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, have reduced
risks of homeless or improved access to care in their program during
the operating year, as shown by an assessment of the housing status 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 more
than 80 percent of clients will be in stable housing situations by
2008. The following performance measures must be used in your project
plan and your logic model under paragraph (e):
(1) Required Output refers to the number of units of housing/
households assisted during the year, as measured by the annual use of
HOPWA funds. For HOPWA, the application must specify one-year goals for
the number of households to be provided housing through the use of
HOPWA activities for: (a) Short-term rent, mortgage, and utility
assistance payments to prevent homelessness of the individual or
family; (b) tenant-based rental assistance; and (c) units provided in
housing facilities that are being developed, leased, or operated with
HOPWA funds. You should also include the projected numbers of low-
income eligible households who are expected to benefit from the other
types of HOPWA assistance to be provided through your project during
each operating year, such as the number receiving permanent housing
placement support, or supportive services.
(2) Required Outcomes refer to the number of eligible households
who have been provided housing assistance (as noted above for outputs)
and thereby maintain a stable living environment in housing that is
safe, decent, and sanitary. The program will measure these results in
annual assessments on the housing status of beneficiaries along with
other outcome measures on the reduced risks of homelessness and
improved access to HIV treatment and other health care and support. On
a nationwide basis, the program is expected to demonstrate stable
housing, reduced risks of homelessness and improved access to care
results for beneficiaries through the use of annual resources with a
national goal that this status be achieved by 80 percent of all HOPWA
beneficiaries by 2008.
d. Optional Program Performance Goals. In addition to required
performance measures described in the paragraph above, you may include
other measures or annual indicators in your project plan and in your
logic model under paragraph (e).
e. HUD Logic Model. You must use the Logic Model (Form HUD-96010)
in this NOFA 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.
Applicants must make use of the required elements in paragraph (a) in
this form. If you are awarded a grant under this notice, please note
that the Logic Model form will also be used as part of your Annual
Progress Report to document results obtained under your approved plans
during each operating year. HUD intends to propose a Return on
Investment Statement (ROI) for each of its competitive grant programs.
HUD will publish a proposed ROI Statement for public comment prior to
implementation. HUD intends to publish the first ROI Statements for
public comment and input during FY2007. HUD expects grantees to respond
to the Management Evaluation Questions, however in their final reports.
Training on the logic model will
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be conducted via satellite broadcast and archived on HUD's Web site and
the satellite broadcast and webcast date will be published on HUD's Web
site. See Section VI.C, ``Reporting'' for additional information on
Logic Model reporting requirements.
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 3 years in cases involving non-substantial rehabilitation
or repair of a building structure.
g. Execution of Grant Agreement and Obligation of Awards. HOPWA
grants are obligated upon execution of the grant agreement by both
parties (i.e., the recipient and HUD). Applicants selected to receive
FY2007 funding must execute grant agreements as soon as practicable,
but no later than 6 months after the notice of selection.
h. Disbursement of Funds. Grant recipients must fully expend their
grant funding 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 for an additional 12 months or less. A
time limit on grant expenditures that is established in the National
Defense Authorization Act for FY1991 requires the expenditure of all
HOPWA funds awarded under this NOFA by September 30, 2013. After
September 30, 2013, any unexpended funds shall be canceled and,
thereafter, shall not be available for obligation or expenditure for
any purpose.
i. Site Control of Housing Facilities through Acquisition or Lease.
If you propose to acquire a site or structure or lease a structure to
serve as a housing facility in your project, you are required to gain
site control within one year from the date of your notice of selection
by HUD.
j. 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 (including any time taken in the facility's
acquisition or lease under paragraph (i)), and all rehabilitation or
construction work must be completed within the terms of your grant
agreement with HUD. Such activities will trigger certain accessibility
requirements of Section 504 of the Rehabilitation Act of 1973 and/or
the Design and Construction requirements of the Fair Housing Act of
1988.
k. Project Operations. If funds are used for operating costs of
existing housing facilities, you must agree to begin to use these funds
within 6 months, consistent with the terms of your grant agreement with
HUD. If funds 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. 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 3-year operating period for this
award.
l. Section 3 of the Housing and Urban Development Act of 1968. The
applicant will comply with Section 3 of the Housing and Urban
Development Act of 1968, as amended (12 U.S.C. 1701(u), and regulations
pursuant thereto (24 CFR part 135), which require that to the greatest
extent feasible opportunities for training and employment be given to
lower-income residents of the project service area and that contracts
for work in connection with the project be awarded in substantial part
to persons residing in the service area of the project.
3. Eligible Activities
a. Proposed Project Activities. In your application, you must
specify the activities and budget amounts for which HOPWA funds are
being requested, consistent with the eligible activities found in the
HOPWA regulations at 24 CFR 574.300. Your activities must address
housing needs of eligible members of the community and specify whether
the project will be undertaking permanent, transitional, short-term
and/or 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, and other program guidance, such as CPD Notice 06-07, HOPWA
Short-term Rent, Mortgage and Utility Payments (STRMU) and Connections
to Permanent Housing, issued August 3, 2006. HOPWA documents can be
found on the program webpage noted above. 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, that would have the effect of delaying the obligation
of funds due to the unplanned use of HOPWA funds, will not be approved.
b. Additional Guidance on Use of Program Funds.
(1) Housing Assistance. HOPWA projects must demonstrate that
housing assistance is the main focus of program activities. Please
indicate if you propose to use HOPWA funds to provide permanent
supportive housing (as defined in Section I.A.). If you are proposing
emergency or transitional housing assistance, your plan must include
linkages to permanent supportive housing. See 24 CFR 574.300(b)(8) for
descriptions of appropriate operating costs for a housing project.
(2) 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 communitywide strategies to
coordinate assistance to eligible persons. These mainstream programs
include: The Ryan White CARE Act; Medicaid; the Children's Health
Insurance Program; Temporary Assistance for Needy Families; Food
Stamps; Mental Health Block Grant; Substance Abuse Block Grant;
Workforce Investment Act; the Welfare-to-Work grant program; as well as
other state, local and private sources. No more than 35 percent of the
proposed budget for program activities undertaken by project recipients
can be designated for supportive services costs. 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
limitations addressing only uncompensated health care costs, can be
found at 24 CFR 574.300. HUD will not provide funds for medications or
other health care costs, as these are reasonably available from other
sources. 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 HOPWA budget.
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(3) Permanent Housing Placement Assistance. Permanent housing
placement at 24 CFR 574.300(b)(7) may also be used in connection with
the provision of housing support provided under these awards and is not
considered a supportive service under limitations stated in paragraph
(2). 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
2 months of rent. Leveraged resources may 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.
(4) 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 are available at the Grants.gov Web
site, http://www.grants.gov/applicants/apply--for--grants.jsp. If you
have difficulty accessing the information, customer support is
available from Grants.gov by calling its Support Desk at (800) 518-4726
between 7 a.m. and 9 p.m. eastern time or by sending an e-mail to
[email protected]. 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 access this number via the toll-free Federal
Information Relay Service at (800) 877-8339.
B. Content and Form of Application Submission
By signing the SF-424, applicants are agreeing to the assurances
found in the General Section. If conditionally selected for funding,
the following certifications as noted must be provided prior to the
signing of a grant agreement. Standard certifications and forms are
listed in the General Section and the HOPWA budget and certification
(form HUD-40110-B), is identified in this NOFA.
1. Forms: Applicants are requested to submit the following
information:
a. SF-424, Application for Federal Assistance (Required)
b. SF-424 Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov)
(Optional).
c. HUD-96010, Program Outcome Logic Model (Required).
d. HUD-2991, Certification of Consistency with the Consolidated
Plan (Required).
e. HUD-2990, Certification of Consistency with the RC/EZ/EC-II
Plan--if applicable to the service area of your project (Optional).
f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov) (Required).
g. SF-LLL, Disclosure of Lobbying Activities, if applicable
(Required).
h. HUD-40110-B, HOPWA Application Budget Summary, including HOPWA
Applicant Certifications (Required).
i. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative Form'' on Grants.gov)
(Optional).
j. HUD-2993, Acknowledgement of Application Receipt, if applicable
due to an approved waiver of the electronic submission requirement
(Optional).
k. HUD 2994-A, You Are Our Client! Grant Applicant Survey
(Optional).
l. HUD-96011, Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov) (for electronic
applications).
2. Additional HOPWA Guidance on Forms.
a. HOPWA Application Budget Summary (form HUD-40110-B). Do not
complete the standard budget form contained in the General Section.
Applicants must use this program-specific budget form (HUD-40110-B,
HOPWA Budget Application Summary) that demonstrates how funds will be
used for eligible activities. The HOPWA HUD-40110-B will provide a
summary of the total budget for your 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.
b. Certification of Consistency with the Consolidated Plan (HUD-
2991). Except as stated below, you must obtain a Consolidated Plan
certification signed by the applicable state or local government
official for submitting the appropriate plan for the areas in which
activities are targeted. This form must be submitted to HUD prior to
the signing of a grant agreement. 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 an Indian
reservation 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 Long-term and Special Projects of
National Significance (SPNS) Project Applications. The review criteria
for long-term, and SPNS applications can be found in Section V.A. of
this NOFA. For your narrative responses, number the pages and include a
header or a footer that provides the name of the applicant or the
project.
a. Executive Summary. On no more than two double-spaced pages,
provide an Executive Summary of the proposed project. The summary
should provide an overview of the main components of your planned HOPWA
project, any special service delivery method or project purposes and
the projected annual housing output for the first year of operation. In
the executive summary, provide the name of the grantee and any project
sponsors, along with contact names, phone numbers, and e-mail
addresses.
For projects involving sites, (e.g., a structure where HOPWA funds
will be used for the housing activities, involving construction,
acquisition, rehabilitation, leasing, operating costs, and/or project-
based rental assistance) provide the address of the proposed site of
this structure and describe what other resources will be used to
complete the development of this housing facility. Please identify if
the site is a Confidential Site or a Public Site. (HUD
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will not release the address of confidential sites).
b. Proof of Nonprofit Status and AIDS Purpose. Excluding situations
where nonprofit documentation was submitted to HUD under prior HOPWA
awards and there has been no change in this status for the project
sponsor(s), all conditionally selected applicants must provide a copy
of the nonprofit documentation for each sponsor that is a nonprofit
organization consistent with the standards under paragraph (1) below
prior to the signing of a grant agreement. Conditionally selected
applicants must also provide documentation consistent with paragraph
(2) below prior to the signing of a grant agreement 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, with the exception of the budget forms.
(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;
(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);
(c) Documentation that the applicant is a certified United Way
agency;
(d) Copy of your most recent completed tax statement, Form IRS-990
or Form 990-EZ;
(e) All of these:
(i) a certification by the appropriate official of the jurisdiction
where the nonprofit was organized that your organization was organized
as a nonprofit organization 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 firm
that the nonprofit entity has a functioning accounting system that
provides for each of the following:
(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 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) HUD will also accept, as evidence of your organization's HIV/
AIDS-related purpose, a copy of the organization's articles of
incorporation and bylaws, mission statement, program management plan,
or other organizational policy document that 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 or similar chart or table for the Applicant, and no more
than two double-spaced pages or similar chart or table per additional
sponsor, demonstrate the extent to which you and any project sponsor(s)
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 or similar chart or table 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 ten double-spaced, typed pages
or a similar chart or table, 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
4 of this section, to receive a leverage score for your project,
provide a detailed chart of commitments that you have obtained and have
on file that provides evidence of your ability to secure community
resources for operating and sustaining your housing project. On no more
than two double-spaced typed pages or similar chart or table, address
the method by which your plan addresses sustainability of the effort.
g. Achieving Results and Program Evaluation Narrative. To
complement the use of the Logic Model form, in no more than three
double-spaced, typed pages or a similar chart or table, provide a
supplemental optional narrative that may detail or further 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 details on your
activities, benchmarks, and interim activities or performance
indicators shown in the Logic Model. Provide comments as may be needed
on details for an evaluation plan that will objectively measure actual
achievements against anticipated achievements.
4. Application Content on Leveraging for All Types of Applications
To receive consideration for leveraged resources, all types of
applications must include information on the commitments from other
state, local, federal, or private entities to provide additional
resources in operating and sustaining your planned activities to
support project beneficiaries. Other HOPWA funds, such as formula
allocations, may not be used for this purpose in determining
leveraging. To receive a score for leveraging, any project must provide
a list in a chart with information on the nature of the secured
leveraged commitments that you have in hand at the time of your
application submission to HUD. You may also describe a plan for how the
project will continue to operate in future years, with a decreased
reliance on these federal resources.
As a change from prior year competitions, you should not submit an
electronic copy or facsimile transmittal of these letters of commitment
with your HOPWA application, but should use these letters or documents
to report on the information requested below. The applicant must retain
in its files all of the leveraging letters or documents, and a
conditionally selected applicant may be required to provide HUD with a
copy or other evidence of these letters
[[Page 11668]]
or documents as part of the conditions for receiving HOPWA funds.
In the application, provide information only for contributions for
which you have a written commitment in hand at the time of application.
A written commitment could include signed letters, memoranda of
agreement, and other documented evidence of a firm commitment for
resources to be available during the operating period of your project,
if selected for award. This does not include resources that are in use
prior to the new grant operating period. Leveraging items may include
any written commitments that will be used towards your leveraging of
the project, as well as any written commitments for buildings,
equipment, materials, services and volunteer time. The value of
commitments of land, buildings and equipment are one-time only and
cannot be claimed by more than one selected project (e.g., the value of
donated land, buildings or equipment claimed in 2006 and prior years
for a project that was selected for funding cannot be claimed as
leveraging by that project in subsequent competitions). The written
commitments must be documented on letterhead stationery, signed by an
authorized representative, dated and in your possession prior to the
deadline for submitting your application.
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 commitments or the related use of these additional
resources in operating your project could result in a notice of default
and affect the project's continued access to federal funds awarded
under this NOFA.
C. Submission Dates
Application Deadline Date. Your completed application must be
received and validated electronically by Grants.gov no later than
11:59:59 p.m. eastern time on the deadline date for HOPWA. The
validation process may take up to 72 hours. Failure to have the
application validated by Grants.gov prior to the deadline will result
in a late application making the application ineligible for funding
under this NOFA. Please follow the application submission and timely
receipt requirements that are established in the General Section.
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 or entire applications by facsimile. 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 funding
must be consistent with the following limitations on minimum and
maximum grant amounts:
a. For program activities (e.g., activities that directly benefit
eligible persons): At least $500,000 and a maximum of $1.3 million,
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 3 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 7 percent of the amount requested for project
activities to be conducted by project sponsors in your application.
(Note: An applicant that will serve as a grantee, but carry out
activities directly without a third-party project sponsor, cannot add
amounts from this paragraph to its eligible amount under paragraph (b)
above.)
d. Total for maximum grant amount: $1.43 million, as 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 project recipients.
3. Limitation on Prospective Determinations. HUD will not approve
proposals that depend on a prospective determination as to how program
funds will be used, except as needed in securing housing units for
participants. More specifically, proposals to establish a local
request-for-proposal process to select either activities or 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.
4. Limitation on Ineligible Activities. HUD will not provide
additional 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, because these types of activities are
funded through the national HOPWA technical assistance funds being made
available under the Community Development Technical Assistance (CDTA)
NOFA or available for resource identification activities under formula
allocations. HUD will not provide additional funds for data collection
on project outcomes; because such activities in collecting performance
data and reporting to HUD are required as a central grants management
function, is already covered under administrative costs. In addition,
eligible HOPWA costs cannot 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. HUD requires applicants to electronically
submit via www.grants.gov. See Sections IV.B. and 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 of the electronic submission process (see the General
Section for more information). Applicants should submit waiver requests
in writing, by e-mail, fax, or to the address listed below. Waiver
requests must be submitted no later than 15 days prior to the
application deadline date to: David Vos, Director of HIV/AIDS Housing,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Suite 7212, Washington, DC 20410-7000.
E-mail: [email protected], facsimile (fax) 202-708-9313.
[[Page 11669]]
Applicants who are granted a waiver based on a HUD-approved
justification must submit their applications in accordance with the
requirements stated in the approval to the waiver request. Paper
applications must be received by HUD at the proper location by the
deadline date.
V. Application Review Information
A. Criteria
1. Criteria for Project Applications
a. Departmental Policy Priorities. As outlined in the General
Section, HUD has identified policy priorities that project applicants
are encouraged to address through their proposed project plans. HUD has
identified five Departmental policy priorities as being applicable for
new HOPWA projects. Applications for HOPWA funding will receive rating
points for each applicable Departmental 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 the General Section, for applicants seeking
HOPWA funds for capital development activities, including
rehabilitation or new construction, or identifying leveraged
commitments of other funds for these activities in assisting HOPWA
beneficiaries, 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 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, or in maintaining housing or
community facilities to be undertaken in the proposed project with
HOPWA or other funds. This would also apply to undertaking 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. The Energy Star standard is as defined in 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 the General Section, completes the regulatory
barriers policy questionnaire, ``Questionnaire for HUD's Initiative on
Removal of Regulatory Barriers'' (Form HUD-27300) and provides the
required documentation, contact information and/or a Web site link
where the information can be readily found.
b. Program Policies--Target Population. Prior to the award of other
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
persons who are chronically homeless persons with HIV/AIDS. 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 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. Economic opportunities for low- and very low-income persons--
Section 3. 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) demonstrate in their application how they
will incorporate Section 3 principles into their project with goals for
expanding opportunities in their service area for Section 3 residents
and businesses. As defined in Section V of the General Section, the
purpose of Section 3 is to ensure that employment and other economic
opportunities generated by F ederal financial assistance for housing
and community development programs, shall, to the greatest extent
feasible, be directed toward low- and very-low income persons.
d. Application Selection Process for 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 by using not more than five double-
spaced, typed pages or a similar chart or table. 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 program in relation to
which entity is carrying out an activity.
(1) With regard to both you and your project sponsor(s), you should
demonstrate:
(a) Past experience and knowledge in serving persons with HIV/AIDS
and their families;
(b) Past experience and knowledge in programs similar to those
proposed in your application, including HOPWA formula funding;
(c) Experience and knowledge in monitoring and evaluating program
[[Page 11670]]
performance and disseminating information on project housing outputs
and client outcomes; and
(d) Past experience as measured by expenditures and measurable
progress in achieving the purpose for which funds were provided.
(2) In reviewing the elements of the paragraph above, HUD will
consider:
(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 proposed activities. You and
any project sponsor will be judged in terms of recent, relevant, and
successful experience of staff in undertaking eligible program
activities.
(b) 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.
(c) If you and/or the project sponsor received funding in previous
years in the program area for which you seek funding, those past
experiences 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:
(i) Meeting applicable performance benchmarks in program
development and operation;
(ii) Meeting project goals and objectives, such as the HOPWA output
for the number of homeless persons assisted in comparison to the number
that was planned at the time of the application;
(iii) Submitting timely performance reports and other results, such
as client outcomes in maintaining stable housing, reducing risks of
homelessness and improving access to care; and
(iv) 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
to be eligible for funding under this NOFA. An application that plans
to use project sponsors but fails to provide information on their
capacity could not receive the minimum score.
Rating Factor 2: Need/Extent of the Problem (15 Points)
Address the following factor using not more than five double-spaced
typed pages or similar chart or table. 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 nationwide 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.1.b., are not being met in the project area and that
reliable statistics and data sources (e.g., 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 specific elements
of 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. A Consolidated Plan certification
alone is not sufficient to demonstrate need for the project as
established under this criterion.
(1) If you apply for a SPNS 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. You
must further describe 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 that 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 that will operate in a non-
formula area or balance-of-state area, you must describe the housing
need that is not currently addressed by other projects or programs in
the area including any HOPWA competitive grants or other HIV/AIDS
housing projects 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.,
HOPWA eligible persons who are chronically homeless), 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 housing, benefits, aid, or services as effective 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 Qualities (45 Points)
Address this factor on not more than ten (10) double-spaced, typed
pages or similar chart or table. Include the HOPWA Budget forms
identified in this NOFA. 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, 7 for public policy priorities,
and 18 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 to the needs of eligible persons and that
your plan for project coordination will offer model
[[Page 11671]]
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 (27
points). HUD will award up to 27 points (Responsiveness--15 points and
Coordination--5 points and Public Policy Priorities--7 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.1.b. 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:
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
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 applicants. In
proposing a housing project, you must describe how eligible persons
will access permanent housing and/or use emergency, short-term and
transitional housing support through your project and through any
specific commitments with other community housing providers. If your
project involves some initial emergency or transitional assistance for
clients, please describe your plans to facilitate the movement of
eligible persons receiving this emergency or transitional housing
support to permanent housing or independent living arrangements within
24 months.
(ii) Permanent housing placement. If you use funds to help
beneficiaries secure new housing units, please describe your plans to
use funds and the related housing outputs for these permanent housing
placement services (under that budget line item) such as costs for
first month's rent and security deposits;
(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
undertaking the development activities. Please identify the planned
site or structure and describe any progress on securing the identified
project site(s) or structure(s), to demonstrate that the development
activities will be undertaken consistent with the related benchmarks
for those activities. The project must be cost-effective, including
costs not deviating substantially from the norm in that locale for the
type of structure or kind of activity. The highest rated projects
involving development costs will demonstrate that HOPWA funds will not
be used as the initial or sole funding source for capital development
housing projects and significant progress has been made to identify and
secure the proposed project site or structure.
(v) Operational Procedures. Describe your outreach, intake,
engagement 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. If persons
who are homeless are to be assisted, including persons who are
chronically homeless, describe the housing activities and necessary
support to identify, prioritize and respond to their supportive housing
needs in coordination with other area assistance for persons who are
homeless. Also address the number of permanent housing beds for the
chronically homeless that would become available for occupancy during
each of your project operating years.
(b) Supportive Service Activities. You must describe how you will
address the supportive service needs of eligible persons 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 health care and other supportive
services;
(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
[[Page 11672]]
agreements provide that eligible persons access medical care and other
mainstream supportive services to address their needs.
(c) Additional HOPWA 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.
(d) Other Approvable Activities. As authorized by statute, HUD may
approve other activities that are 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 planned application 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 may provide information on your primary decision-making group in
providing leadership to your efforts as well as other organizations
participating in planning activities, such as committees, workgroups,
public meetings, forums etc. and the frequency of meetings. You will be
rated on the extent to which you demonstrate you have:
(a) Coordinated your proposed application 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
stakeholders, such as 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
applications 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 (7 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 make a
specific statement on their commitment to address each priority or to
otherwise demonstrate how these priorities will be addressed:
(a) In accordance with the General Section, for applicants seeking
HOPWA funds or uses related leveraged 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
development activities undertaken with HOPWA or leveraged 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 nonprofit grassroots community-based organization,
including faith-based organizations, as defined in the General Section.
(c) For one rating point under project soundness of approach, the
grantee, or project sponsor(s), commits to promote energy efficiency by
adopting or following the Energy Star standard in any new construction
or rehabilitation activity or in maintaining housing or community
facilities to be undertaken in the proposed project with HOPWA or other
funds. This would also apply to undertaking 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. The Energy
Star standard is as defined in the General Section.
(d) For two rating points under project soundness of approach, your
application involves a 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 the General Section.
(4) Economic Opportunities for Low- and Very-Low Income Persons--
Section 3. For up to two rating points under project soundness of
approach, your application demonstrates how you are incorporating
Section 3 principles into your project with goals for expanding
employment and other opportunities in your service area for Section 3
residents who are low and very-low income persons, and related business
concerns, as defined in Section III.C.4 of the General Section,
b. Model Qualities (18 points). HUD will award up to 18 points
based on your service delivery plan and how well it will serve as a
model for a housing project during the operating period. HUD expects
the proposed project to show exemplary and/or innovative qualities that
address the ongoing housing needs of eligible persons by establishing
or maintaining stable housing arrangements by project activities that
will be undertaken 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
[[Page 11673]]
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 Features. Describe how the planned efforts for the type
of proposed project, Long-term or SPNS, 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 housing activities to be undertaken
in a non-formula area. A SPNS project must involve a plan and
commitments to establish or maintain stable housing arrangements 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
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. 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) Model Descriptive Budget. HUD will review your budget under the
HOPWA budget form (HUD-40110-B) 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; 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.
Rating Factor 4: Leverage and Sustainability (10 Points) (Minimum for
Funding Eligibility 1 Point)
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. HUD will award up to
10 points based on the extent to which resources from other state,
local, federal, or private resources are listed with the required
elements to demonstrate that these funds are committed at the time of
application to support and sustain your project. To receive the highest
leveraging points based on the amount of commitments, up to 8 points,
you must provide information on the commitment of other resources that
at least equal the amount of the HOPWA request for program activities
(not including administrative costs) as part of your plan to operate
this project over the next 3 year period. Applications must receive a
minimum of 1 point in this Rating Factor to demonstrate the commitment
of other resources to be eligible for funding under this NOFA with the
standards described in Section IV (B)4 on Leveraging. Applicants will
be awarded points based on the content of a list or chart for the
commitments with the following information: the name and address of the
organization(s) providing the commitment(s) (note if the organization
will serve as a project sponsor); the type of commitment (applicant or
third party cash resources, non-cash resources, volunteer time,
contribution of a building, contribution of lease hold interest); the
dollar value of the commitment; the date of the commitment letter or
other document; the source of the funding, such as federal, state,
local, private or in-kind contributions; and the organization's
authorized representative's name, title, and contact information who
has made this commitment. For up to two additional points, the
application must address the project's sustainability as shown in a
plan for obtaining and coordinating identified resources to be more
financially self-sustaining. The highest rated plan will show how the
project will decrease dependency on federal funding at the end of the
operating period and rely more on state, local, and private funding to
continue support for beneficiaries.
Factor 5: Achieving Results and Program Evaluation (Maximum 10 points)
Address this factor in your Logic Model (and optionally in a
supplemental related narrative if performance elements are added to
those available on this form) on not more than three additional double-
spaced, typed pages or similar chart or table. 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.
The highest-rated applications will have a clear plan to address
the HOPWA client outcome goals 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 health care and other support. The
application may also optionally address other related indicators of
relevant outcomes.
The highest rated applications will also have a clear plan to use
the HOPWA housing output measures--the projected number of households
to be assisted in HOPWA-supported housing units by type (tenant-based
rental assistance, STRMU payments and assistance in housing facilities)
to be provided to eligible households through your project during each
project-operating year. The application may also optionally address
other related outputs. Your application must include the Logic Model
form (HUD-96010) to receive any points under this factor.
