[Federal Register Volume 73, Number 92 (Monday, May 12, 2008)]
[Notices]
[Pages 27032-27343]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-8863]



[[Page 27031]]

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

Part II





Housing and Urban Development Department





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



Fiscal Year 2008 SuperNOFA for HUD's Discretionary Programs; Notice

  Federal Register / Vol. 73, No. 92 / Monday, May 12, 2008 / Notices  

[[Page 27032]]


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

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-5200-N-01A]


Fiscal Year 2008 SuperNOFA for HUD's Discretionary Programs

AGENCY: Office of the Secretary, HUD.

ACTION: Notice of HUD's 2008 Notice of Funding Availability (NOFA) for 
HUD's Discretionary Programs (SuperNOFA).

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

SUMMARY: On March 19, 2008, HUD published its Notice of Fiscal Year 
(FY) 2008 Notice of Funding Availability Policy Requirements and 
General Section to HUD's FY2008 NOFAs (General Section). HUD published 
the General Section in advance of the individual NOFAs to give 
prospective applicants sufficient time to understand policy and program 
requirements that apply to the majority of HUD's programs in advance of 
the publication of the program section NOFAs, to register early with 
Grants.gov in order to facilitate their application submission process, 
and to gain a better understanding of the Grants.gov application 
receipt and validation process. Today's publication contains the 36 
funding opportunities that constitute HUD's FY2008 SuperNOFA. Today's 
publication also provides a revised Appendix A that lists the programs 
contained in the FY2008 SuperNOFA and corrects two items contained in 
the General Section published on March 19, 2008.

DATES: Application deadline and other key dates that apply to all HUD 
federal financial assistance made available through HUD's FY2008 
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 of 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 Policy Requirements and 
General Section to HUD's FY2008 NOFAs (the General Section) in the 
Federal Register on March 19, 2008 (73 FR 14882). HUD published the 
General Section in advance of the individual program NOFAs to give 
prospective applicants sufficient time to understand policy and program 
requirements that apply to the majority of HUD's programs in advance of 
the publication of the program section NOFAs, to register early with 
Grants.gov in order to facilitate their application submission process, 
and to gain a better understanding of the Grants.gov application 
receipt and validation process. Today's publication contains the 36 
individual funding opportunities that constitute HUD's FY2008 
SuperNOFA. Through the FY2008 SuperNOFA, HUD is making available 
approximately $1.02 billion in federal financial assistance. Today's 
publication also provides a revised Appendix A that lists the programs 
contained in the FY2008 SuperNOFA and corrects items contained in the 
General Section published on March 19, 2008.
    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 read, however, the 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 General Section identified the funding 
opportunities that HUD anticipated would be included in the FY2008 
SuperNOFA. HUD is revising and republishing Appendix A (Revised 
Appendix A) as part of today's publication. Revised Appendix A provides 
a corrected and up-to-date list of the funding opportunities included 
in today's FY2008 SuperNOFA publication. Revised Appendix A also lists 
the application deadline date and the approximate amount of funding 
available for each of the program NOFAs contained in the FY2008 
SuperNOFA. Applicants are reminded that, unless they obtain a written 
waiver, applications must be received and validated by Grants.gov by 
11:59:59 p.m. eastern time on the application deadline date. The 
validation check can take 24 to 48 hours after an application is 
received by Grants.gov. As a result, HUD strongly encourages applicants 
to submit their applications 48 to 72 hours prior to the application 
deadline date. By submitting prior to the application deadline date, 
applicants will have time to cure any deficiency in their applications 
should it fail the validation process. HUD also reminds applicants 
that, if they have changed their e-mail address, they must also update 
their Authorized Organization Representative (AOR) registration with 
Grants.gov. Failure to update the AOR e-mail address will prevent 
individuals submitting applications on behalf of an applicant from 
receiving a validation receipt or rejection notice from Grants.gov.
    In reviewing Revised Appendix A, applicants should note that the 
HOPE VI program is not part of the FY2008 SuperNOFA. HUD published the 
HOPE VI NOFA separately in the Federal Register on March 26, 2008 (73 
FR 16140). The application and instructions for the HOPE VI NOFA can be 
found on the Grants.gov Web site at http://www.07grants.gov/applicants/find_grant_opportunities.jsp. In addition, the Continuum of Care 
program is not part of today's publication. Applicants for the 
Continuum of Care program should be advised that HUD will require 
applicants to submit Continuum of Care applications electronically in 
FY2008. Because the electronic application is not yet available, 
however, details of the registration process and other submission 
details (including, application submission date and timely receipt 
requirements) will be published in two notices that will be published 
in the Federal Register later this year. HUD expects the first notice 
to be available in spring 2008. HUD expects to publish the Continuum of 
Care NOFA no earlier than July 1, 2008. Notification of the 
availability of registration instructions, the application and other 
information will be released through the Grants.gov/Find Web site. To 
be placed on the Grants.gov notification service for notices about the 
Continuum of Care electronic application process, go to http://www.grants.gov/search/subscribeAdvanced.do. To join the HUD homeless 
assistance programs listserv go to http://www.hud.gov/subscribe/signup.cfm?listname=Homeless%20Assistance%20Program&list=HOMELESS-ASST-L.
    HUD is also using today's publication to correct the following 
items in the General Section published on March 19, 2008:
    On page 14885, Section III, C.2.j., the section on Debarment and 
Suspension, is modified to reference the December 24, 2007, final rule 
on Implementation of OMB Guidance on Nonprocurement Debarment and 
Suspension (72 FR 73484). The December 24, 2007, final rule relocated 
HUD's regulations governing nonprocurement debarment and suspension to 
a new part in title 2 of the Code of Federal Regulations. The 
relocation of HUD's nonprocurement debarment and suspension regulation 
is part of a governmentwide initiative to

[[Page 27033]]

create one location where the public can access both the Office of 
Management and Budget guidance for grants and agreements and the 
associated federal agency implementing regulations. HUD's final Rule is 
available at http://www.hud.gov/grants/index.cfm on the right hand side 
of the page under ``What's Hot!
    On page 14890, Section VI.B.b. ``Step Two: Register with CCR,'' is 
corrected to reflect the operating hours of the Central Contractor 
Registration (CCR) Assistance Center. If you need assistance you can 
contact the CCR Assistance Center, Monday to Friday, except federal 
holidays, from 9 a.m.-5 p.m. eastern time by calling 888-227-2423 or 
269-961-5757. CCR also has on line help incorporated into its Web site. 
To obtain the online help, use the HELP link at the top of the page.
    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 all 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 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/applicants/email_subscription.jsp. Corrections to the General Section, 
program NOFAs, or the application are posted to http://www.Grants.gov 
as soon as they are available. HUD will also post the Continuum of Care 
NOFA (and any corrections to the Continuum of Care NOFA) on the 
Grants.gov/Find site.
    HUD hopes that the steps that it has taken to provide information 
early in the FY2008 funding process will be of benefit to you, our 
applicants and urges applicants to carefully read the instructions 
provided in the General Section and program sections of the NOFA and to 
apply early so any issues can be addressed prior to the deadline date.

    Dated: April 15, 2008.
Dawn Luepke,
General Deputy Assistant Secretary for Administration.
BILLING CODE 4210-67-P

[[Page 27034]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.000


[[Page 27035]]


[GRAPHIC] [TIFF OMITTED] TN12MY08.001


[[Page 27036]]


[GRAPHIC] [TIFF OMITTED] TN12MY08.002


[[Page 27037]]



Community Development Technical Assistance

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Community Planning and Development.
    B. Funding Opportunity Title: Community Development Technical 
Assistance (CD-TA).
    C. Announcement Type: Initial Announcement.
    D. Funding Opportunity Number: The Federal Register number for this 
NOFA is FR-5200-N-19. The OMB Approval Numbers for this NOFA are: 2506-
0166 for the HOME Investment Partnerships Program (HOME), the 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) and for Community Development Block Grants (CDBG).
    E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.239, 
HOME and CHDO (HOME); 14.235, Homeless; 14.241, HOPWA; 14.218 CDBG 
Entitlement Grants; 14.219 CDBG States and Small Cities Program; 14.225 
CDBG Insular Program; 14.248 CDBG Section 108.
    F. Dates: The application deadline date is July 3, 2008. 
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 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. Applicants 
should note that HUD has made significant changes to this CD-TA NOFA 
from previous years' requirements.
    The following chart highlights some of the major changes to this 
year's CD-TA NOFA:

------------------------------------------------------------------------
 
-------------------------------------------------------------------------
Revision
 
CDBG TA is included this year.
 
A minimum award amount has been established for national awards and
 field office awards.
 
Training requirements are explained in more detail for national and
 local awards.
 
Requirements added to include HOME Certification for HOME and CHDO
 (HOME) providers as well as references required for new applicants or
 applicants that do not have an open HUD CD-TA award.
 
Rating Factor 2--Need, has been eliminated the other rating Factors have
 been changed significantly.
 
The Logic Model is now a post-award requirement.
------------------------------------------------------------------------

    1. Available Funds. Funds are available to provide technical 
assistance for five separate program areas: HOME, CHDO (HOME), 
Homeless, HOPWA, and CDBG. Applicants may apply for up to all five CD-
TA program areas. The application submission information is contained 
in this CD-TA NOFA at Section IV.B. Approximately $27.9 million is 
available. No cost sharing is required. Awards will be administered 
under cooperative agreements with significant HUD involvement (see 
Section II.C of this NOFA).
    2. Eligible Applicants. Eligible applicants vary by each program 
listed under the CD-TA NOFA. Please see a chart for a full list of 
eligible applicants in section III A, under the Full Text of 
Announcement.

Full Text of Announcement

I. Funding Opportunity Description

    A. Program Description. The purpose of the CD-TA program is to 
provide technical assistance to achieve the highest level of 
performance and results for five separate community development program 
areas: (1) HOME; (2) CHDO (HOME); (3) Homeless; (4) HOPWA and (5) CDBG. 
Information about the five community development programs and their 
missions, goals, and activities can be found on the HUD Web site at 
http://www.hud.gov.
    B. 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 is authorized by the Consolidated Appropriations Act, 
2008, (Pub. L. 110-161). HOPWA TA is also authorized by the 
Consolidated Appropriations Act, 2008 (Pub. L. 110-161). CDBG TA is 
authorized under Title 1 of the Housing and Community Development Act 
of 1974 (42 U.S.C. 5301-5320); 24 CFR 570.402.

II. Award Information

    A. Available Funds. Approximately $27.9 million is available for 
the CD-TA program. Additional funds may become available as a result of 
HUD's efforts to recapture unused funds or to utilize carry over funds. 
In addition, should a balance of national CHDO (HOME) funds remain 
after awards are provided, the balance may be reprogrammed, pending 
Congressional authorization, as national HOME funds. The chart below 
demonstrates the division of funds among the programs that comprise CD-
TA, and presents the national versus local share of those funds. No 
local funds are available under either HOPWA or CDBG TA. For the $14.9 
million available for national TA programs, HUD has established a 
$200,000 award minimum for successful national TA applications, and a 
$50,000 minimum award for successful local HOME and CHDO (HOME) 
applicants. A $15,000 award minimum has been established for successful 
local Homeless TA applications. All awards are subject to the funding 
restrictions described in detail in Section IV, Subpart E.

------------------------------------------------------------------------
                 Program                    National TA      Local TA
------------------------------------------------------------------------
HOME....................................      $5,000,000      $5,000,000
CHDO (HOME).............................       2,500,000       6,000,000
Homeless................................       5,600,000       2,000,000
HOPWA...................................         820,000               0
CDBG....................................       1,000,000               0
                                         -------------------------------
    Total...............................      14,920,000      13,000,000
------------------------------------------------------------------------

    For the HOME, CHDO (HOME), and Homeless TA programs, the local TA 
funds are distributed among HUD's forty-three Community Planning and 
Development field offices. Each field office has been allotted a fair 
share of HOME, CHDO (HOME), and Homeless TA funds based on the needs 
identified by each individual field office. The chart below highlights 
the local TA funds available, by CD-TA program, for each field office. 
All awards will be subject to the minimum funding thresholds noted 
above, and the funding

[[Page 27038]]

restrictions identified in Section IV, Subpart E.

----------------------------------------------------------------------------------------------------------------
                          Local TA area                                HOME         CHDO (HOME)      Homeless
----------------------------------------------------------------------------------------------------------------
Alabama.........................................................              $0              $0          30,000
Alaska..........................................................          50,000          50,000          30,000
Arkansas........................................................          50,000          50,000          30,000
California--Northern and Arizona, Nevada........................         400,000         850,000         180,000
California--Southern............................................         350,000         500,000         165,000
Caribbean.......................................................         100,000         100,000          30,000
Colorado and Montana, North Dakota, South Dakota, Utah, Wyoming.         150,000         200,000          45,000
Connecticut.....................................................          50,000         100,000          30,000
District of Columbia area.......................................          50,000          50,000          30,000
Florida--Southern...............................................          50,000          50,000          15,000
Florida--Northern...............................................         150,000               0          45,000
Georgia.........................................................         150,000         150,000          45,000
Hawaii..........................................................         100,000         100,000          30,000
Illinois........................................................         150,000         400,000          95,000
Indiana.........................................................          50,000          50,000          15,000
Kansas and Missouri--Western....................................         100,000         100,000          30,000
Missouri--Eastern...............................................          50,000          50,000          15,000
Kentucky........................................................         200,000         150,000          45,000
Louisiana.......................................................          50,000         100,000          30,000
Maryland, except District of Columbia area......................          50,000         150,000          30,000
Massachusetts, Maine, New Hampshire, Rhode Island, Vermont......         150,000         200,000         120,000
Michigan........................................................         150,000         200,000         105,000
Minnesota.......................................................         100,000         200,000          45,000
Mississippi.....................................................         150,000         150,000          30,000
Nebraska and Iowa...............................................          50,000          50,000          30,000
New Jersey......................................................         150,000         100,000          30,000
New Mexico......................................................         150,000         300,000          45,000
New York--Downstate.............................................         200,000         450,000         135,000
New York--Upstate...............................................          50,000          50,000          30,000
North Carolina..................................................         200,000         200,000          45,000
Ohio............................................................         200,000         150,000          60,000
Oklahoma........................................................         100,000          50,000          15,000
Oregon and Idaho................................................         100,000          50,000          30,000
Pennsylvania--Eastern and Delaware..............................          50,000          50,000          15,000
Pennsylvania--Western and West Virginia.........................         100,000               0          45,000
South Carolina..................................................          50,000          50,000          30,000
Tennessee.......................................................         100,000         100,000          30,000
Texas--Northern.................................................         200,000         200,000          60,000
Texas--Southern.................................................         100,000          50,000               0
Virginia, except District of Columbia area......................         100,000          50,000          30,000
Washington......................................................          50,000          50,000          30,000
Wisconsin.......................................................         100,000               0          45,000
Houston.........................................................         100,000         100,000          30,000
                                                                 -----------------------------------------------
    Total.......................................................       5,000,000       6,000,000       2,000,000
----------------------------------------------------------------------------------------------------------------

    B. Type of Assistance instrument. Funds will be awarded as a 
Cooperative Agreement.
    1. National TA activities are administered by a Government 
Technical Representative (GTR) and Government Technical Monitor (GTM) 
at HUD Headquarters. Local TA will be administered by a GTR and GTM in 
the respective HUD field office. Significant HUD involvement is 
required in all aspects of TA planning, delivery, and follow-up. 
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.
    2. Awards will be for a period of 24 months up to 36 months, 
depending on such factors as whether or not the TA provider has been 
selected as a lead provider; the number of field offices that the 
provider will work in; and the number of CD-TA programs that the 
provider participates in. HUD reserves the right to determine the award 
period based on any or all of these factors.
    3. HUD reserves the right to withdraw funds from any TA provider if 
HUD determines that: (1) The TA provider's performance is duly found to 
be substandard and unacceptable; (2) the need for assistance is not 
commensurate with the award; or (3) the need for assistance is greater 
in other field office jurisdictions. HUD will make this determination 
on a case by case basis and will provide a 30-day due process notice 
accordingly.
    4. HUD anticipates substantial involvement in determining and 
approving the work to be performed as described below:
    a. Demand-Response System. All successful CD-TA applicants must 
operate within the structure of the demand-response system. Under the 
demand-response system HUD identifies technical assistance needs and 
prioritizes them based on Departmental, program and jurisdictional 
priorities. Successful TA applicants are then tasked with responding to 
identified needs. Under the demand-response system, TA providers are 
required to:
    (1) When requested by a GTR, market the availability of their 
services to existing and potential recipients within

[[Page 27039]]

the jurisdictions in which the assistance will be delivered;
    (2) Respond to requests for assistance from the GTR;
    (3) 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;
    (4) 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.
    (5) 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.

III. Eligibility Information

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

------------------------------------------------------------------------
           Program                        Eligible applicants
------------------------------------------------------------------------
HOME........................   A for-profit or nonprofit
                               professional and technical services
                               company or firm that has demonstrated
                               knowledge of the HOME program and the
                               capacity to provide technical assistance
                               services;
                               A HOME Participating Jurisdiction
                               (PJ);
                               A public purpose organization,
                               established pursuant to state or local
                               legislation, responsible to the chief
                               elected officer of a PJ;
                               An agency or authority
                               established by two or more PJs to carry
                               out activities consistent with the
                               purposes of the HOME program; or
                               A national or regional nonprofit
                               organization that has membership
                               comprised 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.
CDBG........................   A state;
                               A unit of general local
                               government;
                               A national or regional nonprofit
                               organization that has membership
                               comprised predominately of entities or
                               officials of entities of CDBG recipients;
                               A for-profit or nonprofit
                               professional and technical services
                               company or firm that has demonstrated
                               knowledge of the CDBG program and the
                               capacity to provide technical assistance
                               services; or
                               A public or private nonprofit or
                               for-profit organization, including
                               educational services and area-wide
                               planning organizations.
------------------------------------------------------------------------

    All HOME and CHDO (HOME) TA providers applying under this NOFA must 
now have a minimum number of training and technical assistance staff 
who have sat for and passed the HOME Certified Specialist--Regulations 
training as described in Section VB. All TA providers applying to the 
HOME or CHDO (HOME) TA programs must be able to document staff 
certification in their application.
    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 TA Priorities. Activities eligible for funding under 
each of the five CD-TA programs must address the TA priorities 
identified below:
    a. HOME TA. HUD has identified five 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

[[Page 27040]]

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.
    (5) Improve PJs' ability to incorporate energy efficiency into the 
planning, design, financing, construction, and operation of affordable 
housing. This is consistent with the Department's policy priority of 
Participation in Energy Star as described in the General Section.
    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 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-Gonzalez National 
Affordable Housing Act. These priorities are consistent with the 
Department's policy priority for Providing Increased Homeownership and 
Rental Opportunities for Low- and Moderate-Income Persons, Persons with 
Disabilities, the Elderly, Minorities, and Persons with Limited English 
Proficiency.
    (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. These HUD-funded grantees, 
project sponsors and potential recipients are organized as Continuums 
of Care (CoCs) for community planning. The assistance may include, but 
is not limited to, developing, enhancing, and disseminating written 
information such as papers, monographs, manuals, curriculums, guides, 
and brochures; and person-to-person exchanges, conferences, training 
and use of technology.
    1. National TA activities are focused on these priorities that 
result in measurable performance outputs and outcomes:
    a. Improve the ability of HUD-funded grantees, project sponsors, 
and potential recipients as CoCs to participate in the Annual Homeless 
Assessment Report (AHAR). 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.
    b. Assist CoCs with Homeless Management Information System (HMIS) 
implementation. National technical assistance will relate to data 
collection, data quality, data analysis, provider participation, HMIS 
structure and governance, reporting, performance measurement, data 
warehousing, HMIS Data and Technical Standards and Annual Progress 
Report (APR).
    c. Maintain and enhance the HMIS Web site portal as the vehicle for 
collection and dissemination of HMIS information.
    d. 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 and 
supporting disaster preparedness and recovery efforts.
    e. Develop new and enhance existing materials to facilitate the 
understanding of the electronic submission process for CoC Homeless 
Assistance program applications, technical submissions and Annual 
Progress Reports (APRs) by HUD-funded grantees, project sponsors, and 
potential recipients.
    f. Maintain and enhance the Homelessness Resource Exchange (HRE) as 
the vehicle for collection and dissemination of information related to 
homelessness. The Homelessness Resource Exchange is HUD's one-stop shop 
for information and resources for providers who are assisting persons 
who are homeless or at risk of becoming homeless;
    g. Develop, enhance and deliver curriculums for HUD-funded 
grantees, project sponsors, and potential recipients on topics 
including, but not limited to: Performance outcome measures, homeless 
prevention strategies, comprehensive housing development strategies 
using collaborative public and private partnerships, CoC governance and 
structure, organizational capacity, planning, strategies for ending 
chronic homelessness and increasing access to mainstream services for 
homeless persons. This priority is consistent with the Department's 
policy priority for Ending Chronic Homelessness as described in the 
General Section.
    2. Local TA activities are focused on these priorities that result 
in measurable performance outputs and outcomes:
    a. Capacity building for HUD-funded grantees, project sponsors, and 
potential