B. Reviews and Selection Process
1. HOPWA Project Applications
a. Threshold Reviews. HUD will review your HOPWA application to
ensure that it meets the threshold requirements found in the General
Section and Section III.C of this NOFA
[[Page 11674]]
pertaining to a request for a Long-term project or an SPNS project.
b. HUD Reviews. HUD staff will conduct this review, including HUD
staff from Community Planning and Development (CPD) 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, HUD will award
two bonus points to each application that includes a valid form HUD-
2990 certifying that the proposed activities/projects in the
application are consistent with the strategic plan for an empowerment
zone (EZ) designated by HUD or the United States Department of
Agriculture (USDA), the tax incentive utilization plan for an urban or
rural renewal community designated by HUD (RC), or the strategic plan
for an enterprise community designated in Round II by USDA (EC-II) and
that the proposed activities/projects will be located within the RC/EZ/
EC-II identified above and are intended to serve the residents. A
listing of the RC/EZ/EC-IIs is available on the Internet at http://www.hud.gov/offices/cpd/economicdevelopment/programs/rc/tour/roundnumber.cfm. This notice contains the certification form HUD-2990
that must be completed for the applicant to be considered for RC/EZ/EC-
II bonus points. 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 projects, and the amount of funds that are available
to be awarded by this competition. Funds made available from federal
Fiscal Year 2007 must first be used to fund the priority selection of
expiring competitive projects that undertake permanent supportive
housing activities (as a change from prior years, renewal applicants
are not part of this NOFA process and will be conducted by HUD by a
separate action). If any such funds remain after renewal actions are
funded, then the funds will be used under this NOFA competition to fund
additional projects. HUD will select applications in rank order in each
category of assistance (Long-term and SPNS) to the extent that funds
are available, except as outlined in this Program NOFA, where HUD
reserves the right to select two projects addressing the housing needs
of persons who are chronically homeless as the target population
established under program policies. 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 or Rating Factor 4--Leveraging
score lower than 1 point.
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: Rating Factor 3; Rating Factor 5; Rating Factor 1; Rating Factor
2; and Rating Factor 4.
C. Anticipated Announcement and Award Dates
The anticipated announcement of the projects selected under this
notice is no later than August 31, 2007.
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 e-mail 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 VI.A.2, Adjustments to Funding, of the General Section.
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 not to make an award to that applicant. In 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 an award to the final selected project (by order of
ranking), HUD may offer less than the full amount requested by an
applicant that had 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 ranked 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 the General Section
for the information on how to meet this requirement.
2. Procurement of Recovered Materials. See the General Section for
the information on how to meet this requirement.
C. Reporting
1. Six-Month Report. For any new project (i.e., a conditionally
selected applicant that has not previously received a HOPWA competitive
grant), you must provide an initial report to the
[[Page 11675]]
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.
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), comparing your results
to proposed plans, including reporting under the 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 health care 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. In addition, on an annual
basis, you must respond to the management questions in the Program
Logic Model found as an appendix to this program Section. 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 (OMB) Standards for the collection of Racial
and Ethnic Data. In view of these requirements, you should use one of
the following:
HUD-27061, Racial and Ethnic Data Reporting Form
(instructions for its use) found on www.HUDclips.org;
A comparable program form (HOPWA--Annual Progress Report
(APR) form HUD-40110-C); or
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
send 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 at: www.hud.gov/offices/adm/grants/
fundsavail.cfm. HUD staff can assist with program questions, but may
not assist in preparing your application. Persons with hearing or
speech impairments 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
Paperwork Reduction Act. The information collection requirements
contained in this document have been approved by 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 in order to
receive the benefits to be derived.
[[Page 11676]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.023
[[Page 11677]]
Assisted Living Conversion Program (ALCP) for Eligible Multifamily
Housing Projects
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: 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-5100-N-28.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The
Assisted Living Conversion Program for Eligible Multifamily Housing
Projects is 14.314.
F. Dates: Applications must be received and validated by Grants.gov
no later than 11:59:59 p.m. Eastern Time on June 7, 2007. See the
General Section for specific instructions regarding application
submission.
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 NOFA. Funding will only be provided
for those items related to the conversion.
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
A. 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,
and/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. You may charge assisted living residents for meals and/or service
fees. Residents may contract with third party agencies directly for
nursing, therapy, or other services not offered by the ALF.
B. Authority. The Assisted Living Conversion Program is authorized
by Section 202b of the Housing Act of 1959 (12 U.S.C. 1701q-2) and the
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5,
approved February 15, 2007) which provides $24.8 for the conversion of
eligible projects to assisted-living or related use and for emergency
repairs, and the government-wide rescissions pursuant to the Department
of Defense Appropriations Act.
II. Award Information
A. Available Funds. This NOFA makes available approximately $30
million including carryover funds. The funds will be used for the
physical conversion of eligible multifamily assisted housing projects
or portions of projects to ALFs.
Under the ALCP, the 18 HUD Multifamily Hubs are grouped into four
geographical areas so that the amount of fair-shared grant funds will
be sufficient to enable reasonable competition, and insure projects of
feasible size and quality. The four geographical areas and the lead Hub
under the ALCP for each are:
The lead Hub for the East Geographic Area is Buffalo (the other
Hubs which feed into Buffalo for the ALCP are Boston, New York,
Philadelphia and Baltimore).
The lead Hub for the South Geographic Area is Fort Worth (the other
Hubs which feed into Fort Worth for the ALCP are Greensboro,
Jacksonville, and Atlanta).
The lead Hub for the Central Geographic Area is Kansas City (the
other Hubs which feed into Kansas City for the ALCP are Chicago,
Columbus, Detroit, and Minneapolis).
The lead Hub for the West Geographic Area is San Francisco (the
other Hubs which feed into San Francisco for the ALCP are Seattle, Los
Angeles, and Denver).
The allocation formula used to fair share the $30 million for the
ALCP reflects demographic characteristics of age and incidence of
frailty that would be expected for program participants. The FY2007
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, for the four geographical areas are as shown on the following
chart:
B. FY 2007 Allocation
FY 2007 Allocation for the Assisted Living Conversion Program (ALCP) of
Eligible Assisted Multifamily Projects
------------------------------------------------------------------------
Grant
Area authority
------------------------------------------------------------------------
East....................................................... $7,530,990
South...................................................... 9,504,338
Central.................................................... 7,043,100
West....................................................... 5,921,572
------------
Total.................................................. 30,000,000
------------------------------------------------------------------------
[[Page 11678]]
The ALCP Grant Agreement, when fully executed, obligates 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)
may apply for 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 hospitals or other health-related facility which are
considered to be eleemosynary institutions.
g. Owner of an existing insured or privately owned Assisted Living
Facility.
h. Owners of commercial structures.
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 and have completed final closing.
Eligible projects may only receive one grant award. 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.
B. Cost Sharing or Matching. No matching required.
C. Eligibility Requirements
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) 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.;
(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) Sprinkler systems;
(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.
e. Consultant, architectural, and legal fees.
f. Vacancy payments limited to 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.
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.
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 www.hud.gov/offices/adm/grants/duns.cfm or http://www.grants.gov/applicants/request_duns_number.jsp.
c. You cannot request more funds than allocated for your
geographical area. (See the allocation chart above in Section II.B.)
d. 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).
e. You must comply with all applicable statutory requirements
specified in Section 202b and statutory requirements under Section
232(b)(6).
f. 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.
g. You must submit the required number of copies of your completed
ALCP application by the deadline date, if you requested and received a
waiver
[[Page 11679]]
of the electronic submission requirement. The notification granting
your waiver request will specify requirements for paper application
submission, including the required number of copies and where to submit
the application.
h. If you submit a substantially deficient application, that is, an
application missing six or more exhibits, the application will be
considered non-responsive to the NOFA, thus leaving your application
ineligible for review. Refer to Section IV.B, Content and Form of
Application Submission for further information.
3. Program Requirements
a. You must 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 Loan
Management Set-Aside (LMSA) contract, or any other HUD grant or
contract document.
c. If selected, 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 within 30 days of execution of the grant award.
d. Your project must meet HUD's Uniform Physical Conditions
Standards at 24 CFR part 5, subpart G. Meeting these standards, based
on the most recent REAC physical inspection report and responses
thereto, means that the project, 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 a management
review with a rating of ``minimally satisfactory'' or
``unsatisfactory'' with open and unresolved findings.
e. You must submit, with your application, 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 Section IV.B. below 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(s) 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 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.
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 ALF 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.
(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, if applicable, 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:
(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.
o. The management of the project must set up a separate waiting
list for ALF units. ALF units must be for 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
[[Page 11680]]
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.
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. 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. 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 under Exhibit
11, must indicate the dollars requested. Do NOT attach the whole
service coordinator application. You may also show evidence that
funding for the enhanced service coordination is provided by other
sources by indicating such funding on the form SF-424. 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, 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 at 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, (not including rent for the unit)
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.)
t. 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 implementing regulations at 24
CFR part 135. You must ensure that training, employment, and other
economic opportunities shall, to the greatest extent feasible, be
directed toward low- and very low-income persons, particularly those
who are recipients of government assistance for housing and to business
concerns which provide economic opportunities to low- and very low-
income persons and including people with disabilities.
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,
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. 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 contracting opportunities generated by HUD's financial
assistance. (Refer to the
[[Page 11681]]
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. 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 HUD's LEP guidance,
``Notice of Guidance to Federal Assistance Recipients Regarding Title
VI Prohibition Against National Origin Discrimination Affecting Limited
English Proficient Persons,'' 72 FR 2732 (January 22, 2007) or see the
following web site, http://www.lep.gov/recip.html.
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 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.
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/applicants/apply--for--grants.jsp. 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 access
this number via TTY by calling the Federal Information Relay Service at
800-877-8339. Please be sure to provide your name, address (including
zip code), and telephone number (including area code).
1. Multiple Applications. Owners may not submit multiple
applications for the same elderly housing development. HUD will only
accept one ALCP application per project.
2. For Technical Assistance. Before the ALCP application deadline
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 e-mail
message to [email protected].
3. Satellite Broadcast. HUD will provide a satellite broadcast for
potential applicants. For more information about the date and time of
the broadcast, you should contact your local HUD Office or go to HUD's
Web site at: www.hud.gov/webcasts/index.cfm.
B. Content and Form of Application Submission. There are eleven
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 Exhibits 2(a) and (b).
In addition to the relief of paperwork burden, you will not have to
submit certain 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 FY2007 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.
2. 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.
3. 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 11682]]
(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.
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, complete Part A or
Part B (not both), provide the required documentation, where requested,
and include a point of contact. See Rating Factor 3 in Section V.A. of
this NOFA for more details.
4. Evidence of your project being occupied for at least five years
prior to the date of application to HUD.
5. 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:
(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.
(2) A description of the services currently available to the
residents and/or provided on or off-site and what services are lacking;
b. Evidence of the need for ALF units by very low-income elderly
and disabled households in the market area; a description of the trend
in elderly and disabled population and household change; data on the
demographic characteristics of the very low-income elderly in need of
assisted living services (age, race, sex, household size, and tenure)
and extent of residents with frailty/limitations in 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).
6. 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 the 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. 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.
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.6.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.
i. A description of any relocation of current tenants including a
statement that:
(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.
(4) Temporary relocation should not extend beyond one year before
the person is returned to his or her previous
[[Page 11683]]
unit or location. The grantee must contact any residential tenant who
has been temporarily relocated for a period beyond one year and offer
all permanent relocation assistance. This assistance would be in
addition to any assistance the person has already received for
temporary relocation, and may be reduced by the amount of any temporary
relocation assistance.
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).
j. Address how training, employment, and economic opportunities
will be directed to low- and very low-income persons that receive
government assistance for housing and to business concerns which
provide economic opportunities to low- and very-low-income persons and
people with disabilities.
7. 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.
8. 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.
9. 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. above. For those applicants needing to contact state
Medicaid offices, a list is provided on the Internet at
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. 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.
10. A description of your project's resources:
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 FY2007 AFS was due to
REAC more than 120 days BEFORE the deadline 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
deadline date of this application, you MUST include a paper copy of
your AFS in the application. See Section IV.F.5. of this NOFA for
information on addresses to submit paper applications.
11. Forms and Certifications. The electronic version of the NOFA
contains all forms required for submitting the ALCP application. The
following exhibits, forms, certifications, and assurances are required.
a. Form HUD-92045, Multifamily Housing Assisted Living Conversion
Program Application Summary Sheet.
b. 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
[[Page 11684]]
Contact) for state review in accordance with Executive Order 12372
(refer to the General Section for instructions in submitting this
form).
c. SF-424 Supplement, Survey for Ensuring Equal Opportunity for
Applicants (``Faith Based EEO survey (SF-424SUPP)'' on Grants.gov);
d. Form HUD-424-CB, Grant Applications Detailed Budget (HUD
Detailed Budget Form'' on Grants.gov);
e. Form HUD-424-CBW, Grant Application Detailed Budget worksheet;
f. Form HUD-2880, Applicant/Recipient Disclosure/Update Report
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov),
including Social Security and Employment Identification numbers. A
disclosure of assistance from other government sources received in
connection with the project.
g. 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.
h. Form HUD 2994-A, You Are Our Client Grant Application Survey,
optional.
i. Standard Form-LLL, Disclosure of Lobbying Activities, if
applicable.
j. Form HUD-96010, Program Outcome Logic Model.
k. Form HUD-27300, America's Affordable Communities Initiative/
Removal of Regulatory Barriers (and supporting documentation) (``HUD
Communities Initiative Form'' on Grants.gov).
l. Certification of Consistency with RC/EZ/EC-II Strategic Plan
(HUD-2990), if applicable.
m. HUD-96011, ``Third Party Documentation Facsimile Transmittal''
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used
as the cover page to transmit third party documents and other
information as described in the General Section as part of your
electronic application submittal (if applicable).
C. Submission Date and Time
Application Submission Date. Unless you received a waiver to the
electronic application submission requirements, your completed ALCP
application must be submitted via http://www.grants.gov/applicants/applyfor_grants.jsp and must be received and validated by Grants.gov
no later than 11:59:59 eastern time on the application deadline date
(June 7, 2007). (Refer to Section IV. 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. 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. This program does NOT cover the cost of meals and supportive
services. 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).
3. Applicants will not be awarded multiple grant funds for the same
elderly housing development.
4. Ineligible Activities. You may not use funds available through
this NOFA to:
a. Add additional dwelling units to the existing project
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
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 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.
F. Other Submission Requirements
Application Submission and Receipt Procedures. Refer to Section
IV.F. of the General Section for additional information on application
submission requirements.
1. Electronic Delivery
a. The Grants.gov Web site offers a simple, unified application
process. There are several registration steps applicants need to
complete. Further information is contained in the General Section
published on January 18, 2007
[[Page 11685]]
(72 FR 2396). ALCP applicants should also read HUD's Federal Register
Notice on Early Registration published in the Federal Register on
October 31, 2006 (71 FR 64070).
b. Electronic signature. ALCP applications submitted through
Grants.gov constitute submission as an electronically signed
application.
2. Instructions on how to submit electronically are outlined in
HUD's ``Desktop User's Guide'' located on HUD's Grants Web site at:
http://www.hud.gov/grants/index.cfm.
3. Waiver of Electronic Submission Requirement. Applicants
interested in applying for funding under this NOFA must submit their
applications electronically or request a waiver of the electronic
submission process. Waiver requests must be submitted by mail or by
fax. For this program NOFA, e-mail requests will not be considered.
Waiver requests submitted by mail or fax should be submitted on the
applicant's letterhead and signed by an official with the legal
authority to request a waiver from the Department. Waiver requests must
be submitted no later than 15 days prior to the application deadline
date and should be sent to Brian D. Montgomery, Assistant Secretary for
Housing-Federal Housing Commissioner, Department of Housing and Urban
Development, 451 Seventh Street, SW., Room 9100, Washington, DC 20410-
8000. Waiver requests submitted by fax must be sent to (202) 708-3104.
If you are granted a waiver to the electronic submission process, your
application must be received by HUD no later than 11:59:59 PM eastern
time on the application deadline date. See the General Section for
additional information.
4. Proof of Timely Submission. ALCP applicants must submit their
applications via grants.gov (http://www.grants.gov/applicants/apply--
for--grants.jsp) in time for receipt and validation by 11:59:59 p.m.
eastern time on the application deadline date of June 7, 2007.
Validation can take up to 72 hours so applicants should submit with
ample time for the process to be completed. Applicants are also advised
to submit with sufficient time to correct any deficiencies that would
prevent the acceptance of your application by Grants.gov. (Refer to the
General Section for specific procedures regarding proof of timely
submission of applications.)
5. Hubs and Field Offices addresses. If you are granted a waiver to
the electronic application submission requirement, your waiver approval
will provide the information on the number of copies of the application
you are required to submit and where to submit the application. If you
send your application to the wrong Hub Office, it will be rejected.
Therefore, upon receiving your waiver approval, if you are uncertain as
to which lead HUD Multifamily Hub to submit your application, you are
encouraged to contact the local HUD Office that is closest to your
project's location to ascertain the lead HUD Multifamily Hub to ensure
that you submit your application to the correct local lead HUD
Multifamily Hub Office. Paper applications must be received in the
appropriate lead HUD Multifamily Hub by the application deadline date.
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 100 plus 2 bonus points
as described in the General Section and Section V.A. below.
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.6.a. and b. and 9.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. Examples are: Timeframe for
completion of the project in 9 months or less (9 points); completion in
13 months (5 points); completion in 13-18 months (3 points); completion
in more than 18 months (0 points).
b. (10 points). Describe your past experience in providing or
arranging for supportive services either on or off site for those who
are frail. Examples are: Meals delivered to apartment of resident or in
a congregate setting (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. The application must include evidence of
current needs among project residents and needs of potential residents
in the housing market area for such persons including economic and
demographic information on very low-income, frail, elderly, and persons
with disabilities and information on current assisted living resources
in the market area.
The factor also addresses your inability to fund the repairs or
conversion activities from existing financial resources. In making this
determination, HUD will consider the project's financial information.
Submit information responding to this factor in accordance with
Application Submission Requirements in Sections IV.B.3.c., 5. a.
through d., and 10. 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
disabled residents of the project taking into consideration those
currently in need and the depth of future needs given aging in place.
b. (3 points). 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
[[Page 11686]]
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).
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, provide training, employment, and economic
opportunities to low- and very low-income persons, 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. Submit information
responding to this factor in accordance with Application Submission
Requirements in Sections IV.B.3.a. through c. and e., IV. B.5.e.,
IV.B.6.b. through e., IV. B.9.a. through e., g., and h. of this NOFA.
In evaluating this factor, HUD will consider the following:
a. (10 points). The extent to which the proposed ALF design will
meet the special physical needs of frail elderly persons or persons
with disabilities (ALF design: meets needs = 10 points; ALF design
partially meets needs = 5 points; and ALF design does not meet needs =
0 points).
b. (10 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 upon completion of the
conversion and receipt of license for the operation of the facility.
(Consider ALF design/management plan: meets needs of management
operations = 10 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 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 in support of 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 complete Part A or B (not
both), include some form of documentation, where requested, and include
a point of contact in their response using 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. (Refer to the General Section for further information.)
g. (2 points). To the greatest extent feasible, describe how you
propose to provide opportunities to train and employ low- and very low-
income persons in the project area; and how you plan to award contracts
to business concerns which provide economic opportunities to low- and
very low-income persons and people with disabilities in the project
area.
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.6.h. and i., B.7.,
and B.9.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).
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.3.d., 6.a. through g., and 9.a. through e.
of this NOFA. Applicants must complete Form HUD-96010, Program Outcome
Logic Model in responding to this Rating Factor.
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;
[[Page 11687]]
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 points). 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).
2. Review for Curable Deficiencies. You should ensure that your
application is complete before submitting it to HUD electronically via
grants.gov. If you received a waiver of the electronic submission
requirement, you must submit an original and four copies to the
appropriate lead HUD Multifamily 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 deadline 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 lead 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/Forms
*Application Summary
*Articles of Incorporation, or certification of Articles
of Incorporation
*By-laws, or certification of by-laws
Evidence of occupancy for at least five years
Original project plans
Relocation Plan
Evidence of Permissive Zoning
Form SF-424 Supplement, Survey for Ensuring Equal
Opportunity for Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on
Grants.gov);
Form HUD-424-CB, Grant Applications Detailed Budget ``HUD
Detailed Budget Form'' on Grants.gov);
Form HUD-424-CBW, Grant Application Detailed Budget
worksheet
Form HUD-2880, Applicant/Recipient Disclosure/Update
Report (``HUD Applicant Recipient Disclosure Report'' on Grants.gov);
Form HUD-2991, Certification of Consistency with the
Consolidated Plan
Form HUD-2994-A, You Are Our Client Grant Applicant
Survey, optional;
Standard Form-LLL, Disclosure of Lobbying Activities, if
applicable
HUD-96011, ``Third Party Documentation Facsimile
Transmittal'' (``Facsimile Transmittal Form on Grants.gov) (For use
with electronic applications as the cover sheet to provide third party
documentation.)
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 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 will be 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
will remain rejected.
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. 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 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. 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. 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.
a. Hub staff teams will be established for ALCP review in each
geographical area to do the application ratings. After the team's
ratings are finalized, the team
[[Page 11688]]
will place all rated applications within that geographical area in rank
order.
b. From within rank order, Hub staff teams in each of the four
geographical areas will select the highest ranked applications from
within that geographical area in rank order, without regard to which
Hub the application was submitted which can be funded from within the
dollars available.
c. After making the initial selections, however, HUD may use any
residual funds in each geographical area 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 geographical area. Finally, HUD will use these funds
for selecting one or more additional applications based on the field
staff rating and rankings, beginning with the highest rated application
nationwide. Only one application will be selected per geographical area
from the national residual amount. If there are no approvable
applications in other geographical areas, the process will begin again
with the selection of the next highest rated application nationwide.
This process will continue until all approvable applications are
selected using the available remaining funds. If there is a tie score
between two or more applications, and there are insufficient residual
funds to cover all tied applications, HUD Headquarters staff will
choose the winning application(s) by lottery and/or reduction of grant
requests consistent with the instructions above.
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. 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 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 lead HUD Multifamily 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
Recipients of funding under this program NOFA shall submit a
progress report every six months after the effective date of the Grant
Agreement. Every six months owners must report their progress in
attaining the goals and objectives they proposed in their ALCP Logic
Model that was included in their application. Each semi-annual report
must identify any deviations (positive or negative) from outputs and
outcomes proposed and approved by HUD, by providing the information in
the reporting TAB of the approved Logic Model. For FY 2007, HUD is
considering a new concept for the Logic Model. The new concept is a
Return on Investment statement. HUD will be publishing a separate
notice on the ROI concept.
VII. Agency Contacts
A. For Further Information and Technical Assistance. You should
contact the HUD Multifamily Hub in your geographical area. For a list
of HUD Multifamily Hub Offices, see HUD's Web site at http://www.hud.gov/offices/adm/ grants/fundsavail.cfm.
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 Faye-- L.--
[email protected] and Ms. Williams at [email protected]. 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.
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. Appendix. Appendix 1 provides a list of HUD Multifamily Hub
Offices. Appendix 1 may be found at HUD's Web site at http://www.hud.gov/offices/adm/ grants/fundsavail.cfm.
[[Page 11689]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.024
[[Page 11690]]
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 is FR-
5100-N-03. The OMB approval number is 2502-0447.
E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.191,
Multifamily Housing Service Coordinators.
F. Dates: The application deadline date is June 8, 2007. (All
applications must be received and validated by www.grants.gov no later
than 11:59:59 p.m. Eastern Time on the application deadline date. See
submission details in the General Section.)
G. Optional, Additional Overview Information
1. Available Funds. Approximately $51.6 million in fiscal year 2007
funds are available for the Service Coordinator program. Of these
funds, approximately $3.5 million are 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.
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. 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
[[Page 11691]]
some of the Service Coordinator's functions.
II. Award Information
A. Available Funding. The Revised Continuing Appropriations
Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007) provides
approximately $51.6 million to fund Service Coordinators and the
continuation of existing Congregate Housing Services Program (CHSP)
grants. Approximately $3.5 million of the available $51.6 million will
be used to fund new Service Coordinator programs. The remaining amount
of $48.1 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.
C. 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 reports, financial status reports,
and Logic Model forms.
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. 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 with 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, or excess income) 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 by the applicant in the grant application.
g. You may use funds to continue a Service Coordinator program that
has previously been funded through other sources. To be deemed
eligible, you must provide evidence that these resources have 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 FY 1992. HUD currently provides one-year
extensions to these subsidy awards and grants through a separate
funding action.)
4. 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.
5. Ineligible Applicants and Developments
a. Property management companies, area agencies on aging, and other
like organizations are not eligible applicants for Service Coordinator
funds.
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. The functions of a Service Coordinator
position are considered the program's eligible activities. The major
functions of the Service Coordinator include the following:
a. 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.
[[Page 11692]]
b. Educate residents on service availability, application
procedures, client rights, etc.
c. 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.
d. 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 7 CFR
1944.258 for Rural Housing developments)).
e. Monitor the ongoing provision of services from community
agencies and keep the case management and provider agency current with
the progress of the individual. Manage the provision of supportive
services where appropriate.
f. Help the residents build informal support networks with other
residents, family and friends.
g. 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.
h. Create a directory of providers for use by both development
staff and residents.
i. 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.
j. 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. Eligible Program Costs
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. Only ALCP applicants 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. The additional hours and/or staff
must work only with ALCP residents.
3. Threshold Requirements
a. At the time of submission, grant applications must contain the
materials in Section IV.B.2.a and c of this NOFA in order to be
considered for funding. If any of these items are 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. 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.
4. 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-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
[[Page 11693]]
an environmental assessment, based on the proposed program activities.
IV. Application and Submission Information
A. Obtaining Grant Application Packages. Applicants may download
the Instructions to the application found on the grants.gov Web site at
http://www.grants.gov/applicants/apply--for--grants.jsp. 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 at 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. Persons with hearing or speech impairments may access
this number via TTY by calling the Federal Information Relay Service at
(800) 877-8339.
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.2.b(4) 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 http://www.grants.gov/apply_for_grants.jsp. The items are as follows:
1. Standard Forms
a. Application for Federal Assistance (SF-424)
b. Faith Based EEO Survey (SF-424 SUPP).
c. If engaged in lobbying, the Disclosure of Lobbying Activities
Form (SF-LLL)
d. Applicant/Recipient Disclosure/Update Report (HUD-2880)
e. Logic Model, (HUD-96010). The Logic Model for the Service
Coordinator NOFA is contained in the application instructions download.
Applicants may select the items from the download menu in each column
that reflect their anticipated activity outputs and outcomes and select
the activities and outcomes that reflect your program into the
appropriate column in the Logic Model form. You must enter the
appropriate outcomes in the outcome column related to the output list
provided. The Master Logic Model listing also identifies the unit of
measure that HUD is interested in collecting for the outputs and
outcomes selected. In making the selections, you must identify the
appropriate predicted number of units of measure to be accomplished for
each out put and outcome. Use the space next to the output and outcome
to identify the anticipated units of measure. You may select multiple
outputs and outcomes.
f. Acknowledgment of Application Receipt (HUD-2993), for applicants
submitting paper applications only.
g. You Are Our Client Grant Applicant Survey (HUD 2994-A),
optional.
h. Facsimile Transmittal (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.