[[Page 27041]]

recipients including information that would help these stakeholders 
carry out the purposes of the McKinney-Vento Act homeless assistance 
programs and assist in identifying and overcoming barriers.
    b. Delivery of approved curricula to assist HUD-funded grantees, 
project sponsors, and potential recipients with understanding program 
requirements and monitoring standards, including sound fiscal and 
financial management practices, assessment of subrecipients and 
providing TA to help CoCs assess grantees, project sponsors, and 
individual projects.
    c. Assisting HUD-funded grantees, project sponsors, and potential 
recipients to improve access to mainstream systems of care.
    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, evaluate, and oversee 
HOPWA-eligible project activities that result in measurable performance 
outputs and outcomes consistent with the HOPWA program. HOPWA TA, 
including program training and support is to be developed and conducted 
in collaboration with HUD field office oversight of local HOPWA-
assisted activities. The national TA priority is directed toward the 
development and implementation of activities that promote successful 
HOPWA grantee performance management and reporting under the national 
performance goal of increasing housing stability, reducing risks of 
homelessness, and improving access to care for HOPWA beneficiaries. 
This priority is consistent with the departmental policy priorities of 
Ending Chronic Homelessness and Providing Increased Homeownership and 
Rental Opportunities for Low- and Moderate-Income Persons, Persons with 
Disabilities, the Elderly, Minorities and Persons with Limited English 
Proficiency as described in the General Section.
    e. CDBG TA. HUD may provide CDBG program technical assistance to 
meet specified objectives, in particular the facilitating of skills and 
knowledge in planning, developing, and administering activities under 
the CDBG program for recipients and other entities that may need but do 
not possess such skill and knowledge, including measuring programs and 
activities under the CDBG program. These technical assistance funds 
will support local and state grantees' efforts in these areas as well 
as program management, reporting accomplishments, and analytical 
support of information for performance measurement. TA activities that 
result in measurable performance outputs and outcomes are focused on 
the following priorities:
    (1) Improve CDBG recipient knowledge and skills to implement the 
CPD Performance Measurement system.
    (2) Improve CDBG recipient knowledge and understanding of reporting 
accomplishments and the importance of measuring performance from a 
national programmatic perspective.
    (3) Develop and deliver training on implementing the re-engineered 
Integrated Disbursement and Information System (IDIS).
    (4) Improve CDBG program knowledge through training of recipients, 
subrecipients, and subgrantees on CDBG program regulations and 
financial management requirements.
    (5) Increase program knowledge of the CDBG Section 108 program 
through program-specific recipient training.
    (6) Develop model protocols that ensure accurate, required program 
recordkeeping and performance data by recipients, subrecipients, and 
subgrantees.
    (7) Develop materials for grantees, subrecipients, and subgrantees 
on energy conservation or other Departmental or programmatic 
priorities. This is consistent with the Department's policy priority of 
Participation in Energy Star as described in the General Section.
    2. Eligible National TA and Local TA Activities. 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.
    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.
    3. Threshold Requirements. Applicants must meet the Threshold 
requirements in the General Section to receive an award of funds from 
HUD. Please carefully read the General Section.
    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. Program Requirements. The following program requirements apply 
to the CD-TA programs:
    a. Training. When conducting training sessions as part of its CD-TA 
activities, CD-TA providers are required to:
    (1) Design the course materials as ``step-in'' packages so that HUD 
or other CD-TA providers may independently conduct the course on their 
own;
    (2) 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;
    (3) Provide all course materials in an electronic format that will 
permit wide distribution among TA providers, field offices, and HUD 
grantees;
    (4) Arrange for joint delivery of the training with multiple 
providers at the same time and/or location with HUD participation when 
requested by the GTR;
    (5) Deliver HUD-approved training courses that have been designed 
and developed by others on a ``step-in'' basis when requested; and
    (6) Send trainers to approved ``train-the-trainers'' sessions. The 
costs associated with attending these required sessions are eligible 
under the cooperative agreement.
    b. Local Training. The development of new training courses using 
local TA funds is prohibited. Local TA providers, when conducting 
training sessions as part of the CD-TA program, are required to:
    (1) Arrange for joint delivery of the training with HUD 
participation when requested by the GTR;
    (2) Deliver only HUD-approved training courses that have been 
designed and developed by national TA providers or other qualified 
experts on a ``step-in'' basis when requested; and
    (3) Send trainers to approved ``train-the-trainers'' sessions. The 
cost associated with attending these required sessions will be eligible 
TA costs under the cooperative agreement executed

[[Page 27042]]

with HUD and will not be the burden of the TA provider.
    c. National Training: To ensure that CD-TA funds are used 
efficiently and that new training courses are not duplicative of 
existing materials, only national TA providers are allowed to develop 
new training courses. National TA providers, when developing new 
training courses or conducting training sessions as part of the CD-TA 
program, are required to:
    (1) Design new course materials as ``step-in'' packages so that HUD 
and other CD-TA providers may independently conduct the course;
    (2) Make the course material available to the GTR/GTM in sufficient 
time for review and receive concurrence from the GTR on the content and 
quality of the material prior to establishing a course delivery date;
    (3) Provide all course materials in an electronic format to HUD;
    (4) Arrange for joint delivery of the training with HUD 
participation when requested by the GTR; and
    (5) Send trainers to approved ``train-the-trainers'' sessions. The 
cost associated with attending these required sessions will be eligible 
TA costs under the cooperative agreement executed with HUD and will not 
be the burden of the TA provider.
    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. Affirmatively Furthering Fair Housing (AFFH). The requirements 
to Affirmatively Further Fair Housing (AFFH) and the requirements of 
Section 3 of the Housing and Urban Development Act of 1968 (section 3) 
do not apply pursuant to funding under this NOFA. This does not affect 
recipients' responsibilities to affirmatively further fair housing or 
provide employment, contracting, or training opportunities pursuant to 
Section 3 that may exist by virtue of the receipt of other HUD funding 
that retains those requirements.
    e. Environmental review. Most activities under the CD-TA program 
are categorically excluded and not subject to environmental review 
under 24 CFR 50.19(b)(9) or (13), but in the case of CHDO (HOME) TA 
eligible activities, a proposal for payment of rent as part of CHDO 
operational costs will be subject to environmental review by HUD under 
24 CFR part 50. If an applicant proposes to assist CHDO operating 
expenses that include rent, the application constitutes an assurance 
that the applicant and CHDO will assist HUD to comply with 24 CFR part 
50; will supply HUD with all available and relevant information to 
perform an environmental review for the proposed property to be rented; 
will carry out mitigating measures required by HUD or select an 
alternate property; and will not lease or rent, construct, 
rehabilitate, convert or repair the property, or commit or expend HUD 
or non-HUD funds for these activities on the property to be rented, 
until HUD has completed an environmental review to the extent required 
by 24 CFR part 50. The results of the environmental review may require 
that the proposed property be rejected.

IV. Application and Submission Information

    A. Addresses To Request Application Package. 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. Applicants must 
submit a separate and distinct application for each of the different 
program areas (i.e., HOME, CHDO (HOME), Homeless, HOPWA and CDBG) for 
which they are applying. For applicants that are applying for both 
national and local TA for the HOME, CHDO and/or Homeless programs, you 
may limit your submission to two separate applications for each program 
area (one for national TA and one for local TA), provided you meet the 
following: (1) The local TA application must identify all field office 
jurisdictions that you elect to apply in; (2) the application content 
for each local jurisdiction must be identical; and (3) the dollar 
amount of TA requested for each jurisdiction is clearly notated.
    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. HUD requires TA providers applying for 
assistance under this NOFA to apply electronically through grants.gov. 
An applicant may submit a written request to waive the electronic 
submission requirement. Should HUD grant a waiver of the electronic 
submission requirement, the waiver approval letter will note the number 
of paper copies the applicant must submit to HUD.
    2. Page Limitation and Font Size. Narratives addressing Factors 1-4 
must be formatted so that the total number of pages submitted are equal 
to no more than 25 single sided pages of text based on an 8.5 by 11 
inch paper, using a standard 12 point font. Reviewers will not review 
more than 25 pages for all the factors combined. The one page funding 
and capacity summary and the list of references for new applicants are 
not included in the 25 page limit.
    3. Prohibition on Materials Not Required. Materials other than what 
is requested in this NOFA are prohibited. Reviewers will not consider 
resumes, charts, letters, or any other documents attached to the 
application.
    4. Checklist for Application Submission. Applicants submitting 
electronic copies should follow the procedures in 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 http://www.grants.gov/applicants/apply_for_grants.jsphttps://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, HOME Local, 
CHDO (HOME) National, CHDO Local, Homeless National, Homeless Local, 
HOPWA National, or CDBG National, (b) the amount of funds requested; 
and (c) for Local TA, a table showing the jurisdiction(s) proposed in 
the application and the amount of funds requested for each 
jurisdiction.
     Narrative addressing Factors 1-4 and a one-page summary 
highlighting the specific types of eligible TA activities the applicant 
has the capacity to undertake, and the funding amount requested for 
each CD-TA program by national or local jurisdiction for which the 
applicant is applying. (See Section V. Application Review Information.)

[[Page 27043]]

     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 
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov) (see 
General Section).
     SF-424, Supplement, Survey on Equal Opportunity for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov) (to 
be completed by private nonprofit organizations only).
     Form HUD-2994-A (You Are Our Client! Grant Applicant 
Survey, Optional).
     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 be able to match faxes to an application if the application does 
not contain the HUD-96011 fax cover page, and each fax submitted does 
not use the HUD-96011 as the cover page to the facsimile transmission.
    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. The validation process 
can take 24-48 hours following receipt of the application by 
Grants.gov. Applicants are advised to submit the application 72 hours 
prior to the deadline date so that if the application is rejected by 
Grants.gov, the applicant has enough time to correct the noted problem 
and resubmit the application in time to meet the deadline requirements. 
(See General Section for further information on the Grants.gov 
validation process.)
    HUD has found that the most common error made by grantees which 
causes their application to fail validation is that the applicant ID 
and password does not match the DUNS number under which they are 
applying, or the applicant is not authorized by the organization to 
submit the application on behalf of the organization. Please make sure 
when submitting your application that you are using the correct DUNS 
number, User ID and password, that you have registered at Grants.gov 
under that DUNS number and USER ID and password, and that you have been 
authorized by the organization to submit the application on behalf of 
the applicant. To check your registration status, follow the directions 
provided in the General Section.
    D. Intergovernmental Review. Intergovernmental review is not 
applicable to CD-TA applications.
    E. Other Submission Requirements. The General Section describes 
application submission procedures and how applicants may obtain proof 
of timely submission.
    1. Waiver of Electronic Submission Requirements. Applicants 
interested in applying for funding under this NOFA must submit their 
applications electronically via Grants.gov or request a waiver from the 
Community Development Technical Assistance program. 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 [email protected]. HUD only 
provides waivers for cause under the waiver provisions of 24 CFR 5.110. 
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. Capacity and Funding Summary. All CD-TA applicants are required 
to submit a one-page capacity and funding summary for each CD-TA 
application submitted. Although the capacity and funding summary will 
not be rated based on the factors listed in Section V, Subpart B. 
below, the summary is a submission requirement for the CD-TA program. 
HUD will use the summary to determine the national or field office area 
for which the applicant is applying; the types of TA activities the 
applicant is willing to undertake based on staff skill and experience; 
and given the organizational capacity of the applicant, a funding 
amount the applicant can reasonably expect to expend within the 
requirements and timeframes of the CD-TA program.
    The summary must include:
    1. A list of the eligible TA activities the applicant is prepared 
to undertake, based on the applicant's organizational capacity and 
staff skills. See Section III C, 2 Eligible TA Activities for a list of 
eligible national and local TA activities.
    2. A funding estimate, by national and/or field office 
jurisdiction, that the applicant believes it can reasonably expend 
within the three-year performance period based on organizational 
capacity and the eligible TA activities the applicant is prepared to 
undertake.
    B. 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 35 points on Factor 1. 
The CD-TA program is not subject to bonus points, as described in the 
General Section.
    Points are assigned on four factors. Applicants should review the 
factors carefully as the criteria have changed significantly from prior 
years' requirements. When addressing the four factors, applicants 
should discuss the relevant successful experience of both their 
organization as a whole, and the individual staff and dedicated 
contractors who may work under the award if the application is funded. 
Applicants should also address the overall management of the award 
including policies and procedures for ensuring that all CD-TA program 
requirements are met and quality products are developed and delivered. 
Please note that Factor 2--Need--as identified in the General Section 
does not apply under the CD-TA program.
Rating Factor 1: Applicant's Capacity and Relevant Experience (50 
points) (Minimum for Funding Eligibility is 35 points)
    a. (25 points) Recent experience. For new applicants or applicants 
funded in the past that do not have an open HUD CD-TA award: Provide 
examples of recent experience (within the past 18 months) managing 
technical assistance awards similar to the programs covered under the 
CD-TA NOFA within a client-driven environment. Examples should include 
a discussion of the tasks undertaken, individuals served, training 
skills and related CD-TA program knowledge required to complete the 
tasks, and measurable results achieved. All new applicants must also 
include at least two references for recent, technical assistance work 
similar to the programs covered under the CD-TA NOFA and undertaken by 
the applicant. References should only include a contact name, address, 
phone number and e-mail address in order for HUD to verify the 
information.
    For current CD-TA providers: Provide examples of recent experience 
(within the past 18 months) managing existing

[[Page 27044]]

CD-TA award programs within the demand-response system. Examples should 
include a discussion of the specific TA tasks undertaken, program 
beneficiaries served, program topics addressed, and quantifiable 
outcomes achieved. Current CD-TA providers should also note any 
outstanding performance issues under open CD-TA awards, and the steps 
the TA provider is taking to address these issues. HUD will rely on 
existing CD-TA file documentation when evaluating this factor.
    HUD will evaluate this factor based upon the breadth and accuracy 
of the applicant's program knowledge, ability to provide and deliver 
technically accurate TA, compliance with cooperative agreement 
provisions, financial and performance reporting requirements, 
timeliness of drawdown of funds and close-out of expired grants. 
Customer feedback from CPD program offices will also be used to judge 
an applicant's performance and effectiveness.
    b. (25 points) Organizational capacity. In narrative form, describe 
the technical assistance skills and related CD-TA program knowledge of 
your organization's key staff and, based on the organization's 
capacity, identify the types of TA activities the applicant is prepared 
to undertake and how this will further the TA priorities of the 
programs for which you are seeking funding. To the extent that the 
applicant addresses the HUD policy priority(s) noted in the General 
Section for each program in this NOFA, the applicant will receive a 
minimum of one point of the 25 points available for this subfactor.
    Key staff is defined as all in-house staff and hired consultants 
who will be developing technical assistance products and/or delivering 
training courses, conferences, or direct TA. Applicants should include 
specific examples of each key staff member's TA skills and areas of 
expertise. For all HOME and CHDO (HOME) TA providers, identify the key 
staff who have passed, with a score of 80 or higher, the HOME Program 
Certification Regulations course. Applicants should refer to Section 
III C.2 for a complete list of the eligible TA activities applicants 
may undertake with national or local CD-TA funds. The applicant's 
description of staff capacity should clearly support the specific types 
of TA activities the applicant is willing and able to undertake with 
CD-TA funds. In rating this subfactor, HUD will evaluate each key staff 
member's program knowledge, and TA skills. FOR HOME and CHDO (HOME) TA 
providers, HUD will measure an organization's HOME program knowledge, 
in part, by the number of key staff identified in the application who 
have passed the HOME Program Certified Specialist-Regulations exam. Up 
to 10 points is available under this subfactor for organizations 
demonstrating a sufficient number of HOME Program Certified staff to 
carry out a demand-response program of activities. Applicants for local 
HOME and CHDO (HOME) TA must have at least one staff person who is 
``HOME certified'' to receive any points on this portion of the 
subfactor; applicants for national HOME and CHDO (HOME) TA must have at 
least two staff people who are ``HOME certified'' to receive any 
points. For local and national HOME and CHDO (HOME) TA only, points for 
this portion of the subfactor will be awarded as follows:

------------------------------------------------------------------------
                                     National TA applicants
 Local TA applicants number of HOME  number of HOME program     Points
      program certified staff            certified staff
------------------------------------------------------------------------
1..................................  2.....................            4
2..................................  3-4...................            6
3..................................  5-6...................            8
4 or more..........................  7 or more.............           10
------------------------------------------------------------------------

    HUD will also compare the specific types of TA activities the 
applicant is willing to undertake in relation to stated staff capacity. 
Staff program knowledge and TA skills should clearly support the 
possible TA activities the applicant may undertake.
Rating Factor 2: Soundness of Approach (35 points)
    a. (5 points) Key management staff. The successful administration 
and management of a technical assistance award is key to: (1) The 
timeliness of delivery of required technical assistance; (2) the sound 
financial management of the project; and (3) the appropriate 
prioritization of multiple technical assistance needs. In evaluating 
the soundness of approach under this rating factor, HUD will consider 
the breadth of key management staff experience administering multiple, 
complex tasks within the demand-response system, or a similar client-
driven environment. Applicants should clearly demonstrate recent 
experience managing and coordinating financial resources, and 
administrative, training, and consultant staff among complex and varied 
technical assistance tasks. HUD will also evaluate the roles and 
responsibilities key management staff would assume under a CD-TA award 
in light of each individual's recent experience.
    Identify the key staff responsible for the overall management and 
administration of the CD-TA award. Key management staff is defined as 
any individual who will have decision-making authority related to the 
financial or task management, performance reporting, or overall 
coordination of the award. The applicant must identify key management 
staff, including their individual roles and responsibilities, as well 
as their recent experience (within the past 18 months), managing people 
and tasks within the demand-response system or a similar client-driven 
environment. Please do not include the Social Security Numbers (SSN) of 
any staff members.
    b. (20 points) Procedures. Present detailed, practical policies and 
procedures for managing multiple, large and/or complex technical 
assistance awards in multiple jurisdictions. The policies and 
procedures must discuss how the applicant will manage TA activities 
within the specific structure of the demand-response system, including 
processes for fielding TA needs from HUD; assigning appropriate skilled 
and knowledgeable staff to develop or provide the TA; prioritizing and 
managing multiple TA needs, to multiple entities, in multiple 
jurisdictions; providing feedback to HUD on TA progress and outcomes; 
and addressing and effectively resolving any delays encountered. In 
rating this factor, HUD will consider the level of detail and 
efficiency of the applicant's proposed processes for fielding and 
prioritizing multiple TA needs, allocating limited CD-TA financial 
resources among multiple TA tasks, and coordinating and assigning 
skilled in-house and consultant staff to address multiple TA needs, to 
multiple entities in multiple jurisdictions. HUD will also evaluate the 
suitability of the applicant's proposed policies and procedures within 
the specific structure of the demand-response system.
    c. (10 points) Quality control. Present a detailed plan for 
ensuring that all TA products developed or delivered under the CD-TA 
program are of the highest quality. Applicants should present a 
detailed plan for ensuring that all TA activities are eligible, 
accurate program guidance is provided, correct beneficiaries are 
served, and positive outcomes are achieved. The applicant should also 
present a detailed plan for addressing and remediating any eligibility 
or product quality issues that may arise. In rating this factor, HUD 
will review the applicant's quality control procedures for thoroughness 
and efficiency, and the likelihood that such procedures will ensure 
that positive

[[Page 27045]]

outcomes are achieved. Applicants should clearly describe established 
policies and procedures for ensuring the eligibility, accuracy, and 
quality of all aspects of TA development and delivery. The applicant 
should also present a detailed remediation plan should any eligibility 
or quality issues arise.
Rating Factor 3: Leveraging Resources (5 points)
    Present an effective, practical plan for transferring products 
developed through the CD-TA program, including manuals, guides, 
assessment forms, and other work products, to other TA providers and 
program beneficiaries. The applicant's plan should address the re-use 
of existing ``step-in'' packages and how it will share its resources 
with a wide audience, avoiding the cost and time in creating new 
products, so that the duplication of TA products does not occur. In 
rating this factor, HUD will evaluate the extent to which the 
application demonstrates a practical and effective means of sharing TA 
resources with a wide audience, including other TA providers and 
program beneficiaries.
Rating Factor 4: Achieving Results and Program Evaluation (10 points)
    For each program priority, the applicant must identify at least two 
quantifiable outcomes. For a complete list of TA priorities by program 
area refer to Section III, Subpart C., Eligible Activities and 
Priorities. For each of the eligible TA activities an applicant may 
undertake (i.e., development of written and electronic products, 
training delivery, direct TA), describe the general methods and 
measures the applicant will use to evaluate the effectiveness of the 
TA. While the specific TA topics to be addressed by successful 
applicants will be identified post-award through the demand-response 
system, HUD has identified the broad eligible activities that encompass 
technical assistance. The applicant must present a clear plan for 
evaluating the effectiveness of each of the possible TA activities the 
applicant may be asked to undertake and deliver. For a complete list of 
eligible national and field office TA activities under the CD-TA 
program, refer to Section III C.2., Description of National and Local 
TA.
    Note that although not a submission requirement under this year's 
CD-TA NOFA, successful applicants will be required to submit a 
completed Logic Model. Though not part of the rating factors, the logic 
model submitted after selection and under the guidance of the GTR will 
be evaluated for completeness and consistency based upon the matrix in 
the General Section. HUD reserves the right to request modifications to 
the Logic Model submissions and require the TA providers to update the 
Logic Model, based on activities carried out under the demand-response 
system. In rating this factor, HUD will evaluate whether the outcomes 
identified by the applicant are both measurable and appropriately 
related to each program priority. HUD will also assess whether the TA 
evaluation methods described by the applicant will thoroughly and 
accurately measure the effectiveness of each eligible TA activity 
identified.
C. 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 35+ 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 (HOME) technical assistance 
activities;
    (4) One for CDBG 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. Funding Decisions. In determining the amount awarded to each 
successful applicant, HUD will take into consideration the funds 
available for the CD-TA program and local or national area the 
applicant wishes to serve; the number of successful CD-TA applicants 
for that area and program; the applicant's current organizational 
capacity as presented in the application, including the number of 
qualified, experienced TA staff and consultants; the final score 
assigned to the application by HUD reviewers; and for current or past 
CD-TA providers, the applicant's performance under existing or past CD-
TA awards.
    HUD has established a $200,000 minimum funding amount for 
successful national CD-TA applicants. For successful field office 
applicants, HUD has established a $50,000 award minimum under both the 
HOME and CHDO (HOME) TA programs, and a $15,000 award minimum for 
successful Homeless TA program applicants. All HOME and CHDO (HOME) 
awards are subject to the funding restrictions identified in Section 
V.B.5 which in some cases may result in a funding award below the 
established minimum.
    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.
    5. 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 
$12.5 million appropriated for HOME and CHDO (HOME) TA in FY2008. This

[[Page 27046]]

limitation as applied in this competition is subject to change by 
pending legislative action.
    Not less than 40 percent of the approximately $8.5 million 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.
    Salary rates for consultants/contractors may not exceed the base 
rate of pay of Senior Executive Staff (see the General Section).

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, staffing plan, and 
completed Logic Model 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 not recorded on 
the HUD Web site at http://www.hud.gov/offices/adm/grants/codeofconduct/cconduct.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.
    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 actual outputs and outcomes achieved and a narrative 
explanation of deviations from projected results to actual results 
achieved. Deviations can be both positive and negative deviations.

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 http://www.hud.gov.
    B. List of Field Office Addresses. Applicants that receive a waiver 
of the electronic application submission requirements and need to 
submit copies of their application to HUD field offices should consult 
the following 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 27047]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.003


[[Page 27048]]



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-
5200-N-12. 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 July 11, 2008. Please see 
Section IV of this NOFA for application submission and timely receipt 
requirements. Applicants should also read the General Section, 
published March 19, 2008 (73 FR 14882), for additional information 
regarding the electronic application submission and receipt 
requirements.
    G. Additional Information:
    1. Applicants for funding should carefully review the requirements 
described 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 2008 is $62 million less $3.96 million retained 
to fund Imminent Threat Grants, for a total of $58.04 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.
    4. Only one ICDBG application may be submitted for each area within 
the jurisdiction of an entity eligible under 24 CFR part 1003. An 
application may include more than one project, but it cannot exceed the 
grant ceilings listed in Section II.

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.
    1. Single Purpose Grants. 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:
    a. Area Benefit Activities
    b. Limited Clientele Activities
    c. Housing Activities
    d. 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.
    2. Imminent Threat Grants. 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. The grants 
provide a solution to problems of an urgent nature that were not 
evident at the time of the ICDBG single-purpose funding grant cycle or 
require immediate action.
    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:
    a. 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;
    b. 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;
    c. The threat must affect or impact an entire service area and not 
solely an individual family or household; and
    d. It must be established that funds are not available from other 
tribal 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 unobligated 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. 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.

[[Page 27049]]

    4. Firm Commitment. 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.
    5. Homeownership Assistance Programs. Tribes may apply for 
assistance to provide direct homeownership assistance to low- and 
moderate-income households to: (a) Subsidize interest rates and 
mortgage principal amounts for low- and moderate-income homebuyers; (b) 
finance the acquisition by low- and moderate-income homebuyers of 
housing that is occupied by the homebuyers; (c) acquire guarantees for 
mortgage financing obtained by low- and moderate-income homebuyers from 
private lenders (except that ICDBG funds may not be used to guarantee 
such mortgage financing directly, and grantees may not provide such 
guarantees directly); (d) provide up to 50 percent of any down payment 
required from a low- and moderate-income homebuyer; or (e) pay 
reasonable closing costs (normally associated with the purchase of a 
home) incurred by a low- or moderate-income homebuyer.
    6. Leveraged Resources. Leveraged resources are resources that you 
will use in conjunction with ICDBG funds to achieve the objectives of 
the project. Leveraged resources include, but are not limited to: 
Tribal trust funds, loans from individuals or organizations, business 
investments, private foundations, state or federal loans or guarantees, 
other grants, and non-cash contributions and donated services. (See 
Rating Factor 4 for documentation requirements for leveraged 
resources.)
    7. Microenterprise Programs. Tribes may apply for assistance to 
operate programs to fund the development, expansion, and stabilization 
of microenterprises. Microenterprises are defined as commercial 
entities with five or fewer employees, including the owner. 
Microenterprise program activities may entail the following assistance 
to eligible businesses: (a) Providing credit, including, but not 
limited to, grants, loans, loan guarantees, and other forms of 
financial support for the establishment, stabilization, and expansion 
of microenterprises; (b) providing technical assistance, advice, and 
business support services to owners of microenterprises and persons 
developing microenterprises; and (c) providing general support, 
including, but not limited to, peer support programs, counseling, child 
care, transportation, and other similar services to owners of 
microenterprises and persons developing microenterprises.
    8. New Applicant. An applicant that has either never applied for an 
ICDBG or an applicant whose prior grants have either been closed or 
closed subject to audit for more than two years prior to the 
application deadline date.
    9. Operations and Maintenance (O&M) for Public Facilities and 
Improvements. There are items of expense related to the operation of 
the physical plant that must be addressed in an O&M plan if the tribe 
assumes responsibility or if an entity other than the tribe will assume 
these responsibilities. Although the tribe or other entity does not 
have to submit the O&M plan with the application, it must provide a 
written statement that the tribe has adopted (or the entity has 
developed) 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).
    10. 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.
    11. 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.
    12. Project Cost. The total cost to implement the project. Project 
costs may be covered by both ICDBG and non-ICDBG funds and resources.
    13. Standard Housing/Standard Condition. Housing that meets the 
housing quality standards (HQS) adopted by the applicant. The HQS 
adopted by the applicant must be at least as stringent as the Section 8 
HQS contained in 24 CFR 982.401 (Section 8 Tenant-Based Assistance: 
Housing Choice Voucher program) unless the ONAPs approve less stringent 
standards based on a determination that local conditions make the use 
of Section 8 HQS infeasible. 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) adequate space and 
privacy for all intended household members.
    14. 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.
    15. 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 2008 appropriation for the 
ICDBG program is $62 million, less $3.96 million retained to fund 
Imminent Threat Grants, for a total of $58.04 million. 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 FY2008 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 FY2008 is $450,000 ($900,000 
for Presidentially-declared disasters). This ceiling has been 
established pursuant to the provisions of 24 CFR 1003.400(c).

[[Page 27050]]

    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 $62 million less $3.96 million for imminent threat grants, the 
allocations for FY 2008 are approximately as follows:

Eastern/Woodlands: $6,605,812
Southern Plains: $12,436,112
Northern Plains: $8,281,588
Southwest: $21,552,470
Northwest: $2,990,960
Alaska: $6,173,058
Imminent Threats $3,960,000
Total $62,000,000

    C. Grant Ceilings. The authority to establish grant ceilings is 
found at 24 CFR 1003.100(b)(1). Grant ceilings are established for FY 
2008 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.
    D. 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: $75,000

E. Compliance With Regulations, Guidelines, and Requirements
    1. 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.
    2. By accepting a grant, 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 2.

    F. Period of Performance. The period of performance for any grant 
awarded under this NOFA must be included in the Implementation 
Schedule, form HUD-4125, 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 April 4, 2008, the BIA published a Federal Register notice 
entitled, ``Indian Entities Recognized and Eligible to Receive Services 
From the United States Bureau of Indian Affairs'' (73 FR 18553). 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.)
    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-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.

[[Page 27051]]

    b. Compliance with Fair Housing and Civil Rights Laws. Applicants 
and subrecipients that are not federally recognized Indian tribes or 
their instrumentalities are subject to the Civil Rights threshold 
requirements found in the General Section. Federally recognized Indian 
tribes and their instrumentalities are subject to the requirements of: 
Title II of the Civil Rights Act of 1964, known as the Indian Civil 
Rights Act; Section 109 prohibitions against discrimination based on 
age, sex, religion and disability; the Age Discrimination Act of 1975; 
and Section 504 of the Rehabilitation Act of 1973. To be eligible to 
apply, there must be no outstanding violations of these civil rights 
provisions at the time of application.
    3. 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(b), you must have a current, 
in effect, tribal resolution adopting and identifying construction 
standards.
    3. In accordance with 24 CFR 1003.302(b), you must also include in 
your application documentation affirming the following:
    (a) No other housing is available in the immediate reservation area 
that is suitable for the households to be assisted;
    (b) No other sources, including Indian Housing Block Grants (IHBG), 
can meet the needs of the household(s) to be served; and
    (c) Rehabilitation of the unit occupied by the household(s) to be 
assisted is not economically feasible;
    (d) The household(s) to be housed is currently in an overcrowded 
house (more than one household per house); or
    (e) The household to be assisted has no current residence.
    c. Economic Development Project Thresholds. In accordance with 24 
CFR 1003.302(c), 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 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. Land Acquisition to Support New Housing, Homeownership 
Assistance, Public Facilities and Improvements, and Microenterprise 
Projects. There are no project specific thresholds for these 
activities.
    4. Public Services. 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(e).
    5. Eligible Activities. A complete description of activities that 
are eligible for ICDBG funding is identified at 24 CFR part 1003, 
subpart C. 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.
    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.

[[Page 27052]]

    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, facilities funded by ICDBG or used in the 
administration of ICDBG funded projects or activities must be 
accessible to persons with disabilities in accordance with Section 504 
of the Rehabilitation Act and HUD's regulations at 24 CFR Part 8. 
Applicants should be aware of the accessibility needs of the persons 
they intend to serve in ICDBG funded projects and activities, and 
address these needs in appropriate accessible design features or 
program modifications to ensure that otherwise qualified persons with 
disabilities may benefit from them. 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.
    m. Mold. 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.
    n. Public Services. Public services are those which are directed 
toward improving the community's public services and facilities, 
including but not limited to those concerned with employment, crime 
prevention, child care, health, drug abuse, education, fair housing 
counseling, energy conservation, welfare, homebuyer downpayment 
assistance or recreational needs. Also see Section III.C.4. above and 
24 CFR 1003.201(e).
    6. Ineligible Activities. In general, any activity that is not 
authorized under the provisions of 24 CFR 1003.201 through 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.
    h. Job Pirating. 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.

[[Page 27053]]

IV. Application and Submission Information

    A. Addresses to Request Application Package. Copies of this 
published NOFA and all 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 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) or 800-HUD-8339 (TTY) between 
the hours of 10 a.m. and 6:30 p.m. (Eastern Time) Monday through 
Friday, except on federal holidays. When requesting information, please 
refer to the name of the program you are interested in. The NOFA 
Information Center opens for business simultaneously with the 
publication of the SuperNOFA. You can also obtain information on this 
NOFA from HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
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 in this ICDBG 
NOFA. Before preparing an application, applicants should carefully 
review the program description, ineligible activities, program and 
threshold requirements, and the General Section. Applicants should also 
review each rating factor listed in Section V 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. It 
is recommended that you limit your narrative explanations to 15 pages 
for all factors and provide the necessary data such as a market 
analysis, a pro forma, housing survey data, etc., that support the 
response. 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 (see section IV.F. below) 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. 
Include all material relevant 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 number 2 below.
    2. Content of Application, Forms, and Required Elements. The 
applicant must submit all of the forms required in this section, along 
with other data listed below.
    a. Narrative to all five of the rating factors listed in Section 
V.A. of this NOFA;
    b. Application for Federal Assistance (SF-424);
    c. SF-424 SUPP, Supplement Survey on Ensuring Equal Opportunity for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
    d. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov);
    e. 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.)
    f. If the application is being 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. You must submit 
the resolution by attaching it as a file to your electronic application 
submission, or sending it via facsimile transmittal.
    g. A schedule for implementing the project (form HUD-4125, 
Implementation Schedule);
    h. Cost information for each separate project, including specific 
activity costs, administration, planning, technical assistance and 
total HUD share (Form HUD-4123, Cost Summary). Planning and 
administrative costs cannot exceed 20 percent of the grant. The 
following criteria apply to planning and administrative costs:
    (1) Planning and administrative activities may be funded only in 
conjunction with a physical development activity.
    (2) 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.
    (3) Do not include project costs (i.e., architectural/engineering, 
environmental, technical assistance, staff/overhead costs) directly 
related to the project.
    (4) Indirect costs may be charged to the ICDBG program under a cost 
sharing plan prepared in accordance with OMB Circular A-21, A-87, or A-
122 as applicable;
    i. Evidence in the form of a Tribal resolution that the applicant 
has met the citizen participation requirements of 24 CFR 1003.604(a) 
and considered any comments and made any necessary modifications to the 
application;
    j. A map showing project location, if appropriate;
    k. Low- and Moderate-Income Benefit. Your application must contain 
information that indicates at least 70 percent of the grant funds will 
be used for activities that benefit low- and moderate-income persons, 
in accordance with the requirements of 24 CFR 1003.208.
    l. Demographic Data. If applicable, demographic information that 
complies with the requirements in 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 survey form, an explanation of the methods used to 
collect the data, and a listing of incomes by household including 
household size;
    m. Project-Specific Thresholds. Applicants must respond to project-
specific thresholds outlined in Section III.C.3, as applicable.
    n. Commitment to Housing for Land Acquisition to Support New 
Housing Projects. For land acquisition to support

[[Page 27054]]

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;
    o. Health Care Facilities. If you propose a facility that would 
provide health care services funded by the Indian Health Service (IHS), 
you must provide a statement that the facility will meet 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;
    p. Correctional Facilities/Juvenile Detention Centers. If you 
propose a correctional facility or juvenile detention center that would 
provide correctional services to be funded by the U.S. Department of 
Justice (DOJ) and/or Bureau of Indian Affairs (BIA), you must provide a 
statement that the facility meets all applicable BIA standards 
regarding correctional operations, programs and designs;
    q. Optional submissions are:
    (1) You Are Our Client! Grant Applicant Survey (HUD 2994-A) 
(Optional); and
    (2) Program Outcome Logic Model, HUD-96010. See Rating Factor V for 
additional information.
C. Submission Dates and Times
    1. Application Submission Deadline. The application deadline date 
is July 11, 2008. 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 P.M. 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. 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.
    2. Mailing and Receipt Procedures. Applicants granted a waiver of 
the electronic submission requirement will receive specific mailing 
instructions, including the number of copies to be submitted, with 
approval of the waiver. 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. See 24 CFR part 5.
    3. 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
    See Section III.C.6.
F. Other Submission Requirements
    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 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. 
Applicants granted a waiver of the electronic submission requirement 
will receive specific mailing instructions, including the number of 
copies to be submitted, with approval of the waiver. 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. See 24 CFR part 5.

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 15 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            Title           Points        Project type
------------------------------------------------------------------------
1....................  CAPACITY OF THE   30............  Minimum of 15
                        APPLICANT.                        Points
                                                          Required.
    1................  Managerial,       15 or 30*.....
                        Technical and
                        Administrative
                        Capacity.
        1.a..........  Managerial and    8.............  All Project
                        Technical Staff.                  Types.
        1.b..........  Project           3 or 8*.......  All Project
                        Implementation                    Types.
                        Plan.
        1.c..........  Financial         2 or 7*.......  All Project
                        Management.                       Types.
        1.d..........  Procurement and   2 or 7*.......  All Project
                        Contract                          Types.
                        Management.

[[Page 27055]]

 
    2................  Past Performance  15 or 0*......
        2.a..........  Implementation    3 or 0*.......  All Project
                        Schedule.                         Types.
        2.b..........  Reports.........  3 or 0*.......  All Project
                                                          Types.
        2.c..........  Close-outs......  3 or 0*.......  All Project
                                                          Types.
        2.d..........  Audits..........  3 or 0*.......  All Project
                                                          Types.
        2.e..........  Findings........  3 or 0*.......  All Project
                                                          Types.
2....................  NEED/EXTENT OF    16............
                        THE PROBLEM.
    1................  Need and          4.............  All Project
                        Viability.                        Types.
    2................  Project Benefit.  12............  All Project
                                                          Types.
        2.a..........  Public            12............  Public
                        Facilities and                    Facilities and
                        Improvement                       Improvement
                        Projects.                         Projects
        2.b..........  Economic          12............  Economic
                        Development                       Development
                        Projects.                         Projects.
        2.c..........  New Housing       12............  New Housing
                        Construction,                     Construction,
                        Housing                           Housing
                        Rehabilitation,.                  Rehabilitation
                                                          , Land
                                                          Acquisition to
                                                          Support.
        2.d..........  Microenterprise   12............  Microenterprise
                        Programs.                         Programs.
3....................  SOUNDNESS OF      36............
                        APPROACH.
    1................  Description of    13............  All Project
                        and Rationale                     Types.
                        for Proposed.
    2................  Budget and Cost   8.............  All Project
                        Estimates.                        Types.
    3................  HUD Policy        1.............  All Project
                        Priorities.                       Types.
    4................  Intent to Meet    2.............  All Project
                        Section 3                         Types.
                        Requirements.
    5................  Commitment to     12............
                        Sustain
                        Activities.
        5.a..........  Public            12............  Public
                        Facilities and                    Facilities and
                        Improvement                       Improvements.
                        Projects.
        5.b..........  New Housing       12............  New Housing
                        Construction,                     Construction,
                        Housing                           Housing
                        Rehabilitation,                   Rehabilitation
                        and.                              , and
                                                          Homeownership
                                                          Assistance.
        5.c..........  Economic          12............  Economic
                        Development                       Development
                        Projects.                         Projects.
        5.d..........  Microenterprise   12............  Microenterprise
                        Programs.                         Programs.
        5.e..........  Land Acquisition  12............  Land
                        Projects to                       Acquisition to
                        Support New                       Support New
                        Housing.                          Housing.
4....................  LEVERAGING        8.............  All Project
                        RESOURCES.                        Types.
5....................  COMPREHENSIVENES  10............  All Project
                        S AND                             Types.
                        COORDINATION.
    1................  Coordination....  2.............  All Project
                                                          Types.
    2................  Outputs,          8.............  All Project
                        Outcomes and/or                   Types.
                        Goals.
                      --------------------------------------------------
        TOTAL........  ................  100...........  Minimum of 70
                                                          Points
                                                          Required.
------------------------------------------------------------------------
*The first number listed indicates the maximum number of points
  available to current ICDBG grantees under this subfactor. The second
  number indicates the maximum number of points available to new
  applicants.

Rating Factor 1: Capacity of the Applicant (30 points)
    This factor addresses the extent to which you have the 
organizational resources necessary to successfully implement the 
proposed activities in accordance with your implementation schedule. If 
applicable, past performance in administering previous ICDBG grants 
will be taken into consideration. You must address the existence or 
availability of these resources for the specific type of activity for 
which you are applying. To be eligible for funding you must receive a 
minimum of 15 points under this factor for your proposed activity. HUD 
will not rate any projects further that do not receive a minimum of 15 
points under this factor. If you are funded, your progress will be 
measured against your Implementation Schedule and/or the Logic Model, 
form HUD-96010.
    1. Managerial, Technical, and Administrative Capability. (15 points 
for current ICDBG grantees and 30 points for new applicants). 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. Managerial and Technical Staff (8 Points)
    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 and relevant the experience of your staff members who will 
work on the project, the greater the number of points you will receive 
for this rating factor. Please do not include the Social Security 
Numbers (SSN) of any staff members.
    (8 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).
    (4 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

[[Page 27056]]

projects for which funding is being requested. However, one of the 
following applies: Staff experience as described in the application is 
not recent (within 5 years), is not relevant (pertains to the specific 
activities being proposed or the specific roles and responsibilities 
described in the application), or is not successful (produced 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. Project Implementation Plan (3 Points for Current ICDBG Grantees and 
8 Points for new Applicants)
    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.
    (3 points for current ICDBG grantees and 8 points for new 
applicants). The applicant submitted a project implementation plan that 
clearly specifies tasks and timelines.
    (2 points for current ICDBG grantees and 5 points for new 
applicants). The applicant submitted a project implementation plan that 
did not specify both tasks and timelines.
    (0 points for current ICDBG grantees or new applicants). The 
applicant did not submit a project implementation schedule that 
addressed all tasks and timelines.
c. Financial Management (2 Points for Current ICDBG Grantees and 7 
Points for New Applicants)
    This subfactor evaluates the extent to which your application 
describes how your financial management systems meet the requirements 
of 24 CFR part 85 and 24 CFR part 1003. 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 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 deadline 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.
    (2 points for current ICDBG grantees and 7 points for new 
applicants). The applicant clearly described how its financial 
management systems meet 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 
IPA stating that its financial management system complies with all 
applicable regulatory requirements.
    (1 points for current ICDBG grantees and 4 points for new 
applicants). The applicant's current audit does not contain any serious 
or significant findings related to its financial management system, or 
if there is no current audit, the applicant submitted a letter from its 
IPA stating that its financial management system complies with all 
applicable regulatory requirements. The applicant did not describe how 
its financial management 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 its financial management system 
meets the requirements of 24 CFR part 85 and 24 CFR part 1003.
    d. Procurement and Contract Management (2 points for current ICDBG 
grantees and 7 points for new applicants). This subfactor evaluates the 
extent to which your application describes how your procurement and 
contract management policies and procedures will meet the requirements 
of 24 CFR part 85 and 24 CFR part 1003. 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 IPA 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 7 points for new 
applicants). The applicant clearly described how its procurement and 
contract management policies and procedures will meet 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 
procurement and contract management system, or if there is no current 
audit, the applicant submitted a letter from its IPA stating that its 
procurement and contract management system complies with all applicable 
regulatory requirements.
    (1 point for current ICDBG grantees and 4 points for new 
applicants). The applicant's current audit does not contain any serious 
or significant findings related to its procurement or contract 
management system, or if there is no current audit, the applicant 
submitted a letter from its IPA stating that its procurement and 
contract management system complies with all applicable regulatory 
requirements. The applicant did not describe how its procurement and 
contract management policies and procedures 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

[[Page 27057]]

applicant did not describe how its procurement and contract management 
policies and procedures will meet the requirements of 24 CFR part 85 
and 24 CFR part 1003.
    2. Past Performance (15 points for current ICDBG grantees and 0 
points for new applicants). 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. Applicants are not required to respond 
to the subfactors related to past performance. HUD will rely on 
information on file.
    a. Implementation Schedule (3 points for current ICDBG grantees and 
0 points for new applicants). The applicant is not more than 90 days 
behind schedule in meeting the time frames established in the HUD-
approved Implementation Schedule for the ICDBG program.
    (1) (3 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. Reports (3 points for current ICDBG grantees and 0 points for 
new 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) (3 points) The applicant has submitted both the ASER and 
Federal Cash Transaction Reports for ICDBG programs within 15 days of 
the report submission deadlines.
    (2) (2 points) The applicant has submitted either the Federal Cash 
Transaction Reports or the ASERs for ICDBG programs within 15 days of 
the report submission deadline.
    (3) (0 points) The applicant has submitted neither of the required 
reports within 15 days of the report submission deadline.
    c. Close-outs. (3 points for current ICDBG grantees and 0 points 
for new applicants). The applicant has 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) (3 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. Audits. (3 points for current ICDBG grantees and 0 points for 
new applicants). The applicant has 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. Applicants who are not required to submit an annual 
audit in accordance with OMB Circular A-133 must state this in their 
application in order to receive points for this subfactor.
    (1) (3 points) The applicant has 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, 
you submitted a copy of the extension approval. If the applicant has 
not been required to submit an audit, it will receive 3 points.
    (2) (0 points) The applicant has 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. Findings (3 points for current ICDBG grantees and 0 points for 
new applicants). The applicant has 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) (3 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 3 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. Need and Viability (up to 4 points) Your application includes 
quantitative information demonstrating that the proposed project meets 
an essential community development need and is critical to the 
viability of the community.
    2. Project Benefit (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.
a. Public Facilities and Improvement Projects (12 Points)
    The proposed activities benefit the neediest segment of the 
population, as identified below. In order to meet the requirements of 
this section, you must submit the most recently available Decennial 
Census information or you may submit data that are unpublished, not 
generally available, and not older than the latest Census data. If you 
are submitting demographic data other than the Census, your application 
must contain a statement that the following criteria have been met:

--Generally available published data are substantially inaccurate or 
incomplete;
--Data that you submit have been collected systematically and are 
statistically reliable;
--Data are, to the greatest extent feasible, independently verifiable; 
and
--Data differentiate between reservation and BIA service area 
populations, when applicable.

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 survey form, an explanation of the methods used to collect 
the data, and a listing of incomes by household including household 
size;
    (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.