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. Evidence of comparable salaries in your local area.
c. 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) Describe 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) Describe your plan to address community resident needs, if
applicable to your program.
(5) 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. In this instance, your SC application will be
eligible only if the concerned housing development currently has no SC
program.
d. 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 (or the equivalent thereof), 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.
e. 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.
f. Agents may prepare applications and sign application documents
if they provide 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.
(1) If an agent is preparing an electronic application for an
owner, the owner must authorize the agent as the Authorized
Organization Representative (AOR) in the Grants.gov Registration
process. HUD will recognize this authority if the DUNS number included
in the application belongs to the owner corporation and the name of the
agent is listed as the AOR. Refer to Section IV.B. of the General
Section for more detailed registration information.
(2) 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.
3. Single and Joint Applications
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.
Small developments often join together to hire and share a part or
full-time Service Coordinator and submit a joint
[[Page 11694]]
application. 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 agrees to administer grant funds for all the housing developments
listed in the application.
4. Application Submission Requirements for ALCP Applicants
a. 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 NOFA. You may include a copy
of all standard forms submitted as part of your ALCP application.
b. 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 only. 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.c(5) of this NOFA.
C. Submission Dates and Times. The application deadline date is
June 8, 2007. (All applications must be received and validated by
www.grants.gov no later than 11:59:59 p.m. eastern time on the
application deadline date. See submission details in the General
Section.)
D. Intergovernmental Review. 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 (i.e. ``project funds''), 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 the use of project funds 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. Non-ALCP applicants may not 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. HUD will award grants
only to eligible projects that do not currently have (or are served by)
an SC program, regardless of the funding source used to operate that
program.
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. CHSP 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. 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.B and F of the General Section.
All applicants submitting Service Coordinator applications must submit
applications electronically.
2. Waiver of Electronic Submission Requirement. Applicants that are
unable to submit their application electronically must seek a waiver of
the electronic grant submission requirement. Requests for waivers must
be submitted to HUD no later than 15 days before the application
deadline date. Waiver requests must be submitted by mail or by fax. For
this program NOFA, e-mail requests will not be considered. Waiver
requests submitted by mail or fax should be submitted on the
applicant's letterhead and signed by an official with the legal
authority to request a waiver from the Department. The request must be
addressed to the Assistant Secretary for Housing at the following
address: Brian D. Montgomery, Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and Urban Development, 451
Seventh Street, SW., Room 9100, Washington, DC 20410-8000. Waiver
requests submitted by fax must be sent to (202) 708-3104. If a waiver
is granted, you will receive notification that provides specific
instructions on how and where to submit the paper application. You must
submit the required number of copies of your application (an original
and two copies) by no later than the local HUD office's close of
business on the application deadline date.
3. Application Copies. Applicants submitting electronic
applications must submit just one application to http://www.grants.gov/applicants/apply--for--grants.jsp. Applicants who receive a waiver for
electronic submission will receive submission instructions in the
waiver approval notification as to where the application should be
submitted and the number of
[[Page 11695]]
copies to be provided. If you do not follow the instructions provided
in your waiver approval, your application will be rejected. Therefore,
if you are uncertain to which local office to submit your application,
you should contact the local HUD office representative listed in the
notification as a local contact for clarification. Paper applications
received without a waiver will not be considered.
4. Field Office Addresses. For a list of field office addresses,
see HUD's Web site at http://www.hud.gov/localoffices.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 Center staffs.
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 received and validated by www.grants.gov no later than
11:59:59 PM on June 8, 2007. Paper applications are eligible if
received by the field office on or before the deadline date. Paper
applications not received by the deadline date will not be considered.
To be eligible for the lottery, in addition to meeting the timely
submission requirements, 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 FY2007 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 through project funds. As stated in paragraph
III.A.3.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. 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 each year of their period of performance:
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 corresponding to each six-month
reporting period, annually, and results for the entire grant term. The
reports should reflect achievements 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 measure, in a quantitative form, the
grantee's success in meeting these intended program outcomes. HUD is
also considering a new concept for the Logic Model, the Return on
Investment (ROI) Statement. HUD will be publishing a separate notice on
the ROI concept.
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 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.
VII. Agency Contacts
You may contact your local HUD field office staff for questions you
have regarding this NOFA and your
[[Page 11696]]
application. Please contact the Multifamily Housing 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) 402-2487 (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.
[[Page 11697]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.025
[[Page 11698]]
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: FR-5100-N-07; OMB Approval Number is
2502-0267.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.157,
Section 202 Supportive Housing for the Elderly.
F. Dates: The application deadline date is on or before May 25,
2007. Applications must be received and validated by Grants.gov by
11:59:59 p.m. eastern time on the deadline date. Please be sure to read
the General Section for electronic application submission and receipt
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 $431.5 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 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 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. 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 Revised Continuing Appropriations Resolution, 2007 (Pub. L.
110-5; approved February 15, 2007).
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 three 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 NOFA.
2. PRAC Funds. The initial PRAC award covers three years. The
amount awarded is determined by multiplying the number of revenue units
for elderly persons by the appropriate operating cost standard times 3.
The operating cost standards will be published by Notice.
II. Award Information
A. Available Funds. For FY2007, approximately $431.5 million is
available for capital advances for the Section 202 Supportive Housing
for the Elderly Program. The Revised Continuing Appropriations
Resolution, 2007 (Pub. L. 110-5; approved February 15, 2007) provides
approximately $742 million 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 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
$400,000 to be transferred to the Working Capital Fund. Additionally,
of the amount appropriated, approximately $51,600,000 is provided for
Service Coordinators and the continuation of Congregate Services
grants, up to $24,800,000 is provided for Assisted Living Conversion
grants and Emergency Capital Repairs, and approximately $20,000,000 is
provided for a Section 202 Demonstration Pre-Development 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 NOFA.
The announcement of the availability of funds for Emergency Capital
Repairs will be addressed in a separate Federal Register publication.
In accordance with the waiver authority provided in the Department
of Housing and Urban Development Appropriations Act, 2006 (Pub. L. 109-
115; approved November 30, 2005), the Secretary is waiving the
following statutory and regulatory provision: The term of the project
rental assistance
[[Page 11699]]
contract is reduced from 20 years to 3 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 FY2007 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 June
2003 definitions by the Office of Management and Budget.
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:
FY 2007 SECTION 202 ALLOCATION BY FIELD OFFICE
----------------------------------------------------------------------------------------------------------------
Metropolitan Non-Metropolitan Totals
---------------------------------------------------------------------------------
Offices Capital Capital Capital
Units advance Units advance Units advance
----------------------------------------------------------------------------------------------------------------
BOSTON HUB
----------------------------------------------------------------------------------------------------------------
BOSTON........................ 107 $14,777,154 5 $688,957 112 $15,466,111
HARTFORD...................... 56 7,970,321 5 713,661 61 8,683,982
MANCHESTER.................... 36 4,005,849 19 2,044,752 55 6,050,601
PROVIDENCE.................... 36 4,988,499 .............. .............. 36 4,988,499
TOTAL..................... 235 31,741,823 29 3,447,370 264 35,189,193
----------------------------------------------------------------------------------------------------------------
NEW YORK HUB
----------------------------------------------------------------------------------------------------------------
NEW YORK...................... 252 35,904,226 5 713,661 257 36,617,887
----------------------------------------------------------------------------------------------------------------
BUFFALO HUB
----------------------------------------------------------------------------------------------------------------
BUFFALO....................... 73 8,909,520 20 2,475,872 93 11,385,392
----------------------------------------------------------------------------------------------------------------
PHILADELPHIA HUB
----------------------------------------------------------------------------------------------------------------
PHILADELPHIA.................. 105 14,097,914 15 1,963,717 120 16,061,630
CHARLESTON.................... 20 2,130,004 10 1,024,03 30 3,154,037
NEWARK........................ 120 17,044,604 .............. .............. 120 17,044,604
PITTSBURGH.................... 55 6,182,034 12 1,376,023 67 7,558,057
TOTAL............... 300 39,454,555 37 4,363,773 337 43,818,328
----------------------------------------------------------------------------------------------------------------
BALTIMORE HUB
----------------------------------------------------------------------------------------------------------------
BALTIMORE..................... 54 5,980,970 5 551,715 59 6,532,685
RICHMOND...................... 50 5,132,026 12 1,260,724 62 6,392,750
WASHINGTON.................... 52 6,403,632 .............. .............. 52 6,403,632
TOTAL..................... 156 17,516,628 17 1,812,439 173 19,329,067
----------------------------------------------------------------------------------------------------------------
GREENSBORO HUB
----------------------------------------------------------------------------------------------------------------
GREENSBORO.................... 55 7,164,697 24 3,081,337 79 10,246,034
COLUMBIA...................... 38 4,138,685 11 1,188,664 49 5,327,349
TOTAL..................... 93 11,303,382 35 4,270,001 128 15,573,383
----------------------------------------------------------------------------------------------------------------
[[Page 11700]]
JACKSONVILLE HUB
----------------------------------------------------------------------------------------------------------------
JACKSONVILLE.................. 149 14,433,608 10 983,871 159 15,417,479
BIRMINGHAM.................... 42 3,924,098 14 1,321,771 56 5,245,869
JACKSON....................... 20 1,833,560 15 1,354,360 35 3,187,920
TOTAL..................... 211 20,191,266 39 3,660,002 250 23,851,268
----------------------------------------------------------------------------------------------------------------
ATLANTA HUB
----------------------------------------------------------------------------------------------------------------
ATLANTA....................... 57 5,544,601 17 1,639,350 74 7,183,951
LOUISVILLE.................... 37 3,837,544 17 1,744,670 54 5,582,214
KNOXVILLE..................... 20 1,943,354 8 778,828 28 2,722,182
NASHVILLE..................... 38 3,765,207 12 1,201,262 50 4,966,469
SAN JUAN...................... 20 2,437,427 5 609,357 25 3,046,784
TOTAL..................... 172 17,528,133 59 5,973,467 231 23,501,600
----------------------------------------------------------------------------------------------------------------
CHICAGO HUB
----------------------------------------------------------------------------------------------------------------
CHICAGO....................... 124 16,651,845 19 2,552,786 143 19,204,631
INDIANAPOLIS.................. 59 6,096,281 15 1,604,961 74 7,701,242
TOTAL..................... 183 22,748,126 34 4,157,747 217 26,905,873
----------------------------------------------------------------------------------------------------------------
COLUMBUS HUB
----------------------------------------------------------------------------------------------------------------
COLUMBUS...................... 36 3,657,755 13 1,297,567 49 4,955,322
CINCINNATI.................... 45 4,590,843 5 510,542 50 5,101,385
CLEVELAND..................... 68 7,700,033 12 1,358,297 80 9,058,330
TOTAL..................... 149 15,948,631 30 3,166,406 179 19,115,037
----------------------------------------------------------------------------------------------------------------
DETROIT HUB
----------------------------------------------------------------------------------------------------------------
DETROIT....................... 72 8,526,033 9 1,024,695 81 9,550,728
GRAND RAPIDS.................. 40 3,471,521 12 1,079,547 52 4,551,068
TOTAL..................... 112 11,997,554 21 2,104,242 133 14,101,796
----------------------------------------------------------------------------------------------------------------
MINNEAPOLIS HUB
----------------------------------------------------------------------------------------------------------------
MINNEAPOLIS................... 54 6,634,004 19 2,308,510 73 8,942,514
MILWAUKEE..................... 62 7,585,608 19 2,345,943 81 9,931,551
TOTAL..................... 116 14,219,612 38 4,654,453 154 18,874,065
----------------------------------------------------------------------------------------------------------------
FT WORTH HUB
----------------------------------------------------------------------------------------------------------------
FT WORTH...................... 79 7,192,861 20 1,815,184 99 9,008,045
HOUSTON....................... 53 4,713,363 8 753,322 61 5,466,685
LITTLE ROCK................... 20 1,767,683 14 1,230,048 34 2,997,731
NEW ORLEANS................... 44 4,111,108 12 1,114,371 56 5,225,479
SAN ANTONIO................... 45 3,981,971 9 799,046 54 4,781,017
TOTAL..................... 241 21,766,986 63 5,711,971 304 27,478,957
----------------------------------------------------------------------------------------------------------------
KANSAS CITY HUB
----------------------------------------------------------------------------------------------------------------
KANSAS CITY................... 47 5,035,917 17 1,802,135 64 6,838,052
OKLAHOMA CITY................. 35 3,169,210 14 1,262,681 49 4,431,891
DES MOINES.................... 20 1,833,560 17 1,520,159 37 3,353,719
OMAHA......................... 20 2,053,148 12 1,194,837 32 3,247,985
ST LOUIS...................... 40 4,779,064 12 1,448,490 52 6,227,554
TOTAL..................... 162 16,870,899 72 7,228,302 234 24,099,201
----------------------------------------------------------------------------------------------------------------
DENVER HUB
----------------------------------------------------------------------------------------------------------------
DENVER........................ 65 6,914,077 25 2,280,793 90 9,194,870
----------------------------------------------------------------------------------------------------------------
SAN FRANCISCO HUB
----------------------------------------------------------------------------------------------------------------
SAN FRANCISCO................. 122 16,644,130 9 1,145,500 131 17,789,630
HONOLULU...................... 20 3,952,584 5 988,146 25 4,940,730
PHOENIX....................... 49 4,700,558 8 813,731 57 5,514,289
SACRAMENTO.................... 43 5,944,251 8 1,121,909 51 7,066,160
TOTAL..................... 234 31,241,523 30 4,069,286 264 35,310,809
----------------------------------------------------------------------------------------------------------------
[[Page 11701]]
LOS ANGELES HUB
----------------------------------------------------------------------------------------------------------------
LOS ANGELES................... 191 25,334,365 5 661,509 196 25,995,874
----------------------------------------------------------------------------------------------------------------
SEATTLE HUB
----------------------------------------------------------------------------------------------------------------
SEATTLE....................... 64 8,048,338 11 1,388,476 75 9,436,814
ANCHORAGE..................... 20 3,952,584 5 988,146 25 4,940,730
PORTLAND...................... 48 5,214,272 15 1,602,644 63 6,816,916
TOTAL..................... 132 17,215,194 31 3,979,266 163 21,194,460
----------------------------------------------------------------------------------------------------------------
NATIONAL TOTAL...... 3,077 $366,806,500 590 $64,730,560 3,667 $431,537,060
----------------------------------------------------------------------------------------------------------------
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
no later than six months after completion of project construction.
III. Eligibility Information
A. Eligible Applicants. Private nonprofit organizations and
nonprofit consumer cooperatives that meet the threshold requirements
contained in the General Section 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 III.C.3.b. 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 for the elderly 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
[[Page 11702]]
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, 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) requested and received approval to submit a paper application
and you submit less than the required number of paper copies.
Applicants receiving waiver approval to submit a paper application must
follow the instructions in the approval notification regarding where to
submit the application and the number of copies required. All paper
applications granted a waiver to the electronic application submission
requirement must be received by HUD at the proper location no later
than the deadline date.
(2) submit paper copies of the application if you have not received
approval from HUD for a waiver of the electronic submission
requirements;
(3) submit a substantially deficient application (i.e., a majority
of the required exhibits are not submitted with your application,
particularly, but not limited to, those exhibits which are not
curable). HUD reserves the right to determine whether your application
is substantially deficient for purposes of determining whether the
application is non-responsive to the NOFA. Refer to Section IV.B.,
Content of Form of Application Submission, for information on the
required exhibits for submission with your application to ensure that
your application is complete at time of submission;
(4) 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);
(5) request less than the minimum number of 5 units per site;
(6) request assistance for an ineligible activity as defined in
Section IV.E., Funding Restrictions, of this program NOFA; or
(7) are an ineligible applicant (see Section III.A, Eligible
Applicants of this program NOFA).
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 the
following:
(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 NOFA).
(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. A sample letter to the SHPO/THPO
that you may adapt for your use, if you so choose, is available on
HUD's Web site at http://www.hud.gov/offices/adm/ grants/
fundsavail.cfm. You must include a copy of your letter to the SHPO/THPO
in your application and a statement that you have not received a
response letter(s) from the SHPO/THPO or a copy of the response
letter(s) received from the SHPO/THPO.
(c) Contamination. HUD must determine if a proposed site contains
contamination, such as hazardous waste, petroleum, or petroleum
products, 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 undertake
and submit a Phase I ESA, prepared in accordance with the ASTM Standard
E 1527-05, as amended, using the table of contents and report format
specified at Appendix X4 thereto, completed or updated as specified at
Section 4.6 thereto no earlier than 180 days 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.
Note: A Phase I ESA that is not properly updated, does not use
the report format specified at Appendix X4 of ASTM Standard E 1527-
05, or that is prepared in accordance with an older version of ASTM
E 1527 will result in a technical rejection of your application.
To help you choose an environmentally safe site, HUD invites you to
review the documents ``Choosing an Environmentally Safe Site'' and
``Supplemental Guidance, Environmental Information'', which are
available on the HUD Web site at http://www.hud.gov/offices/adm/
grants/fundsavail.cfm.
(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 FY2007 funding competition, the Phase II must be received by
the local HUD office on or before June 25, 2007.
(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 FY2007 funding competition, this information must be
received by the local HUD office on or before June 25, 2007. If the
above information is not received by the local HUD office by that date,
the application will be rejected.
Note: Clean-up could be an expensive undertaking. You must pay
for the cost of any clean-up and/or remediation with sources other
than the capital advance funds. 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 are no pre-1978 structures on the site or if there are
pre-1978 structures, that most recently consisted of solely four or
fewer units of single-family housing including appurtenant structures
thereto, a statement to this effect, or
(ii) If there are pre-1978 structures on the site, other than for a
site that most recently consisted of solely four or fewer units of
single-family housing
[[Page 11703]]
including appurtenant structures thereto, a comprehensive building
asbestos survey that 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 survey
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 NOFA). 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 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 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, you must comply with all statutory and
regulatory requirements listed in this 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. The maximum project
size includes a resident manager's unit, if proposed.
(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 24 CFR 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 its implementing regulations at 24 CFR
Part 8, 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. Refer to Section V.A. below and the General Section 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 requirements of 24 CFR
parts 84 and 85 as outlined in the General Section, 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 will commence the environmental review of
your project upon receipt of your completed application. However, HUD
cannot approve any site unless it first completes the environmental
review and finds that the site meets its environmental requirements. 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, the type of information
requests that HUD may make to you, and the criteria that HUD uses to
determine the environmental acceptability of a site, 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
[[Page 11704]]
Funded Construction Projects. Refer to the General Section.
h. Fair Housing Requirements. Refer to the General Section 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 in the area in which the proposed project will be
located. 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. Although not a NOFA
requirement, you are encouraged to submit with your application a
description on how you plan to incorporate the Section 3 requirements
into your proposed project with goals for expanding training and
employment opportunities for low and very low-income (Section 3)
residents as well as business concerns. You will receive up to two (2)
points if you provide a description of your plans for doing so under
Exhibit 3(k) of this program NOFA.
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.
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).
4. Energy Efficiency. 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 not
only to promote energy efficiency of the affordable housing stock, but
also to help protect the environment.
Although it is not a requirement, you are encouraged to promote
energy efficiency in design and operation of your proposed project 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. 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.
IV. Application and Submission Information
Applicants are required to submit an electronic application unless
they receive a waiver of the requirement in accordance with the
procedures in Section IV.C. of this NOFA. See the General Section for
information on electronic application submission and timely submission
and receipt requirements.
A. Address to Request Application Package. All information required
to complete and return a valid application is included in the General
Section and this NOFA, including other related documents. Applicants
may download the application and instructions from the Grants.gov Web
site at http://www.grants.gov/applicants/apply--for--grants.jsp. 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. See the General Section for information regarding
the registration process or ask for registration information from the
Grants.gov Support Desk.
You may request general information, copies of the General Section
and NOFA (including related documents), from the NOFA Information
Center (800-HUD-8929) Monday through Friday, except on federal
holidays. 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. When requesting information, please refer to the name of
the program in which you are interested.
B. Content and Form of Application Submission. The exhibits to be
included in your application are contained in the body of this NOFA.
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).
The following additional information, which may assist you in
preparing your application, is available on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm:
[[Page 11705]]
Listing of Local HUD Offices.
Letter Requesting SHPO/THPO Review.
Choosing an Environmentally Safe Site.
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 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. A listing of the local HUD offices is
available on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
Please submit your application using the following format provided
in this NOFA. For applications to be submitted electronically, in which
you have created files to be attached to the electronic application,
you should number the pages of the attached file and include a header
that identifies the exhibit that it relates to. Please be sure to
follow the file labeling and file format instructions in the General
Section.
For applicants that have 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, your DUNS number, and the exhibit number that you are
responding to on the header of each document.
1. Table of Contents
a. Part I--Application Form.
(1) Exhibit 1: Form HUD-92015-CA Application for Capital Advance
Summary Information.
b. Part II--Ability to Develop/Operate Project.
(1) Exhibit 2: Legal Status.
(a) Organizational Documents.
(b) By-Laws.
(c) IRS Tax Exemption Ruling.
(3) Exhibit 3: Purpose/Community Ties/Experience.
(a) Purpose(s), current activities, etc.
(b) Community ties, description of area.
(c) Other Funding Sources.
(d) Letters of support.
(e) Housing/Services experience.
(f) Involvement of target population.
(g) Practical solutions.
(h) Project Development Timeline.
(i) How project will remain viable:
(i) If services are depleted;
(ii) If State-funded services changes;
(iii) If need for project changes.
(j) Form HUD-27300, America's Affordable Communities Initiative/
Removal of Regulatory Barriers (HUD Communities Initiative Form on
Grants.gov), with supporting documentation.
(k) Section 3 requirements.
c. Part III--Need for Housing, Site Requirements, Proposed Services.
(1) Exhibit 4: Project Information.
(a) Evidence of need for project.
(b) Benefit to population/community.
(c) Narrative project description:
(i) Building design;
(ii) Energy efficiency features;
(iii) Mixed-financing for additional units.
(d) Site control and zoning:
(i) Site control documents;
(ii) Freedom of site from restrictions;
(iii) Zoning requirements;
(iv) URA site notification requirements;
(v) Topographical/demographical description of site/area and
opportunities for minorities;
(vi) Racial composition/map of site;
(vii) Phase I ESA;
(viii) Asbestos Statement/Survey;
(ix) SHPO/THPO requirements.
(2) Exhibit 5: Supportive Services Plan.
(a) Description of services.
(b) Other funding sources.
(c) How services will be provided.
d. Part IV--Requirements/Certifications/Resolutions.
(1) Exhibit 6: Other Applications.
(a) FY07 Sections 202/811 applications to other Offices.
(b) Information on FY06 and prior years' Sections 202/811
applications
(2) Exhibit 7: Required information on:
(a) All property occupants;
(b) Relocation costs/services;
(c) Staff to carry out relocation;
(d) Occupant move-outs within past 12 months.
(3) Exhibit 8: Forms/Certifications/Resolutions.
(a) SF-424 Application for Federal Assistance
(b) SF-424 Supplement ``Survey on Ensuring Equal Opportunities
for Applicants'' (Faith Based EEO Survey (SF-424 SUPP) on
Grants.gov).
(c) SF-LLL, Disclosure of Lobbying Activities.
(d) HUD-2880 ``Applicant/Recipient Disclosure/Update Report''
(HUD Applicant Recipient Disclosure Report on Grants.gov).
(e) HUD-2991 Certification of Consistency with the Consolidated
Plan.
(f) HUD-92041 Sponsor's Conflict of Interest Resolution.
(g) HUD-92042 Sponsor's Resolution for Commit to Project.
(h) HUD-2990 Certification of Consistency with the RC/EZ/EC-II
Strategic Plan (if applicable).
(i) HUD-96010 Program Outcome Logic Model.
(j) HUD-96011 ``Third Party Documentation Facsimile
Transmittal'' (Facsimile Transmittal Form on Grants.gov). This is to
be used as the cover page for faxing third party information for
electronic applications only. See the General Section.
(k) HUD-2994-A Form HUD-2994A--You are Our Client! Grant
Applicant Survey (Optional).
2. Programmatic 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. A copy of the form is available in the instructions
download at http://www/grants.gov/applicants/apply--for--grants.jsp.
b. Part II--Your Ability To Develop and Operate the Proposed Project
(1) EXHIBIT 2--Evidence of your legal status (i.e., evidence of
your status as a private nonprofit organization 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).
Note: Based on a HUD review of your articles of incorporation,
constitution, or other organizational documents, HUD must determine,
among other things, that (1) you are an eligible private nonprofit
entity and are not a public body or an instrumentality of a public
body, (2) your corporate purposes are sufficiently broad to provide
you the legal
[[Page 11706]]
authority to sponsor the proposed project for the elderly, to assist
the Owner, and to apply for a capital advance, (3) no part of the
Sponsor's net earnings inures to the benefit of any private party,
and (4) that you are not controlled by or under the direction of
persons seeking to derive profit or gain therefrom.
[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, including
your ability to enlist volunteers and raise private and local funds,
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 other funding sources 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(i), Program
Outcome 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 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'' AND provide the necessary URL references or submit the
documentary evidence. This exhibit is optional, but to obtain up to 2
points for this policy priority, you must submit this information using
Form HUD-27300 and include the necessary URL references or other
documentary evidence and contact information. When providing documents
in support of your responses to the questions on the form, please
provide the applicant name and project name and whether you were
responding under column A or B, then identify the number of the
question and the URL or document name and attach using the attachment
function at the end of the electronic form. This exhibit will be used
to rate your application under Rating Factor 3(j).
(k) A description on how you plan to incorporate the Section 3
requirements into your proposed project with goals for expanding
training and employment opportunities for low- and very low-income
(Section 3) persons as well as business concerns in the area in which
the proposed project will be located. This exhibit is optional, but to
obtain up to 2 points for this policy priority, you must submit this
exhibit and adequately address your plans to provide opportunities to
train and employ low- and very low-income residents of the project area
and award substantial contracts to persons residing in the project
area.
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
[[Page 11707]]
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), the special standards of 24 CFR 891.210, and the
limitation on bedroom unit sizes as required by paragraph 1-11.B.4.
of HUD Handbook 4571.3 REV-1, 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.4.of this 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 for the elderly (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. You also must demonstrate your ability to proceed
with the development of a Section 202 project that will not involve
mixed-financing, as proposed in your application, in the event you are
later unable to obtain the necessary outside funding or HUD disapproves
your proposal for a mixed-finance project for additional non-Section
202 units for the elderly.
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) Section 202 capital
advance amendment money will not be approved for projects proposing
mixed-financing. (3) 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. (4) 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 of site control as
described above AND 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 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.
(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 current 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
[[Page 11708]]
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: A certification for this requirement is not sufficient.