[[Page 27058]]

    (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. Economic Development Projects (12 Points)
    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. For persons served by the project, you must 
submit the most recently available Decennial Census information or you 
may submit data that are unpublished, not generally available, and not 
older than the latest Census data as described in 2.a. above. 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 and number 
of the jobs created or retained for low/moderate income people. Such 
information includes, but is not limited to, brief descriptions of 
proposed job responsibilities, job titles, 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.
    (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.
c. New Housing Construction, Housing Rehabilitation, Land Acquisition 
to Support New Housing, and Homeownership Assistance Projects (12 
Points)
    The need for the proposed project is determined by utilizing data 
from the tribe's 2007 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 $311-$750 
or the tribe's total FY 2007 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 the Needs Table indicates that the Indian tribe has no AIAN 
households experiencing income or housing problems.
d. Microenterprise Programs (12 Points)
    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. 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 and number of the jobs created or retained for 
low/moderate income people. Such information includes, but is not 
limited to, brief descriptions of proposed job responsibilities, job 
titles, 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.
    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 (36 Points)
    This factor addresses the quality and anticipated effectiveness of 
your proposed project to enhance community viability and meet 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. Description of and Rationale for Proposed Project (13 Points)
    a. (13 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 demonstrate 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 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. (10 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. The application includes a

[[Page 27059]]

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 program design and/or construction 
methods.
    c. (6 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. 
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 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. 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 program design and/or 
construction methods.
2. Budget and Cost Estimates (8 Points)
    The budget is thorough and reasonable and all costs 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. HUD Policy Priorities (1 Point)
    Your application addresses the goals for ``Improving Our Nation's 
Communities,'' or ``Encouraging Accessible Design Features'' two of 
HUD's 2008 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. Intent To Meet Section 3 Requirements (2 Points)
    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 the Indian Preference 
provisions in Section 7(b) of the Indian Self-Determination and 
Education Assistance Act (25 U.S.C. 450e(b)).
5. Commitment to Sustain Activities (12 Points)
    Your application demonstrates your commitment to your community's 
viability by sustaining your proposed activities. The information 
provided is sufficient to determine that the project will proceed 
effectively.
    The criteria for this sub-factor vary according to the type of 
project for which you are applying.
a. Public Facilities and Improvement Projects (12 Points)
    (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 written 
statement from the entity is included in the application that the 
entity has developed 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. 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 only 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 written statement from the entity is included in the 
application that the entity has developed the operations 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 only four of the 
following items (maintenance, repairs, insurance, security, and 
replacement reserves) but a satisfactory cost breakdown for annual 
expenses was not included. 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

[[Page 27060]]

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 only 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 application includes a written 
statement that the entity has developed 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 only three of the 
following items (maintenance, repairs, insurance, security, and 
replacement reserves). 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 (12 Points)
    (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 (12 Points)
    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?
    (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) 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 (12 Points)
    (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) 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 (12 Points)
    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.

[[Page 27061]]

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 obtain points for this rating factor, 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 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 (10 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 
applicant should describe the project's specific benchmarks, outputs, 
outcomes, and goals for enhancing community viability. The applicant 
should also indicate how you will measure and evaluate how the goals 
are being met.
    Applicants are strongly encouraged to use the Logic Model, HUD form 
96010, to provide information on the measurable outputs, outcomes and 
program evaluation requirements. Alternatively this information can be 
submitted in a narrative format.
    1. Coordination (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

[[Page 27062]]

must provide a written statement that when submitted, the IHP will 
specifically reference the proposed project.
    2. Outputs, Outcomes, and/or Goals (up to 8 points). The extent to 
which your proposed project identifies, measures and evaluates the 
specific benchmarks, outputs, outcomes and/or goals of your project 
that 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 Excel\TM\ 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. The Master Logic Model 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. Review and Selection Process
    1. Application Selection Process. You must meet all 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. 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 (e).
    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 substantially 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.
    3. 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.
    4. 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 15 points under Rating Factor 1 in 
order to meet the minimum point requirements outlined below in this 
NOFA.
    5. Rating. The Area ONAP will review and rate each project that 
meets the acceptance criteria and threshold requirements.
    After the applications are rated, a summary review of all 
applications will be conducted to ensure consistency in the application 
rating. The summary review will be performed by either the Grants 
Management Director (or designee) or by a panel composed of up to three 
staff members.
    The total number of points for rating factors 1 through 5 is 100.
    6. Minimum Points. To be considered for funding, your application 
must receive a minimum of 15 points under Rating Factor 1 and an 
application score of 70 points.
    7. Ranking. All projects will be ranked against each other 
according to the point totals they receive, regardless of the type of 
project or component under which the points were awarded. Projects will 
be selected for funding based on the final ranking to the extent that 
funds are available. The Area ONAP will determine individual grant 
amounts in a manner consistent with the considerations set forth in 24 
CFR 1003.100(b)(2). Specifically, the Area ONAP may approve a grant 
amount less than the amount requested. In doing so, the Area ONAP may 
take into account the size of the applicant, the level of demand, the 
scale of the activity proposed relative to need and operational 
capacity, the number of persons to be served, the amount of funds 
required to achieve project objectives, and the reasonableness of the 
project costs. If the Area ONAP determines that there are not enough 
funds available to fund a project as proposed by the applicant, it may 
decline to fund that project and may fund the next highest-ranking 
project or projects for which adequate funds are available. The Area 
ONAP 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.
    8. Tiebreakers. When rating results in a tie among projects and 
insufficient resources remain to fund all tied projects, the Area ONAP 
will approve projects that can be fully funded over those that cannot 
be fully funded. When that does not resolve the tie, the Area ONAP will 
use the following factors in the order listed to resolve the tie:
    (a) The applicant that has not received an ICDBG over the longest 
period of time.
    (b) The applicant with the fewest active ICDBGs.
    (c) The project that would benefit the highest percentage of low- 
and moderate-income persons.
9. Technical Deficiencies and Pre-Award Requirements
    a. Technical Deficiencies. If there are technical deficiencies in 
successful applications, you must satisfactorily address these 
deficiencies before HUD can make a grant award. 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

[[Page 27063]]

concerning the management, maintenance, operation, or financing of 
proposed projects before a grant agreement can be executed. Such 
documentation may include additional specifications on the scope, 
magnitude, timing or method of implementing the project; or information 
to verify the commitment of other resources required to complete, 
operate, or maintain the proposed project. HUD will notify applicants 
by facsimile or via the U.S. Postal Service, return receipt requested. 
Applicants will be provided thirty (30) calendar days from the date of 
receipt of the HUD notification to respond to these requirements. No 
extensions will be provided. If the deadline date falls on a Saturday, 
Sunday, or federal holiday, your response must be received by HUD on 
the next day that is not a Saturday, Sunday, or federal holiday. 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.
    c. The time period for calculating the response deadline for 
technical deficiencies and pre-award requirements begins on the day 
after receipt of the pre-award letter from the Area ONAP.
    10. 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.
    11. 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 November 26, 
2008. 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 9/29/03). Grantees and 
other participants in the development process may not commit or expend 
any ICDBG or nonfederal funds on project activities (other than those 
listed in 24 CFR 58.22(f), 58.34 or 58.35(b)) until HUD has approved a 
Request for Release of Funds and environmental certification submitted 
by the grantee. The expenditure or commitment of ICDBG or nonfederal 
funds for such activities prior to HUD approval may result in the 
denial of assistance for the project or activities under consideration.
    D. b. Indian Preference. HUD has determined that the ICDBG program 
is subject to Section 7(b) of the Indian Self-Determination and 
Education Assistance Act (25 U.S.C. 450e(b)). The provisions and 
requirements for implementing this section are in 24 CFR 1003.510.
    c. Anti-discrimination Provisions. Under the authority of Section 
107(e)(2) of the CDBG statute, HUD waived the requirement that 
recipients comply with the anti-discrimination provisions in Section 
109 of the CDBG statute with respect to race, color, and national 
origin. You must comply with the other prohibitions against 
discrimination in Section 109 (HUD's regulations for Section 109 are in 
24 CFR part 6) and with the Indian Civil Rights Act.
    d. Conflict of Interest. In addition to the conflict of interest 
requirements with respect to procurement transactions found in 24 CFR 
85.36 and 84.42, as applicable, the provisions of 24 CFR 1003.606 apply 
to such activities as the provision of assistance by the recipient or 
sub-recipients to businesses, individuals, and other private entities 
under eligible activities that authorize such assistance.
    e. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). Section 3 requirements apply to the ICDBG program, but as 
stated in 24 CFR 135.3(c), the procedures and requirements of 24 CFR 
part 135 apply to the maximum extent consistent with, but not in 
derogation of, compliance with Indian Preference.
    2. OMB Circulars and Government-wide Regulations Applicable to 
Financial Assistance Programs. The policies, guidance and requirements 
of OMB Circular A-87, Cost Principles Applicable to Grants, Contracts 
and Other Agreements with State and Local Governments; and OMB Circular 
A-122, Cost Principles for Nonprofit Organizations; and OMB Circular A-
133, Audits of State and Local Governments, and Nonprofit 
Organizations; and the regulations at 24 CFR part 85, Administrative 
Requirements for Grants and Cooperative Agreements to State, Local and 
Federally Recognized Indian Tribal Governments apply to the award, 
acceptance, and use of assistance under the ICDBG program and to the 
remedies for noncompliance, except when inconsistent with the 
provisions of the Consolidated Appropriations Act, 2006 (Pub. L. 109-
115; approved November 30, 2005) 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

[[Page 27064]]

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;
    (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 27065]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.004


[[Page 27066]]



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-5200-N-20; 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 July 2, 2008. 
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, published March 19, 2008 (73 FR 14882), 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 (42 U.S.C. et seq.) as amended.
    2. Award Information: In Fiscal Year (FY) 2008, approximately $9 
million has been made available for this program by the Consolidated 
Appropriations Act, 2008 (Pub. L. 110-161). An applicant can request up 
to $700,000 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 million will be made available to fund 
First Time HBCU applicants. In addition, approximately $8 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: 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 assist HBCUs 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 Title I of Housing and Community 
Development Act of 1974 (42 U.S.C. et seq.) 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.
    A ``target area'' is the area within the locality in which the 
institution will implement its proposed HBCU grant. If an institution 
wants to provide services/activities in a location other than the 
target area of that institution an applicant must provide justification 
in their application for why they want to do so.
A. Authority
    HUD's authority for making funding available under this NOFA is the 
Consolidated Appropriations Act, 2008 (Pub. L. 110-161). 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 FY2007 program 
funding announcement:
    1. Applicants can now request up to $700,000 for a three-year (36 
months) grant performance period.
    2. Abstract and budget narrative responses must be submitted 
electronically and formatted to fit an 8\1/2\-by-11-inch page. 
Responses must be double-spaced, with one inch margins (for the top, 
bottom, left and right sides of the document), using the standard Times 
New Roman 12-point font.
    3. Project budgets will be evaluated and scored under Factor 3, 
Soundness of Approach. HUD will assess the applicant's budget in 
relation to its quality, thoroughness, reasonableness, and rationality 
to the proposed project.
    4. There is a maximum allowance for administrative cost. Applicants 
can utilize up to 20 percent of their grant for payments of reasonable 
grant administrative costs related to planning and executing the 
project (e.g., preparation/submission of HUD reports, etc.). Detailed 
explanations of these costs are provided in the OMB circular A-21, Cost 
Principles for Educational Institutions that can be accessed at the 
White House Web site at: http://www.whitehouse.gov/omb/circulars/index.html.
    5. Applicants must ensure that 51 percent or more of all funds 
awarded will be utilized for the community and/or general public. These 
funds are not for the direct benefit of the institution.
    6. For the purpose of responding to Rating Factor 1, Capacity of 
the Applicant and Relevant Experience subfactor (a) Knowledge and 
Experience, HUD now defines Previously Funded Applicants as any 
applicants that received funding in FY 1999 through FY 2007. If an 
applicant has received a grant prior to these years then they should 
respond to this factor as a First-Time Applicant. This definition is 
relevant to this rating factor and the abstract only.
    7. Applicants that propose ineligible activities will not be 
disqualified, but will not receive points under Factor 3, Soundness of 
Approach for the ineligible activities. HUD reserves the right to 
deduct points under this factor for those activities and/or not fund an 
application if the majority of the activities are ineligible.
    8. Applicants that have no external leveraging resources (the 
institution is not considered an external resource) under Factor 4 
Leveraging Resources/Developing Partnerships will receive no points 
under this factor. In addition, HUD will now score Factor 4 as follows:
    a. Ten (10) points to an applicant that provides leveraging 
resources as listed in their application that are 15 percent or more of 
the amount requested under this program;
    b. Nine (9) points to an applicant that provides leveraging 
resources as listed in their application that represents 13 to 14 
percent of the amount requested under this program;
    c. Eight (8) points to an applicant that provides leveraging 
resources as listed in their application that represents 11 to 12 
percent of the amount requested under this program;

[[Page 27067]]

    d. Seven (7) points to an applicant that provides leveraging 
resources as listed in their application that represents 8 to 10 
percent of the amount requested under this program;
    e. Six (6) points to an applicant that provides leveraging 
resources as listed in their application that represents 6 to 7 percent 
of the amount requested under this program;
    f. Five (5) points to an applicant that provides leveraging 
resources as listed in their application that represents 5 percent of 
the amount requested under this program; and
    g. Zero (0) points to an applicant that provides leveraging 
resources as listed in their application that is less than 5 percent of 
the amount requested under this program and/or have no external 
leveraging resources (remember, the institution/applicant is not 
considered an external resource).

II. Award Information

    In FY2008, approximately $9 million is made available for this 
program. An applicant can request up to $700,000 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 million will be made available to fund 
First-Time HBCU applicants. In addition, approximately $8 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 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.  570.201 through Sec.  570.206. 
Information regarding these activities can be found online at: http://www.access.gpo.gov/nara/cfr/waisidx_06/24cfr570_06.html. 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.

    Note: 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, the public service 
activities over the 15-percent cap will not be considered fundable 
and this exclusion will 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 
modifications in accordance with the requirements of Section 504 of the 
Rehabilitation Act of 1973 (29 U.S.C. 794) and visitability 
modifications in accordance with the policy priorities described in the 
General Section;
    (4) Acquisition, construction, reconstruction, rehabilitation, or 
installation of public facilities and improvements, such as water and 
sewer facilities and streets compliance with accessibility requirements 
such as those under Section 504 of the Rehabilitation Act of 1973 (29 
U.S.C. 794) and the Americans with Disabilities Act of 1990 (42 U.S.C. 
12101);
    (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 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 Networks centers in federally assisted or 
insured housing, job training and placement, and recreational needs;
    (8) 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 (42 U.S.C. 5305(a)(25));
    (9) There is a maximum allowance for administrative cost. Up to 20 
percent of the grant may be used for payments of reasonable grant 
administrative costs related to planning and executing the project 
(e.g., preparation/submission of HUD reports). Detailed explanations of 
these costs are provided in OMB circular A-21, Cost Principles for 
Educational Institutions that can be accessed at the White House Web 
site at: http://www.whitehouse.gov/omb/circulars/index.html;
    (10) These funds are not for the direct benefit of the institution; 
51 percent or more of all funds must be utilized for the community and/
or general public; and
    (11) 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. 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

[[Page 27068]]

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.
    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 $700,000 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 a separate DUNS number and 
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. 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) (ii)or 570.208(d)(5) or (6);
    c. Applicants must ensure that 51 percent or more of all funds 
awarded will be utilized for community and/or general public use. These 
funds are not for the direct benefit of the institution;
    d. Applicants that propose to construct new housing or rehabilitate 
existing housing must ensure that their project and/or facilities are 
operated in accordance with applicable design and construction 
requirements, including either the Fair Housing Act and/or Section 504 
of the Rehabilitation Act of 1973 and corresponding HUD implementing 
regulations. Please note that in situations where both the Fair Housing 
Act design and construction accessibility requirements and Section 504 
design and construction accessibility requirements apply, applicants 
must apply both standards to obtain maximum accessibility; and
    e. Applicants that propose non-housing programs and facilities must 
ensure that their projects are operated in compliance with the 
requirements of Section 504 of the Rehabilitation Act of 1973, the 
American with Disabilities Act (ADA), the Architectural Barriers Act 
(ABA), and corresponding HUD implementing regulations. Note that the 
accessibility standard for non-housing projects is the Uniform Federal 
Accessibility Standards (UFAS).
    4. 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.
    5. Environmental Requirements. Selection for award does not 
constitute approval of any proposed sites. Following selection for 
award, HUD will perform an environmental review of properties proposed 
for assistance in accordance with 24 CFR Part 50. The results of the 
environmental review may require that proposed activities be modified 
or proposed sites be rejected. Applicants are particularly cautioned 
not to undertake or commit funds for acquisition or development of 
proposed properties prior to HUD approval of specific properties or 
areas. An application constitutes an assurance that the institution 
will assist HUD to comply with part 50; will supply HUD with all 
available and relevant information to perform an environmental review 
for each proposed property; will carry out mitigating measures required 
by HUD or select alternate property; and will not acquire, 
rehabilitate, convert, demolish, lease, repair, or construct property, 
and not commit or expend HUD or local funds for these program 
activities with respect to any eligible property until HUD's written 
approval of the property is received. Applicants should use the 
protocol at http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/environment/review/protocol.pdf to supply HUD with the information 
needed for HUD to start and complete the environmental review. Further 
information and assistance on HUD's environmental requirements is 
available at http://www.hud.gov/offices/cpd/environment/index.cfm.
    6. Lead-Based Paint Requirements. Institutions and their sub-
grantees, contractors, and subcontractors must comply with the Lead-
Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846), the 
Residential Lead-Based Paint Hazard Reduction Act of 1992 (42 U.S.C. 
4851-4856), and relevant subparts of the implementing regulations at 24 
CFR Part 35, such as subparts A, B, J, K and R, which apply to 
activities under this grant program.
    7. 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.
    8. 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. See the Section 3 Regulations located at 24 CFR Part 135.36.
    9. Affirmatively Furthering Fair Housing Requirements. Under 
Section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to 
affirmatively further fair housing. HUD requires the same of its 
funding recipients. If you are a successful applicant proposing 
housing-related activities, you will have a duty to affirmatively 
further fair housing opportunities for classes protected under the Fair 
Housing Act. Protected classes include race, color, national origin, 
religion, sex, disability, and familial status. For example: (1) 
Working with other entities in the community to overcome impediments to 
fair housing, such as discrimination in the sale or rental of housing 
or in advertising, provision of brokerage services, or lending; (2) 
Promoting fair housing choice through the expansion of homeownership 
opportunities and improved quality of services for minorities, families 
with children, and persons with disabilities; or (3) Providing housing 
mobility counseling services.

IV. Application Instructions and Submission Information

A. Instructions To Download 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

[[Page 27069]]

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. 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. Application Content and Forms for Submission
    1. Application Content. Applications must consist of the following 
elements: Abstract, narrative for the rating factors, budget, budget 
narrative, and forms. Applicants that received a wavier of the 
electronic application submission requirement must submit their 
application in the order below. Copies of the instructions and all 
forms are available online at http://www.grants.gov/applicants/apply_for_grants.jsp.
    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 regarding the content of the application 
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 14.520;
    (6) The project's proposed start date and completion date. For the 
purpose of this application, the program start date should be October 
1, 2008; 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. Abstract. Applicants must include no more than a two-page, 
doubled-spaced 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 
served, and the impact this project is expected to have on the 
community;
    (2) A statement that the institution is an eligible applicant 
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 regarding the content of this application 
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; and
    (5) If a previously funded applicant, include the name and date the 
past project(s) were funded. Remember HUD now defines Previously Funded 
Applicants as any applicants that received funding in FY 1999 through 
FY 2007.
    c. Narrative statement addressing the rating factors. HUD will use 
the narrative response to the ``Rating Factors'' to evaluate, rate, and 
rank applications. This NOFA has five rating factors that need to be 
addressed. The narrative statement is the main source of information. 
Applicants are advised to review each factor carefully for program-
specific requirements. All applicants submitting electronic 
applications must attach their narrative responses to Rating Factors 1-
4 as one attachment. Remember, Factor 5 is addressed by using the HUD-
96010, Program Outcome Logic Model form. Please do not repeat material 
in response to factors 1-3, instead, focus on how well the proposal 
responds to each of the factors. The response to each factor should be 
concise and contain only information relevant to the factor, yet 
detailed enough to address each factor fully. Where there are 
subfactors, each subfactor must be addressed and presented separately, 
with the short title/name of the subfactor presented. Make sure to 
address each subfactor and provide sufficient information about every 
element of the subfactor. Do not include any individual's Social 
Security Numbers in your application. The narrative section of an 
application must be submitted electronically. It must not exceed 50 
pages in length (excluding forms, budget narrative, assurances, and 
abstract) and must be formatted to fit an 8\1/2\-by-11-inch page. 
Responses must be double-spaced (information submitted in chart format 
does not have to be doubled-spaced) with one inch margins (for the top, 
bottom, left, and right sides of the document), using the standard 
Times New Roman 12-point font. Each page of the application must 
include the applicant's name and 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. Please do not attach your response to each 
factor separately. Please follow the instructions on use of zip files, 
file extension, and file names in the General Section. File names 
should not contain spaces or special characters.
    d. 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 form HUD-424-CB 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 budget narrative 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 and/or budget 
narrative, the amount listed on

[[Page 27070]]

the HUD-424-CB will be the amount HUD will use to calculate the amount 
the applicant is requesting for funding. 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 each line item. 
This information must be electronically submitted and formatted to fit 
an 8\1/2\-by-11-inch page. Responses must be doubled-spaced, with one 
inch margins (for the top, bottom, left, and right sides of the 
document), using the standard Times New Roman 12-point font. Project 
budgets will be evaluated and scored under Factor 3, Soundness of 
Approach. HUD will assess the soundness of an applicant's approach by 
evaluating the quality, thoroughness, reasonableness and rationality of 
the proposed project budget. In addition, please provide the name, if 
known, hourly or daily rate, and the estimated time that will be 
devoted to the project for each consultant. For example, an applicant 
proposes to construct a building using HUD funding totaling $200,000. 
The following cost estimates 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. Applicants must use a cost 
estimate based on 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 a project that involves 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.).
    (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 approved 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 the applicant with the 
process of establishing a final rate.
    e. Appendix. The appendix section of the application must not 
exceed 15 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 resumes, letters of support, 
commitment letters, memoranda of understanding, and/or agreements, or 
other back-up materials to supplement the application's narrative. If 
this information is included, it will not be considered during the 
review process. HUD will not consider the information on any excess 
pages. The additional items will also slow the transmission of your 
application.
    2. Forms. The following forms are required for submission. All 
required forms are contained in the electronic application package. 
Applicants receiving a waiver of the electronic submission requirements 
and submitting a paper copy of the application must place all required 
forms in the appendix section of the application.
    a. SF-424 Supplement, Survey on Ensuring Equal Opportunities for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
    b. SF-LLL, Disclosure of Lobbying Activities, if applicable;
    c. HUD-27300, Questionnaire for HUD's Removal of Regulatory 
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if 
applicable;
    d. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov), if applicable;
    e. HUD-2990, Certification of Consistency with RC/EZ/EC-II 
Strategic Plan, if applicable;
    f. HUD-2991, Certification of Consistency with the Consolidated 
Plan, if applicable;
    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! Grant Applicant Survey. 
Applicants are not required to complete this form;
    i. HUD-40076, Response Sheet Performance Narrative, Previously 
Funded HBCU Applicant Only;
    j. HUD-96010, Program Outcome Logic Model; and
    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 
and complete the SF-424, which 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.
    3. 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.
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 July 2, 2008, 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.