Evidence must be submitted to meet this requirement. 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 (if applicable), 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 Standard E 1527-05, as amended, using the table of
contents and report format specified at Appendix X4 thereto and
completed or updated as specified at Section 4.6 thereto, must be
undertaken and completed by you 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 180 days 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.
Note: A Phase I ESA that is not properly updated, does not use
the report format specified at Appendix X4 of ASTM Standard E 1527-
05, or that is prepared in accordance with an older version of ASTM
E 1527 will result in a technical rejection of your application.
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 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 ESA 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 25, 2007. If it is not
received by that date, the application will be rejected.
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 structures on the site or if there are
pre-1978 structures, that most recently consisted of solely four or
fewer units of single-family housing including appurtenant structures
thereto, a statement to this effect, or
(B) If there are pre-1978 structures on the site, other than for a
site that most recently consisted of solely four or fewer units of
single-family housing including appurtenant structures thereto, a
comprehensive building asbestos survey that 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 survey 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) Letter to State/Tribal Historic Preservation Officer (SHPO/
THPO) and a statement that SHPO/THPO failed to respond to you OR a copy
of the response letter received from 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
[[Page 11709]]
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 FY2007 Section 202 or Section
811 NOFA. Indicate by local HUD office, the proposed location by city
and state and the number of units requested in each application.
(b) Include a list of all FY2006 and prior years approved 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:
(i) Whether the project has initially closed and, if so, when;
(ii) 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;
(iii) Whether amendment money was or will be needed for any project
in (ii) above, including the amount of the amendment money; and,
(iv) Those projects that 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 and the reason for such a move.
(e) Indicates that all persons occupying the site have been issued
the appropriate required General Information Notice and advisory
services information receipt required, either at the time the option to
acquire the property is executed, or at the time the application is
submitted.
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).
Exhibit 7 Is Required for All Section 202 Applications
(3) EXHIBIT 8: Standard Forms, Certifications and Resolutions. You
are required to submit completed copies of the following forms, which
are available in the instructions download at http://www.grants.gov/applicants/apply--for--grants.jsp.
(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/(SPOC)) for
state review in accordance with Executive Order 12372). If the SPOC
requires a review of your application, you must include in your Section
202 application, a copy of the cover letter sent to the SPOC. Refer to
Section IV.D. of this NOFA for additional information on compliance
with Executive Order 12372.
Note: For Section 202 program purposes, in Item 12, Areas
Affected by Project, of SF-424, provide the names of the City,
County and State where the project will be located (not the largest
political entities as indicated on the instructions page of SF-424).
(b) Standard Form 424 Supplement, Survey on Ensuring Equal
Opportunity for Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on
Grants.gov). 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.
(c) Standard Form LLL--Disclosure of Lobbying Activities (if
applicable). A disclosure of activities conducted that may influence
any federal transactions.
(d) Form HUD-2880, Applicant/Recipient Disclosure/Update Report
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov),
including Social Security and Employee Identification Numbers. A
disclosure of assistance from other government sources received in
connection with the project.
(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 a 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 NOFA. The Plan regulations are published in 24 CFR part
91.
(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.
(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 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.
(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 a RC/EZ/EC-II.) .
(i) Form HUD-96010, Program Outcome 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.
(j) Form HUD-96011, Facsimile Transmittal (``Facsimile Transmittal
Form'' on Grants.gov), is only required if you are using the facsimile
method to
[[Page 11710]]
fax third party letters and other documents for your electronic
application in accordance with the instructions in the General Section.
Note: HUD will not accept entire applications by fax. If you
submit the application entirely by fax, it will be disqualified.
(k) Form HUD-2994-A, You Are Our Client Grant Applicant Survey.
This is an optional form, which may be used to provide suggestions and
comments to the Department regarding your application submission
experience.
C. Submission Dates and Time. Your application must be received and
validated electronically by Grants.gov no later than 11:59:59 p.m.
eastern time on the application deadline date, unless a waiver of the
electronic delivery process has been approved by HUD in accordance with
the following procedures. Applicants that are unable to submit their
application electronically must seek a waiver of the electronic grant
submission requirement. Waiver requests must be submitted no later than
15 days before the application deadline date. Waiver requests must be
submitted by mail or by fax. For this program NOFA, e-mail requests
will not be considered. Waiver requests submitted by mail or fax should
be submitted on the applicant's letterhead and signed by an official
with the legal authority to request a waiver from the Department. The
request must be addressed to the Assistant Secretary for Housing at the
following address: Brian D. Montgomery, Assistant Secretary for
Housing--Federal Housing Commissioner, Department of Housing and Urban
Development, 451 Seventh Street, SW., Room 9100, Washington, DC 20410-
8000. Waiver requests submitted by fax must be sent to (202) 708-3104.
If a waiver is granted, you must submit the required number of
copies of your application to the Director of the appropriate local HUD
office, and the application must be received no later than that HUD
office's close of business on the application deadline date. The waiver
approval notification will identify the appropriate HUD office where
the application should be submitted and the required number of copies
that must be submitted.
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 deadline date, but in no event later
than the application deadline 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. If the SPOC
requires a review of your application, you must include a copy of the
cover letter you sent to the SPOC in Exhibit 8(a) of your Section 202
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
persons, 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. of
this NOFA 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:
$45,507 per family unit without a bedroom;
$52,470 per family unit with one bedroom;
$63,279 per family unit with two bedrooms.
For elevator structures:
$47,890 per family unit without a bedroom;
$54,897 per family unit with one bedroom;
$66,755 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.
[[Page 11711]]
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 floor space. 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 Revised Continuing
Appropriations Resolution, 2007 (Pub. L. 110-5; approved February 15,
2007), requires HUD to obligate all Section 202 funds appropriated for
FY 2007 by September 30, 2010. Under 31 U.S.C. Section 1551, no funds
can be disbursed from this account after September 30, 2015. 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, 2015, 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, 2015. Furthermore, all unexpended balances,
including any remaining balance on PRAC contracts, will be cancelled as
of October 1, 2015. 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/applicants/apply--for--grants.jsp Web site, unless the applicant receives a waiver
from the electronic application submission requirement. See the General
Section, Application Submission and Receipt Procedures and Section
IV.C. of this NOFA for additional information. Refer to HUD's Web site
at http://www.hud.gov/offices/adm/grants/fundsavail.cfm for a listing
of local HUD offices. All applications submitted electronically via
http://www.grants.gov/applicants/apply--for--grants.jsp will be
downloaded and forwarded to the appropriate local HUD office.
2. Special Instructions for Section 202 Applications That Will Have
More Than One Applicant, i.e., Co-Sponsors. The applicants must
designate a single individual to act as the authorized representative
for all co-Sponsors of the application. The designated authorized
representative of the organization submitting the application must be
registered with Grants.gov, the Federal Central Contractor Registry and
with the credential provider for E-Authentication. Information on the
Grants.gov registration process is found in Section IV.B. of the
General Section. When the application is submitted through Grants.gov,
the name of the designated authorized representative will be inserted
into the signature line of the application. Please note that the
designated authorized representative must be able to make legally
binding commitments for each co-Sponsor to the application.
Each co-Sponsor must complete the documents required of all co-
sponsoring organizations to permit HUD to make a determination on the
eligibility of the co-Sponsor(s) and the acceptability of the
application based on the assistance and commitments the co-Sponsor(s)
has pledged to the project. Therefore, each co-Sponsor must submit the
following information using the scanning and/or faxing method described
in Section IV. of the General Section: Standard Form-424, Application
for Federal Assistance; Standard Form-424 Supplement, Survey on
Ensuring Equal Opportunity for Applicants; Standard Form LLL,
Disclosure of Lobbying Activities (if applicable); Form HUD-92015-CA,
Section 202 Application for Capital Advance, Summary Information; Form
HUD-92041, Sponsor's Conflict of Interest Resolution; and Form HUD-
92042, Sponsor's Resolution for Commitment to Project. The forms
identified above are discussed in the Program instructions package and
can be downloaded from Grants.gov under the program application
download at http://www.grants.gov/applicants/apply--for--grants.jsp.
The downloaded and completed forms should be saved as separate
electronic files and attached to the electronic application submission
following the requirements of Section IV.
As stated in the General Section, Section IV, scanning documents to
create electronic files increases the size of the file. Therefore,
applicants may not submit scanned files unless using the facsimile
method as stated in the General Section will not work due to the nature
of the document. If the facsimile method does not work, forms and other
documents from co-Sponsors may be scanned to create an electronic file
and submitted as an attachment to the application. These documents
should be labeled and numbered so the HUD reviewer can identify the
file and its contents. If the applicant is creating an electronic file,
the file should contain a header that identifies the name of the
Sponsor submitting the electronic application, that Sponsor's DUNS
number, and the unique ID that is found at the top of the Facsimile
Transmission form found in the electronic application package. The
naming convention for each electronic file should correspond to the
labeling convention used in the application Table of Contents found in
Section IV.B.1. of this program NOFA and the General Section. For
example, the organizational documents of a co-Sponsor would be included
under Part II, Exhibit 2(a) of the Section 202 application.
The signed documents and other information required to be submitted
with the electronic application should be transmitted via fax using
Form HUD-96011, Facsimile Transmittal found in the electronic
application package. Co-Sponsors should use the form HUD-96011 provided
by the Sponsor that is submitting the electronic application. The
submitting Sponsor should fill in the SF-424 form prior to giving the
Form HUD-96011 to the co-Sponsors. By following these directions, the
Form HUD-96011 will be pre-populated with the submitting Sponsor's
organizational information exactly as the submitting Sponsor has
provided it on the
[[Page 11712]]
electronic application. In addition, HUD will be using the unique
identifier associated to the downloaded application package as a means
of matching the faxes submitted with the applications received via
Grants.gov. The Facsimile Transmittal form also has space to provide
the number of pages being faxed and information on the type of
document. Co-Sponsors or the submitting applicant can insert the
document name in the space labeled Program Component.
Note: Do not insert any additional or other cover pages as it
will cause problems in electronically matching the pieces of the
application. See the General Section for further instructions.
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 FY2007. Refer to the General Section 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, promoting energy efficiency in design
and operations, and expanding training and employment opportunities for
low- and very low-income persons and business concerns (Section 3
requirements), 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
NOFA. 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 and Section V.A.6. below.
1. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (23 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 NOFA. 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. (13 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 minority
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
minority 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 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 housing market area 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 and your relationships over time
with the minority and elderly communities. Examples of documents that
may be submitted to earn the maximum number of points under sub-
criteria (b)(2) include letters of support from community leaders
(including minority community leaders) that give information about the
applicant's relationship over time with the community (including the
minority community). You may also submit copies of your affirmative
marketing plan and the advertising/outreach materials you utilize to
attract minority communities (including limited English proficient
communities), elderly communities, and the community at large.
Regarding your advertising/outreach materials, you should identify when
advertising/outreach materials are circulated, to whom they are
circulated, 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 FY2002 or later has been extended beyond 24 months, 4
points if beyond 36 months, or 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. (-3 to -5 points). HUD will deduct from 3 points to 5 points if
HUD amendment money was required in connection with 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 FY2002 or later based on the following.
(1) (-3 points). The amount of the amendment money required was 25
percent or less of the original capital advance amount approved by HUD.
(2) (-4 points). The amount of the amendment money required was
between 26 percent and 50 percent of the original capital advance
amount approved by HUD.
(3) (-5 points). The amount of the amendment money required was
over 50 percent of the original capital advance amount approved by HUD.
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 11713]]
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 NOFA. 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 but is not limited to:
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,
information on the numbers and types of existing
comparable Federally assisted housing units for the elderly (HUD and
RHS) and 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 (47 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, whether you will promote energy efficiency in
the design and operation of the proposed housing, and your plans to
expand economic opportunities for low- and very low-income persons as
well as certain business concerns (Section 3 requirements). 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), 3(k), 4(c)(i),
4(c)(ii), 4(d)(iii), 4(d)(v), 4(d)(vi), and 5 of Section IV.B. of this
NOFA. 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 standpoint 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. If the site will be in a minority
neighborhood, the site will be deemed acceptable if it contributes to
the revitalization of and reinvestment in the minority neighborhood,
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 percentage of that
minority's or a combination of minorities' 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.
[[Page 11714]]
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 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 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: This is an optional
requirement, but to receive up to 2 points, the applicant must have
submitted the Form HUD-27300, Questionnaire for HUD's Initiative on
Removal of Regulatory Barriers, AND provided some form of documentation
where requested, including point of contact and URL references or
submitted the required documentary evidence.) Refer to the General
Section 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.4. of this NOFA.
l. (2 points). The extent to which you have described your plans
for expanding economic opportunities for low- and very-low income
persons (provisions of Section 3). (Note: This is an optional
requirement, but to receive up to 2 points, the applicant must have
adequately addressed the following in Exhibit 3(k) of the application.)
Refer to the General Section for further information.
(1) (1 point) Provide opportunities to train and employ low- and
very low-income residents of the project area.
(2) (1 point). Award substantial contracts to persons residing in
the project area.
4. Rating Factor 4: Leveraging Resources (5 Points)
This factor addresses your ability to secure other funding sources
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), and 5(b) of Section IV.B. of
this NOFA.
a. (0 point). The application contains general support and/or
written evidence of firm commitments towards the development and
operation of the proposed project (including, financial assistance,
donation of land, provision of services, etc.) from other funding
sources (e.g., private, local community, and government sources) where
the dollar value totals 5 percent or less of the capital advance amount
as determined by HUD.
b. (1 point). The application contains written evidence of firm
commitments towards the development and operation of the proposed
project (including, financial assistance, donation of land, provision
of services, etc.) from other funding sources (e.g., private, local
community, and government sources) where the dollar value totals
between 6 percent and 10 percent of the capital advance amount as
determined by HUD.
c. (2 points). The application contains written evidence of firm
commitments towards the development and operation of the proposed
project (including, financial assistance, donation of land, provision
of services, etc.) from other funding sources (e.g., private, local
community, and government sources) where the dollar value totals
between 11 percent and 15 percent of the capital advance amount as
determined by HUD.
d. (3 points). The application contains written evidence of firm
commitments towards the development and operation of the proposed
project (including, financial assistance, donation of land, provision
of services, etc.) from other funding sources (e.g., private, local
community, and government sources) where the dollar value totals
between 16 percent and 20 percent of the capital advance amount as
determined by HUD.
e. (4 points). The application contains written evidence of firm
commitments towards the development and operation of the proposed
project (including, financial assistance, donation of land, provision
of services, etc.) from other funding sources (e.g., private, local
community, and government sources) where the dollar value totals
between 21 percent and 25 percent of the capital advance amount as
determined by HUD.
f. (5 points). The application contains written evidence of firm
commitments towards the development and operation of the proposed
project (including, financial assistance, donation of land, provision
of services, etc.) from other funding sources (e.g., private, local
community, and government sources) where the dollar value totals over
25 percent of the capital advance amount as determined by HUD.
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(i), Project Outcome Logic Model (HUD-96010), 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(i) of Section IV.B.
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,
[[Page 11715]]
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. 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 202
application:
------------------------------------------------------------------------
Curable exhibit Description
------------------------------------------------------------------------
1...................................... Form 92015-CA (Application
Form)*
2(a)................................... Articles of Incorporation*
(b).................................... By-laws*
(c).................................... IRS tax exemption ruling*
4(c)(iii).............................. Description of mixed-financing
plans for additional units, if
applicable
4(d)(i)................................ Evidence of site control
(d)(ii)................................ Evidence site is free of
limitations, restrictions or
reverters
(d)(iv)................................ Evidence of compliance with URA
site notification requirement
(d)(vii)............................... Phase I ESA
(d)(viii).............................. Asbestos Statement or Survey
(d)(ix)................................ Letter to the State/Tribal
Historic Preservation Officer
(SHPO/THPO) and a statement
that the SHPO/THPO failed to
respond OR the Letter from the
SHPO/THPO
7...................................... Relocation
8(a)................................... Letter sent to the State Point
of Contact (SPOC)*
(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 Consolidated
Plan
(f).................................... Form HUD-92041, Sponsor's
Conflict of Interest
Resolution
(g).................................... Form HUD-92042, Sponsor's
Resolution for Commitment to
Project*
(j).................................... Form HUD-96011 Facsimile
Transmittal (Required Only for
Transmittal of Faxes)*
(k).................................... Form HUD-2994-A, You are Our
Client! Grant Applicant Survey
(optional)
------------------------------------------------------------------------
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 except as
described in ``3. Appeal Process'' found 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, 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/EZ/EC-II bonus points) and meet all of the
applicable threshold requirements of the General Section and this 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/EZ/EC-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
remaining. After making the initial selections in each allocation area,
however, HUD Multifamily Program Centers may use remaining available
funds to select the next highest 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 Hub-wide
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
[[Page 11716]]
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 this NOFA, 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 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, 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).
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. Based on the information you
provided in the Program Outcome Logic Model, you also are required to
submit to HUD a statement reporting the Return on Investment as a
result of HUD's Section 202 funding award to you to develop and operate
a Section 202 housing project with supportive services for the very
low-income elderly. HUD is considering a new concept for the Logic
Model. The new concept is a Return on Investment (ROI) statement. HUD
will be publishing a separate notice on the ROI concept.
These reporting requirements are to be submitted to HUD as follows:
Program Outcome Logic Model. You, as the Sponsor, and the Owner,
when formed, are required to report annually, beginning from the date
of the Agreement Letter, on the results achieved against the output
goal(s) and outcome(s), which you proposed in the Program Outcome Logic
Model that was submitted in your application.
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.
VII. Agency Contact(s)
For Technical Assistance. For technical assistance in downloading
an
[[Page 11717]]
application package from www.Grants.gov, contact the Grants.gov help
desk at 800-518-Grants or by sending an e-mail to [email protected].
For programmatic information, you may contact the appropriate local HUD
office, or Alicia Anderson 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 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 Pre-Development 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. 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.
[[Page 11718]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.026
[[Page 11719]]
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: FR-5100-N-05; OMB Approval Number is
2502-0462.
E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.181,
Section 811 Supportive Housing for Persons with Disabilities.
F. Dates: Application deadline date: May 24, 2007. Application must
be received and validated by Grants.gov by 11:59:59 p.m. eastern time
on the deadline date. 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 $88.3 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
III.C.3.m. below of this 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 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 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, 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 Revised Continuing
Appropriations Resolution, 2007 (Pub. L. 110-5; approved February 15,
2007) 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 three 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 NOFA.
2. PRAC funds. The initial PRAC award covers three years. The
amount awarded 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 times three (3). The operating cost
standards will be published by Notice.
II. Award Information
A. Available Funds. For FY2007, $88.3 million is available for
capital advances for the Section 811 Program of Supportive Housing for
Persons with Disabilities. The Revised Continuing Appropriations
Resolution, 2007 (Pub. L. 110-5; approved February 15, 2007) provides
$239,000,000 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
persons with disabilities under section 811 of the NAHA, including
amendments to contracts for such
[[Page 11720]]
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 $400,000 to be transferred to the
Working Capital Fund. Approximately $5,000,000 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 $78,300,000 will be provided for one-year
renewal costs of Section 811 rental assistance.
In accordance with the waiver authority provided in the Department
of Housing and Urban Development Appropriations Act, 2007, the
Secretary is waiving the following statutory and regulatory provision:
The term of the project rental assistance contract is reduced from 20
years to 3 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 FY2007 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 number of
persons with 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:
FY 2007 Section 811 Allocations for Supportive Housing for Persons With
Disabilities
------------------------------------------------------------------------
Capital
Offices Units advance
------------------------------------------------------------------------
BOSTON HUB
------------------------------------------------------------------------
BOSTON.................................. 17 $2,296,605
HARTFORD................................ 10 1,364,220
MANCHESTER.............................. 10 1,075,415
PROVIDENCE.............................. 10 1,342,183
-------------------------------
TOTAL............................... 47 6,078,423
------------------------------------------------------------------------
NEW YORK HUB
------------------------------------------------------------------------
NEW YORK................................ 28 3,812,372
------------------------------------------------------------------------
BUFFALO HUB
------------------------------------------------------------------------
BUFFALO................................. 17 1,961,062
------------------------------------------------------------------------
PHILADELPHIA HUB
------------------------------------------------------------------------
CHARLESTON.............................. 10 1,034,708
NEWARK.................................. 19 2,576,996
PHILADELPHIA............................ 20 2,576,410
PITTSBURGH.............................. 10 1,081,931
-------------------------------
TOTAL............................... 59 7,270,045
------------------------------------------------------------------------
BALTIMORE HUB
------------------------------------------------------------------------
BALTIMORE............................... 10 1,073,536
RICHMOND................................ 16 1,595,661
WASHINGTON.............................. 10 1,201,563
-------------------------------
[[Page 11721]]
TOTAL............................... 36 3,870,760
------------------------------------------------------------------------
GREENSBORO HUB
------------------------------------------------------------------------
COLUMBIA................................ 16 1,645,470
GREENSBORO.............................. 20 2,584,393
-------------------------------
TOTAL............................... 36 4,229,863
------------------------------------------------------------------------
ATLANTA HUB
------------------------------------------------------------------------
ATLANTA................................. 20 1,908,196
KNOXVILLE............................... 10 947,608
LOUISVILLE.............................. 16 1,592,146
NASHVILLE............................... 15 1,388,636
SAN JUAN................................ 16 1,944,381
-------------------------------
TOTAL............................... 77 7,780,967
------------------------------------------------------------------------
JACKSONVILLE HUB
------------------------------------------------------------------------
BIRMINGHAM.............................. 16 1,485,461
JACKSON................................. 10 890,941
JACKSONVILLE............................ 31 2,894,379
-------------------------------
TOTAL............................... 57 5,270,781
------------------------------------------------------------------------
CHICAGO HUB
------------------------------------------------------------------------
CHICAGO................................. 23 3,018,814
INDIANAPOLIS............................ 17 1,698,474
-------------------------------
TOTAL............................... 40 4,717,288
------------------------------------------------------------------------
COLUMBUS HUB
------------------------------------------------------------------------
CINCINNATI.............................. 10 994,831
CLEVELAND............................... 16 1,739,750
COLUMBUS................................ 10 982,238
-------------------------------
TOTAL............................... 36 3,716,819
------------------------------------------------------------------------
DETROIT HUB
------------------------------------------------------------------------
DETROIT................................. 17 1,986,025
GRAND RAPIDS............................ 10 846,866
-------------------------------
TOTAL............................... 27 2,832,891
------------------------------------------------------------------------
MINNEAPOLIS HUB
------------------------------------------------------------------------
MINNEAPOLIS............................. 14 1,710,717
MILWAUKEE............................... 15 1,768,524
-------------------------------
TOTAL............................... 29 3,479,241
------------------------------------------------------------------------
FT. WORTH HUB
------------------------------------------------------------------------
FT. WORTH............................... 25 2,105,842
HOUSTON................................. 17 1,513,059
LITTLE ROCK............................. 10 859,459
NEW ORLEANS............................. 16 1,441,667
SAN ANTONIO............................. 17 1,436,753
-------------------------------
TOTAL............................... 85 7,356,780
------------------------------------------------------------------------
KANSAS CITY HUB
------------------------------------------------------------------------
DES MOINES.............................. 10 890,941
KANSAS CITY............................. 15 1,610,158
OKLAHOMA CITY........................... 14 1,283,491
OMAHA................................... 10 1,000,078
[[Page 11722]]
ST. LOUIS............................... 10 1,162,735
-------------------------------
TOTAL............................... 59 5,947,403
------------------------------------------------------------------------
DENVER HUB
------------------------------------------------------------------------
DENVER.................................. 19 1,937,395
------------------------------------------------------------------------
SAN FRANCISCO HUB
------------------------------------------------------------------------
SAN FRANCISCO........................... 24 3,170,932
HONOLULU................................ 10 1,888,920
PHOENIX................................. 16 1,499,753
SACRAMENTO.............................. 10 1,329,590
-------------------------------
TOTAL............................... 60 7,889,195
------------------------------------------------------------------------
LOS ANGELES HUB
------------------------------------------------------------------------
LOS ANGELES............................. 36 4,608,427
------------------------------------------------------------------------
SEATTLE HUB
------------------------------------------------------------------------
SEATTLE................................. 17 2,034,377
ANCHORAGE............................... 10 1,888,920
PORTLAND................................ 15 1,580,209
-------------------------------
TOTAL............................... 42 5,503,506
------------------------------------------------------------------------
NATIONAL TOTAL...................... 790 88,263,218
------------------------------------------------------------------------
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 NOFA 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
[[Page 11723]]
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 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)(xi)). 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,
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 if you requested
and received approval for a waiver of the electronic submission
requirement. Applicants receiving waiver approval to submit a paper
application must follow the instructions in the approval notification
regarding where to submit the application and the number of copies
required. All paper applications granted a waiver to the electronic
application submission requirement must be received by HUD at the
proper location no later than the deadline date.
(2) submit paper copies of the application if you have not received
approval from HUD for a waiver of the electronic submission
requirements;
(3) submit a substantially deficient application (i.e., a majority
of the required exhibits are not submitted with your application,
particularly, but not limited to, those exhibits which are not
curable). HUD reserves the right to determine whether your application
is substantially deficient for purposes of determining whether the
application is non-responsive to the NOFA. Refer to Section IV.B.,
Content and Form of Application Submission, for information on the
required exhibits for submission with your application to ensure that
your application is complete at time of submission;
(4) 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);
(5) 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);
(6) request more than the maximum number of units for a group home
(6 units); or
(7) 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;
(8) request assistance for an ineligible activity as defined in
Section IV.E., Funding Restrictions, of this program NOFA;
(9) are an ineligible applicant (see Section III.A., Eligible
Applicants of this program NOFA).
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 NOFA 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 NOFA 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 not
approvable) 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. A HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm 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 such as hazardous waste, petroleum, or petroleum
products, and, if so, HUD must be satisfied that it is eliminated to
the extent necessary to
[[Page 11724]]
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 undertake
and submit a Phase I ESA, prepared in accordance with the ASTM Standard
E 1527-05, using the table of contents and report format specified at
Appendix X4, completed or updated as specified at Section 4.6 no
earlier than 180 days 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'' and ``Supplemental
Guidance, Environmental Information'', which are available on HUD's Web
site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
Note: An application with a phase I That is not properly
updated, does not use the format specified at appendix X4 of ASTM
Standard E 1527-05 or that is prepared in accordance with an older
version of ASTM E 1527 will result in being a technical reject.
(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 25, 2007.
(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 as an
application with site control, this information must be received by the
appropriate local HUD office on or before June 25, 2007.
Note: Clean-up could be an expensive undertaking. You must pay
for the cost of any clean-up and/or remediation with sources other
than the capital advance funds. 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.
(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 are no pre-1978 structures on the site or if there are
pre-1978 structures that most recently consisted of solely four or
fewer units of single-family housing including appurtenant structures
thereto, a statement to this effect, or
(ii) If there are pre-1978 structures on the site, other than for a
site that most recently consisted of solely four or fewer units of
single-family housing including appurtenant structures thereto, a
comprehensive building asbestos survey that 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 survey 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. 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.