[[Page 27071]]

D. Intergovernmental Review
    This program is excluded from the Intergovernmental Review process.
E. Funding Restrictions
    Ineligible CDBG activities are listed at 24 CFR 570.207. Ineligible 
activities include but are not limited to the following:
    1. Curriculum development and/or expansion of an institution's 
existing curriculum;
    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); and
    5. Activities and/or buildings constructed for only campus use and/
or less than 51 percent community/public use.
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 (OUP) 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. All paper applications must be submitted 
on 8\1/2\-by-11-inch paper, double-spaced, on one side of the paper, 
with one inch margins (for the top, bottom, left, and right sides of 
the document), and printed in standard Times New Roman 12-point font.

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, experience, and capacity necessary to successfully complete 
the proposed project by the end of the grant performance period.
    a. Knowledge and Experience for First Time Applicants (25 Points) 
for Previously Funded Applicants (10 Points). For the purpose of 
responding to this subfactor only, Previously Funded Applicants are any 
applicants that received funding in FY 1999 through FY 2007. If an 
applicant has received a grant prior to these years they should respond 
to this factor as a First Time Applicant. This definition is relevant 
to this rating factor ONLY.
    In rating this subfactor, HUD will consider the extent to which the 
applicant clearly addresses the following:
    (1) Identifies key project team members/staff and partners, their 
title and name (e.g., project manager/coordinator-Sally Susan Smith, 
etc.), respective roles, and time each individual will allot to this 
project;
    If key personnel have not been hired, identify the position title, 
description of duties and responsibilities, and qualifications to be 
considered in the selection of personnel, including subcontractors and 
consultants;
    (2) Describes the knowledge and relevant experience of the proposed 
project team members/staff and partners (as outlined above) that will 
conduct the day-to-day project activities, consultants (including 
technical assistance providers), and contractors in planning and 
managing the type of project for which funding is being requested; and
    (3) Explains the institution's experience and capacity to 
administer and monitor the type of project for which funding is being 
requested.
    Applicant's staff and partners' (as outlined above) experience and 
the institution's capacity to do the work will be judged in terms of 
recent and relevant knowledge and skills 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 completed and/or open 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 between FY 1999 through 
FY 2007, including the dollar amount awarded and the amount expended 
and obligated as of the date the application is submitted. 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 list detailing the date the project(s) was completed; was it 
completed during the original grant performance period; if not 
completed, why (including when it was or will be completed); if the 
project is still in progress, provide details on the project's current 
status;
    (3) A description of the results (outcomes) achieved consistent 
with the approved project management plan. If not completed as proposed 
explain why;
    (4) A list comparing the amount of proposed leveraged funds and/or 
resources (outlined in the original application) to the amount that was 
actually leveraged as of the date the application is submitted; 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; compliance with the program's terms and 
condition; and receipt of promised leveraged resources. In evaluating 
past performance, HUD reserves the right to deduct up to ten (10) 
points from this rating score as a result of the information obtained 
from HUD's records (i.e., progress and financial reports, monitoring 
reports, Program Outcome Logic Model submissions, and amendments).
2. Rating Factor 2: Need/Extent of the Problem (12 Points)
    a. Rating Factor addresses the extent to which there is a need for 
funding the proposed project and an indication of

[[Page 27072]]

the importance of meeting the need(s). 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 cite statistics and/or analyses contained in at least one 
or more current, sound, and reliable data sources:
    (1) Describe the need(s); and
    (2) Describe the importance of meeting the proposed needs.
    b. 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 online at: http://www.ffiec.gov.
    c. HUD will also consider data collected within the last five (5) 
years to be current. However, applicants must utilize the most current 
version of the data source(s) that exists. 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, 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 (41 Points)
    This factor addresses the soundness, quality, and effectiveness of 
the proposed work plan and the commitment of the applicant to sustain 
the proposed project activity(s). Points are awarded under this factor 
for the quality of the activities proposed in relation to the need/
problem identified in Factor 2, not for the number of activities 
proposed. In addition, if the activities proposed are not eligible, HUD 
reserves the right to deduct points under this factor for those 
activities and/or not fund an application if the majority of the 
activities are ineligible.
    a. (25 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, and the anticipated 
results (outcomes) they will have on the target population at the end 
of the grant performance period.
    (1) (20 Points) Specific Activities. The work plan must describe 
all proposed project activities and major tasks (steps to complete the 
proposed activities) required to successfully implement the proposed 
project. The work plan must also identify the anticipated measurable 
outcomes these activities will have on the targeted population. In 
addressing this subfactor, HUD will consider the following:
    (a) Identify the method/planning strategy(s) used during the 
development of this application. Describe in detail how the proposed 
project/activities to be undertaken were identified and if and how they 
connect and /or complement the City's Consolidated Plan. List all 
individuals/organizations that were involved in the planning process 
for this project and their roles;
    (b) Describe each proposed project activity in measurable terms 
(e.g., the number of persons to be trained; houses to be built or 
rehabilitated; or minorities trained to start businesses, etc.);
    (c) Identify the major tasks (steps to complete the proposed 
activities) 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 36 months, e.g. to 
develop a training program the following steps may occur: Hiring 
staffing, purchasing supplies, developing curricula/training modules, 
conducting training etc.);
    (d) Identify the key team members/staff and partners, as identified 
in Factor 1, who will be responsible and accountable for completing 
each task;
    (e) 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; and
    (f) Describe the measurable impact (outcome) that implementing each 
activity will have or is expected to have on the target population by 
the end of the grant performance period (e.g. number of individuals 
employed as a result of training; number of new homeowners as a result 
of the number of houses that were built or rehabilitated; or number of 
minority-owned businesses started, etc.);
    (2) (5 Points) Describe clearly how each proposed activity will:
    (a) Expand the role of the institution in the target community;
    (b) Address the needs identified in Factor 2; and
    (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.
    b. (3 Points) Involvement of the Faculty and Students. The 
applicant must describe in detail how it proposes to integrate the 
institution's students (this excludes students that are project 
recipients/participants) and faculty into proposed project activities.
    c. (4 Points) Involvement of the Community. The applicant must 
describe in detail how the community (e.g. businesses, residents, and 
others) will be involved in the proposed project. The applicant must 
identify the specific roles that individuals will and have played in 
the proposed project. The community must play an active role in all 
stages of the project. Community involvement must be diverse and 
representative of the target population/community.
    d. (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 FY 2009. In addressing this subfactor, HUD will 
evaluate the extent to which a project 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:

[[Page 27073]]

(1) Submit either Part A or Part B (not both) of the completed 
questionnaire HUD-27300, ``HUD's Initiative on Removal of Regulatory 
Barriers,'' found in the General Section, (2) include appropriate 
documentation, (3) identify a point of contact, and (4) indicate how 
this priority will be addressed. It is up to the applicant to determine 
which of the policy priorities they will address in order to receive 
the available two (2) points.
    e. (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 part 135). Regulations regarding the provision of Section 3 
of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) are 
located at 24 CFR 135.36.
    f. (5 Points) Budget and Cost Estimates. HUD will assess the 
soundness of your approach by evaluating the quality, thoroughness, and 
rationality of the proposed project budget and budget narrative. The 
budget narrative must be broken down by line item. Administrative costs 
must be reflected under the appropriate line items (e.g., salaries, 
fringe, supplies, costs related to planning and executing the project, 
preparation/submission of HUD reports, etc.).
4. Rating Factor 4: Leveraging Resources/Developing Partnerships (10 
Points)
    This factor addresses the ability of the applicant to develop 
partnerships and secure resources that can be combined with HUD's grant 
funds to achieve the project's purpose.
    a. HUD will consider the extent to which the applicant has 
established partnerships with other entities (other than their own 
institution) 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. 
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 that the institution has waived 
may be counted. Applicants that have no external leveraging resources 
(the institution/applicant is not considered an external resource) will 
receive no points under this factor.
    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; and/or
--Faith-based and other community-based organizations.

    b. To address this factor, an applicant must provide an outline in 
their application that includes the information listed below of all 
proposed leveraged resources (including any commitment of resources 
from the applicant's own institution). Applicants must have on file at 
the time of application submission the original written commitment 
letters, memoranda of understanding, and/or agreements. Commitment 
letters, memoranda of understanding, and/or agreements must be dated 
prior to the application deadline date; if they are dated after the 
application deadline date they will not be scored.
    Each letter, memorandum of understanding, or agreement must include 
the information below:
    (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);
    (3) A specific description of how each contribution is to be used 
toward specific proposed activities (including the actual role the 
partner will have in the proposed project activities for which their 
contribution will be utilized);
    (4) The date the contribution will be made available and a 
statement that describes the duration of the contribution; and
    (5) The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services. This is only 
applicable to the original written documentation.
    c. Resources will also not be counted for which there is no 
commitment letter, memorandum of understanding, agreement, or 
quantified level of commitment, and/or when the letter, memorandum of 
understanding, or agreement does not address ALL of the requirements 
outlined above. Commitment letters, memoranda of understanding, and/or 
agreements are not required at the time of application submission but 
must be on file at the time of application submission. If commitment 
letters, memoranda of understanding, and/or agreements are included 
with the application at time of submission they will not be considered 
during the review process. However, applicants submitting paper 
applications must include all letters, memoranda of understanding, and/
or agreements in the Appendix of the application. Applicants chosen to 
proceed to the next step in the selection process will be required to 
submit the signed and dated commitment letters, memoranda of 
understanding, and/or agreements outlined in the application within 
five (5) calendar days after initial contact from 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 and no later than the application 
deadline date. In addition, no points will be awarded for general 
support letters endorsing the project from organizations, including 
elected officials on the local, state, or national levels; therefore, 
please do not include them. 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 documents from the 
resources/organizations that are listed in the outline in the 
application. If OUP does not receive those documents with the required 
information within the allotted timeframe, an applicant will not 
receive points under this factor.

    Note: Submission of a grant award notification from another 
entity/agency in place of a commitment letter, memorandum of 
understanding, and/or agreement does not meet the requirement of 
this factor and will not be accepted.

    In scoring this factor, HUD will award:
    (1) Ten (10) points to an applicant that provides leveraging 
resources as listed in their application that are 15 percent or more of 
the amount requested under this program;
    (2) Nine (9) points to an applicant that provides leveraging 
resources as listed in their application that represents 13 to 14 
percent of the amount requested under this program;
    (3) Eight (8) points to an applicant that provides leveraging 
resources as listed in their application that

[[Page 27074]]

represents 11 to 12 percent of the amount requested under this program;
    (4) Seven (7) points to an applicant that provides leveraging 
resources as listed in their application that represents 8 to 10 
percent of the amount requested under this program;
    (5) Six (6) points to an applicant that provides leveraging 
resources as listed in their application that represents 6 to 7 percent 
of the amount requested under this program; and
    (6) Five (5) points to an applicant that provides leveraging 
resources as listed in their application that represents 5 percent of 
the amount requested under this program.
    (7) Zero (0) points to an applicant that provides leveraging 
resources as listed in their application that is less than 5 percent of 
the amount requested under this program and/or have no external 
leveraging resources (remember, the institution/applicant is not 
considered an external resource).
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 project's proposed 
objectives and goals. Applicants are required to develop an effective, 
quantifiable, outcome-oriented evaluation plan for measuring 
performance and determining that objectives and goals have been 
achieved by using the HUD-96010, ``HUD Program Outcome Logic Model.'' 
The Program Outcome Logic Model is a summary of the narrative 
statements presented in Factors 1 through 3. Therefore, it should be 
consistent with the information contained in the narrative statements.
    In evaluating this factor, HUD will assess the extent to which the 
applicant demonstrates how results of the project will be measured as 
outlined in the proposed work plan. To meet this factor requirement, 
applicants must submit a completed HUD-96010, ``HUD Program Outcome 
Logic Model.'' Applicants must select from the list of activities and 
outcomes to determine their specific methods and measures that will be 
used to assess progress and evaluate program effectiveness. If an item 
is not found on the list of activities or outcomes, applicants can 
select ``other'' and then insert the activity and/or outcome and unit 
of measurement. Applicants can use the ``other'' option for up to three 
activities and three outcomes. See the instructions tab in the Logic 
Model for further details. HUD will not accept activities or outcomes 
selected as ``other'' that do not contain an identified statement of 
the activities/outcomes or units of measurement. Utilizing this form 
will help grantees to ensure that performance measures are being met 
and they are establishing achievable realistic goals.
    a. Program Outcome Logic Model instructions (using a Microsoft 
ExcelTM form) are provided in the forms appended to the 
Instruction Download from http://www.grants.gov/applicants/apply_for_grants.jsp. Applicants that do not have access to Microsoft 
ExcelTM should contact the 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 and/or The Center for Applied Management Practices at 
(717) 730-3705 (this is not a toll-free number).
    A narrative response is not required for this factor as all 
applicants must use the logic model form to respond to this factor. 
However, if a narrative is included, these pages will be included in 
the page count. HUD has developed a new approach to completing this 
form. Applicants should also review the Program Outcome Logic Model 
training, which can be found online at: http://www.hud.gov/Webcasts/index.cfm.
    b. HUD will review the outputs and outcomes in relation to the 
needs identified. ``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, and/or provision of stable living 
environments through the creation of affordable housing opportunities 
(e.g., increased assets to families and communities through the 
development of affordable housing).
    Applicants must also establish 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:
    (1) 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); 
and
    (2) Measurable outcomes the grant will have on the community in 
general and the target area or population.
    Applicants must also reference policy priorities, as stated in 
response to Factor 3, and relate them to the project's goals, as 
appropriate. HUD will evaluate the Program Outcome Logic Model in 
accordance with the matrix provided in Attachment 1 of the General 
Section.
B. Review and Selection Process
1. Application Selection Process
    Two types of reviews will be conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Rating Factors'' 
listed in Section V. A.
    Only those applications that pass the threshold review will receive 
a technical review and be rated and ranked.
    2. Rating Panels. To review and rate applications HUD may establish 
panels 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 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 4 shall be selected. If 
there is still a tie, the application with the most points for Factor 
1, 2, and then 5 shall be selected in that order until the tie is 
broken. HUD reserves the right to make selections out of rank order to 
provide for geographic distribution of grantees.
    HUD also reserves the right to reduce the amount of funding 
requested in order to fund as many highly ranked applications as 
possible. Additionally, if funds remain after funding the highest 
ranked applications, HUD may fund part of the next highest-ranking 
application. If an applicant turns down an award offer, HUD will make 
an award to the next highest-ranking application. If funds remain after 
all

[[Page 27075]]

selections have been made, the remaining funds will be carried over to 
the next funding cycle's competition.
    HUD will not fund any portion of an application that is not 
eligible for funding under regulatory requirements; does not meet the 
requirements of the NOFA; or may be duplicative of other funded 
programs or activities/tasks from prior year awards. Only the eligible 
portions of an application will be funded. When the majority of the 
activities are ineligible, HUD will not fund the 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 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
    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. Applicants may also write to Ms. 
Wilson 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), OMB Circular A-21 (Cost Principles for Educational 
Institutions) and OMB Circular 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. See the General Section for further 
discussion.
    4. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects. See the General 
Section for further discussion.
    5. Procurement of Recovered Materials. See the General Section for 
further discussion.
    6. Code of Conduct. See the General Section for further discussion.
    7. Executive Order 13166, Improving Access to Services For Persons 
With Limited English Proficiency (LEP). Successful applicants may not 
exclude participants or beneficiaries on the basis of race, color, or 
national origin under Title VI of the Civil Rights Act. To ensure that 
program information is accessible to persons with limited English 
proficiency on the basis of national origin, successful applicants may 
follow HUD's Final Guidance to Federal Financial Assistance Recipients 
Regarding Title VI Prohibition Against National Origin Discrimination 
Affecting Limited English Proficient Persons, 72 FR 2732 (Jan. 22, 
2007).
C. Reporting
    1. All grant recipients under this NOFA are required to submit 
quarterly progress reports. The progress reports shall consist of three 
components: a narrative that must reflect the activities undertaken 
during the reporting period; a financial report that reflects costs 
incurred by budget line item, as well as a cumulative summary of costs 
incurred during the reporting period; and a HUD-96010, Program Outcome 
Logic Model form, which identifies output and outcome achievements.
    2. Applicants selected for funding should also be aware that they 
will be required to report sub-award information within 30 days of 
making a sub-award in an amount of $25,000 or greater as required by 
the Federal Funding Accountability and Transparency Act of 2006 (Public 
Law 109-282). The Federal Funding Accountability and Transparency Act 
of 2006 calls for the establishment of a central Web site that makes 
available to the public full disclosure of all entities receiving 
federal funds. Applicants should be aware that the law requires the 
information provided on the federal Web site to include the following 
elements related to all sub-award transactions of $25,000 or greater.
    (a) The name of the entity receiving the award;
    (b) The amount of the award;
    (c) Information on the award, including the transaction type, 
funding agency, the North American Industry Classification System code 
or Catalog of Federal Domestic Assistance number (where applicable), 
program source, and an award title descriptive of the purpose of each 
funding action;
    (d) The location of the entity receiving the award and primary 
location of performance under the award, including the city, state, 
congressional district, and country;
    (e) A unique identifier (DUNS number) of the entity receiving award 
and of the parent entity of the recipient (DUNS number of the parent 
entity) should the entity be owned by another entity;
    (f) Federal parent award number and sub-award grant number;
    (g) The tier level the sub-award was made at; and
    (h) Any other relevant information specified by OMB.
    There are exceptions for sub-awards less than $25,000 made to 
individuals or to an entity whose annual expenditures are less than 
$300,000.
    Applicants should also be aware that the sub-award provision 
carries to all tiers (e.g., a direct award is made by HUD to an 
organization that in turn makes an award to another organization that 
then makes another award and so on). Collection of the tier level at 
which the award is made as well as federal parent award number can help 
in tracing the sub-award data as it tiers down several levels. Sub-
award reporting requirements to meet the Federal Funding Accountability 
Transparency Act of 2006 requirements will be finalized through a 
future Federal Register notice.

VII. Agency Contacts

    Applicants may contact Ophelia Wilson at (202) 402-4390 or Susan 
Brunson at (202) 402-3852. 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. mailto: 
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.

[[Page 27076]]

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.

[[Page 27077]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.005


[[Page 27078]]



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-5200-N-05; OMB Approval Number 
is 2528-0198.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA 
Number for this program is 14.514.
    F. Dates: The application deadline date is July 2, 2008. 
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, published March 19, 2008 (73 FR 14882), 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) 2008, approximately $6 
million has been made available for this program by the Consolidated 
Appropriations Act, 2008 (Pub. L. 110-161), plus an additional $55,724 
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 program grant.
A. Authority
    HUD's authority for making this funding available under this NOFA 
is the Consolidated Appropriations Act, 2008 (Pub. L. 110-161). 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) 2007 
program funding announcement:
    1. Applicants must ensure that 51 percent or more of all funds 
awarded will be utilized for the community and/or general public. These 
funds are not for the direct benefit of the institution.
    2. Applicants that propose rehabilitation and/or construction 
activities of a building located on a campus must commit to sustaining 
that facility for the purpose of the activity proposed in their 
application for at least five (5) years after the end of the grant 
performance period.
    3. Abstract and budget narrative must be electronically submitted 
and formatted to fit an 8\1/2\-by-11-inch page. Responses must be 
double-spaced, with one inch margins (for the top, bottom, left, and 
right sides of the document), using the standard Times New Roman 12-
point font.
    4. For the purpose of responding to Rating Factor 1: Capacity of 
the Applicant and Relevant Experience Subfactor (a) Knowledge and 
Experience, HUD now defines Previously Funded Applicants as any 
applicants that received funding in FY 2001 through FY 2007. If an 
applicant has received a grant prior to these years then they should 
respond to this factor as a First Time Applicant. This definition is 
relevant to this rating factor and abstract only.
    5. Project budgets will be evaluated and scored under Factor 3 
Soundness of Approach. HUD will assess the applicant's budget in 
relation to its quality, thoroughness, reasonableness and rationality 
to the proposed project.
    6. Applicants that propose ineligible activities will not be 
disqualified, but will not receive points under Factor 3 Soundness of 
Approach for the ineligible activities. HUD reserves the right to 
deduct points under this factor for those activities and/or not fund an 
application if the majority of the activities are ineligible.
    7. Applicants that have no external leveraging resources (the 
institution is not considered an external resource) under Factor 4 
Leveraging Resources/Developing Partnerships will receive no points 
under this factor.

II. Award Information

    In FY2008, approximately $6 million is made available for this 
program and an additional $55,724 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.

[[Page 27079]]

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.
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: http://www.access.gpo.gov/nara/cfr/waisidx_06/24cfr570_06.html.
    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 
modifications in accordance with the requirements of the Section 504 of 
the Rehabilitation Act of 1973 (29 U.S.C. 794) and visitability 
modifications in accordance with the policy priorities described in the 
General Section. Applicants that propose rehabilitation and/or 
construction of a building on campus must sustain that facility for the 
purpose of the activities proposed in this grant for at least five (5) 
years after the end of the grant performance period.
    (4) Acquisition, construction, reconstruction, rehabilitation, or 
installation of public facilities and improvements, such as water and 
sewer facilities and streets, and compliance with accessibility 
requirements, such as those under Section 504 of the Rehabilitation Act 
of 1973 (29 U.S.C. 794) and the Americans with Disabilities Act of 1990 
(42 U.S.C. 12101);
    (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 (42 U.S.C. 5305(a)(25));
    (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 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);
    (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 Networks 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 executing 
of the project (e.g., preparation/submission of HUD reports). Detailed 
explanations of these costs are provided in OMB circular A-21, Cost 
Principles for Educational Institutions that can be accessed at the 
White House Web site at: http://www.whitehouse.gov/omb/circulars/index.html;
    (11) These funds are not for the direct benefit of the institution; 
51 percent or more of all funds must be utilized for the community and/
or general public; and
    (12) 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.
    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 online at: http://www.hud.gov/offices/cpd/communitydevelopment/library/deskguid.cfm.
    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 
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 and meet the enrollment requirements as defined 
in Section III.A.
    d. Institutions that received an HSIAC grant in FY 2007 are not 
eligible to submit an application under this NOFA. If an institution 
received an HSIAC grant in FY 2004, FY 2005, or FY 2006, the 
institution may apply under this NOFA as long as it proposes a 
different activity (activities) that 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 July 2, 2008, 
the application deadline date.