(a) HUD will reject your application if the Supportive Services
Certification:
(i) Is not submitted with your application and is not submitted to
HUD within the 14-day cure period; or
(ii) 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
(iii) 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.
(b) 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:
(i) You failed to demonstrate that supportive services will be
available on a consistent, long-term basis; and/or
(ii) 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 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 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, you must comply with all statutory and
regulatory requirements listed in this NOFA.
[[Page 11725]]
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)(xi) of Section IV.B. below NOFA.
(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
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. Refer to Section V.A. below and
the General Section 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 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 will commence the environmental review of
your project upon receipt of your completed application. However, HUD
cannot approve any site for which you have site control unless it first
completes the environmental review and finds that the site(s) meets its
environmental requirements. 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, the type of information requests that HUD may make to you, and
the criteria that HUD uses to determine the environmental acceptability
of a site, 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.
i. Fair Housing Requirements. Refer to the General Section.
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 implementation 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 in the area in which the proposed project will be
located. 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. Although not a NOFA
requirement, you are nonetheless encouraged to submit with your
application a description on how you plan to incorporate the Section 3
requirements into your proposed project with goals for expanding
training and employment opportunities for low and very low-income
(Section 3) residents as
[[Page 11726]]
well as business concerns. You will receive up to two (2) points if you
provide a description of your plans for doing so under Exhibit 3(m) of
this program NOFA
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.
l. Energy Efficiency. 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 not
only 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. 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.
m. 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.
n. Davis-Bacon. You must comply with the Davis-Bacon Requirements (42
U.S.C. 8013(j)(6)) and the Contract Work Hours and Safety Standards Act
in accordance with 24 CFR 891.155(d).
IV. Application and Submission Information
A. Address to Request Application Package. Applicants are required
to submit an electronic application unless they receive a waiver of the
requirement in accordance with the procedures in Section IV.C. of this
NOFA. See the General Section for information on electronic application
submission and timely submission and receipt requirements. Copies of
the General Section, this NOFA, the required forms, and other related
documents are available and may be downloaded from the Grants.gov Web
site at http:/www.grants.gov/applicants/apply--for--grants.jsp. Search
for the program using the CFDA Number, Competition ID OR Funding
Opportunity Number. 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. See the General Section
for information regarding the registration process or ask for
registration information from the Grants.gov Support Desk.
You may request general information, copies of the General Section
and this NOFA (including related documents), and required forms from
the NOFA Information Center (800-HUD-8929) Monday through Friday,
except on federal holidays. Persons with hearing or speech impairments
may access this number via TTY by calling the Federal Information Relay
Service at (800) 877-8339. 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 NOFA
below. 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).
The following additional information, which may assist you in
preparing your application, is available on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm:
Listing of Local HUD Offices
Letter Requesting SHPO/THPO Review
Choosing an Environmentally Safe Site
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 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,
[[Page 11727]]
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. A listing of the local HUD offices is
available on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
Please submit your application using the following format provided
in this NOFA. For applications to be submitted electronically in which
you have created files to be attached to the electronic application,
you should number the pages of the attached file and include a header
that identifies the exhibit that it relates to. Please be sure to
follow the file labeling and file format instructions in the General
Section.
For applicants that received a waiver of the electronic application
submission requirement, you must number the pages of each file,
narratives and other attached files. Include the name of your
organization and your DUNS number, and the exhibit number that you are
responding to on the header of each document.
1. Table of Contents
a. Part I--Application Form
(1) Exhibit 1: Form HUD-92016-CA Application for Capital Advance
Summary Information.
b. Part II--Ability to Develop/Operate Project
(1) Exhibit 2: Legal Status.
(a) Organizational Documents.
(b) By-Laws.
(c) IRS Tax Exemption Ruling.
(d) Number of board members.
(2) Exhibit 3: Purpose/Community Ties/Experience.
(a) Purpose(s), current activities, etc.
(b) Community ties, description of area.
(c) Other Funding Sources.
(d) Letters of support.
(e) Housing/Services experience.
(f) Involvement of target population.
(g) Practical solutions.
(h) Project Development Timeline.
(i) How project will remain viable:
(i) If services are depleted;
(ii) If State-funded services change; and
(iii) If need for project changes.
(j) Coordination with other organizations.
(k) Consultation with Continuum of Care organizations.
(l) Form HUD-27300, America's Affordable Communities Initiative/
Removal of Regulatory Barriers (HUD Communities Initiative Form on
Grants.gov), with supporting documentation.
(m) Section 3 requirements.
c. Part III--Need for Housing, Site Requirements, Proposed Services
(1) Exhibit 4: Project Information.
(a) Evidence of need for project.
(b) Benefit to population/community.
(c) Narrative project description:
(i) Building design;
(ii) Energy efficiency features; and
(iii) Mixed-financing for additional units.
(d) Site control and zoning;
(i) Site control documents;
(ii) Freedom of site from restrictions;
(iii) Zoning requirements;
(iv) URA site notification requirements;
(v) Topographical/demographical description of site/area and
opportunities for minorities;
(vi) Racial composition/map of site;
(vii) Phase I ESA;
(viii) Asbestos Statement/Survey;
(ix) SHPO/THPO requirements;
(x) Willingness to seek alternate site; and
(xi) Exception to project size limit:
(A) Preference/acceptance of people with disabilities to live in
proposed housing;
(B) Increase number of people;
(C) Compatibility of project;
(D) Increased number will not prohibit integration in community;
(E) Project marketability;
(F) Consistency of project size with State/local policies; and
(G) Willingness to accept project size limit.
(e) Site identification:
(i) Site location;
(ii) Steps to identify site/activities to obtain site control;
(iii) Whether site is properly zoned;
(iv) Status of sale of site; and
(v) Whether site involves relocation.
(2) Exhibit 5: Supportive Services Plan.
(a) Description of occupancy.
(b) Request to limit occupancy:
(i) Population to which occupancy will be limited;
(ii) Why necessary to limit occupancy:
(A) Achievement of Section 811 goals;
(B) Why unable to meet housing/services needs in an integrated
setting;
(iii) Housing/Services experience;
(iv) Assurance of integrating occupants in neighborhood/
community.
(c) Services needs of proposed population.
(d) Community services providers with letters of intent.
(e) Service providers' capabilities/experience.
(f) State/local agency involvement in project.
(g) Your commitment to make services available or coordinate
their availability.
(h) Employment opportunities for residents.
(i) Whether a manager's unit will be included.
(j) Statement that occupancy will not be conditioned on
resident's acceptance of supportive services.
d. Part IV--Requirements/Certifications/Resolutions
(1) Exhibit 6: Other Applications.
(a) FY07 Sections 202/811 applications to other Offices.
(b) Information on FY06 and prior years' Sections 202/811
applications.
(2) Exhibit 7: Required information on:
(a) All property occupants;
(b) Relocation costs/services;
(c) Staff to carry out relocation;
(d) Occupant move-outs within past 12 months.
(3) Exhibit 8: Forms/Certifications/Resolutions.
(a) SF-424, Application for Federal Assistance.
(b) SF-424 Supplement, ``Survey on Ensuring Equal Opportunities
for Applicants'' (Faith Based EEO Survey (SF-424 SUPP) on
Grants.gov).
(c) SF-LLL, Disclosure of Lobbying Activities.
(d) HUD-2880, ``Applicant/Recipient Disclosure/Update Report''
(HUD Applicant/ Recipient Disclosure Report on Grants.gov).
(e) HUD-2991, Certification of Consistency with the Consolidated
Plan.
(f) HUD-92041, Sponsor's Conflict of Interest Resolution.
(g) HUD-92042, Sponsor's Resolution for Commit to Project.
(h) HUD-2990, Certification of Consistency with the RC/EZ/EC-II
Strategic Plan (if applicable).
(i) HUD-92043, Certification for Provision of Supportive
Services.
(j) HUD-96010, Program Outcome Logic Model.
(k) HUD-96011, ``Third Party Documentation Facsimile
Transmittal'' (Facsimile Transmittal Form on Grants.gov). This is to
be used as the cover page for faxing third party information for
electronic applications only. See the General Section.
(l) HUD-2994-A, You are Our Client! Grant Applicant Survey.
2. Programmatic Applications Requirements
a. Part I--Application Form for Section 811 Supportive Housing--Capital
Advance
Exhibit 1--Form HUD-92016-CA, Supportive Housing for Persons with
Disabilities Section 811 Application for Capital Advance Summary
Information. A copy of this form is available in the instructions
download at http://www.grants.gov/applicants/apply--for--grants.jsp.
b. Part II--Your Ability To Develop and Operate the Proposed Project
(1) Exhibit 2--Evidence of your legal status (i.e., evidence of
your status as a nonprofit organization 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)
Note: Based on a HUD review of your articles of incorporation,
constitution, or other organizational documents, HUD must determine,
among other things, that (1) you are an eligible nonprofit entity
with a 501(c)(3) IRS tax exemption status, (2) your corporate
purposes are sufficiently broad to
[[Page 11728]]
provide you the legal authority to sponsor the proposed project for
the disabled, to assist the Owner, and to apply for a capital
advance, (3) no part of the Sponsor's net earnings inures to the
benefit of any private party, and (4) that you are not controlled by
or under the direction of persons seeking to derive profit or gain
therefrom. [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, including
your ability to enlist volunteers and raise private and local funds,
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 other funding sources 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(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:
(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.
(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,
``Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers'' AND provide the necessary URL references or submit the
documentary evidence. This exhibit is optional, but to obtain up to 2
points for this policy priority, you must submit this information using
Form HUD-27300 and contact information. When providing documents in
support of your responses to the questions on the form, please provide
the applicant name and project name and whether you were responding
under column A or B, then identify the number of the question and the
URL or document name and attach using the attachment function at the
end of the electronic form. This exhibit will be used to rate your
application under Rating Factor 3(j).
(m) A description on how you plan to incorporate the Section 3
requirements into your proposed project with goals for expanding
training and employment opportunities for low and very low-income
(Section 3) persons as well as business concerns in the area in which
the proposed project will be located. This exhibit is optional, but to
obtain up to 2 points for this policy priority, you must submit this
exhibit and adequately address your plans to provide opportunities to
train and employ low and very low-income residents of the project area
and award substantial contracts to persons residing in the project
area.
[[Page 11729]]
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
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), the special project standards of 24 CFR 891.310 (a),
and the limitations on bedroom sizes as required by paragraph 1-
11.E.2.a of HUD Handbook 4571.2 REV-1, 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.l. of this 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. You must also demonstrate your
ability to proceed with the development of a Section 811 project that
will not involve mixed-financing, as proposed in your application, in
the event you are later unable to obtain the necessary outside funding
or HUD disapproves your proposal for a mixed-finance project for
additional non-Section 811 units for persons with disabilities.
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) Section 811 capital
advance amendment money will not be approved for projects proposing
mixed-financing. (3) 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. (4) 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. (5) 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)(xi)) 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 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 of site control as
described above AND 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
[[Page 11730]]
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 current 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 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).
Note: A certification for this requirement is not sufficient.
Evidence must be submitted to meet this requirement. 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 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 Standard E 1527-05, as amended, using the table of
contents and report format specified at Appendix X4 thereto and
completed or updated as specified at Section 4.6 thereto, 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 180 days 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.
Note: A Phase I ESA that is not properly updated, does not use
the format specified at Appendix X4 of ASTM Standard E 1527-05, or
that is prepared in accordance with an older version of ASTM E 1527
will result in a technical rejection of your application.
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 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
[[Page 11731]]
II ESA 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 25, 2007. 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.b.(3)(d)(iii)]
(viii) If you submit an application with evidence of site control,
you must submit one of the following:
(A) If there are no pre-1978 structures on the site or if there are
pre-1978 structures that most recently consisted of solely four or
fewer units of single-family housing including appurtenant structures
thereto, a statement to this effect, or
(B) If there are pre-1978 structures on the site other than for a
site that most recently consisted of solely four or fewer units of
single-family housing including appurtenant structures thereto, a
comprehensive building asbestos survey that 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) Letter to State/Tribal Historic Preservation Officer (SHPO/
THPO) and a statement that SHPO/THPO failed to respond to you OR a copy
of the response letter received from SHPO/THPO.
(x) A statement that you are willing to seek a different site if
the preferred site is not approvable and that site control will be
obtained within six months of notification of fund reservation.
(xi) 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 or block and lot number(s), 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(i)) 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 this NOFA 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
[[Page 11732]]
(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.
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 2007 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 FY2006 and prior years 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:
(i) Whether the project has initially closed and, if so, when;
(ii) 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;
(iii) Whether amendment money was or will be needed for any project
in (ii) above; including the amount of the amendment money and,
(iv) Those projects which have not been finally closed.
(2) EXHIBIT 7: A statement that: (applicable to applications with site
control only)
Note: For site identified projects, exhibit 7 must be submitted
once site control is obtained.
(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 who were required to move 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
You are required to submit completed copies of the following forms
which are included either in the General Section or with this NOFA and
copies of the forms are available in the instructions download at
http://www.grants.gov/applicants/apply--for--grants.jsp.
(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). If required by the
State's Single Point of Contact (SPOC), a copy of your application
needs to be submitted to the SPOC before the application deadline date,
but in no event later than the application deadline date. Refer to the
General Section and Section IV.D. of this program NOFA to find out if
your State has a SPOC and additional information on compliance with
Executive Order 12372.
Note: For Section 811 program purposes, item 12, Areas Affected
by Project, of SF-424, provide the names of the City, County and
State where the project will be located (not the largest political
entities as indicated on the instructions page of SF-424).
(b) Standard Form 424 Supplement, Survey on Ensuring Equal
Opportunity for Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on
Grants.gov). 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.
(c) Standard Form LLL--Disclosure of Lobbying Activities (if
applicable). A disclosure of activities conducted to influence any
federal transactions.
(d) Form HUD-2880, Applicant/Recipient Disclosure/Update Report
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov),
including Social Security and Employee Identification Numbers. A
disclosure of assistance from other government sources received in
connection with the project.
(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 a 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 NOFA. The Plan regulations are published in 24 CFR part
91.
(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.
[[Page 11733]]
(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.
(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/EC-II.) A copy of
the RC/EZ/EC-II Certification form is contained in the online
application; and
(i) 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 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.)
(j) Form HUD-96010, Program Outcome 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.
(k) Form HUD-96011, Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov) to be used for faxing
third party letters and other documents for your electronic
applications in accordance with the instructions in the General
Section.
Note: HUD will not accept entire applications by fax. If you
submit the application entirely by fax, it will be disqualified.
(l) Form HUD-2994-A, You Are Our Client Grant Applicant Survey.
This is an optional form that may be used to provide suggestions and
comments to the Department regarding your application submission
experience.
C. Submission Dates and Time. Your application must be received and
validated electronically by Grants.gov no later than 11:59:59 PM
eastern time on the application deadline date, unless a waiver of the
electronic delivery process has been approved by HUD in accordance with
the following procedures. Applicants that are unable to submit their
application electronically must seek a waiver of the electronic grant
submission requirement. Waiver requests must be submitted by mail or by
fax. For this program NOFA, e-mail requests will not be considered.
Waiver requests submitted by mail or fax should be submitted on the
applicant's letterhead and signed by an official with the legal
authority to request a waiver from the Department. The request must be
addressed to the Assistant Secretary for Housing at the following
address: Brian D. Montgomery, Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and Urban Development, 451
Seventh Street, SW., Room 9100, Washington, DC 20410-8000. Waiver
requests submitted by fax must be sent to (202) 708-3104. Applicants
that are granted a waiver of the electronic submission requirement will
not be afforded additional time to submit their applications.
Therefore, submit your waiver requests to the above address no later
than 15 days before the application deadline date. If a waiver is
granted, you must submit the required number of copies and the
application must be received by the application deadline date. Your
approval of the waiver request will provide instructions on the number
of copies and where to submit the application.
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 deadline date, but in no event later
than the application deadline 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. If
the SPOC requires a review of your application, you must include a copy
of the cover letter you sent to the SPOC in Exhibit 8(a) of your
Section 811 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
[[Page 11734]]
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. If amendment funds are not
approved, 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:
$45,507 per family unit without a bedroom
$52,470 per family unit with one bedroom
$63,279 per family unit with two bedrooms
$80,998 per family unit with three bedrooms
$90,235 per family unit with four bedrooms
For elevator structures:
$47,890 per family unit without a bedroom
$54,897 per family unit with one bedroom
$66,755 per family unit with two bedrooms
$86,358 per family unit with three bedrooms
$94,795 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
------------------------------------------------------------------------
Physical/ Chronic mental
Residents 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,
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 unfeasible 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 Revised Continuing
Appropriations Resolution, 2007 (Pub. L. 110-5; approved February 15,
2007), requires HUD to obligate all Section 811 funds
[[Page 11735]]
appropriated for FY2007 by September 30, 2010. Under 31 U.S.C. 1551, no
funds can be disbursed from this account after September 30, 2015.
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, 2015, 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, 2015. Furthermore, all unexpended balances,
including any remaining balance on PRAC contracts, will be cancelled as
of October 1, 2015. 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/applicants/apply--for--grants.jsp Web site, unless the applicant receives a waiver
from the electronic submission requirement. See the General Section,
Application Submission and Receipt Procedures and Section IV.C. of this
NOFA for additional information. Refer to HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm for a listing of local
HUD offices. All applications submitted electronically via http://www.grants.gov/applicants/apply--for--grants.jsp will be downloaded and
forwarded to the appropriate local HUD office.
2. For Section 811 applications that have more than one applicant,
i.e. Co-Sponsors. The applicants must designate a single individual to
act as the authorized representative for all Co-Sponsors of the
application. The designated authorized representative of the
organization submitting the application must be registered with
Grants.gov, the Federal Central Contractor Registry and with the
credential provider for E-Authentication. Information on the Grants.gov
registration process is found in Section IV.B. of the General Section.
When the application is submitted through Grants.gov, the name of the
designated authorized representative will be inserted into the
signature line of the application. Please note that the designated
authorized representative must be able to make legally binding
commitments for each Co-Sponsor to the application.
Each Co-Sponsor must complete the documents required of all co-
sponsoring organizations to permit HUD to make a determination on the
eligibility of the Co-Sponsor(s) has pledged to the project. Therefore,
each Co-Sponsor must submit the following information using the
scanning and/or faxing method described in Section IV. of the General
Section: Standard Form 424, Application for Federal Assistance;
Standard Form 424 Supplement, Survey for Ensuring Equal Opportunity for
Applicants; Standard Form LLL, Disclosure of Lobbying Activities (if
applicable); Form HUD-92016-CA, Section 811 Application for Capital
Advance, Summary Information; Form HUD-92041, Sponsor's Conflict of
Interest Resolution; Form HUD-92042, and Sponsor's Resolution for
Commitment to Project. The forms identified above are discussed in the
Program instructions package and can be downloaded from http://www.grants.gov/applicants/apply--for--grants.jsp. The downloaded and
completed forms should be saved as separate electronic files and
attached to the electronic application submission following the
requirements of Section IV.
As stated in Section IV of the General Section, scanning documents
to create electronic files increases the size of the file. Therefore,
applicants may not submit scanned files unless using the facsimile
method as stated in the General Section. If the facsimile method does
not work, forms and other documents from Co-Sponsors may be scanned to
create an electronic file and submitted as an attachment to the
application. These documents should be labeled and numbered so the HUD
reviewer can identify the file and its contents. If the applicant is
creating an electronic file, the file should contain a header that
identifies the name of the Sponsor submitting the electronic
application, that Sponsor's DUNS Number, and the unique ID that is
found at the top of the Facsimile Transmission form found in the
electronic application package. The naming convention for each
electronic file should correspond to the labeling convention used in
the application Table of Contents found in Section IV.B.1. of this
NOFA. For example, the organizational documents of a Co-Sponsor would
be included under Part II, Exhibit 2(a) of the Section 811 application.
The signed documents and other information required to be submitted
with the electronic application should be transmitted via fax, using
Form HUD-96011, Facsimile Transmittal as the cover page to the
facsimile. The Form HUD-96011 is found in the electronic application
package. Co-Sponsors should use the Form HUD-96011 provided by the
Sponsor that is submitting the electronic application. The submitting
Sponsor should fill in the SF 424 form prior to giving the Form 96011
to the Co-Sponsors. By following these directions, the Form HUD-96011
will be pre-populated with the submitting Sponsor's organizational
information exactly as the submitting Sponsor has provided it on the
electronic application. In addition, HUD will be using the unique
identifier associated to the downloaded application package as a means
of matching the faxes submitted with applications received via
Grants.gov. The Facsimile Transmittal form also has space to provide
the number of pages being faxed and information on the type of
document. Co-Sponsors or the submitting applicant can insert the
document name in the space provided labeled Program Component and
should ensure that the form that is used is the cover sheet to the
facsimile transmittal.
Do not insert any additional or other cover pages as it will cause
problems in electronically matching the pieces of the application.
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 FY2007. Refer to the General Section for information regarding
HUD's Strategic Goals and Policy Priorities. For the Section 811
program, applicants who include work activities that specifically
address the policy priorities of encouraging accessible design features
by incorporating visitability standards and universal design, ending
chronic homelessness, removing barriers to affordable housing,
promoting energy efficiency in design and operations, and expanding
training and employment opportunities for low and very low-income
persons and business concerns (Section 3 requirements) 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
[[Page 11736]]
technical processing using the Rating Factors set forth below and in
accordance with the application submission requirements in this NOFA.
The maximum number of points an application may receive under this
program is 100 plus 2 bonus points. 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 (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 NOFA. 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 minority
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.
To earn the maximum number of points under subcriteria (b)(1)
above, you must describe 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 housing market area 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 disability communities in particular and
your relationships over time with the community, including the minority
and disability communities. Examples of documents that may be submitted
to earn the maximum number of points under subcriteria (b)(2), include
letters of support from community leaders (including minority and
disability community leaders) that give information about applicant's
relationship over time with the community (including the minority and
disability community). You may also submit copies of your affirmative
marketing plan and the advertising/outreach materials you utilize to
attract minority communities (including limited English proficient
communities), disabled 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 disabled
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 FY2002 or later has been extended beyond 24 months, 4 points
if beyond 36 months, 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. (-3 to -5 points). HUD will deduct from 3 points to 5 points if
HUD amendment money was required in connection with 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 2002 or later based on the following.
(1) (-3 points). The amount of the amendment money required was 25
percent or less of the original capital advance amount approved by HUD.
(2) (-4 points). The amount of the amendment money required was
between 26 percent and 50 percent of the original capital advance
amount approved by HUD.
(3) (-5 points). The amount of the amendment money required was
over 50 percent of the original capital advance amount approved by HUD.
e. (5 points) You have experience in developing integrated housing
and/or the proposed project will be an integrated housing model
(applies to condominium units scattered within one or more buildings or
non-contiguous independent living units on scattered sites only).
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 NOFA. 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 but is not limited to:
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,
information on the numbers and types of existing
comparable Federally assisted housing units for persons with
disabilities (HUD and RHS) and current occupancy in such housing and
recent market experience,
comparable assisted 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 areas.
The Department also will review more favorably those applications
which
[[Page 11737]]
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.
In evaluating this factor, HUD will rate your application as
follows:
a. (10 points) If a determination has been made that there is
sufficient sustainable long-term demand for additional supportive
housing for persons with disabilities in the area to be served, the
project is to be awarded 10 points. If not, the project is to be
awarded 0 points. No other point values are allowed under this
subsection V.A.2.a.
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, whether you will
promote energy efficiency in the design and operation of the proposed
housing, and your plans to expand economic opportunities for low and
very low-income persons as well as certain business concerns (Section
3). There must be a clear relationship between the proposed 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), 3(m),
4(c)(i), 4(c)(ii), 4(d)(iii), 4(d)(v), 4(d)(vi), 4(e)(i), and 5 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. (8 points) The suitability of the site from the standpoint 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. If the site will be in a minority
neighborhood, the site will be deemed acceptable if it contributes to
the revitalization of and reinvestment in the minority neighborhood,
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 neighborhood's percentage of persons of a particular racial
or ethnic minority is at least 20 percentage points higher than the
percentage of that particular racial or ethnic minority in the housing
market area;
(b) The neighborhood's total percentage of minority persons is at
least 20 percentage points higher than the total percentage of
minorities for the housing market area; 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) Site and Neighborhood Standards and Persons with
Disabilities: 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 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
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
[[Page 11738]]
affordable housing. (Note: This is an optional requirement, but to
receive up to 2 points, the applicant must have submitted the Form HUD-
27300, Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers, AND provided some form of documentation where requested,
including point of contact and URL references or submitted the required
documentary evidence.) Refer to the General Section for further
information.
k. (1 point) The extent to which you will promote energy efficiency
in the design and operation of the proposed housing. (Note: Optional,
but to receive the 1 point, the applicant must have adequately
addressed their plans to promote energy efficiency in the design and
operation of the proposed project.) Refer to Section III.C.4 of this
NOFA.
l. (2 points). The extent to which you have described your plans
for expanding economic opportunities for low and very low-income
persons (provisions of Section 3). Note: This is an optional
requirement, but to receive up to 2 points, the applicant must have
adequately addressed the following in Exhibit 3(m) of the application.
Refer to the General Section for further information.
(1) (1 point). Provide opportunities to train and employ low and
very low-income residents of the project area.
(2) (1 point). Award substantial contracts to persons residing in
the project area.
4. Rating Factor 4: Leveraging Resources (5 Points)
This factor addresses your ability to secure other funding sources
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), and 5(f) of Section IV.B. of
this NOFA.
a. (0 point). The application contains general support and/or
written evidence of firm commitments towards the development and
operation of the proposed project (including, financial assistance,
donation of land, provision of services, etc.) from other funding
sources (e.g., private, local community, and government sources) where
the dollar value totals 5% or less of the capital advance amount as
determined by HUD.
b. (1 point). The application contains written evidence of firm
commitments towards the development and operation of the proposed
project (including, financial assistance, donation of land, provision
of services, etc.) from other funding sources (e.g., private local
community and government sources) where the dollar value totals between
6% and 10% of the capital advance amount as determined by HUD.
c. (2 points). The application contains written evidence of firm
commitments towards the development and operation of the proposed
project (including, financial assistance, donation of land, provision
of services, etc.) from other funding sources (e.g., private local
community and government sources) where the dollar value totals between
11% and 15% of the capital advance amount as determined by HUD.
d. (3 points). The application contains written evidence of firm
commitments towards the development and operation of the proposed
project (including, financial assistance, donation of land, provision
of services, etc.) from other funding sources (e.g., private, local
community, and government sources) where the dollar value totals
between 16% and 20% of the capital advance amount as determined by HUD.
e. (4 points). The application contains written evidence of firm
commitments towards the development and operation of the proposed
project (including, financial assistance, donation of land, provision
of services, etc.) from other funding sources (e.g., private, local
community, and government sources) where the dollar value totals
between 21% and 25% of the capital advance amount as determined by HUD.
f. (5 points). The application contains written evidence of firm
commitments towards the development and operation of the proposed
project (including, financial assistance, donation of land, provision
of services, etc.) from other funding sources (e.g., private, local
community, and government sources) where the dollar value totals over
25% of the capital advance amount as determined by HUD.
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), Program Outcome Logic Model (HUD-96010), 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(j) of Section IV.B. of
this 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 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(h) of Section IV.B. of
this NOFA.
B. Reviews and Selection Process
1. Review for Curable Deficiencies. 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
[[Page 11739]]
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:
------------------------------------------------------------------------
Exhibit Description
------------------------------------------------------------------------
1...................................... Form 92016-CA (Application
Form)*
2(a)................................... Articles of Incorporation*
2(b)................................... By-laws*
2(c)................................... IRS tax exemption ruling*
4(c)(iii).............................. Description of mixed-financing
plans for additional units, if
applicable
4(d)(i)................................ Evidence of site control
4(d)(ii)............................... Evidence site is free of
limitations, restrictions or
reverters
4(d)(iv)............................... Evidence of compliance with URA
site notification requirement
4(d)(vii).............................. Phase I ESA
4(d)(viii)............................. Asbestos Statement or Survey
4(d)(ix)............................... Letter to the State/Tribal
Historic Preservation Officer
(SHPO/THPO) and a statement
that the SHPO/THPO failed to
respond OR the letter from the
SHPO/THPO
4(d)(x)................................ Willingness to seek an
alternate site
4(d)(xi)............................... Exception to project size
limit
4(e)(ii)............................... Steps undertaken to identify
site
4(e)(iv)............................... Status of the sale of the site
4(e)(v)................................ Whether the site would involve
relocation
5...................................... Supportive Services Plan
7...................................... Relocation
8(a)................................... Letter sent to the State Point
of Contact (SPOC).*
8(b)................................... Standard Form 424 Supplement,
Survey on Ensuring Equal
Opportunity for Applicants.
8(c)................................... Standard Form LLL, Disclosure
of Lobbying Activities (if
applicable).
8(d)................................... Form HUD-2880, Applicant/
Recipient Disclosure/Update
Report.
8(e)................................... Form HUD-2991, Certification of
Consistency with Consolidated
Plan.
8(f)................................... Form HUD-92041, Sponsor's
Conflict of Interest
Resolution.
8(g)................................... Form HUD-92042, Sponsor's
Resolution for Commitment to
Project.*
8(i)................................... Form HUD-92043, Supportive
Services Certification.
8(k)................................... Form HUD-96011 Facsimile
Transmittal (Required Only for
Transmittal of Faxes).*
8(l)................................... Form HUD-2994-A, You Are Our
Client Grant Applicant Survey
(optional).
------------------------------------------------------------------------
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 except as
described in ``3 Appeal Process'' found 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, 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/EZ/EC-II
bonus points) and meet all of the applicable threshold requirements in
the General Section and this 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 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 not approvable
provided you indicate your willingness to locate another site(s) should
the proposed site(s) be found not approvable; 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/EZ/EC-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 remaining available funds to
select the next highest 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 unfeasible. 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 Hub-wide 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
[[Page 11740]]
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
the 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 additional 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. Headquarters may skip over a higher rated Category A
application to ensure that only one application is selected from each
HUD Multifamily Program Center. This process will continue until the
remaining available funds are used to select Category A applications,
to the maximum extent possible. If all Category A applications are
selected, Category B applications will then become eligible for
selection in rank order, beginning with the highest rated application.
Only one Category B application per HUD Multifamily Program Center will
be selected from the remaining national residual amount. Headquarters
may skip over a higher rated Category B application in order to ensure
that only one application is selected from each HUD Multifamily Program
Center. This process will continue until the remaining available funds
are used to select approvable applications. 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.
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 this NOFA, 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 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 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.
If you had site control as an applicant, you must be able to
identify all persons who were required to move from the site within the
past 12 months and the reason for such a move. You will also have to be
able to demonstrate that all persons occupying the site have been
issued the appropriate required General Information Notice and advisory
services information receipt required, either at the time of the
execution of the option to acquire the property or at the time of
application submission.
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. Based on the information you
provided in the Program Outcome Logic Model. These reporting
requirements are to be submitted to HUD as follows:
Program Outcome Logic Model. You, as the Sponsor, and the Owner,
when formed, are required to report annually, beginning from the date
of the Agreement Letter, on the results achieved against the output
goal(s) and outcome(s), which you proposed in the Program Outcome Logic
Model that was submitted in your application. HUD is considering a new
concept for the Logic Model. The new concept is a Return on Investment
(ROI) statement. HUD will be publishing a separate notice on the ROI
concept.
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
[[Page 11741]]
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.
VII. Agency Contact(s)
Technical Assistance. For technical assistance in downloading an
application package from www.grants.gov/Apply, contact the Grants.gov
help desk at 800-518-Grants or by sending an e-mail to
[email protected].
Programmatic Information. 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. 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.
[[Page 11742]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.027
[[Page 11743]]
BILLING CODE 4210-01-C
Continuum of Care (COC) Program
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-
5100-N-14. The OMB Approval number is 2506-0112.
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: Applications should be submitted no later than June 8,
2007. Please see 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 $1.25 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. 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. CoCs and their projects that sustain current
successful interventions and advance the goals of ending chronic
homelessness will be scored higher.
2. The authorizing legislation and implementing regulations for all
programs covered by this NOFA are outlined on the chart in Section
III.A.3.
3. Changes for 2007. This list includes all major changes to the
CoC NOFA:
a. As in past years, CoCs who would like to create new permanent
housing units may use the ``hold harmless reallocation process'' to do
so. With this process, eligible CoCs can replace or reduce renewal
projects with a new permanent housing project using the same funds. In
the past, a CoC risked losing the funds that it had ``reallocated'' in
this way if the CoC did not score above the full funding line. New this
year, CoCs who are in ``hold harmless status'' who seek to use the
reallocation process to create new permanent housing units may do so
without risk of losing the reallocated amount. If a CoC reallocates a
portion of its pro rata need to an eligible new permanent housing
project, the project will be funded, even if it is a lower-rated
eligible project as long as it is in a CoC receiving at least 65
points. HUD is making this change to make it easier for CoCs to choose
to fund new permanent housing units. For more information on hold
harmless status and the process for reallocating pro rata need, see
section I.A.8.h of this NOFA (the glossary) or the Questions and
Answers Supplement at: www.hud.gov/offices/adm/grants/fundsavail.cfm.
b. The ``Questions and Answers Supplement'' contains additional
information and should be thoroughly reviewed. It is now available on
the web at www.hud.gov/offices/adm/grants/fundsavail.cfm.
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 reduce homelessness.
This NOFA emphasizes HUD's determination to integrate and align plans,
including jurisdictional state and city ten-year plans (jurisdictional
ten-year plans) encouraged by the U.S. Interagency Council on
Homelessness and Consolidated Plans, into the CoC plans. These plans
serve as the vehicle for a community to comprehensively identify each
of its needs and to coordinate a plan of action for addressing them.
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, business, health care, philanthropy, law enforcement, and
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,
as follows:
a. A system of outreach, engagement, and assessment for determining
the needs and conditions of an individual or family who is homeless,
and necessary support to identify, prioritize, and respond to persons
who are chronically 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 homeless individuals and families prepare 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 effectively intervening for persons
in public systems--e.g., corrections, foster care, mental health, and
other institutions--so that they do not enter the homeless system. 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 agencies, community and faith-based
organizations, other homeless providers, service providers, housing
developers, private health care organizations, businesses and business
associations, law enforcement and corrections agencies, school systems,
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
(these 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.
[[Page 11744]]
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. Annual Renewal Amount. This is the amount that an SHP grant
receives as a renewal each year after the initial grant term has ended.
This was formerly referred to as the Average Yearly Amount. It is also
used to calculate a CoC's ``hold harmless'' amount. To calculate the
Annual Renewal Amount, add up the amount of the renewable items (such
as operating, services, and administration costs) for all the years of
the initial grant, and divide by the number of years in the grant term.
For example, if a grant received a total of $60,000 in eligible
renewable costs over a three-year period, the Annual Renewal Amount
would be $20,000, or $60,000 divided by 3.
b. 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
(Application for Federal Assistance Form). 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.
c. 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.
d. 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.''
e. 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.
f. 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.
g. Continuum of Care (CoC). 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.
h. Continuum of Care Hold Harmless Amount. This is the total of the
one-year amount (the total of the annual renewal amount) of all SHP
projects eligible for renewal under this NOFA. CoCs shall receive the
higher of: (1) the preliminary pro rata need (PRN) or (2) the CoC hold
harmless amount. CoCs receiving the CoC hold harmless amount have the
opportunity to replace or reduce projects in their CoC and reallocate
their PRN funds in order to create new permanent supportive housing
projects.
i. Current Inventory. A complete listing of the community's
existing beds and supportive services.
j. 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.
k. 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.
l. NOFA. Notice of Funding Availability, published in the Federal
Register to announce available funds and application requirements.
m. 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.
[[Page 11745]]
(7) Accounting records, including cost accounting records, which
are supported by source documentation.
n. Project Sponsor. The organization that is responsible for
carrying out the proposed project activities. A project sponsor does
not submit a SF-424 (Application for Federal Assistance), 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 applying for S+C
funding.
o. 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.
p. SF-424, Application for Federal Assistance. The application
cover sheet required to be submitted by applicants requesting HUD
Federal Assistance.
q. 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. A Safe Haven
may be transitional supportive housing, or permanent supportive housing
if it has the characteristics of permanent housing and requires
participants to sign a lease.
r. Samaritan Housing Initiative. The Samaritan Initiative 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 pro rata need amount or $6 million,
whichever is less. Applicants may use no more than 20 percent of this
bonus for case management costs to enable program participants to
remain successfully housed. See Section V.A.2.b(3) for additional
information on this subject.
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 from HUD,
distributing them to the project sponsors, overseeing project sponsors,
reporting to HUD, providing performance data to the CoC for community-
level analysis, and collecting information to provide the CoC with
counts of the homeless through HMIS. 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 $1.25 billion is available for
this CoC competition in FY 2007. 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 2007 appropriations to fund
applications submitted in response to this NOFA. The FY 2007 HUD
Appropriations Act requires HUD to obligate all CoC homeless assistance
funds by September 30, 2009. These funds will remain available for
expenditure for either five (5) or ten (10) years following that date,
as provided by statute. The only exception is that $20 million will
remain available until expended for 10-year term projects.
1. Distribution of Funds: HUD will not specify amounts for each of
the three programs. 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 2007 HUD 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 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. The CoC
strategy to end chronic homelessness is now referred to as the CoC Ten-
Year Plan (see Chart N in Exhibit 1). CoCs should align and integrate
their CoC Ten-Year Plans with other plans, including jurisdictionally
led ten-year plans and applicable Consolidated Plans. 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 Sections 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 Sections 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 Sections 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
[[Page 11746]]
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)................ States........ States........ PHAs.
Units of Units of Private
general local general local nonprofit
government. government. organizations.
Special PHAs.
purpose units of
government, e.g. PHAs.
Private
nonprofit
organizations.
Community
Mental Health Centers
that are public
nonprofit
organizations.
Eligible Components.................. Transitional Tenant-based SRO housing.
housing. housing.
Permanent Sponsor-based
housing for disabled housing.
persons only.
Supportive Project-based
services not in housing.
conjunction with
supportive housing.
Safe Havens... SRO-based
housing.
Innovative
supportive housing.
Homeless Mngt.
Info. System (HMIS).
Eligible Activities, See footnotes 1, Acquisition... Rental Rental
2 and 3. assistance. assistance.
Rehabilitation.
New
construction.
Leasing.
Operating
costs.
Supportive
services.
Eligible Populations, See footnote 2. Homeless Homeless Homeless
individuals and disabled individuals. individuals.
families.
....................... Homeless
disabled individuals &
their families.
Populations Given Special Homeless Homeless N/A.
Consideration. persons with persons who are
disabilities. seriously mentally ill.
Homeless Have chronic
families with children. problems with alcohol
and/or drugs.
....................... Have AIDS &
related diseases.
Initial Term of Assistance, See 2 or 3 years 5 years: TRA, 10 years.
footnote 4. for new SHP. SRA, and PRA without
rehab.
1, 2 or 3 10 years: SRO,
years for new HMIS. and PRA with rehab.
1, 2, or 3
years for new
reallocated projects.
----------------------------------------------------------------------------------------------------------------
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 are statutorily ineligible
for assistance under Shelter Plus Care and Section 8 SRO.
Footnote 4: The term of a new grant with funds for acquisition, construction or rehabilitation also includes the
time to acquire the property, complete construction and begin operating the project, which may be no greater
than 39 months.
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 20 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.
[[Page 11747]]
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.
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 that these 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) 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 who originally came from the streets
or emergency shelter. As participants leave currently operating
projects, participants who meet this 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) Renewal applications should be submitted as part of a CoC
application, and must either be listed on the priority list or
accompanied by a certification from the CoC saying that they have
determined that the project is still needed.
(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 with clear
and convincing evidence. 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 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 all of the proposed participants come from the streets,
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 using mainstream housing and service programs is
described.
(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 2008. 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 the threshold requirements of the General
Section.
3. Program Requirements
a. Projects funded under this NOFA shall operate in a fashion that
complies with applicable civil rights laws and Executive Orders,
including the requirement to Affirmatively Further Fair Housing (AFFH),
and 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), Section 109 of Title I of the Housing and Community
Development Act of 1974 (42 U.S.C. 5309), or the Age Discrimination Act
of 1975 (42 U.S.C. 6101).
b. 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
[[Page 11748]]
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.
c. 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.
d. 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.h(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 non-federal funds for such activities prior to this
HUD approval may result in the denial of assistance for the project
under consideration.
e. 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.
f. Expiring/Extended Grants. If your SHP or S+C Program grant will
be expiring in calendar year 2008, 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 2008, you may apply as a renewal under this CoC
NOFA to get continued funding.
g. 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. All applicants must
complete the questions on the Energy Star Chart (Chart CoC-AA) in
Exhibit 1. Refer to the General Section for detailed information about
this requirement.
h. 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.
HUD will not award funds to rehabilitate leased property. In
addition, SHP funds may not 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.
(1) SHP--New Projects
(a) Please note that applicants for new grants can request 2 or 3
years' worth of funds for operating, supportive services and leasing
costs and that the grant term will be the 2 or 3 years requested.
However, if you also request funds for acquisition, construction or
rehabilitation, the grant term will be the 2 or 3 years, plus the time
to acquire the property, complete construction and begin operating the
project (no greater than 39 months).
(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 threshold review process. Project
sponsors for new projects are required to submit evidence of their
eligibility with the application (See Section IV.B.1.b.(3)(a) and
Section I.A.8.n).
(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
Annual Renewal Amount (formerly referred to as the Average Yearly
Amount) received in your current grant for that project. Within that
total request, the administrative amount must be the exact amount
awarded in the previous grant. An exception to this rule is grants
being renewed whose original expiring award included ``hard''
development costs (acquisition, new construction, and rehab). In the
current competition, you must recalculate your administrative
allocation not to exceed five percent of the Annual Renewal Amount of
the activities being renewed. To calculate administrative amounts for
activities in all new projects and renewal projects with these ``hard''
development costs, calculate the subtotal of all requested amounts for
activities. Administrative costs cannot exceed 5% of this subtotal. For
example, if a project requests $60 for supportive
[[Page 11749]]
services and $40 for operating expenses, the maximum amount of
administration dollars the project can request is $5. Only leasing,
operating, supportive services, and administration costs may be
renewed. Applicants proposing both to renew an existing project and to
expand the number of units or number of participants receiving services
in that grant 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. For more information on Annual
Renewal Amount, see section I.A.8.a of this NOFA (the glossary).
(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.3.d, 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 agency 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 that have not yet been combined 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 will 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 2007 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),
Project-based (PRA), or Single Room Occupancy-based (SRO), 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 2006 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 2005, the number of units requested for renewal
this year must not exceed the number of units funded in 2005. 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) Under the FY 2007 HUD Appropriations Act, eligible S+C Program
grants whose terms are expiring in 2008 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 2008, will be renewed for one year
provided that they are determined to be needed by the CoC, either as
evidenced by their inclusion on the priority chart or as accompanied by
a certification from the CoC. 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, if listed on the CoC Priority Chart, should be numbered,
continuing the priority sequence. 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.
(5) Section 8 Moderate Rehabilitation SRO Program--New Projects. As
an applicant, the following limitations apply to the Section 8 SRO
program:
(a) SRO assistance may not be provided to more than 100 units in
any structure.
(b) Under 24 CFR 882.802, applicants that are private nonprofit
organizations must subcontract with a public housing agency to
administer the SRO assistance.
(c) Under 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 HUD's physical condition standards in 24 CFR part 5,
subpart G.
(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 eligible rehabilitation costs that may be
compensated for in the Housing Assistance Payments (HAP) contract
rents. For purposes of Fiscal Year 2007 funding, the cost limitation is
raised from $20,500 to $21,000 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 agency 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.
i. 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
[[Page 11750]]
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 and SSO, within twelve (12)
months of the date of HUD's grant award letter. HUD may deselect or
terminate a grant agreement if the applicant is not in compliance with
this requirement. 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 deselect an award or
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 the Section 8 SRO program and the SRO component
of the S+C program projects awarded under this NOFA, the Annual
Contributions Contract (ACC) must be executed no later than September
30, 2009. 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 Agency fails to demonstrate a good
faith effort to adhere to this schedule.
IV. Application and Submission Information
A. Application Package. A checklist of forms needed to complete the
application is provided, as described in Section VIII below. Exhibits
1, 2, and the Applicant Certifications are attachments. The Exhibits,
Geographic Codes, Preliminary Pro Rata Need Amounts, Applicant
Certifications, and the Questions and Answers Supplement can be
accessed at http://www.hud.gov/offices/adm/grants/fundsavail.cim. An
applicant may also obtain a copy of the General Section and this NOFA
by calling the NOFA Information Center at 1-800-HUD-8929 (voice) (this
is a toll free number). 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. Please note that all sections of the General
Section 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. Please
note that Exhibits 1 and 2 should only include the actual application
questions and responses being provided and should not include the HUD
application instructions or any blank tables and 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. Section IV of
Exhibit 2 of 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, depending on the number of projects and type of
programs proposed for funding. For example, if your CoC were proposing
five SHP Renewal projects and one S+C New project, then you would
submit one Exhibit 1 and six Exhibits 2, filling out the applicable
charts in Exhibit 2 for each project. 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) HUD-40090-1, Exhibit 1, the CoC plan with all charts completed
as applicable;
(b) HUD-27300, America's Affordable Communities Initiative/Removal
of Regulatory Barriers, with supporting documentation;
(c) HUD-2993, Acknowledgment of Application Receipt; and
(d) HUD-2994-A, You Are Our Client! Grant Applicant Survey
(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 Supplement, Survey
on Ensuring Equal Opportunities for Applicants, is for private
nonprofit 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.m. & o. 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 2007 who have not previously submitted a
Code of Conduct).
(iv) HUD 40090-4, Applicant Certifications.
[[Page 11751]]
(3) Section III--Project Documentation: Each project applying under
Exhibit 2 must be submitted in its priority list order with all Exhibit
2 required forms, HUD-40090-2, completed for every project. 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.n. for information on
the documentation required to validate sponsor eligibility.
(b) HUD-96010, Program Outcome Logic Model (for Logic Model
instructions, see the General Section of the NOFA);
(c) HUD-2880, Applicant/Recipient Disclosure/Update Report;
(d) HUD-2991, Certification of Consistency with the Consolidated
Plan; and
(e) SF 424-Supplement, Survey on Ensuring Equal Opportunities for
Applicants (for private nonprofit applicants only--completion of survey
is voluntary).
2. Assembly Format
a. The standard font that should be used for narratives is Times
New Roman, size 12 (pitch). Number all pages within each exhibit
sequentially and insert tabs marking each exhibit.
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 Deadline Date. Your completed application must be
submitted on or before June 8, 2007 to the addresses shown below. HUD
will not accept faxed or hand delivered applications.
a. Timeliness. Your application will be considered filed in a
timely manner if your application is postmarked on or before 11:59:59
p.m. on the application deadline date, and received by HUD on or within
fifteen (15) days of the application deadline date. Applicants may use
any type of mail service provided by the United States Postal Service
(USPS) to have their application package delivered to HUD in time to
meet the timely submission requirements. Applicants using the USPS 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. 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 USPS must show receipt no later than the
application deadline. The Certificate of Mailing or other USPS receipt
will be your documentary evidence that your application was timely
filed. 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 submission date.
Applicants should retain a receipt from these services showing that it
was submitted for delivery by the application deadline date and time.
Applicants whose applications are determined to be late, who cannot
furnish HUD with a receipt from the USPS or other mail carrier that
verifies the package was submitted prior to the submission deadline
date and time will not receive funding consideration.
b. Field Office Copies. The HUD Field Office must also receive one
copy of your application, with the same due date and timely filing
requirements as described in Section IV.C.1.a above. In the rare event
that a CoC's entire application is not received at HUD Headquarters on
time, HUD may similarly request proof that the Headquarters and Field
Office copy was filed on time and, if so, may use the copy received by
the Field Office for review.
D. Intergovernmental Review
Not applicable.
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. Once you have downloaded the forms from the
web site and completed the application and all documentation, 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 following web site for Field Office addresses: http://www.hud.gov/localoffices.cfm.
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.
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
four basic goals:
--One, that you have successfully identified and developed partnerships
with nonprofit organizations (including those representing persons with
disabilities), government agencies, jurisdictional ten-year planning
bodies, public housing agencies, 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, and that your CoC structure and decision-making
processes are inclusive of all of these parties. Also, other
jurisdictional ten-year plans within your CoC's geographic area must be
aligned and integrated 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;
--Three, that you have instituted a CoC-wide strategy to achieve the
CoC's goals, especially to end chronic homelessness. This can be
accomplished through careful
[[Page 11752]]
planning, coordination with other state and local ten-year plans, and
through leveraging resources from multiple sources; and
--Four, that your Continuum is working toward the HUD/national
performance objectives (the objectives listed in Section VI.B.1 below
and on Chart N in Exhibit 1, the CoC 10-Year Plan, Objectives, and
Action Steps Chart), that you are reporting on progress toward the
CoC's goals, and that you are coordinating homeless assistance with
mainstream health, social services, and employment programs.
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. Parts 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; and the policy priority for removing
regulatory barriers to affordable housing (see Section V.B.3.b. and
V.A.2.a.(4)g. 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) Organizational Structure: HUD will award up to 8 points based
on the extent to which your application demonstrates:
(a) The existence of a coordinated, inclusive, and outcome-oriented
community process, including organizational structure(s) and decision-
making processes for developing and implementing a CoC strategy;
(b) That this process 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 agencies, housing
developers and service providers, school systems, law enforcement,
hospital and medical entities, funding providers, local businesses and
business associations, and homeless or formerly homeless persons; and
(c) That the CoC has a process in place to achieve fair and
impartial project review and selection, with representation and input
from diverse parties such as those outlined under Criteria for
Application Review.
(2) CoC Housing and Service Needs: HUD will award up to 12 points
based on the extent to which your application demonstrates:
(a) That a well-defined and comprehensive strategy has been
developed which addresses the components of a CoC system (i.e.,
outreach, intake and assessment; emergency shelter; transitional
housing; permanent supportive housing; and prevention), and that the
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, or ordinarily used as, a regular
sleeping accommodation for human beings. Having high-quality data is
important, and your application in this section must demonstrate the
CoC's data collection methods.
(b) HMIS Implementation. Of these 12 points, 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) CoC Strategic Planning: HUD will award up to 10 points based on
the extent to which your application demonstrates:
(a) The existence of a performance-based 10-year strategy for
ending chronic homelessness that establishes specific action steps to
achieve the five objectives listed in Chart N, the CoC 10-Year Plan,
Objectives, and Action Steps Chart, with measurable achievements. It
should be integrated with other ten-year plans in the community to
eliminate chronic homelessness (if applicable), the local HUD
Consolidated Plan, and other state and local plans related to
homelessness;
(b) 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 persons entering the homeless
system;
(c) Proposes projects that are consistent with identified unmet
needs and correctly completes the priority chart (note: if you do not
provide a Project Priority Chart in Exhibit 1, all proposed projects
may lose up to 30 points of the 40-point Need total);
(d) Provides estimates of renewal funds needed through 2012 for SHP
and S+C projects; and
(e) 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 (Leveraging Supplemental Resources).
(4) CoC Performance: HUD will award up to 18 points based upon the
CoC's progress in reducing homelessness, including chronic
homelessness. Please note that HUD reserves the right to award at least
a minimum score of half of the full points in this section, for each
completed chart in Part IV, CoC Performance, to continuums located in
areas affected by Hurricanes Katrina and Rita that President Bush has
declared to be major disaster areas under Title IV of the Robert T.
Stafford Act. CoC Performance will be measured by
[[Page 11753]]
demonstrating: That the CoC has taken specific action steps and made
progress toward achieving its goals; That the CoC has increased the
number of permanent housing beds for the chronically homeless and made
progress toward eliminating chronic homelessness;
Program participants' success in moving to and maintaining
permanent housing as reported in the most recent Annual Progress Report
(APR);
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 Exhibit 1, Charts W and X;
That the CoC has no unexecuted grants;
That projects within the CoC have policies and practices in place
to hire, and have hired, low and very low-income employees and
subcontractors, under Section 3 of the Housing and Urban Development
Act of 1968 (HUD will award up to 2 points for this chart, within the
18 points for this rating factor); and
Removal of Regulatory Barriers to Affordable Housing: As provided
for in the General Section, HUD will award up to 2 points, within the
18 points for this rating factor, based on the extent that the CoC's
application demonstrates a local plan and/or existing policy to remove
regulatory barriers to the production of 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 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. The completed questionnaire
(Part A or B, NOT both) must include some form of documentation, where
requested, and identify a point of contact. This questionnaire can be
found in the attachments to the General Section and should be submitted
with Exhibit 1.
(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
(including 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.
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. SHP grants eligible for
renewal are those that expire between January 1, 2008 and December 31,
2008. 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. As in past years, CoCs
who would like to create new permanent housing units may use the ``hold
harmless reallocation process'' to do so. With this process, eligible
CoCs can replace or reduce renewal projects with a new permanent
housing project using the same funds. In the past, a CoC risked losing
the funds that it had ``reallocated'' in this way if the CoC did not
score above the full funding line. New this year, if a CoC reallocates
a portion of its pro rata need to an eligible new permanent housing
project, the project will be funded, as long as it is in a CoC
receiving at least 65 points. HUD is making this change to make it
easier for CoCs to choose to fund new permanent housing units. For more
information on hold harmless status and the process for reallocating
pro rata need, see section I.A.8.g of this NOFA (the glossary) or the
Questions and Answers Supplement at www.hud.gov/offices/adm/grants/fundsavail.cfm.