[[Page 27080]]

    3. Program Requirements. 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)(ii) or 570.208(d)(5) or (6);
    c. Applicants must ensure that 51 percent or more of all funds 
awarded will be utilized for the community and/or general public. These 
funds are not for the direct benefit of the institution.
    d. Applicants that propose to construct new housing or rehabilitate 
existing housing must ensure that their project and/or facilities are 
operated in accordance with applicable design and construction 
requirements, including either the Fair Housing Act and/or Section 504 
of the Rehabilitation Act of 1973 and corresponding HUD implementing 
regulations. Please note that in situations where both the Fair Housing 
Act design and construction accessibility requirements and Section 504 
design and construction accessibility requirements apply, applicants 
must apply both standards to obtain maximum accessibility; and
    e. Applicants that propose non-housing programs and facilities must 
ensure that their projects are operated in compliance with the 
requirements of Section 504 of the Rehabilitation Act of 1973, the 
American with Disabilities Act (ADA), the Architectural Barriers Act 
(ABA), and corresponding HUD implementing regulations. Note that the 
accessibility standard for non-housing projects is the Uniform Federal 
Accessibility Standards (UFAS).
    4. 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.
    5. Environmental Requirements. Selection for award does not 
constitute approval of any proposed sites. Following selection for 
award, HUD will perform an environmental review of properties proposed 
for assistance in accordance with 24 CFR part 50. The results of the 
environmental review may require that proposed activities be modified 
or proposed sites be rejected. Applicants are particularly cautioned 
not to undertake or commit funds for acquisition or development of 
proposed properties prior to HUD approval of specific properties or 
areas. An application constitutes an assurance that the institution 
will assist HUD to comply with 24 CFR 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. Applicants should use the 
protocol at http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/environment/review/protocol.pdf to supply HUD with the information 
needed for HUD to start and complete the environmental review. Further 
information and assistance on HUD's environmental requirements is 
available at http://www.hud.gov/offices/cpd/environment/index.cfm.
    6. Lead-Based Paint Requirements. Institutions and their sub-
grantees, contractors, and subcontractors must comply with the Lead-
Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846), the 
Residential Lead-Based Paint Hazard Reduction Act of 1992 (42 U.S.C. 
4851-4856), and relevant subparts of the implementing regulations at 24 
CFR part 35, such as subparts A, B, J, K and R, which apply to 
activities under this grant program.
    7. 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.
    8. 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. See the Section 3 Regulations located at 24 CFR Part 135.36.
    9. Affirmatively Furthering Fair Housing Requirements. Under 
Section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to 
affirmatively further fair housing. HUD requires the same of its 
funding recipients. If you are a successful applicant proposing 
housing-related activities, you will have a duty to affirmatively 
further fair housing opportunities for classes protected under the Fair 
Housing Act. Protected classes include race, color, national origin, 
religion, sex, disability, and familial status. For example: (1) 
Working with other entities in the community to overcome impediments to 
fair housing, such as discrimination in the sale or rental of housing 
or in advertising, provision of brokerage services, or lending; (2) 
Promoting fair housing choice through the expansion of homeownership 
opportunities and improved quality of services for minorities, families 
with children, and persons with disabilities; or (3) Providing housing 
mobility counseling services.

IV. Application Instructions and Submission Information

A. Instructions to Download 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. 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. Application Content and Forms for Submission
    1. Application Content. Applications must consist of the following 
elements: Abstract, narrative, budget, budget narrative, and forms. 
Applicants that received a wavier of the electronic application 
submission requirement must submit their application in the order 
below. Copies of the instructions and all forms are available online at 
http://www.grants.gov/applicants/apply_for_grants.jsp.
    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 regarding the content of the 
application from HUD;

[[Page 27081]]

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 October 
1, 2008; 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. Abstract. Applicants must include no more than a two-page, 
doubled-spaced 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 
served, and the impact this project is expected to have on the 
community;
    (2) A statement that the institution is an eligible applicant 
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 
HSI: at least 25 percent of the full-time undergraduate students 
enrolled in an institution are Hispanic;
    (4) The designated contact person, including phone number, 
facsimile number, and e-mail address (this is the person who will 
receive all correspondence regarding the content of this application 
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; and
    (6) If a previously funded applicant, include the name and date the 
past project(s) were funded. Remember HUD now defines Previously Funded 
Applicants as any applicants that received funding in FY 2001 through 
FY 2007.
    c. Narrative statement addressing the rating factors. HUD will use 
the narrative response to the ``Rating Factors'' to evaluate, rate, and 
rank applications. This NOFA has five rating factors that need to be 
addressed. The narrative statement is the main source of information. 
Applicants are advised to review each factor carefully for program-
specific requirements. All applicants submitting electronic 
applications must attach their narrative responses to Rating Factors 1-
4 as one attachment. Remember, Factor 5 is addressed by using the HUD-
96010, Program Outcome Logic Model form. Please do not repeat material 
in response to factors 1-3; instead, focus on how well the proposal 
responds to each of the factors. The response to each factor should be 
concise and contain only information relevant to the factor, yet 
detailed enough to address each factor fully. Where there are 
subfactors, each subfactor must be addressed and presented separately, 
with the short title/name of the subfactor presented. Make sure to 
address each subfactor and provide sufficient information about every 
element of the subfactor. Do not include any individual's Social 
Security Numbers in your application. The narrative section of an 
application must be submitted electronically. It must not exceed 50 
pages in length (excluding forms, budget narrative, assurances, and 
abstract) and must be formatted to fit an 8\1/2\-by-11-inch page. 
Responses must be double-spaced (information submitted in chart format 
does not have to be doubled-spaced) with one-inch margins (for the top, 
bottom, left, and right sides of the document), using the standard 
Times New Roman 12-point font. Each page of the application must 
include the applicant's name and 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. Please do not attach your response to each 
factor separately. Please follow the instructions on use of zip files, 
file extension, and file names in the General Section. File names 
should not contain spaces or special characters.
    d. 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 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 and Puerto Rico 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/workshops. Partners described in Factor 4 
Leveraging Resources/Developing Partnerships cannot receive funding 
from this grant; if they are included, points will be deducted under 
Factor 3, subfactor f. Budget and Cost Estimates.
    Applicants must also submit form HUD-424-CB to reflect the total 
cost (summary) for the entire grant performance period (Grand Total).
    Make sure that the amounts shown on the SF-424, the HUD-424-CB, and 
budget narrative 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 and/or budget narrative, the 
amount listed on the HUD-424-CB will be the amount HUD will use to 
calculate the amount the applicant is requesting for funding. 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 each line item. 
This information must be electronically submitted and formatted to fit 
an 8\1/2\-by-11-inch page. Responses must be double-spaced, with one-
inch margins (for the top, bottom, left, and right sides of the 
document), using the standard Times New Roman 12-point font. Project 
budgets will be evaluated and scored under Factor 3, Soundness of 
Approach. HUD will assess the soundness of an applicant's approach by 
evaluating the quality, thoroughness, reasonableness, and rationality 
of the proposed project budget. In addition, please provide the name, 
if known, hourly or daily rate, and the estimated time that will be 
devoted on the project for each consultant. For example, an applicant 
proposes to construct a building using HUD funding totaling $200,000. 
The following cost estimates 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

[[Page 27082]]

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 institution and/or 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. Applicants must 
use cost estimates based on 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 a project that involves 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 
approved 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.
    e. Appendix. The appendix section of the application must not 
exceed 15 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 resumes, letters of support, 
commitment letters, memoranda of understanding, and/or agreements, or 
other back-up materials to supplement the application's narrative. If 
this information is included, it will not be considered during the 
review process. HUD will not consider the information on any excess 
pages. The additional items will also slow the transmission of your 
application.
    2. Forms. The following forms are required for submission. All 
required forms are contained in the electronic application package. 
Applicants receiving a waiver of the electronic submission requirements 
and submitting a paper copy of the application must place all required 
forms in the appendix section of the application.
    a. SF-424 Supplement Survey on Ensuring Equal Opportunities for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
    b. SF-LLL, Disclosure of Lobbying Activities, if applicable;
    c. HUD-27300, Questionnaire for HUD's Removal of Regulatory 
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if 
applicable;
    d. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov), if applicable;
    e. HUD-2990, Certification of Consistency with RC/EZ/EC-II 
Strategic Plan, if applicable;
    f. HUD-2991, Certification of Consistency with the Consolidated 
Plan, if applicable;
    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! Grant Applicant Survey. 
Applicants are not required to complete this form;
    i. HUD-96010, Program Outcome Logic Model; 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 
and complete the SF-424, which 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.
    3. Certifications, 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.
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 July 2, 2008, 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 the Intergovernmental Review process.
E. Funding Restrictions
    Ineligible CDBG activities are listed at 24 CFR 570.207. Ineligible 
activities include but are not limited to the following:
    1. Curriculum development and/or expansion of an institution's 
existing curriculum;
    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); and
    5. Activities and/or buildings constructed for only campus use and/
or less than 51 percent community/public use.
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:

[[Page 27083]]

[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 (OUP) 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. All paper applications must be submitted 
on 8\1/2\-by-11-inch paper, double-spaced, on one side of the paper, 
with one-inch margins (for the top, bottom, left, and right sides of 
the document), and printed in standard Times New Roman 12-point font.

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, experience, and capacity necessary to 
successfully complete the proposed project by the end of the grant 
performance period.
    a. Knowledge and Experience for First Time Applicants (25 Points); 
For Previously Funded Applicants (10 Points). For the purpose of 
responding to this subfactor only, Previously Funded Applicants are any 
applicants that received funding in FY 2001 through FY 2007. If an 
applicant received a grant prior to these years they should respond to 
this factor as a First Time Applicant. This definition is relevant to 
this rating factor ONLY.
    In rating this subfactor, HUD will consider how well an applicant 
clearly addresses the following:
    (1) Identifies key project team members/staff and partners, their 
titles and names (e.g., project manager/coordinator--Sally Susan Smith, 
etc.), respective roles, and time each individual will allot to this 
project.
    If key personnel have not been hired, identify the position title, 
description of duties and responsibilities, and qualifications to be 
considered in the selection of personnel, including subcontractors and 
consultants;
    (2) Describes the knowledge and relevant experience of the proposed 
project team member/staff and partners (as outlined above) that will 
conduct the day-to-day project activities, consultants (including 
technical assistance providers), and contractors in planning and 
managing the type of project for which funding is being requested; and
    (3) Explains the institution's experience and capacity to 
administer and monitor the type of project for which funding is being 
requested.
    Applicant's staff and partners' (as outlined above) experience and 
the institution's capacity to do the work will be evaluated in terms of 
recent and relevant knowledge and skills 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 completed and/or open 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 between FY 2001 through 
FY 2007, including the dollar amount awarded and the amount expended 
and obligated as of the date the application is submitted;
    (2) A list detailing the date the project(s) was completed; was it 
completed during the original three-year grant performance period; if 
not completed, why (including when it was or will be completed); if the 
project is still in progress, provide details on the project's current 
status;
    (3) A description of the achieved results (outcomes) consistent 
with the approved project management plan. If not completed as 
proposed, explain why;
    (4) A list comparing the amount of proposed leveraged funds and/or 
resources (outlined in the original application) to the amount that was 
actually leveraged as of the date the application is submitted; 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; compliance with the program's terms and 
conditions; and receipt of promised leveraged resources. In evaluating 
past performance, HUD reserves the right to deduct up to ten (10) 
points from this rating score as a result of the information obtained 
from HUD's records (i.e., progress and financial reports, monitoring 
reports, Program Outcome Logic Model submissions, and amendments).
    2. Rating Factor 2: Need/Extent of the Problem (8 Points).
    a. Rating Factor 2 addresses the extent to which there is a need 
for funding the proposed project 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 cite statistics and/or analyses contained in at least one 
or more current, sound, and reliable data sources:
    (1) Describe the need(s); and
    (2) Describe the importance of meeting the proposed needs.
    b. 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 online at: http://www.ffiec.gov.
    c. HUD will consider data collected within the last five (5) years 
to be current. However, applicants must utilize the most current 
version of the data source(s) that exists. 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, 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 (45 Points). This factor 
addresses the soundness, quality, and effectiveness of the proposed 
work plan and the commitment of the applicant to sustain the proposed 
activity(s). Points are awarded under this factor for the quality of 
the activities proposed in relation to the need/problem identified in 
Factor 2, not for the number of activities proposed. In addition, if 
the activities proposed are not eligible, HUD reserves the right to 
deduct points under

[[Page 27084]]

this factor for those activities and/or not fund an application if the 
majority of the activities are ineligible.
    a. (30 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, the anticipated results 
(outcomes), and the impact they will have on the target population at 
the end of the grant performance period.
    (1) (24 Points) Specific Activities. The work plan must describe 
all proposed activities and major tasks (steps to complete the proposed 
activities) required to successfully implement the proposed project. 
The work plan must also identify the anticipated measurable outcomes 
these activities will have on the targeted population. In addressing 
this subfactor, HUD will consider the following:
    (a) Identify the method/planning strategy(s) used during the 
development of this application. Describe in detail how the proposed 
project/activities to be undertaken were identified. List all 
individuals/organizations that were involved in the planning process 
for this project and their roles;
    (b) Describe each proposed project activity in measurable terms 
(e.g., the number of persons to be trained; houses to be built or 
rehabilitated; or minorities trained to start businesses, etc.);
    (c) Identify the major tasks (steps to complete the proposed 
activities) 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.g., to 
develop a training program the following steps may occur: hiring 
staffing, purchasing supplies, developing curricula/training modules, 
conducting training, etc);
    (d) Identify the key team members/staff and partners, as identified 
in Factor 1, who will be responsible and accountable for completing 
each task;
    (e) 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; and
    (f) Describe the measurable impact (outcomes) that implementing 
each activity will have or is expected to have on the target population 
by the end of the grant performance period (e.g., number of individuals 
employed as a result of training; number of new homeowners as a result 
of the number of houses that were built or rehabilitated; or number of 
minority-owned businesses started, etc).
    (2) (6 Points) Describe clearly how each proposed activity will:
    (a) Expand the role of the institution in the target community;
    (b) Address the needs identified in Factor 2; and
    (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.
    b. (3 Points) Involvement of the Faculty and Students. The 
applicant must describe in detail how it proposes to integrate the 
institution's students (this excludes students that are project 
recipients/participants) and faculty into proposed project activities.
    c. (4 Points) Involvement of the Community. The applicant must 
describe in detail how the community (e.g., businesses, residents, and 
others) will be involved in the proposed project (e.g., development of 
an advisory committee that includes representatives of the target 
community). The applicant must identify the specific roles that 
individuals will and have played in the proposed project. The community 
must play an active role in all stages of the project. Community 
involvement must be diverse and representative of the target 
population/community.
    d. (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 FY 2009. In rating this subfactor, 
HUD will evaluate the extent to which a project 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) Submit either Part A or Part B (not both) of the complete 
questionnaire HUD-27300, ``HUD Initiative on Removal of Regulatory 
Barriers,'' found in the General Section, (2) include appropriate 
documentation, (3) identify a point of contact, and (4) indicate how 
this priority will be addressed. It is up to the applicant to determine 
which of the policy priorities they will address in order to receive 
the available two (2) points.
    e. (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 part 135).
    Regulations regarding the provision of Section 3 of the Housing and 
Urban Development Act of 1968 (12 U.S.C. 1701u) are located at 24 CFR 
135.36.
    f. (4 Points) Budget and Cost Estimates. HUD will assess the 
soundness of your approach by evaluating the quality, thoroughness, and 
rationality of the proposed project budget and budget narrative. The 
budget narrative must be broken down by line item. Administrative costs 
must be reflected under the appropriate line items (e.g., salaries, 
supplies, costs related to planning and executing the project, 
preparation/submission of HUD reports, etc.).
4. Rating Factor 4: Leveraging Resources/Developing Partnerships (10 
Points)
    This factor addresses the ability of the applicant to develop 
partnerships and secure resources that can be combined with HUD's grant 
funds to achieve the project's purpose.
    a. HUD will consider how well an applicant has established 
partnerships with other entities (other than their own institution) 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)

[[Page 27085]]

of the proposed project activities. 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 that the institution has waived may be counted. Applicants that 
have no external leveraging resources (the institution/applicant is not 
considered an external resource) will receive no points under this 
factor.
    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; and
--Faith-based and other community-based organizations.

    b. To address this factor, an applicant must provide an outline in 
their application that includes the information listed below of all 
proposed leveraged resources (including any commitment of resources 
from the applicant's own institution). Applicants must have on file at 
the time of application submission the original written commitment 
letters, memoranda of understanding, and/or agreements. Commitment 
letters, memoranda of understanding, and/or agreements must be dated 
prior to the application deadline date; if they are dated after the 
application deadline date they will not be scored.
    Each letter, memorandum of understanding, or agreement must include 
the information below:
    (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);
    (3) A specific description of how each contribution is to be used 
toward specific proposed activities (including the actual role the 
partner will have in the proposed project activities for which their 
contribution will be utilized);
    (4) The date the contribution will be made available and a 
statement that describes the duration of the contribution; and
    (5) The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services. This is only 
applicable to the original written documentation.
    c. Resources will not be counted for which there is no commitment 
letter, memorandum of understanding, agreement, or quantified level of 
commitment, and/or when the letter, memorandum of understanding, or 
agreement does not address all of the requirements outlined above. 
Commitment letters, memoranda of understanding, and/or agreements are 
not required at the time of application submission but must be on file 
at the time of application submission. If commitment letters, memoranda 
of understanding, and/or agreements are included with the application 
at the time of submission they will not be considered during the review 
process. However, applicants submitting paper applications must include 
all letters, memoranda of understanding, and/or agreements in the 
Appendix of the application. Applicants chosen to proceed to the next 
step in the selection process will be required to submit the signed and 
dated commitment letters, memoranda of understanding, and/or agreements 
outlined in the application within five (5) calendar days after initial 
contact from the 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 
and no later than the application deadline date. In addition, no points 
will be awarded for general support letters endorsing the project from 
organizations, including elected officials on the local, state, or 
national levels; therefore, please do not include them. 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 documents from the resources/organizations that are listed in 
the outline in the application. If OUP does not receive those documents 
with the required information within the allotted timeframe, an 
applicant will not receive points under this factor.

    Note: Submission of a grant award notification from another 
entity/agency in place of a commitment letter, memorandum of 
understanding, and/or agreement does not meet the requirement for 
this factor and will not be accepted.

    In scoring this factor, HUD will award
    (1) Ten (10) points to an applicant that provides leveraging 
resources as listed in their application that are 15 percent or more of 
the amount requested under this program;
    (2) Nine (9) points to an applicant that provides leveraging 
resources as listed in their application that represents 13 to 14 
percent of the amount requested under this program;
    (3) Eight (8) points to an applicant that provides leveraging 
resources as listed in their application that represents 11 to 12 
percent of the amount requested under this program;
    (4) Seven (7) points to an applicant that provides leveraging 
resources as listed in their application that represents 8 to 10 
percent of the amount requested under this program;
    (5) Six (6) points to an applicant that provides leveraging 
resources as listed in their application that represents 6 to 7 percent 
of the amount requested under this program;
    (6) Five (5) points to an applicant that provides leveraging 
resources as listed in their application that represents 5 percent of 
the amount requested under this program; and
    (7) Zero (0) points to an applicant that provides leveraging 
resources as listed in their application that is less than 5 percent of 
the amount requested under this program and/or have no external 
leveraging resources (remember, the institution/applicant is not 
considered an external resource).
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 project's proposed 
objectives and goals. Applicants are required to develop an effective, 
quantifiable, outcome-oriented evaluation plan for measuring 
performance and determining that objectives and goals have been 
achieved by using the HUD-96010, ``Program Outcome Logic Model.'' The 
Program Outcome 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.
    In evaluating this factor, HUD will assess the extent to which the 
applicant demonstrates how results of the project will be measured as 
outlined in the proposed work plan. To meet this factor requirement, 
applicants must submit a completed HUD-96010, ``Program Outcome Logic 
Model.'' Applicants must select from the list of activities and 
outcomes to determine their specific methods and measures that will be 
used to assess progress and evaluate program

[[Page 27086]]

effectiveness. If an item is not found on the list of activities or 
outcomes, applicants can select ``other'' and then insert the activity 
and/or outcome and unit of measurement. Applicants can use the 
``other'' option for up to three activities and three outcomes. See the 
instructions tab in the Logic Model for further details. HUD will not 
accept activities or outcomes selected as ``other'' that do not contain 
an identified statement of the activities/outcomes or units of 
measurement. Utilizing this form will help grantees to ensure that 
performance measures are being met and they are establishing achievable 
realistic goals.
    a. Program Outcome Logic Model instructions (using a Microsoft 
ExcelTM form) are provided in the forms appended to the 
Instruction Download from http://www.grants.gov/applicants/apply_for_grants.jsp. Applicants that do not have access to Microsoft 
ExcelTM should contact the 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 and/or The Center for Applied Management Practices at 
(717) 730-3705 (this is not a toll-free number).
    A narrative response is not required for this factor as all 
applicants must use the logic model form to respond to this factor. 
However, if a narrative is included, these pages will be included in 
the page count. HUD has developed a new approach to completing this 
form. Applicants should also review the Program Outcome Logic Model 
training, which can be found online at: http://www.hud.gov/Webcasts/index.cfm.
    b. HUD will review the outputs and outcomes in relation to the 
needs identified. ``Outcomes'' are benefits accruing to the community 
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, and/or provision of stable living 
environments through the creation of affordable housing opportunities 
(e.g., increased assets to families and communities through the 
development of affordable housing).
    Applicants must also establish 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:
    (1) 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); 
and
    (2) Measurable outcomes the grant will have on the community in 
general and the target area or population.
    Applicants must also reference policy priorities, as stated in 
response to Factor 3, and relate them to the project's goals, as 
appropriate.
    HUD will evaluate the Program Outcome Logic Model in accordance 
with the matrix provided in Attachment 1 of the General Section.
B. Review and Selection Process
    1. Application Selection Process. Two types of reviews will be 
conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Rating Factors'' 
listed in Section V. A.
    Only those applications that pass the threshold review will receive 
a technical review and be rated and ranked.
    2. Rating Panels. To review and rate applications, HUD may 
establish panels 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 for Factors 1-5; 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 4 shall be selected. If there is still 
a tie, the application with the most points for Factors 1, 2 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.
    HUD will not fund any portion of an application that is not 
eligible for funding under regulatory requirements; does not meet the 
requirements of the NOFA; or may be duplicative of other funded 
programs or activities/tasks from prior year awards. Only the eligible 
portions of an application will be funded. When the majority of the 
activities are ineligible, HUD will not fund the 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 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
    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), OMB Circular A-21 (Cost Principles for Educational 
Institutions) and OMB Circular A-133 (Audits of States, Local 
Governments, and Non-Profit Organizations). Applicants can access the 
OMB circulars at the White House