(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 supportive 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 that 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.
(4) Step 4--Final Pro Rata Need: 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.
(5) Step 5--Awarding need points to projects: Once HUD establishes
the final pro rata need, HUD will apply it against
[[Page 11754]]
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 below 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
Organizational Structure, CoC Housing and Service Needs, CoC Strategic
Planning, CoC Performance, 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 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
2007 HUD Appropriations Act, HUD will use not less than 30 percent of
the total FY 2007 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(5) for
[[Page 11755]]
definition of ``second level.'') HUD will award no less than 30 percent
of the total FY 2007 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, 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)
cannot exceed 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.
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 and Other Program 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, CoC-Q, Project Priorities Chart, provides
verification that projects are performing satisfactorily and are
effectively
[[Page 11756]]
addressing the needs for which they were designed. HUD's homeless
assistance programs are measured in 2007 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) Create new permanent housing beds for chronically homeless
persons. This information is collected in Exhibit 1, Chart V, CoC
Chronic Homeless Progress Chart;
(2) At least 395 functioning CoC communities will have a functional
Homeless Management Information System (HMIS) by Fiscal Year 2007. This
information is collected via Exhibit 1, Chart CoC-M, HMIS Charts;
(3) The percentage of formerly homeless individuals who remain
housed in HUD permanent housing projects for at least 6 months will be
at least 71 percent. Stability in this permanent housing is addressed
in Exhibit 1, Chart CoC-W, CoC Housing Project Performance Chart;
(4) The percentage of homeless persons who have moved from HUD
transitional housing into permanent housing will be at least 61.5
percent. The success of transitional housing is addressed in Exhibit 1,
Chart CoC-W, CoC Housing Project Performance Chart; and
(5) The employment rate of persons exiting HUD homeless assistance
projects will be at least 18 percent. Obtaining employment is addressed
in Exhibit 1, Chart CoC-X, CoC Mainstream Programs and Employment
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.
c. Executive Order 13202, ``Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects.'' Please see the
General Section for further information.
d. Procurement of Recovered Materials. Please see the General
Section for further information.
e. Please reference the General Section of the NOFA for other
administrative requirements.
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 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. Grantees must also respond to the management questions contained
in the Logic Model. For FY 2006, HUD is considering a new concept for
the Logic Model. The new concept is a Return on Investment (ROI)
statement. HUD will be publishing a separate notice on the ROI concept.
In addition, applicants must report race and ethnicity data for
beneficiaries of HUD programs in conformity with form 27061 HUD Race
and Ethnic Data Reporting Form. CoC applicants may report this data as
part of their Annual Performance Report submission to HUD.
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.
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. 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/offices/adm/grants/fundsavail.cfm.
VIII. Other Information
A. Paperwork Reduction Act
The information collection requirements contained in this document
have been submitted for approval by the Office of Management and Budget
(OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520)
and the OMB approval number is 2506-0112. 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 200 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 11757]]
administration of funds. Response to this request for information is
required in order to receive the benefits to be derived.
B. Attachments. 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:
1. Forms to complete for Exhibit 1, Continuum of Care.
Form HUD-40090-1. Exhibit 1, Continuum of Care Application. All of
the following charts comprise this form:
A: CoC Lead Organization Chart
B: CoC Geography Chart
C: CoC Groups and Meetings Chart
D: CoC Planning Process Organizations Chart
E: CoC Governing Structure Chart
F: CoC Project Review and Selection Chart
G: Written Complaints Chart
H: CoC Services Inventory
I: Housing Inventory Charts
J: Housing Inventory Data Sources and Methods Chart
K: CoC Point-in-Time Homeless Population and Subpopulations Chart
L: CoC Homeless Population and Subpopulations Data Sources and Methods
Chart
M: CoC HMIS Charts
N: CoC 10-Year Plan, Objectives, and Action Steps Chart
O: CoC Discharge Planning Policy Chart
P: CoC Coordination Chart
Q: CoC Project Priorities Chart
R: CoC Pro Rata Need (PRN) Reallocation Chart
S: CoC Project Leveraging Chart
T: CoC Current Funding and Renewal Projections Chart
U: CoC Achievements Chart
V: CoC Chronic Homeless (CH) Progress Chart
W: CoC Housing Performance Chart
X: Mainstream Programs and Employment Project Performance Chart
Y: Enrollment and Participation in Mainstream Programs Chart
Z: Unexecuted Grants Awarded Prior to the 2005 CoC Competition Chart
AA: CoC Participation in Energy Star Chart
AB: Section 3 Employment Policy Chart
Form HUD-27300 Questionnaire for HUD's Removal of Regulatory
Barriers
Form HUD-2993 Acknowledgment of Application Receipt
Form HUD-2994-A You Are Our Client! Grant Application Survey
2. Forms to complete for each applicant. These include:
Form SF-424 Application for Federal Assistance
Form HUD-40090-4 Applicant Certifications
Form HUD-2880 Applicant/Recipient Disclosure/Update Report
Form SF-424 Supplement Survey on Ensuring Equal Opportunities for
Applicants
3. Forms to complete for each project (Exhibit 2). These include:
Form HUD-40090-2 Exhibit 2, Continuum of Care Project Application
Form HUD-96010
Logic Model
Form HUD-2991
Certification of Consistency with the Consolidated Plan
Note: This year, the Questions and Answers Supplement can be
accessed at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
[[Page 11758]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.028
[[Page 11759]]
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: FR-5100-N-27; OMB Approval Numbers
are:
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 deadline date is May 2, 2007.
Applications must be received and validated by Grants.gov by the
deadline date. 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. To enable
doctoral students enrolled at institutions of higher education
accredited by a national or regional accrediting agency 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. To enable
doctoral candidates enrolled at institutions of higher education
accredited by a national or regional accrediting agency 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) 2007, approximately
$405,000 has been made available for the following Office of University
Partnerships (OUP) dissertation programs.
a. Early Doctoral Student Research Grant Program. Approximately
$105,000 is available for funding. The maximum grant performance period
is 12 months. The maximum amount that can be requested by a doctoral
student is $15,000.
b. Doctoral Dissertation Research Grant Program. Approximately
$300,000 is available for funding. The maximum grant performance period
is 24 months. The maximum amount that can be requested by a doctoral
student is $25,000.
If funding remains after all eligible EDSRG doctoral students have
been selected for award, the remaining funds will be made available to
fund eligible DDRG doctoral students. If funding remains after all
eligible DDRG doctoral students have been selected for award, the
remaining funds will be made available to fund eligible EDSRG doctoral
students.
3. Eligible Applicants. Eligible applicants are institutions of
higher education accredited by a national or regional accrediting
agency 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
sponsored 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);
and
(5) Have an assigned faculty advisor to supervise the research
manuscript.
b. Doctoral Dissertation Research Grant Program. Doctoral students
sponsored 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) By the application deadline date, the student's dissertation
proposal will be accepted by the full dissertation committee;
(4) The student will have an assigned dissertation advisor; and
(5) By September 1, 2007, the student will have satisfactorily
completed all other written and oral doctoral degree requirements,
including all examinations and defense of the proposal, except the
dissertation.
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 institution of higher education accredited by a national
or regional accrediting agency 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 FY2007 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 doctoral candidates
enrolled at institutions of higher education accredited by a national
or regional accrediting agency recognized by the U.S. Department of
Education to complete their research and dissertations on policy-
relevant housing and urban development issues. The FY2007 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 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.
[[Page 11760]]
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 areas affected by Hurricane
Katrina, 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. Authority
HUD's authority for making funding available under this NOFA is the
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5;
approved February 15, 2007). 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.
E. Modifications
Listed below are major modifications from the Fiscal Year (FY) 2005
program-funding announcement:
1. A support letter from the doctoral student's assigned faculty
advisor is no longer required.
2. A support letter from the doctoral student's institution is no
longer required to be submitted with the application, but must be on
file at the time of application submission. This is a threshold
requirement. HUD will require students chosen to proceed to the next
step in the selection process to submit the support letter from the
institution seven (7) calendar days after initial contact from the OUP.
OUP will provide specific instructions on how the letter must be
submitted at that time. OUP must receive the support letter within the
allotted timeframe or the application will not be funded.
3. All applicants submitting electronic applications must attach
their narrative response to Rating Factors 1-4 as one attachment.
4. The appendix section of an application must not exceed five (5)
pages in length (excluding forms, budget narrative, and assurances). An
applicant SHOULD NOT submit resumes, commitment letters, memoranda of
understanding and/or agreements, or other back-up material. Each page
must include the applicant's name and be numbered. HUD will not
consider the information on any excess page.
II. Award Information
In Fiscal Year (FY) 2007, approximately $405,000 has been made
available for the Office of University Partnerships (OUP) dissertation
programs as follows:
A. Early Doctoral Student Research Grant Program. Approximately
$105,000 will be made available for funding under this program. The
maximum grant performance period is 12 months. The maximum amount that
can be requested by a doctoral student is $15,000.
B. Doctoral Dissertation Research Grant Program. Approximately
$300,000 will be made available for funding under this program. The
maximum grant performance period is 24 months. The maximum amount that
can be requested by a doctoral student is $25,000. If funding remains
after all eligible EDSRG doctoral students have been selected for
award, the remaining funds will be made available to fund eligible DDRG
doctoral students. If funding remains after all eligible DDRG doctoral
students have been selected for award, the remaining funds will be made
available to fund eligible EDSRG doctoral students.
III. Eligibility Information
A. Eligible Applicants. Eligible applicants are institutions of
higher education accredited by a national or regional accrediting
agency recognized by the U.S. Department of Education that sponsor
doctoral students who meet 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.
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. By the application deadline date, the student's dissertation
proposal has been accepted by the full dissertation committee and the
student has been assigned a dissertation advisor; and
d. By September 1, 2007, the student will have satisfactorily
completed all other written and oral doctoral degree requirements,
including all examinations and defense of the proposal, except the
dissertation.
B. Cost Sharing or Matching
None Required
C. Other
1. Eligible Activities. Grant funds awarded 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. Threshold Requirements Applicable to All Applicants. All
[[Page 11761]]
applicants and doctoral students must comply with the threshold
requirements as defined in the General Section and the requirements
listed below. 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;
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's institution must provide a letter agreeing to
support the student. The letter must outline the specific type of
support the institution will provide as part of this grant. This
support may not replace support or assistance the institution would
otherwise provide to students. A support letter from the doctoral
student's institution is no longer required at the time of application
submission, but must be on file at the time of application submission.
Students chosen to proceed to the next step in the selection process
will be required to submit the support letter from the institution
seven (7) calendar days after initial contact from the OUP office. OUP
will provide specific instructions on how the letter must be submitted
at that time. If OUP does not receive the support letter within the
allotted timeframe, the application will not be funded and the funding
will be made available to the next eligible applicant.
d. The applicant has requested no more funding than the grant
maximum allocated for the program for which they are requesting funding
as outlined in Section II;
e. 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;
f. Applications must receive a minimum score of 75 points to be
considered for funding;
g. The University (the official applicant on behalf of the student)
must have a DUNS number to receive HUD grant funds (See the General);
and
h. Electronic applications must be received and validated by
Grants.gov no later than 11:59:59 p.m. eastern time on the application
dateline date.
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/applicants/apply--
for--grants.jsp. 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. Applicants must be registered to
submit an application via Grants.gov. See the General Section for
information regarding the registration process or ask for registration
information from the Grants.gov Support Desk.
B. Content and Form of Application Submission
1. Forms. The following forms are required for submission, except
where otherwise noted.
a. SF-424, Application for Federal Assistance;
b. SF-424 Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
c. HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed
Budget Form'' on Grants.gov);
d. SF-LLL, Disclosure of Lobbying Activities;
e. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if
applicable;
f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
g. HUD-96010, Program Outcome Logic Model;
h. HUD-2994-A, You Are Our Client! Grant Applicant Survey
(Optional)
i. HUD-2993, Acknowledgement of Applicant Receipt. Complete this
form only if you have received a waiver to the electronic application
submission requirement. Applicants submitting electronically are not
required to include this form; and
j. HUD-96011, Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used
as the cover page to transmit third party documents and other
information. 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.
Please do not use your own fax cover sheet. HUD will not read any faxes
that are sent without the HUD-96011 fax transmittal cover page.
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
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 that will receive all information pertinent to
this grant including notification for the support letter from the
University if required; therefore please ensure the accuracy of the
information;
(3) The total grant amount requested for the total performance
period of the grant;
(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 by virtue of submitting an application via Grants.gov has
been authenticated by the credential provider to submit applications on
behalf of the Institution and approved by the eBusiness Point of
Contact to submit an application via Grants.gov. The AOR must be able
to
[[Page 11762]]
make a legally binding agreement with HUD. See the General Section for
further information.
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 can be located in
Appendix A.
d. 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; and
(2) The faculty 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.
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. 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 15 pages in length (excluding forms,
assurances, budget narrative, Table of Contents, and Executive Summary)
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 must be on each page. The double-spacing requirement
applies to the narrative section of the application (excluding
references, and bibliographies ). 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.
All applicants submitting electronic applications must attach their
narrative response to Rating Factors 1-4 as one attachment. Please do
not attach your response to each factor separately. Please follow the
instructions on file extension and file names in the General Section.
f. 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. Please
remember that this support may not replace support or assistance that
the institution would otherwise provide the student. Doctoral students
are not required to submit this letter with their application but it
must be on file at the time of application submission. Students chosen
to proceed to the next step in the selection process will be required
to submit the support letter from the institution seven calendar days
after initial contact from the OUP. OUP will provide specific
instructions on how the letter must be submitted at that time. If OUP
does not receive the support letter within the allotted timeframe, the
application will not be funded and the funding will be made available
to the next eligible applicant.
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 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 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 required forms in this section. The appendix section of
an application must not exceed five (5) pages in length (excluding
forms, budget narrative and assurances). Each page must include the
applicant's name and be numbered. An applicant SHOULD NOT submit
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 and validated
electronically by the Grants.gov portal no later than 11:59:59 p.m.
eastern time on or before the application deadline date. In an effort
to address any issues with transmission of your application, applicants
are strongly encouraged to submit their applications at least 48 to 72
hours prior to the application deadline. This will allow an applicant
enough time to make the necessary adjustments to meet the deadline in
the event Grants.gov rejects the application. Please see the General
Section for further instructions. Electronic faxes using the Facsimile
Transmittal Cover Sheet (Form HUD-96011) contained in the electronic
application must be received no later than 11:59:59 p.m. eastern time
on the application deadline date.
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. under the
program for which they are requesting funding.
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
[[Page 11763]]
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 its 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 in its final version.
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 carefully and completely for the electronic submission
and receipt procedures for all applications because failure to comply
may disqualify a doctoral student's application.
2. Waiver of Electronic Submission Requirements. Applicants should
submit their waiver requests in writing using e-mail or fax. Waiver
requests must be submitted no later than 15 days prior to the
application deadline date and should be submitted to: Susan Brunson,
Office of University Partnerships, Email: [email protected],
FAX: (202) 708-0309.
Paper applications will not be accepted from applicants that have
not been granted a waiver. If an applicant is granted a waiver, the
Office of University Partnerships will provide instructions for
submission. All applicants submitting applications in paper format must
have received a waiver to the electronic application submission
requirement and the application must be received by HUD on or before
the application deadline date.
V. Application Review Information
A. Criteria
1. Rating Factor 1. Capacity to do the Research (25 Points). In
reviewing this factor, HUD will determine the extent to which the
doctoral student clearly addresses the following:
a. Describe the skills and expertise you possess to conduct
research. Research skills and expertise will be judged in terms of how
recent they are. Research skills and expertise developed within the
last two (2) years will be considered recent.
b. Describe the knowledge and experience you posses to undertake
the proposed research hypotheses. Knowledge and experience will be
judged in terms of how relevant it is to the research proposed (e.g.,
course work, teaching, research projects, and presentations). Knowledge
and experience developed within the last five (5) years in the area of
the proposed research will be considered relevant.
c. Provide a detailed list that outlines the preliminary steps that
were taken (e.g., literature review, research hypotheses, questions to
be answered) to identify the proposed manuscript/dissertation topic/
hypotheses.
2. Rating Factor 2. Need for the Research (15 Points). This factor
addresses the extent to which there is a need for funding the proposed
research. 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 2007.
In reviewing this factor, HUD will determine the extent to which the
doctoral student clearly addresses the following:
a. Describe the need for funding your proposed research manuscript/
dissertation.
b. Express the impact your proposed research manuscript/
dissertation may have in producing information that will be generally
accepted in the relevant research community.
c. Explain the direct relationship between your proposed
manuscript/dissertation and at least one of HUD's 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). For a full list and explanation of the annual goal and
objectives, please refer to the General Section.
3. Rating Factor 3. Soundness of Approach (50 Points). This factor
addresses the quality and effectiveness of the proposed research 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. (25 Points) Quality of Research.
(1) Describe in detail the proposed research design and methodology
that will be used to complete the proposed manuscript/dissertation.
(2). Describe how the research design and methodology proposed will
produce data and information that will successfully answer the research
hypothesis.
b. (20 Points) Specific Activities. The work plan must identify all
the major tasks involved in completing the proposed research;
(1) Indicate the sequence in which these tasks will be performed;
(2) 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); and
(3) Identify any key individuals assisting in the proposed
activities. 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, zero points will be awarded for this
factor.
c. (2 Points) HUD Policy Priorities. As described in the General
Section, to earn points under this subfactor, HUD requires applicants
to undertake specific activities that will assist the Department in
implementing its policy priorities and that help the Department achieve
its goals and objectives in FY2008, when the majority of grant
recipients will be reporting programmatic results and achievement. In
addressing this subfactor, 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 is addressed. Applicants that just list a priority will
receive no points.
The total number of points an applicant can receive under this
subfactor is two (2). Each policy priority
[[Page 11764]]
addressed has a point value of one (1) point, with the exception of the
policy priority related to removal of regulatory barriers to affordable
housing, which has a value of up to two (2) points. To receive these
two (2) points, an applicant must: (1) Complete either Part A or Part B
(not both), (2) include appropriate documentation, (3) identify a point
of contact, (4) indicate how this priority will be addressed and (5)
submit the completed questionnaire, (HUD-27300) ``HUD's Initiative on
Removal of Regulatory Barriers `` found in the General Section along
with required documentation. It is up to the applicant to determine
which of the policy priorities they elect to address to receive the
available two (2) points.
d. (3 Points) Dissemination Strategies. In reviewing this
subfactor, HUD will assess the doctoral student's ability to
disseminate results of the research. Describe your plan to disseminate
the research.
4. Rating Factor 4. Achieving Results and Program Evaluation (10
Points) This factor reflects HUD's goal to embrace high standards of
management and accountability. It measures the student's commitment to
assess their performance to complete their proposed research within the
grant performance period. Students are required to develop an
effective, quantifiable, outcome oriented evaluation plan for measuring
performance and determining the outputs to achieve their proposed
outcome(s). The Logic Model is a summary of the narrative statements
presented in Factors 1-3. Therefore, the information submitted on the
logic model should be consistent with the information contained in the
narrative statements.
``Outcomes'' are ultimate goals. A student must clearly identify
the outcomes to be measured and achieved. Examples of outcomes are the
completion of the research manuscript/dissertation, the cultivation of
research skills to the student, the plan to disseminate the research,
and the benefits of the research study to HUD's policy priorities and
annual goals and objectives.
In addition, a student must establish interim benchmarks and
outputs that lead to the ultimate achievement of the outcomes.
``Outputs'' are the direct benchmarks and indicators that will allow a
student to measure their performance. Performance indicators should be
objectively quantifiable and measure actual achievements. At a minimum,
an applicant must address the following activities in the evaluation
plan:
(1) Identify benchmarks that will be used to track the progress of
your study;
(2) Indicate the sequence in which tasks will be performed; and
(3) Identify potential obstacles in meeting the objectives, and
discuss how the obstacles will be handled;
This information must be included under this section on a HUD-
96010, Program Logic Model form. HUD has developed a new approach to
completing this form. Please carefully read the General Section for
instructions, training is available. (Form HUD-96010 will be excluded
from the page count.) If an applicant utilizes ``other'' from the Logic
Model categories, then the applicant should describe briefly this
``other'' category within the Rating Factor 4 narrative. If a narrative
is provided, those pages will be included in the page count.
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
4. 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 3, shall be selected.
If there is still a tie, the application with the higher points for
Factor 2, 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. See the General Section.
C. Anticipated Announcement and Award Dates
Announcements of awards are anticipated on or before September 30,
2008.
VI. Award Administration Information
A. Award Notices
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.
B. Administrative and National Policy Requirements
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 within 30 days of receipt of comments to Susan
Brunson, Office of University Partnerships, Department of Housing and
Urban Development, 451 Seventh Street, SW., Room 8106, Washington, DC
20410-6000. Applicants may also write to Ms. Brunson 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 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 doctoral students that receive grant funds under this program
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.
At the end of the grant performance period doctoral students must
submit two copies of the approved manuscript/dissertation to HUD in its
final version.
[[Page 11765]]
Titles of the manuscript/dissertation must not be changed from the
title awarded unless prior approval has been received from HUD.
VII. Agency Contacts
Doctoral students may contact Susan Brunson, Office of University
Partnerships at (202) 708-3061, extension 3852 or Sherone Ivey at (202)
708-3061, extension 4200. 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 Ms. Brunson via e-mail at [email protected] and/or Sherone Ivey 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 2528-0216 (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.
Appendix A--Application Checklist
EDSRG and DDRG
This checklist identifies application submission requirements.
Doctoral students are requested to use this checklist when preparing
an application to ensure submission of all required elements.
Students submitting an electronic application do not have to submit
the checklist. Students that receive a waiver of the electronic
application submission requirement must include a copy of the
checklist in their application.
Check off to ensure these items have been included in the
application:
------SF-424 ``Application for Federal Assistance
''------Table of Contents
--------Application Checklist (if applicable)
------Executive Summary (700 words or less)
Indicate the page number where each of the Rating Factors are
located:
------Narrative Statement Addressing the Rating Factors. The
application narrative must not exceed 15 pages in length (excluding
required forms, assurances, table of contents, executive summary,
budget narrative, commitment letters, memorandum of understanding,
and agreements) double-spaced on one side of the paper, with one-
inch margins (from top, bottom, left and right) printed in standard
Times New Roman 12 point font). Applicants that submit applications
via Grants.gov should review the General Section for information
about file names and extensions. File names should not contain
spaces or special characters.
------Factor I
------Factor II
------Factor III
------Factor IV
Check off to ensure these items have been included in the
application: Appendix. The appendix section of an application must
not exceed five (5) pages in length (excluding forms, budget
narrative, and assurances).
------Budget
------Grant Application Detailed Budget, (HUD-CB) (``HUD Detailed
Budget Form'' on Grants.gov
------Budget Narrative (No form provided and must be submitted for
the total grant period)
Appendix B--All Required Forms
The following forms are required for submission. All required
forms are contained in the electronic application package.
------Application for Federal Assistance (SF-424)
------Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov)
------Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed
Budget Form'' on Grants.gov)
------Disclosure of Lobbying Activities (SF-LLL); if applicable
------Questionnaire for HUD's Removal of Regulatory Barriers (HUD-
27300) (``HUD Communities Initiative Form'' on Grants.gov), if
applicable
------Applicant/Recipient Disclosure/Update Report (HUD-2880) (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov)
------Client Comments and Suggestions (HUD-2994), if applicable
------You Are Our Client! Grant Applicant Survey (HUD-2994-A)
------Program Outcome Logic Model (HUD-96010)
------HUD-96011, Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov)
[[Page 11766]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.029
[[Page 11767]]
Housing Counseling Training
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: Housing Counseling Training.
C. Announcement Type: Initial Announcement.
D. Funding Opportunity Number: FR-5100-N-23; OMB approval number is
2502-0261.
E. Catalog of Federal Domestic Assistance (CFDA) Number: Housing
Counseling Training Program 14.316.
F. Dates: The application deadline date is May 17, 2007.
Applications submitted through http://www.grants.gov must be received
and validated by grants.gov no later than 11:59:59 p.m. eastern time on
the application deadline date. See Section IV of the General Section,
regarding application submission procedures and timely filing
requirements.
Full Text of Announcement
I. Funding Opportunity Description
Program Purpose. Funds are available to provide, under cooperative
agreements with HUD, training activities designed to improve and
standardize the quality of counseling provided by housing counselors
employed by HUD-approved housing counseling agencies.
Authority. HUD's Housing Counseling Program, and the training of
this NOFA are authorized by Section 106 of the Housing and Urban
Development Act of 1968 (12 U.S.C. 1701x), with guidance provided in
HUD Handbook 7610.1, REV-4, CHG-1, dated October 27, 1997.
II. Award Information
A. Available Funds: This NOFA announces the availability of
approximately $3.0 million.
B. Anticipated Awards: HUD's goal is to fund an organization to
deliver the full spectrum of activities eligible for funding under this
NOFA. Should this not be possible, HUD reserves the right to make
multiple awards under this NOFA.
C. Award Instrument: HUD expects to use a cooperative agreement,
but reserves the right to use the award instrument it determines to be
most appropriate. All awards will be made on a cost reimbursement basis
in accordance with, and subject to, the requirements in OMB Circular A-
87, Cost Principles for State, Local, and Indian Tribal Governments; or
OMB Circular A-122, Cost Principles for Non-Profit Organizations, as
applicable to your organization. These awards are also subject to the
administrative requirements established in OMB Circular A-102,
implemented at 24 CFR part 85 (Administrative Requirements for Grants
and Cooperative Agreements to State, Local, and Federally Recognized
Indian Tribal Governments); OMB Circular A-110, implemented at 24 CFR
part 84 (Grants and Agreements with Institutions of Higher Education,
Hospitals and Other Non-Profit Organizations); and OMB Circular A-133
(Audits of States, Local Governments, and Non-Profit Organizations),
implemented at 24 CFR parts 84 and 85. If you receive an award, you
must comply with and are required to ensure that any subrecipients also
comply with the above requirements. OMB circulars can be found at
http://www.whitehouse.gov/omb/circulars/index.html.
Awards made as cooperative agreements will entail significant HUD
involvement including but not limited to the following items:
Review and approval of proposed courses, including course
materials;
Review and approval of evaluation instruments and
methodology for determining value of courses and impacts; and
Review and Approval of training locations. HUD reserves
the right to review and approve training locations as well as the type
of training and courses offered.
Targeting based on special needs
1. Award Adjustments. HUD reserves the right to adjust funding
levels for each applicant. Once applicants are selected for award, HUD
will determine the total amount to be awarded to any grantee, based
upon the scope and geographic coverage of services to be provided and
funds available.