[[Page 27087]]

Web site at http://www.whitehouse.gov/omb/circulars/index.html.
    3. OMB Circulars and Governmentwide Regulations Applicable to 
Financial Assistance Programs. See the General Section for further 
discussion.
    4. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects. See the General 
Section for further discussion.
    5. Procurement of Recovered Materials. See the General Section for 
further discussion.
    6. Executive Order 13166, Improving Access to Services For Persons 
With Limited English Proficiency (LEP). Successful applicants may not 
exclude participants or beneficiaries on the basis of race, color, or 
national origin under Title VI of the Civil Rights Act. To ensure that 
program information is accessible to persons with limited English 
proficiency on the basis of national origin, successful applicants may 
follow HUD's Final Guidance to Federal Financial Assistance Recipients 
Regarding Title VI Prohibition Against National Origin Discrimination 
Affecting Limited English Proficient Persons, 72 FR 2732 (Jan. 22, 
2007).
    7. Code of Conduct. See the General Section for further discussion.
C. Reporting
    1. All grant recipients under this NOFA are required to submit 
semi-annual progress reports. The progress reports shall consist of 
three components: a narrative that must reflect the activities 
undertaken during the reporting period; a financial report that 
reflects costs incurred by budget line items, as well as a cumulative 
summary of costs incurred during the reporting period; and a HUD-96010, 
Program Outcome Logic Model which identifies output and outcome 
achievements.
    2. Applicants selected for funding should also be aware that they 
will be required to report sub-award information within 30 days of 
making a sub-award in an amount of $25,000 or greater as required by 
the Federal Funding Accountability and Transparency Act of 2006 (Public 
Law 109-282). The Federal Funding Accountability and Transparency Act 
of 2006 calls for the establishment of a central Web site that makes 
available to the public full disclosure of all entities receiving 
federal funds. Applicants should be aware that the law requires the 
information provided on the federal Web site to include the following 
elements related to all sub-award transactions $25,000 or greater.
    (a) The name of the entity receiving the award;
    (b) The amount of the award;
    (c) Information on the award, including the transaction type, 
funding agency, the North American Industry Classification System code 
or Catalog of Federal Domestic Assistance number (where applicable), 
program source, and an award title descriptive of the purpose of each 
funding action;
    (d) The location of the entity receiving the award and primary 
location of performance under the award, including the city, state, 
congressional district, and country;
    (e) A unique identifier (DUNS number) of the entity receiving award 
and of the parent entity of the recipient (DUNS number of the parent 
entity) should the entity be owned by another entity;
    (f) Federal parent award number and sub-award grant number,
    (g) The tier level the sub-award was made at; and
    (h) Any other relevant information specified by OMB.
    There are exceptions for sub-awards less than $25,000 made to 
individuals or to an entity whose annual expenditures are less than 
$300,000.
    Applicants should also be aware that the sub-award provision 
carries to all tiers (e.g., a direct award is made by HUD to an 
organization that in turn makes an award to another organization that 
then makes another award and so on). Collection of the tier level at 
which the award is made as well as federal parent award number can help 
in tracing the sub-award data as it tiers down several levels. Sub-
award reporting requirements to meet the Federal Funding Accountability 
Transparency Act of 2006 requirements will be finalized through a 
future Federal Register notice.

VII. Agency Contacts

    Applicants may contact Madlyn Wohlman-Rodriguez at (202) 402-5939 
or Susan Brunson, at (202) 402-3852. 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.

[[Page 27088]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.006


[[Page 27089]]



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-5200-N-13; 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 July 2, 2008. 
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, published March 19, 2008 (73 FR 14882), 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 (42 U.S.C. et seq.) as amended.
    2. Award Information. In Fiscal Year (FY) 2008, approximately $3 
million has been made available for this program by the Consolidated 
Appropriations Act, 2008 (Pub. L. 110-161). 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. 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 (42 U.S.C. et seq.) as amended.
A. Authority
    HUD's authority for making funding available under this NOFA is the 
Consolidated Appropriations Act, 2008 (Pub. L. 110-161). 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) 2007 
program funding announcement:
    1. Abstract and budget narrative must be electronically submitted 
and formatted to fit an 8\1/2\-by-11-inch page. Responses must be 
double-spaced, with one inch margins (for the top, bottom, left, and 
right sides of the document), using the standard Times New Roman 12-
point font.
    2. Project budgets will be evaluated and scored under Factor 3, 
Soundness of Approach. HUD will assess the applicant's budget in 
relation to its quality, thoroughness, reasonableness, and rationality 
to the proposed project.
    3. Applicants that propose ineligible activities will not be 
disqualified, but will not receive points under Factor 3 Soundness of 
Approach for the ineligible activities. HUD reserves the right to 
deduct points under this factor for those activities and/or not fund an 
application if the majority of the activities are ineligible.
    4. Applicants that have no external leveraging resources (the 
institution is not considered an external resource) under Factor 4 
Leveraging Resources/Developing Partnerships will receive no points 
under this factor.
    5. Applicants must ensure that 51 percent or more of all funds 
awarded will be utilized for the community and/or general public. These 
funds are not for the direct benefit of the institution.

II. Award Information

    In FY2008, approximately $3 million is made available for this 
program. 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. 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

[[Page 27090]]

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 online at: http://www.access.gpo.gov/nara/cfr/waisidx_06/24cfr570_06.html.
    a. 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 
modifications in accordance with the requirements of Section 504 of the 
Rehabilitation Act of 1973 (29 U.S.C. 794) and visitability 
modifications in accordance with the policy priorities described in the 
General Section;
    (4) Acquisition, construction, reconstruction, rehabilitation, or 
installation of public facilities and improvements, such as water and 
sewer facilities and streets, and compliance with accessibility 
requirements, such as those under Section 504 of the Rehabilitation Act 
of 1973 (29 U.S.C. 794) and the Americans with Disabilities Act of 1990 
(42 U.S.C. 12101);
    (5) 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 (42 U.S.C. 5305(a)(25));
    (6) 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;
    (7) 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);
    (8) 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;
    (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; and
    (10) Up to 20 percent of the grant may be used for payments of 
reasonable grant administrative costs related to planning and executing 
the project (e.g., preparation/submission of HUD reports, etc.). 
Detailed explanations of these costs are provided in the OMB circular 
A-21, Cost Principles for Educational Institutions that can be accessed 
at the White House Web site at: http://www.whitehouse.gov/omb/circulars/index.html.
    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 
of these 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 online at: http://www.hud.gov/offices/cpd/communitydevelopment/library/deskguid.cfm.
    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 $800,000 for a 
three-year (36 months) grant performance period.
    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 and meet the enrollment requirements as 
defined in Section III.A.
    d. Institutions that received grants in FY 2007 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. 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)(ii) or 570.208(d)(5) or (6);
    c. Applicants must ensure that 51 percent or more of all funds must 
be utilized for community/ general public use. These funds are not for 
the direct benefit of the institution;
    d. Applicants that propose to construct new housing or rehabilitate 
existing housing must ensure that their project and/or facilities are 
operated in accordance with applicable design and construction 
requirements, including either the Fair Housing Act and/or Section 504 
of the Rehabilitation Act of 1973 and corresponding HUD implementing 
regulations. Please note that in situations where both the Fair Housing 
Act design and construction accessibility requirements and Section 504 
design and construction accessibility requirements apply, applicants 
must apply both standards to obtain maximum accessibility; and
    e. Applicants that propose non-housing programs and facilities must 
ensure that their projects are operated in compliance with the 
requirements of

[[Page 27091]]

Section 504 of the Rehabilitation Act of 1973, the American with 
Disabilities Act (ADA), the Architectural Barriers Act (ABA), and 
corresponding HUD implementing regulations. Note that the accessibility 
standard for non-housing projects is the Uniform Federal Accessibility 
Standards (UFAS).
    4. 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.
    5. Environmental Requirements. Selection for award does not 
constitute approval of any proposed sites. Following selection for 
award, HUD will perform an environmental review of properties proposed 
for assistance in accordance with 24 CFR part 50. The results of the 
environmental review may require that proposed activities be modified 
or proposed sites be rejected. Applicants are particularly cautioned 
not to undertake or commit funds for acquisition or development of 
proposed properties prior to HUD approval of specific properties or 
areas. An application constitutes an assurance that the institution 
will assist HUD to comply with 24 CFR 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. Applicants should use the 
protocol at: http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/environment/review/protocol.pdf to supply HUD with the information 
needed for HUD to start and complete the environmental review. Further 
information and assistance on HUD's environmental requirements is 
available at http://www.hud.gov/offices/cpd/environment/index.cfm.
    6. Lead-Based Paint Requirements. Institutions and their sub-
grantees, contractors, and subcontractors must comply with the Lead-
Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846), the 
Residential Lead-Based Paint Hazard Reduction Act of 1992 (42 U.S.C. 
4851-4856), and relevant subparts of the implementing regulations at 24 
CFR part 35, such as subparts A, B, J, K and R, which apply to 
activities under this grant program.
    7. 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.
    8. 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. See the Section 3 Regulations located at 24 CFR 135.36.
    9. Affirmatively Furthering Fair Housing Requirements. Under 
Section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to 
affirmatively further fair housing. HUD requires the same of its 
funding recipients. If you are a successful applicant proposing 
housing-related activities, you will have a duty to affirmatively 
further fair housing opportunities for classes protected under the Fair 
Housing Act. Protected classes include race, color, national origin, 
religion, sex, disability, and familial status. For example: (1) 
Working with other entities in the community to overcome impediments to 
fair housing, such as discrimination in the sale or rental of housing 
or in advertising, provision of brokerage services, or lending; (2) 
Promoting fair housing choice through the expansion of homeownership 
opportunities and improved quality of services for minorities, families 
with children, and persons with disabilities; or (3) Providing housing 
mobility counseling services.

IV. Application Instruction and Submission Information

A. Instructions to Download 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. Application Content and Forms for Submission

    1. Application Content. Applications must consist of the following 
elements: abstract, narrative, budget, budget narrative, and forms. 
Applicants that received a wavier of the electronic application 
submission requirement must submit their application in the order 
below. Copies of the instructions and all forms are available online at 
http://www.grants.gov/applicants/apply_for_grants.jsp.
    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 regarding the content of the 
application from HUD; 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 14.515;
    (6) The project's proposed start date and completion date. For the 
purpose of this application, the program start date should be October 
1, 2008; 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. Abstract. Applicants must include no more than a two-page, 
doubled-spaced 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 
served, and the impact this project is expected to have on the 
community;
    (2) A statement that the institution is an eligible applicant 
because it is a two- or four-year fully accredited institution, the 
name of the accrediting agency and an assurance that the accrediting 
agency is recognized by the U.S. Department of Education;
    (3) A statement that the institution meets the definition of an 
Alaska Native

[[Page 27092]]

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 regarding the content of this application 
from HUD; therefore, please ensure the accuracy of the information); 
and
    (5) The project director, if different from the designated contact 
person, for the project, including phone number, facsimile number, and 
e-mail address.
    c. Narrative statement addressing the rating factors. HUD will use 
the narrative response to the ``Rating Factors'' to evaluate, rate, and 
rank applications. This NOFA has five rating factors that need to be 
addressed. The narrative statement is the main source of information. 
Applicants are advised to review each factor carefully for program-
specific requirements. All applicants submitting electronic 
applications must attach their narrative responses to Rating Factors 1-
4 as one attachment. Remember, Factor 5 is addressed by using the HUD-
96010, Program Outcome Logic Model form. Please do not repeat material 
in response to factors 1-3; instead, focus on how well the proposal 
responds to each of the factors. The response to each factor should be 
concise and contain only information relevant to the factor, yet 
detailed enough to address each factor fully. Where there are 
subfactors, each subfactor must be addressed and presented separately, 
with the short title/name of the subfactor presented. Make sure to 
address each subfactor and provide sufficient information about every 
element of the subfactor. Do not include any individual's Social 
Security Numbers in your application. The narrative section of an 
application must be submitted electronically. It must not exceed 50 
pages in length (excluding forms, budget narrative, assurances, and 
abstract) and must be formatted to fit an 8\1/2\-by-11-inch page. 
Responses must be double-spaced (information submitted in chart format 
does not have to be doubled-spaced) with one inch margins (for the top, 
bottom, left and right sides of the document), using the standard Times 
New Roman 12-point font. Each page of the application must include the 
applicant's name and 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. 
Please do not attach your response to each factor separately. Please 
follow the instructions on use of zip files, file extension, and file 
names in the General Section. File names should not contain spaces or 
special characters.
    d. 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 form HUD-424-CB to reflect the total 
cost (summary) for the entire grant performance period (Grand Total).
    Make sure that the amounts shown on the SF-424, HUD-424-CB, and 
budget narrative 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 and/or budget narrative, the 
amounted listed on the HUD-424-CB will be the amount HUD will use to 
calculate the amount the applicant is requesting for funding. 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 all line items. 
This information must be electronically submitted and formatted to fit 
an 8\1/2\-by-11-inch page. Responses must be doubled-spaced, with one 
inch margins (for the top, bottom, left and right sides of the 
document), using the standard Times New Roman 12-point font. Project 
budgets will be evaluated and scored under Factor 3, Soundness of 
Approach. HUD will assess the soundness of an applicant's approach by 
evaluating the quality, thoroughness, reasonableness, and rationality 
of the proposed project budget. In addition, please provide the name, 
if known, hourly or daily rate, and the estimated time that will be 
devoted on the project for each consultant. For example, an applicant 
proposes to construct a building using HUD funding totaling $200,000. 
The following cost estimates reflect 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. 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 a project that involves 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 
approved 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.
    e. Appendix. The appendix section of the application must not 
exceed 15 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 resumes, letters of support, 
commitment letters, memoranda of understanding and/or agreements, or 
other back-up materials to supplement the application's narrative. If 
this information is included, it will not be

[[Page 27093]]

considered during the review process. HUD will not consider the 
information on any excess pages. The additional items will also slow 
the transmission of your application.
    2. Forms. The following forms are required for submission. All 
required forms are contained in the electronic application package. 
Applicants receiving a waiver of the electronic submission requirements 
and submitting a paper copy of the application must place all required 
forms in the appendix section of the application.
    a. SF-424 Supplement, Survey on Ensuring Equal Opportunities for 
Applicants (``Faith Based EEO Survey'' (SF-424 SUPP) on Grants.gov);
    b. SF-LLL, Disclosure of Lobbying Activities, if applicable;
    c. HUD-27300, Questionnaire for HUD's Removal of Regulatory 
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if 
applicable;
    d. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov), if applicable;
    e. HUD-2990, Certification of Consistency with RC/EZ/EC-II 
Strategic Plan, if applicable;
    f. HUD-2991, Certification of Consistency with the Consolidated 
Plan, if applicable;
    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! Grant Applicant Survey. 
Applicants are not required to complete this form;
    i. HUD-96010, Program Outcome Logic Model; 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 
and complete the SF-424, which 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.
    3. 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.
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 July 2, 2008, 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 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 the Intergovernmental Review process.
E. Funding Restrictions
    Ineligible CDBG activities are listed at 24 CFR 570.207. Ineligible 
activities include but are not limited to the following:
    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 (OUP) 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. All paper applications must be submitted 
on 8\1/2\-by-11-inch paper, double-spaced, on one side of the paper, 
with one inch margins (for the top, bottom, left, and right sides of 
the document), and printed in standard Times New Roman 12-point font.

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, experience, and capacity necessary to 
successfully complete the proposed project by the end of the grant 
performance period.
    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) Identifies key project team members/staff and partners, their 
title and name (e.g., project manager/coordinator--Sally Susan Smith, 
etc.), respective roles, and time each will allot to this project.
    If key personnel have not been hired, identify the position title, 
description of duties and responsibilities, and qualifications to be 
considered in the selection of personnel, including subcontractors and 
consultants;
    (2) Describes the knowledge and relevant experience of the proposed 
project team members/staff and partners (as outlined above) that will 
conduct the day-to-day project activities, consultants (including 
technical assistance providers), and contractors in planning and 
managing the type of project for which funding is being requested; and
    (3) Explains the institution's experience and capacity to 
administer

[[Page 27094]]

and monitor the type of project for which funding is being requested.
    Applicant's staff and partners' experience and capacity to do the 
work will be judged in terms of recent and relevant knowledge and 
skills 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 completed and/or open 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 the application is submitted;
    (2) A list detailing the date the project(s) was completed; was it 
completed during the original three-year grant performance period; if 
not completed, why (including when it was or will be completed); if the 
project is still in progress, provide details on the project's current 
status;
    (3) A description of the achieved results (outcomes) consistent 
with the approved project management plan. If not completed as 
proposed, explain why;
    (4) A list comparing the amount of proposed leveraged funds and/or 
resources (outlined in the original application) to the amount that was 
actually leveraged as of the date the application is submitted; 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 reports; compliance with the program's terms and conditions; 
and receipt of promised leveraged resources. In evaluating past 
performance, HUD reserves the right to deduct up to ten (10) points 
from this rating score as a result of the information obtained from 
HUD's records (i.e., progress and financial reports, monitoring 
reports, Program Outcome Logic Model submissions, and amendments).
    2. Rating Factor 2: Need/Extent of the Problem (8 Points).
    a. This factor addresses the extent to which there is a need for 
funding the proposed project 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 cite statistics and/or analyses contained in at least one 
or more current, sound, and reliable data sources:
    (1) Describe the need(s); and
    (2) Describe the importance of meeting the proposed needs.
    b. 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 online at: http://www.ffiec.gov.
    c. HUD will consider data collected within the last five (5) years 
to be current. However, applicants must utilize the most current 
version of the data source(s) that exists. 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, 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 (45 Points). This factor 
addresses the soundness, quality, and effectiveness of the proposed 
work plan and the commitment of the applicant to sustain the proposed 
project activity(s). Points are awarded under this factor for the 
quality of the activities proposed in relation to the need/problem 
identified in Factor 2, not for the number of activities proposed. In 
addition, if the activities proposed are not eligible, HUD reserves the 
right to deduct points under this factor for those activities and/or 
not fund an application if the majority of the activities are 
ineligible.
    a. (30 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, the anticipated results 
(outcomes), and the impact they will have on the target population at 
the end of the grants performance period.
    (1) (25 Points) Specific Activities. The work plan must describe 
all proposed project activities and major tasks (steps to complete the 
proposed activities) required to successfully implement the proposed 
project. The work plan must also identify the anticipated measurable 
outcomes these activities will have on the target population. In 
addressing this subfactor, HUD will consider the following:
    (a) Identify the method/planning strategy(ies) used during the 
development of this application. Describe in detail how the proposed 
project/activities to be undertaken were identified. List all 
individuals/organizations that were involved in the planning process 
for this project and their roles;
    (b) Describe each proposed project activity in measurable terms 
(e.g., the number of homes that will be renovated, the number of jobs 
created, etc.);
    (c) Identify the major tasks (steps to complete the proposed 
activities) 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.g., to 
develop a training program the following steps may occur: hiring 
staffing, purchasing supplies, developing curricula/training modules, 
conducting training, etc.);
    (d) Identify the key team members/staff and partners, as identified 
in Factor 1, who will be responsible and accountable for completing 
each task;
    (e) 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; and

[[Page 27095]]

    (f) Describe the measurable impact (outcomes) that implementing 
each activity will have or is expected to have on the target population 
by the end of the grant performance period (e.g., number of individuals 
employed as of training; number of new homeowners as a result of the 
number of houses that were built or rehabilitated, etc.).
    (2) (5 Points) Describe clearly how each proposed activity will:
    (a) Expand the role of the institution in the target community;
    (b) Address the needs identified in Factor 2; and
    (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.
    b. (3 Points) Involvement of the Faculty and Students. The 
applicant must describe in detail how it proposes to integrate the 
institution's students (this excludes students that are project 
recipients/participants) and faculty into the proposed project 
activities.
    c. (4 Points) Involvement of the Community. The applicant must 
describe in detail how the community was involved in the planning of 
the proposed project and how they will be involved in its 
implementation (e.g., development of an advisory committee that 
includes representatives of the target community). The applicant must 
identify the specific roles individuals will play in all stages of the 
project. Community involvement must be representative of the target 
population/community.
    d. (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 2009. In rating this subfactor, HUD will 
evaluate the extent to which a project 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) Submit either Part A or Part B (not both) of the completed 
questionnaire HUD-27300 ``HUD's Initiative on Removal of Regulatory 
Barriers,'' found in the General Section, (2) include appropriate 
documentation, (3) identify a point of contact, and (4) indicate how 
this priority will be addressed. It is up to the applicant to determine 
which of the policy priorities they will address in order to receive 
the available two (2) points.
    e. (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 part 135).
    Regulations regarding the provision of Section 3 of the Housing and 
Urban Development Act of 1968 (12 U.S.C. 1701u) are located at 24 CFR 
135.36.
    f. (4 Points) Budget and Budget Narrative. HUD will assess the 
soundness of your approach by evaluating the quality, thoroughness, and 
rationality of the proposed project budget and narrative. The budget 
narrative must be broken down by line item. Administrative costs must 
be reflected under the appropriate line items (e.g., salaries, fringe, 
supplies, costs related to planning and executing the project, 
preparation/submission of HUD reports, etc.).
    4. Rating Factor 4: Leveraging Resources/Developing Partnerships 
(10 Points). This factor addresses the ability of the applicant to 
develop partnerships and secure resources that can be combined with 
HUD's grant funds to achieve the project's purpose.
    a. HUD will consider the extent to which the applicant has 
established partnerships with other entities (other than their 
institution) 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. 
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 that the institution has waived 
may be counted. Applicants that have no external leveraging resources 
(the institution/applicant is not considered an external resource) will 
receive no points under this factor.
    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; and/or
--Faith-based and other community-based organizations.

    b. To address this factor, an applicant must provide an outline in 
their application that includes the information listed below of all 
proposed leveraged resources (including any commitment of resources 
from the applicant's own institution). Applicants must have on file at 
the time of application submission the original commitment letters, 
memoranda of understanding, and/or agreements. Commitment letters, 
memoranda of understanding, and/or agreements must be dated prior to 
the application deadline date; if they are dated after the application 
deadline date they will not be scored.
    Each letter, memorandum of understanding, or agreement must include 
the information below:
    (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);
    (3) A specific description of how each contribution is to be used 
toward specific proposed activities (including the actual role the 
partner will have in the proposed project activities for which their 
contribution will be utilized);
    (4) The date the contribution will be made available and a 
statement that describes the duration of the contribution; and
    (5) The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services. This is only 
applicable to the original written documentation.
    c. Resources will not be counted for which there is no commitment 
letter, memorandum of understanding, agreement, or quantified level of 
commitment, and/or when the letter, memorandum of understanding, or 
agreement does not address ALL of the requirements outlined above. 
Commitment letters, memoranda of understanding, and/or agreements are

[[Page 27096]]

not required at the time of application submission but must be on file 
at the time of application submission. If commitment letters, memoranda 
of understanding, and/or agreements are included, with the application 
at time of submission they will not be considered during the review 
process. However, applicants submitting paper applications must include 
all letters, memoranda of understanding, and/or agreements in the 
Appendix of the application. Applicants chosen to proceed to the next 
step in the selection process for award will be required to submit the 
signed and dated commitment letters, memoranda of understanding, and/or 
agreements outlined in the application within five (5) calendar days 
after initial contact from the OUP. Letters, memoranda of 
understanding, and/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 and no later than the application deadline date. 
In addition, no points will be awarded for general support letters 
endorsing the project from organizations, including elected officials 
on the local, state, or national levels; therefore, please do not 
include them. 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 documents from the resources/
organizations that are listed in the outline in the application. If OUP 
does not receive those documents with the required information within 
the allotted timeframe, an applicant will not receive points under this 
factor.