2. Award Period. Cooperative agreements will be for a period of up
to twelve (12) months.
III. Eligibility Information
A. Eligible Applicants
1. Eligible Applicants. Applicants must be public or private
nonprofit organizations with at least two years of experience providing
all types of housing counseling training services nation wide listed
under Section III.C.2 of this NOFA. The only exception to this
requirement is public or nonprofit organizations with at least 2 years
experience providing Home Equity Conversion Mortgage (HECM) counseling
training nationwide.
A consortium of organizations may apply for funding under this
NOFA, but one organization must be designated as the primary applicant.
Furthermore, applicants may utilize in-house staff, sub-grant
recipients or consultants, and networks of local organizations with
requisite experience and capacity.
B. Cost Sharing or Matching
Cost sharing or matching is not required.
C. Other
1. Geographic Coverage: Applicants must propose to provide the
housing counseling trainings nationwide.
2. Eligible Activities. Applicants must propose to develop and
implement a comprehensive and ongoing training program for housing
counselors. The training program must contain both basic and advanced
courses. The majority of the training services must be conducted as
place-based activities. Some training services may be provided through
satellite broadcast, or through computer training software.
An applicant must be capable of providing training on all the
training topics listed below. The only exception to this requirement is
an applicant proposing to provide HECM counseling training exclusively.
a. General Housing Counseling. Teach counselors the principles and
applications of housing counseling from the industry's and the
counselor's point of view. Review the skills and tools needed to be an
effective housing counselor. Provide overviews of the industry from a
national perspective as well as, information about pre- and post-
purchase counseling for homeowners, delinquency, and default
counseling.
b. Credit Counseling for Prospective Homeowners. Train counselors
in conducting results-oriented individual counseling sessions for
prospective homebuyers, including triaging customers, developing
corrective action plans and timelines for success, and facilitating
progress as customers overcome obstacles and move toward mortgage-
readiness. Train counselors regarding state-of-the-art software
designed specifically for credit rebuilding, debt reduction, automated
budgeting, and downpayment savings accumulation. Use sample customer
cases to identify obstacles and simulate counseling sessions.
c. Matching Clients with Loan Products. Train counselors in
industry practices, analysis of financials, risk elements, and general
concepts affecting conventional and government-insured mortgage loan
decisions. Provide counselors with effective procedures and techniques
that will translate into
[[Page 11768]]
appropriate loans and satisfied housing counseling clients. Review case
studies to illustrate the functional areas of the underwriting process,
from the application to the loan sale.
d. Homebuyer Education Programs. Teach counselors how to deliver a
comprehensive homebuyer education program to turn prospective
homebuyers into satisfied homeowners. Teach counselors to use the best
materials and methods to train homebuyers how to shop for a home, get a
mortgage loan, improve their budget and credit profiles, and maintain
their home and finances after purchase.
e. Section 8 Homeownership. Train counselors in how to effectively
approach and partner with Public Housing Authorities (PHAs) in the
implementation of a Section 8 Homeownership Program. Review the unique
characteristics of the program and the voucher holders as they relate
to the counseling component. Share effective and proven implementation
strategies.
f. Helping Homeowners Avoid Delinquency and Predatory Lending.
Teach counselors to conduct educational seminars and advise clients
regarding how to avoid predatory lenders and common lending pitfalls.
Give counselors the knowledge and tools to help unwary 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. Train counselors to
help clients manage debt, avoid predatory lenders, and avoid mortgage
default. Teach counselors how to read the warning signs of debt
problems and how to recognize predatory lenders, as well as identify
available resources to help keep homeowners out of financial trouble.
Review state and federal regulations, including the Real Estate
Settlement Procedures Act of 1974 (12 U.S.C. 2601 et seq.) (RESPA) and
the Truth in Lending Act (15 U.S.C. 1501 et seq.).
g. Foreclosure Prevention. Train counselors on the protocol for
counseling homeowners in financial distress. Address all aspects of
default and delinquency, including reasons for default, ways to
maximize income and reduce expenses, calculating delinquencies,
understanding the players in the mortgage marketplace, loss-mitigation
options for FHA-insured and other loans, information about foreclosure
laws and timelines, tips on effectively intervening with lenders and
servicers, managing multiple mortgages or liens, and the pros and cons
of refinancing.
h. Home Equity Conversion Mortgages (HECM). Train counselors about
reverse mortgages for elderly homeowners. Teach them to understand
products and programs, analyze plans and compare their costs and
benefits, and identify alternatives. Also, review relevant counseling
skills and ethics.
i. Home Maintenance and Financial Management for New Homeowners.
Train counselors in how to advise individuals and conduct workshops
aimed at ensuring the long-term success of new homebuyers, including
home maintenance and repair, financial management, insurance, and
record keeping.
j. Counseling Individuals and Families Who are Homeless or at Risk
of Becoming Homeless. Train counselors about the various social
services available to which they should be referring homeless and
potentially homeless families and individuals. Provide information on
federal, state, and local homeless programs and how clients can access
these programs. Share strategies on how to partner with local public
service providers to ensure that clients receive attention and
assistance quickly and efficiently. Review the unique characteristics
of the homeless population to help counselors understand the types of
financial, physical, and social problems facing the families and
individuals who seek their assistance.
k. Disaster Victims Counseling. Train counselors about the unique
circumstances faced by disaster victims including: counseling
homeowners in financial distress, mortgage related counseling, default
and delinquency, loss-mitigation options for FHA-insured and other
loans, information about foreclosure laws and timelines, alternative
housing, FEMA services and emergency housing (HUD homes).
l. HUD's Housing Counseling Program Requirements. Train counselors
about the basic requirements of HUD's Housing Counseling Program,
including the delivery of homeownership counseling and education for
local, national, regional and state housing counseling agencies, how to
fill out form HUD-9902, Housing Counseling System (HCS), biennial
reviews, and record keeping.
m. Rental Housing: Securing and maintaining residence in rental
housing, tenant/landlord responsibilities, state/county laws,
budgeting.
n. Federal Housing Administration: Train housing counselors about
FHA-insured financing, including, minimum requirements of FHA loans,
loan limits, advantages of financing through FHA, HUD foreclosed
properties, FHA appraisal requirements, 203k, 203b, 203h, and Home
Equity Mortgage (HECM).
3. Threshold Requirements. Applicants and proposed grantees must
meet the following Threshold Requirements:
a. Compliance with Fair Housing and Civil Rights Laws. See the
General Section.
b. Debarment and Suspension. See General Section.
c. Delinquent Federal Debt. See General Section.
d. False Statements. See General Section.
e. Additional requirements: Agencies selected as grantees or sub-
grantees must also comply with the following requirements:
(1) Salary Limitation for Consultants. See General Section.
(2) Accessibility. All grant recipients and subrecipients must use
training facilities and services reasonably accessible to persons with
a wide range of disabilities or provide other means of accommodation
for disabled persons. In addition, counseling training must train
counselors in the accessibility requirements applicable to eligible
counseling activities and accessibility requirements under the Fair
Housing Act, including requirements for reasonable modification. All
training materials must be compliant with Section 508 of the
Rehabilitation Act (Section 508). See the Accessible Technology
Requirements in the General Section.
(3) Reports. All grant recipients will be required to report to HUD
on a quarterly basis, unless otherwise specified in the cooperative
agreement.
(4) Code of Conduct. Entities that are subject to 24 CFR parts 84
and 85 (including 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 Sections 84.42 and
85.36(b)(3)). The code of conduct must prohibit real and apparent
conflicts of interest that may arise among employees, officers, or
agents; prohibit the solicitation and acceptance of gifts or gratuities
by your officers, employees and agents for their personal benefit in
excess of minimal value; and outline administrative and disciplinary
actions available to remedy violations of such standards. Self-recusal
will not eliminate a potential or apparent conflict of interest. Prior
to entering into an agreement with HUD, the applicant will be required
to submit a copy of its code of conduct and describe the
[[Page 11769]]
methods it will use to ensure that all officers, employees, and agents
of the organization are aware of the code of conduct.
(5) Financial Management Systems. Applicants selected for funding
must provide documentation demonstrating that the applicant's financial
management systems satisfy the requirements in the applicable
regulations at 24 CFR 84.21(b) and 85.20. Consistent with the
requirements of the Single Audit Act Amendments of 1996 (31 U.S.C.
7501-07), if the applicant expended $500,000 or more in federal awards
in its most recent fiscal year, such documentation must include a
certification from or most recent audit by the applicant's independent
public accountant that the applicant maintains internal controls over
federal awards, complies with applicable laws, regulations, and
contract or grant provisions, and prepares appropriate financial
statements. The applicant will have at least 30 calendar days to
respond to this requirement. If an applicant does not respond within
the prescribed time or responds with insufficient documentation, then
HUD may determine that the applicant has not met this requirement and
may withdraw the grant offer.
If an applicant selected for funding expended less than $500,000 in
federal funds in the last fiscal year and therefore does not fall under
the requirements of the Single Audit Act, HUD will conduct a review of
the applicant's financial management system to ensure that the
accounting system meets federal requirements. HUD reserves the right
not to fund an applicant that has an accounting system that does not
meet federal requirements or require an applicant to attain the
services of an organization acceptable to HUD that can manage the
financial records of the applicant.
(6) Indirect Cost Rate. Applicants must also submit documentation
establishing the organization's indirect cost rate. Such documentation
may consist of a certification from the most recent audit or indirect
cost rate agreement by the cognizant federal agency or an independent
public accountant. If the organization does not have an established
indirect cost rate, the organization 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 an 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. If an applicant does not have an
established indirect cost rate, and there is no other cognizant federal
agency, or HUD is the cognizant federal agency, HUD will set the rate
based upon the submission of an acceptable indirect cost rate proposal.
If a proposal is not submitted within three months of award, HUD may
suspend work or terminate for noncompliance with requirements. OMB
Circular A-122 sets forth the requirements to determine allowable
direct and indirect costs and the preparation of indirect cost
proposals. The circular can be found at http://www.whitehouse.gov/omb.
(7) Name Check Review. See the General Section.
(8) Participation in HUD-Sponsored Program Evaluation. See the
General Section.
(9) Ensuring the Participation of Small Businesses, Small
Disadvantaged Businesses, and Women-Owned Businesses. See the General
Section.
(10) Executive Order 13166, Improving Access to Persons With
Limited English Proficiency (LEP). See the General Section.
(11) Executive Order 13279, Equal Protection of the Laws for Faith-
Based and Community Organizations. HUD is committed to full
implementation of Executive Order 13279 in the operation of its
programs. See the General Section.
(12) 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.).
(13) Affirmatively Furthering Fair Housing. See the General
Section.
IV. Application and Submission Information
A. Addresses to Request Application Package
All applications submitted in response to this NOFA must be
submitted electronically. The information required to submit an
application is contained in the General Section. Applications can be
downloaded from the following web site: www.grants.gov/applicants/
apply--for--grants.jsp. If you have difficulty accessing the
information you may call the Grants.gov helpline toll-free at (800)
518-GRANTS (4726) from Monday to Friday from 7 a.m. to 9 p.m. eastern
time, or send an e-mail to [email protected].
If you do not have Internet access and need to obtain a hard copy
of this NOFA or the General Section, you can contact HUD's NOFA
Information Center toll-free at (800) HUD-8929. Persons with hearing or
speech impairments may access any of these numbers via (TTY) by calling
the toll-free Federal Information Relay Service at (800) 877-8339.
B. Content and Form of Application Submission
1. Application Checklist. Use the checklist below to organize the
application. Unless indicated below, all applicants must submit the
following:
a. Forms. The standard forms, certifications, and assurances are
listed below. (The forms referred to as the ``standard forms''). All of
the standard forms required for this NOFA are available on the
Grant.gov Web site. (Please note that forms may vary slightly in
appearance on the Grants.gov Web site.)
(1) SF-424, Application for Federal Assistance
(2) SF-424 Supplement, Survey on Ensuring Equal Opportunity for
Applicants (optional) (``Faith Based EEO Survey (SF-424 SUPP)'' on
Grants.gov)
(3) SF-LLL, Disclosure of Lobbying Activities (if applicable)
(4) HUD-96010, Program Outcome Logic Model
(5) HUD-2880, Applicant Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov)
(6) SF-424 CB, Grant Application Detailed Budget (``HUD Detailed
Budget Form'' on Grants.gov)
(7) HUD-2880, Applicant Recipient Disclosure Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov)
(8) HUD-2994, You Are Our Client Grant Applicant Survey (optional)
(9) HUD-96011, Third Party Documentation Facsimile Transmittal.
(For use with electronic applications as the cover page to provide
third party documentation.) (``Facsimile Transmittal Form'' on
Grants.gov)
b. Nonprofit Status. Each applicant is required to submit, for
itself and for any organization with which it is partnering for the
purpose of this NOFA, a legible copy of the document that supports the
applicant's claim to be a nonprofit organization (for example, a 501(c)
letter issued by the IRS). The documentation must contain the official
name, address, and telephone number of the legal authority that granted
the nonprofit status. These documents must be scanned, attached to the
attachment form, which is part of the Grants.gov package, and submitted
electronically to Grants.gov, or faxed using the fax cover sheet in the
Grants.gov application package. Please read the General Section
[[Page 11770]]
for information about submitting documents as attachments or using the
facsimile solution, and acceptable file formats.
c. Narrative Statements. Provide narrative statements addressing
the Rating Factors in section V below. Responses to the rating factors
should provide HUD with detailed quantitative and qualitative
information and relevant examples regarding the housing counseling
training and other work of the organization that is related to the
proposed activities. These narrative statements will be the basis for
evaluating the application. Applicants should clearly label each
narrative with the Factor Title and number related to the response.
When creating file names, please follow the directions in the General
Section.
d. Prohibition Against Lobbying Activities. See the General
Section.
C. Submission Dates and Time: Your completed application must be
received and validated by Grants.gov no later than 11:59:59 p.m.
eastern time on the application deadline date. Please note that
validation may take up to 72 hours. Applicants should carefully read
the section titled ``APPLICATION and SUBMISSION INFORMATION'' in the
General Section.
D. Intergovernmental Review
This NOFA is excluded from the requirement of an Intergovernmental
Review.
F. Other Submission Requirements
Electronic delivery via Grants.gov is HUD's required method for
application submission. Applicants interested in applying for funding
under this NOFA must submit their applications electronically or
request a waiver from the electronic submission requirement. Applicants
must submit their waiver requests in writing using e-mail. Waiver
requests must be submitted no later than 15 days prior to the
application deadline date and should be submitted to [email protected]. If granted a waiver, the notification will provide
instructions on where to submit the application and how many copies are
required. Paper copy applications must be received by the deadline
date. HUD will not accept a paper application without a waiver being
granted. See the General Section for detailed submission and timely
receipt instructions.
V. Application Review Information
A. Criteria
Applications will be evaluated competitively according to the
Factors for Award described below, and ranked against all other
applicants. All applications will be scored and ranked in HUD
Headquarters.
1. Factors For Award Used To Rate and Rank Applications
a. The factors for award, and maximum points for each factor, are
outlined below. These factors will be used to evaluate applications.
The maximum score is 100 for all applicants.
b. HUD may rely on other information, such as performance reports,
financial status information, monitoring reports, audit reports and
other information available to HUD in making score determinations under
any Rating Factor.
2. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (40 points)
HUD uses responses to this rating factor to evaluate the readiness
and ability of an applicant to begin the proposed work program
immediately, as well as the potential for an applicant to cost-
effectively and successfully implement the proposed activities
indicated under Rating Factor 3.
a. Relevant Staff (15 points). In rating this section, HUD will
consider the degree to which the applicant and, if applicable,
partnering organizations, have sufficient personnel with the relevant
knowledge and experience to implement the proposed activities in a
timely and effective fashion. Specifically, scoring will be based on
the number of years of relevant and recent housing counseling training,
housing counseling material production, and other related experience of
program managers and staff.
Submit the names and titles of employees, including subcontractors
and consultants, who would perform the activities proposed in Rating
Factor 3. Clerical staff should not be listed. Describe each
employee's, subcontractor's, or consultant's relevant professional
background and experience. Experience is relevant if it corresponds
directly to projects of a similar scale and purpose. Provide the number
of years of experience for each position listed, and indicate when each
position was held. Individual descriptions should be limited to one
page. List recent and relevant training received.
b. Experience (20 points). Applicants should carefully document
recent experience, and the experience of organizations with which it is
partnering, in providing the eligible activities listed in Section III
of this NOFA that it is proposing to offer through this NOFA. Indicate
the types and complexity of the services provided and the outcomes for
counselors as a result of the training and other services. Describe the
level of effort and time required to provide the services and to meet
the needs of the counselors.
Indicate the number of counselors that have participated in your
training program or otherwise benefited from the relevant services you
provided.
c. Performance/Grant Requirements (5 points). In scoring this
section, HUD will evaluate how well the applicant has satisfied the
requirements, including reporting, on HUD grants received. If an
applicant has not received a HUD grant, the applicant should base its
response on activities and requirements under other sources of funding,
such as other federal, state, local, or other awards.
An applicant should characterize performance with regard to the
timeliness and completeness with which the applicant satisfied
reporting requirements (such as Form HUD 9902) and quarterly and final
reports.
Also, indicate whether or not an applicant fully expended grant
awards during the specified award periods. If not fully expended,
provide an explanation as to the reason why the funds were not fully
expended on time and the steps taken to ensure that future funding will
be expended in a timely manner.
3. Rating Factor 2: Need/Extent of the Problem (5 points)
This factor addresses the extent to which there is a need to fund
proposed activities described in response to Rating Factor 3.
Describe and document the national need, such as the number of
housing counselors and areas of housing counseling training the
application intends to address with the services proposed in Rating
Factor 3. Responses will be evaluated based on how well they
demonstrate a grasp of the elements of the problems this NOFA is
intended to address. Include applicable statistics and analyses, if
available, contained in data sources that are sound and reliable.
Sources for all data provided must be clearly cited.
4. Rating Factor 3: Soundness of Approach/Scope of Housing Counseling
Services (35 points)
This factor addresses the quality and effectiveness of the proposed
work plan. In rating this factor, HUD will evaluate the extent to which
the applicant presents a detailed and sound approach for providing the
proposed services. HUD will also evaluate the extent to which the
applicant demonstrates the cost-effectiveness of its activities, and
[[Page 11771]]
convincingly explains how the proposed activities will yield long-term
results.
a. Work Plan (20 points).
Applicants should provide a work plan that lists the major
objectives and activities it intends to undertake, and how it plans to
provide those services. Include administrative and project tasks.
The Work Plan must include all the housing counseling training
topics listed in section III. The only exception to this requirement is
organizations proposing to provide Home Equity Conversion Mortgage
(HECM) counseling exclusively. Indicate if any of the listed trainings
will be provided by organizations with which an applicant has
partnered. The proposed program must be national in scope. All
proposals to provide training must include a description of the
methodology for measuring the success of the training program. The
proposals must also include a scholarship element, detailing the full
or partial costs to be covered, including travel, hotel, and tuition
expenses. Applicants must also indicate the total number of tuition,
travel, and lodging scholarships they estimate can be offered, and
describe plans for determining how the various types of scholarship
assistance will be equitably distributed.
b. Proposed Budget (15 points).
For the work plan proposed above, indicate the Grant amount in line
18a of form SF-424. Describe and explain a proposed budget, utilizing
the HUD-424-CB. If applicable, the budget should highlight portions
being proposed as sub-grants to partnering organizations. Make a case
for why the proposed budget is cost effective in achieving proposed
results. Responses will be evaluated based on the quality,
thoroughness, and reasonableness of the cost estimates provided.
5. Rating Factor 4: Leveraging Resources (10 Points)
Although HUD funding through this NOFA may fully fund an
organization's proposed program, applicants are encouraged to secure
the use of other resources to supplement the HUD grant.
In scoring this factor, applicants will be evaluated based on their
ability to obtain additional resources for their proposed training and
other related eligible activities, including direct financial
assistance and in-kind contributions, which may include 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
the applicant assistance.
Additionally, resources provided by the applicant, recorded as
``applicant match'' and ``program income'' on form SF-424, will count
as leveraged resources.
Points for this factor will be awarded based on the ratio of
requested HUD funds to total budget for the proposed activities.
------------------------------------------------------------------------
Percentage Points
------------------------------------------------------------------------
01-15...................................................... 10
16-23...................................................... 9
24-29...................................................... 8
30-35...................................................... 7
36-41...................................................... 6
42-47...................................................... 5
48-53...................................................... 4
54-59...................................................... 3
60-65...................................................... 2
66-99...................................................... 1
------------------------------------------------------------------------
6. Rating Factor 5: Achieving Results and Program Evaluation (10
Points)
Outcomes are benefits accruing to recipients of the service to be
offered (e.g., increase in the number of counselors demonstrating
proficiency after training. Outputs are units of service or activity
(e.g., instructional units developed, number of counselors trained,
number tested). Outputs and outcomes must be objectively quantifiable.
The purpose of this factor is for the applicant to identify program
outputs and outcomes that will allow an applicant and HUD to measure
actual achievements against anticipated achievements. For this NOFA,
HUD will give particular weight to an applicant's ability to
demonstrate change in counselors' knowledge and skills as a result of
the training offered. Applicants should therefore emphasize a rigorous
and objective testing protocol as part of their performance evaluation
strategy.
Submission Requirements for Factor 5. Applicants must submit an
effective, quantifiable, and outcome-oriented evaluation plan. The plan
must be in narrative form and must also be presented utilizing HUD's
(Logic Model, form 96010) for measuring performance and determining
that output and outcome goals have been met. An applicant must submit a
program evaluation plan that demonstrates how it will measure its own
program performance. The evaluation plan should identify what an
applicant is going to measure, how an applicant is going to measure it,
and the steps in place to make adjustments to its work plan if
performance targets are not met within established timeframes.
Specifically, the plan must identify:
--Outputs. Outputs are the direct products of an applicant's activities
that lead to the ultimate achievement of outcomes. Examples of outputs
are the number of training sessions to be provided and the number of
counselors to be trained. Identify interim and full grant term
projected outputs and timeframes for accomplishing these goals. The
plan must show how an applicant will measure actual accomplishments
against anticipated achievements.
--Work Plan Adjustments. Describe steps in place to make adjustments to
the work plan if outputs are not met within established timeframes or
if a grantee begins to fall short of established outputs or timeframes.
--Outcomes. Outcomes are benefits accruing to the counselors as a
result of participation in an applicant's program. Outcomes are
performance indicators an applicant expects to achieve or goals an
applicant hopes to meet over the term of its proposed grant. An example
of an outcome is the percentage of counselors who, following training,
can demonstrate competence in the areas of training. Another example of
an outcome is an instructional module, which when administered to
counselors, produces a measurable increase in counselors' knowledge or
skills. An applicant should identify how it will determine that a
counselor has demonstrated competence following training, and provide
projected outcomes of the number of counselors trained and the number
of counselors demonstrating competence following training for the full
grant term, as well as timeframes for accomplishing these goals. The
plan must show how an applicant will measure actual accomplishments
against anticipated achievements.
--Information Collection. An applicant should describe its strategy for
collecting outcome information.
B. Review and Selection Process
1. General. HUD will review each application to determine whether
it meets the threshold and the eligibility requirements found in
Section III of this NOFA. Only applicants that meet all of the
eligibility and threshold requirements will 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. HUD may include these non-HUD employees to obtain certain
expertise and outside points of view, including views from other
federal agencies.
3. Corrections To Deficient Applications. See the General Section.
[[Page 11772]]
4. Rating and Ranking.
a. Applications that earn a score of 75 points or more will be
considered eligible for funding.
b. HUD intends to award the entire amount available under this NOFA
to the highest scoring application. However, HUD reserves the right to
make multiple awards.
c. If an applicant turns down an award offer, HUD may make an offer
to the next highest-ranking application.
d. In the event HUD commits an error that, when corrected, would
result in selection of an otherwise eligible applicant during the
funding round of this NOFA, HUD may select that applicant when
sufficient funds become available.
5. Award Size. All grantees will receive the lower of either the
award amount determined by HUD or the amount actually requested by the
applicant.
6. Award Adjustments. HUD reserves the right to adjust funding
levels for each applicant as indicated in Section II C. of this NOFA.
HUD reserves the right to fund less than the full amount requested in
an application.
7. Ineligible Activities. HUD will not fund any portion of an
application that: is not eligible for funding under this program's
statutory or regulatory requirements; does not meet the requirements of
this NOFA; or may be duplicative of other funded programs or activities
from prior year awards or other selected applicants. Only the eligible
portions of an application (including non-duplicative portions) may be
funded. Funds from this program may not be used for real property
acquisition, disposition, leasing, rehabilitation, alteration,
demolition, or new construction.
VI. Award Administration Information
A. Award Notices
After all eligible applications have been rated and ranked and
selections have been made, HUD will notify applicants regarding the
disposition of their application.
B. Administrative and National Policy Requirements
1. Environmental Requirements. Activities funded through this
program are categorically excluded under 24 CFR 50.19(b)(9) from the
requirements of the National Environmental Policy Act of 1969 (42
U.S.C. 4321) and are not subject to review under the related laws and
authorities.
2. Procurement of Recovered Materials. Please see the General
Section for this requirement.
C. Reporting: Grant recipients will be required to submit quarterly
progress reports, comparing actual accomplishments with the goals and
objectives established for the period, explaining why established goals
were not met, and highlighting any problems, delays, or adverse
conditions that materially impaired the ability to meet the objectives
of the awards. Each recipient is also required to submit a completed
Logic Model showing accomplishments against proposed outputs and
outcomes as part of their quarterly reporting requirement to HUD.
Recipients shall use quantifiable data to measure performance against
goals and objectives outlined in their Logic Model. For FY2007, HUD is
considering a new concept for the Logic Model. The new concept is a
Return on Investment (ROI) statement. HUD will be publishing a separate
notice on the ROI concept.
D. Debriefing. HUD will provide a debriefing to a requesting
applicant related to its application. See the General Section for more
information.
VII. Agency Contact
For further information about this NOFA or application
requirements, applicants should contact Miriam Torres, HUD
Headquarters, Single Family Housing, Program Support Division, at (202)
708-0317 x2618 (this is not a toll-free number). Persons with hearing
or speech impairments may access any of these numbers via (TTY) by
calling the toll-free Federal Information Relay Service at (800) 877-
8339. For technical help with the electronic submission procedure,
applicants may e-mail [email protected] or call (800) 518-4726 (800)
518-GRANTS). The Grants.gov Customer Support Center is open from 7 a.m.
to 9 p.m. Eastern Time.
VIII. Other Information
Paperwork Reduction Act. The information collection requirements
contained in this document have been approved by 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 68 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 in order to
receive the benefits to be derived.
[FR Doc. 07-974 Filed 3-12-07; 8:45 am]
BILLING CODE 4210-01-P