    Note: Submission of a grant award notification from another 
entity/agency in place of a commitment letter, memorandum of 
understanding, and/or agreement does not meet the requirement of 
this factor and will not be accepted.

    In scoring this factor, HUD will award:
    (1) Ten (10) points to an applicant that provides leveraging 
resources as listed in their application that are 15 percent or more of 
the amount requested under this program;
    (2) Nine (9) points to an applicant that provides leveraging 
resources as listed in their application that represents 13 to 14 
percent of the amount requested under this program;
    (3) Eight (8) points to an applicant that provides leveraging 
resources as listed in their application that represents 11 to 12 
percent of the amount requested under this program;
    (4) Seven (7) points to an applicant that provides leveraging 
resources as listed in their application that represents 8 to 10 
percent of the amount requested under this program;
    (5) Six (6) points to an applicant that provides leveraging 
resources as listed in their application that represents 6 to 7 percent 
of the amount requested under this program;
    (6) Five (5) points to an applicant that provides leveraging 
resources as listed in their application that represents 5 percent of 
the amount requested under this program; and
    (7) Zero (0) points to an applicant that provides leveraging 
resources as listed in their application that is less than 5 percent of 
the amount requested under this program and/or have no external 
leveraging recourses (remember, the institution/applicant is not 
considered an external resource).
    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 project's proposed 
objectives and goals. Applicants are required to develop an effective, 
quantifiable, outcome-oriented evaluation plan for measuring 
performance and determining that objectives and goals have been 
achieved by using the HUD-96010, ``HUD Program Outcome Logic Model.'' 
The Program Outcome Logic Model is a summary of the narrative 
statements presented in Factors 1 through 3. Therefore, the information 
submitted on the Logic Model should be consistent with the information 
contained in the narrative statements.
    In evaluating this factor, HUD will assess the extent to which the 
applicant demonstrates how results of the project will be measured as 
outlined in the proposed work plan. To meet this factor requirement, 
applicants must submit a completed HUD-96010, ``Program Outcome Logic 
Model.'' Applicants must select from the list of activities and 
outcomes to determine their specific methods and measures that will be 
used to assess progress and evaluate program effectiveness. If an item 
is not found on the list of activities or outcomes, applicants can 
select ``other'' and then insert the activity and/or outcome and unit 
of measurement. Applicants can use the ``other'' option for up to three 
activities and three outcomes. See the instructions tab in the Logic 
Model for further details. HUD will not accept activities or outcomes 
selected as ``other'' that do not contain an identified statement of 
the activities/outcomes or units of measurement. Utilizing this form 
will help grantees to ensure that performance measures are being met 
and they are establishing achievable realistic goals.
    a. Program Outcome Logic Model instructions (using a Microsoft 
ExcelTM form) are provided in the forms appended to the 
Instruction Download from http://www.grants.gov/applicants/apply_for_grants.jsp. Applicants that do not have access to Microsoft 
ExcelTM should contact the 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 and/or The Center for Applied Management Practices at 
(717) 730-3705 (this is not a toll-free number).
    A narrative response is not required for this factor as all 
applicants must use the logic model form to respond to this factor. 
However, if a narrative is included, these pages will be included in 
the page count. HUD has developed a new approach to completing this 
form. Applicants should also review the Program Outcome Logic Model 
training, which can be found online at: http://www.hud.gov/webcasts/
index.cfm.
    b. HUD will review the outputs and outcomes in relation to the 
needs identified. ``Outcomes'' are benefits accruing to the community 
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 provision of stable 
living environments through the creation of affordable housing 
opportunities.
    Applicants must also establish 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:

[[Page 27097]]

    (1) 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); 
and
    (2) Measurable outcomes the grant will have on the community in 
general and the target area or population.
    Applicants must also reference policy priorities, as stated in 
response to Factor 3, and relate them to the project's goals, as 
appropriate.
    HUD will evaluate the Program Outcome Logic Model in accordance 
with the matrix provided in Attachment 1 of the General Section.

B. Review and Selection Process

1. Application Selection Process

    Two types of reviews will be conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Rating Factors'' 
listed in Section V. A. Only those applications that pass the threshold 
review will receive a technical review and be rated and ranked.
    2. Rating Panels. To review and rate applications, HUD may 
establish panels 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 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 4 shall be selected. If 
there is still a tie, the application with the most points for Factors 
1, 2 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.
    HUD will not fund any portion of an application that is not 
eligible for funding under regulatory requirements; does not meet the 
requirements of the NOFA; or may be duplicative of other funded 
programs or activities/tasks from prior year awards. Only the eligible 
portions of an application will be funded. When the majority of the 
activities are ineligible, HUD will not fund the 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. For further discussion on this matter, please refer to the 
General Section.
B. Administrative and National Policy Requirements
    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), OMB Circular A-21 (Cost Principles for Educational 
Institutions) and OMB Circular A-133 (Audits of States, Local 
Governments, and Non-Profit Organizations). Applicants can access the 
OMB circulars at the White House Web site at: http://www.whitehouse.gov/omb/circulars/index.html.
    3. OMB Circulars and Government-wide Regulations Applicable to 
Financial Assistance Programs. See the General Section for further 
discussion.
    4. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects. See the General 
Section for further discussion.
    5. Procurement of Recovered Materials. See the General Section for 
further discussion.
    6. Executive Order 13166, Improving Access to Services For Persons 
With Limited English Proficiency (LEP). Successful applicants may not 
exclude participants or beneficiaries on the basis of race, color, or 
national origin under Title VI of the Civil Rights Act. To ensure that 
program information is accessible to persons with limited English 
proficiency on the basis of national origin, successful applicants may 
follow HUD's Final Guidance to Federal Financial Assistance Recipients 
Regarding Title VI Prohibition Against National Origin Discrimination 
Affecting Limited English Proficient Persons, 72 Fed. Reg. 2732 (Jan. 
22, 2007).
    7. Code of Conduct. See the General Section for further discussion.
C. Reporting
    1. All grant recipients under this NOFA are required to submit 
quarterly progress reports. The progress reports shall consist of three 
components: a narrative that must reflect the activities undertaken 
during the reporting period; a financial report that reflects costs 
incurred by budget line item as well as a cumulative summary of cost 
incurred during the reporting period; and a HUD-96010, Program Outcome 
Logic Model form, which identifies output and outcome achievements.
    2. Applicants selected for funding should also be aware that they 
will be required to report sub-award information within 30 days of 
making a sub-award in an amount of $25,000 or greater as required by 
the Federal Funding Accountability and Transparency Act of 2006 (Public 
Law 109-282). The Federal Funding Accountability and Transparency Act 
of 2006 calls for the establishment of a central Web site that makes 
available to the public full disclosure of all entities receiving 
federal funds. Applicants should be aware that the law requires the 
information provided on the federal Web site to include the following 
elements related to all sub-award transactions $25,000 or greater.
    (a) The name of the entity receiving the award;
    (b) The amount of the award;
    (c) Information on the award, including the transaction type, 
funding

[[Page 27098]]

agency, the North American Industry Classification System code or 
Catalog of Federal Domestic Assistance number (where applicable), 
program source, and an award title descriptive of the purpose of each 
funding action;
    (d) The location of the entity receiving the award and primary 
location of performance under the award, including the city, state, 
congressional district, and country;
    (e) A unique identifier (DUNS number) of the entity receiving award 
and of the parent entity of the recipient (DUNS number of the parent 
entity) should the entity be owned by another entity;
    (f) Federal parent award number and sub-award grant number,
    (g) The tier level the sub-award was made at; and
    (h) Any other relevant information specified by OMB.

There are exceptions for sub-awards less than $25,000 made to 
individuals or to an entity whose annual expenditures are less than 
$300,000.
    Applicants should also be aware that the sub-award provision 
carries to all tiers (e.g., a direct award is made by HUD to an 
organization that in turn makes an award to another organization that 
then makes another award and so on). Collection of the tier level at 
which the award is made as well as federal parent award number can help 
in tracing the sub-award data as it tiers down several levels. Sub-
award reporting requirements to meet the Federal Funding Accountability 
Transparency Act of 2006 requirements will be finalized through a 
future Federal Register notice.

VII. Agency Contacts

    Applicants may contact Sherone Ivey at (202) 402-4200 or Susan 
Brunson at (202) 402-3852. 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.

[[Page 27099]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.007


[[Page 27100]]



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-5200-N-16; 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 July 2, 2008. 
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, published March 19, 2008 (73 FR 14882), 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) 2008, approximately $5 
million has been made available for this program by Consolidated 
Appropriations Act, 2008 (Pub. L. 110-161). An applicant can request up 
to $750,000 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. Institutions that have received three or more 
grants under this program in the past are not eligible under this NOFA. 
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 
Consolidated Appropriations Act, 2008 (Pub. L. 110-161). 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) 2007 
program funding announcement.
    1. Institutions that have received three or more grants under this 
program in the past are not eligible to submit an application for 
funding under this NOFA.
    2. Applicants can now request up to $750,000 for a three-year (36 
months) grant performance period.
    3. Abstract and budget narrative must be electronically submitted 
and formatted to fit an 8\1/2\-by-11-inch page. Responses must be 
double-spaced, with one-inch margins (for the top, bottom, left and 
right sides of the document), using the standard Times New Roman 12-
point font.
    4. Project budgets will be evaluated and scored under Factor 3, 
Soundness of Approach. HUD will assess the applicant's budget in 
relation to its quality, thoroughness, reasonableness, and rationality 
to the proposed project.
    5. Applicants that propose ineligible activities will not be 
disqualified, but will not receive points under Factor 3 Soundness of 
Approach for the ineligible activities. HUD reserves the right to 
deduct points under this factor for those activities and/or not fund an 
application if the majority of the activities are ineligible.

II. Award Information

    In FY2008, approximately $5 million is made available by the 
Consolidated Appropriations Act, 2008 (Pub. L. 110-161). An applicant 
can request up to $750,000 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 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. Institutions that have received three or more grants 
under this program in the past are not eligible to submit an 
application for funding under this NOFA. 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.
    a. Examples of eligible activities include, but are not limited to:
    (1) Building a new facility (e.g., classrooms, administrative 
offices, health and cultural centers, gymnasium, technology centers, 
etc.);
    (2) Renovating an existing or acquired facility;
    (3) Expanding an existing or acquired facility;
    (4) Equipping university facilities (e.g., lab equipment, library 
books, furniture, etc.);
    (5) Property acquisition;
    (6) Health screening;
    (7) Homeownership counseling/training;
    (8) Technical assistance to establish, expand or stabilize micro-
enterprises;
    (9) Crime, alcohol and/or drug-abuse prevention activities;

[[Page 27101]]

    (10) Youth leadership development programs/activities;
    (11) Tutoring/mentoring programs;
    (12) Child care/development programs;
    (13) Cultural activities/programs; and
    (14) Up to 20 percent of the grant may be used for payments of 
reasonable grant administrative costs related to planning and executing 
the project (e.g., preparation/submission of HUD reports, etc.). 
Detailed explanations of these costs is provided in OMB circular A-21, 
Cost Principles for Educational Institutions that can be accessed at 
the White House Web site at: http://www.whitehouse.gov/omb/circulars/index.html.
    b. Each activity proposed for funding must meet at least one of the 
three Community Development Block Grant (CDBG) program 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 
of these 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 online at: http://www.hud.gov/offices/cpd/communitydevelopment/library/deskguid.cfm.
    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 $750,000 for a 
three-year (36 months) grant performance period.
    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 have received three or more grants under this 
program in the past 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. Applicants must meet the following program 
requirements:
    a. All funds awarded are for a three-year (36 months) grant 
performance period.
    b. Although 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.
    4. 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. However, in 
accordance with HCDA section 107(e)(2), the Secretary waives the 
provisions of HCDA section 110 with respect to TCUP 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.
    5. 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. Applicants should use the 
protocol at: http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/environment/review/protocol.pdf to supply HUD with the information 
needed for HUD to start and complete the environmental review. Further 
information and assistance on HUD's environmental requirements is 
available at http://www.hud.gov/offices/cpd/environment/index.cfm.
    6. Lead-Based Paint Requirements. Institutions and their sub-
grantees, contractors, and subcontractors must comply with the Lead-
Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846), the 
Residential Lead-Based Paint Hazard Reduction Act of 1992 (42 U.S.C. 
4851-4856), and relevant subparts of the implementing regulations at 24 
CFR part 35, such as subparts A, B, J, K and R, which apply to 
activities under this grant program.
    7. 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.
    8. 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

[[Page 27102]]

economic opportunities to Section 3 residents and Section 3 business 
concerns. See the Section 3 Regulations located at 24 CFR 135.36.
    9. Affirmatively Furthering Fair Housing Requirements. Under 
Section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to 
affirmatively further fair housing. HUD requires the same of its 
funding recipients. If you are a successful applicant proposing 
housing-related activities, you will have a duty to affirmatively 
further fair housing opportunities for classes protected under the Fair 
Housing Act. Protected classes include race, color, national origin, 
religion, sex, disability, and familial status. For example: (1) 
Working with other entities in the community to overcome impediments to 
fair housing, such as discrimination in the sale or rental of housing 
or in advertising, provision of brokerage services, or lending; (2) 
Promoting fair housing choice through the expansion of homeownership 
opportunities and improved quality of services for minorities, families 
with children, and persons with disabilities; or (3) Providing housing 
mobility counseling services.

IV. Application Instruction and Submission Information.

A. Instructions to Download 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. Application Content and Forms for Submission
    1. Application Content. Applications must consist of the following 
elements: abstract, narrative, budget, budget narrative, and forms. 
Applicants that received a wavier of the electronic application 
submission requirement must submit their application in the order 
below. Copies of the instructions and all forms are available online 
at: http://www.grants.gov/applicants/apply_for_grants.jsp.
    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 regarding the contents of 
the application 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 October 1, 
2008; 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. Abstract. Applicants must include no more than a two-page, 
doubled-spaced 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 
served, and the impact this project is expected to have on the 
institution;
    (2) A statement that the institution is an eligible applicant 
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 regarding the contents of this application; 
therefore, please ensure the accuracy of the information); and
    (4) The project director, if different from the designated contact 
person for the project, including phone number, facsimile number, and 
e-mail address.
    c. Narrative statement addressing the rating factors. HUD will use 
the narrative response to the ``Rating Factors'' to evaluate, rate, and 
rank applications. This NOFA has five rating factors that need to be 
addressed. The narrative statement is the main source of information. 
Applicants are advised to review each factor carefully for program-
specific requirements. All applicants submitting electronic 
applications must attach their narrative responses to Rating Factors 1-
4 as one attachment. Remember, Factor 5 is addressed by using the HUD-
96010, Program Outcome Logic Model form. Please do not repeat material 
in response to factors 1-3; instead, focus on how well the proposal 
responds to each of the factors. The response to each factor should be 
concise and contain only information relevant to the factor, yet 
detailed enough to address each factor fully. Where there are 
subfactors, each subfactor must be addressed and presented separately, 
with the short title/name of the subfactor presented. Make sure to 
address each subfactor and provide sufficient information about every 
element of the subfactor. Do not include any individual's Social 
Security Numbers in your application. The narrative section of an 
application must be submitted electronically. It must not exceed 50 
pages in length (excluding forms, budget narrative, assurances, and 
abstract) and must be formatted to fit an 8\1/2\-by-11-inch page. 
Responses must be double-spaced (information submitted in chart format 
does not have to be doubled-spaced) with one inch margins (for the top, 
bottom, left, and right sides of the document), using the standard 
Times New Roman 12-point font. Each page of the application must 
include the applicant's name and 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. Please do not attach your response to each 
factor separately. Please follow the instructions on use of zip files, 
file extension, and file names in the General Section. File names 
should not contain spaces or special characters.
    d. 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 TCUP conference/workshop every year 
of the three-year grant performance period. To

[[Page 27103]]

calculate travel expenses, applicants should use Washington, DC as the 
site of all conferences/workshops.
    Applicants must also submit form HUD-424-CB to reflect the total 
cost (summary) for the entire grant performance period (Grand Total).
    Make sure that the amounts shown on the SF-424, HUD-424-CB, and 
budget narrative 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 and/or budget 
narrative, the amount listed on the HUD-424-CB will be the amount HUD 
will use to calculate the amount the applicant is requesting for 
funding. 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 all line items. 
This information must be electronically submitted and formatted to fit 
an 8\1/2\-by-11-inch page. Responses must be doubled-spaced, with one 
inch margins (for the top, bottom, left, and right sides of the 
document), using the standard Times New Roman 12-point font. Project 
budgets will be evaluated and scored under Factor 3, Soundness of 
Approach. HUD will assess the soundness of an applicant's approach by 
evaluating the quality, thoroughness, reasonableness, and rationality 
of the proposed project budget. In addition, please provide the name, 
if known, hourly or daily rate, and the estimated time that will be 
devoted to the project for each consultant. For example, an applicant 
proposes to construct an addition to an existing building using HUD 
funding that will cost approximately $200,000. The following cost 
estimates 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 institution and/or 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. 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 a project that involves 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 
approved 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.
    e. Appendix. The appendix section of an application must not exceed 
15 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 resumes, letters of support, commitment 
letters, memoranda of understanding and/or agreements, or other back-up 
materials to supplement the application's narrative. If this 
information is included, it will not be considered during the review 
process. HUD will not consider the information on any excess pages. The 
additional items will also slow the transmission of your application.
    2. Forms. The following forms are required for submission. All 
required forms are contained in the electronic application package. 
Applicants receiving a waiver of the electronic submission requirements 
and submitting a paper copy of the application must place all required 
forms in the appendix section of the application.
    a. SF-424 Supplement, Survey on Ensuring Equal Opportunities for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
    b. SF-LLL, Disclosure of Lobbying Activities, if applicable;
    c. HUD-27300, Questionnaire for HUD's Removal of Regulatory 
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if 
applicable;
    d. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov), if applicable;
    e. HUD-2990, Certification of Consistency with RC/EZ/EC-II 
Strategic Plan, if applicable;
    f. 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;
    g. HUD-2994-A, You Are Our Client! Grant Applicant Survey. 
Applicants are not required to complete this form;
    h. HUD-96010, Program Outcome Logic Model; and
    i. 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 
and complete the SF-424, which 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 cover sheet. HUD 
will not read any faxes that are sent without the HUD-96011 fax 
transmittal cover page.
    3. 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.
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 July 2, 2008, the application deadline date. In an 
effort to address any issues with transmission of your application, 
applicants are strongly encouraged to

[[Page 27104]]

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 the Intergovernmental Review process.
E. Funding Restrictions
    Ineligible activities for funding under this program include, but 
are not limited to the following:
    1. Renovation and/or building 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 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
    6. Curriculum development and/or expansion on an institution's 
existing curriculum.
F. Other Submission Requirements
    1. Application Submission and Receipt Procedure. Please read the 
General Section carefully and completely for the electronic submission 
and receipt procedures for all applications because failure to comply 
may disqualify your application.
    2. Waiver of Electronic Submission Requirements. 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 (OUP) 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. All paper applications must be submitted 
on 8\1/2\-by-11-inch paper, double-spaced, on one side of the paper, 
with one inch margins (for the top, bottom, left, and right sides of 
the document), and printed in standard Times New Roman 12-point font.

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, experience, and capacity necessary to 
successfully implement the proposed project by the end of the grant 
performance period.
    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) Identifies key project team members/staff, their title and name 
(e.g., project manager/coordinator-Sally Sue Smith, etc.), respective 
roles, and time each will allot to this project;
     If key personnel have not been hired, identify the position title, 
description of duties and responsibilities, and qualifications to be 
considered in the selection of personnel, including subcontractors and 
consultants;
    (2) Describes the knowledge and relevant experience of the proposed 
project team members/staff (as outlined above) that will conduct the 
day-to-day project activities, consultants (including technical 
assistance providers), and contractors in planning and managing the 
type of project for which funding is being requested; and
    (3) Explains the institution's experience and capacity to 
administer and monitor the type of project for which funding is being 
requested.
    Applicant's staff experience and the institution's capacity to do 
the work will be judged in terms of recent and relevant knowledge and 
skills 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 completed and/or open 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 the 
application is submitted;
    (2) A list detailing the date the project(s) was completed; was it 
completed during the original three-year grant performance period; and 
if not completed, why (including when it was or will be completed); if 
the project is still in progress, provide details on the project's 
current status;
    (3) A description of the achieved results (outcomes) consistent 
with the approved project management plan. If not completed as proposed 
explain why;
    (4) A list comparing the amount of proposed leveraged funds and/or 
resources (outlined in the original application) to the amount that was 
actually leveraged as of the date the application is submitted; 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 reports; and compliance with the program's required terms and 
conditions. In evaluating past performance, HUD reserves the right to 
deduct up to ten (10) points from this rating score as a result of the 
information obtained from HUD's records (i.e., progress and financial 
reports, monitoring reports, Program Outcome Logic Model submission, 
and amendments).
    2. Rating Factor 2: Need/Extent of the Problem (8 points).
    a. This factor addresses the extent to which there is a need for 
funding the proposed project 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 cite 
statistics and/or analyses contained in at least one or more current, 
sound, and reliable data sources:
    (1) Describe the need(s); and
    (2) Describe the importance of meeting the proposed needs.

[[Page 27105]]

    b. 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. Applicants must include the source and date of the 
information presented.
    3. Rating Factor 3: Soundness of Approach (49 points). This factor 
addresses the soundness, quality, and effectiveness of the proposed 
work plan and the commitment of the applicant to sustain the proposed 
project activity(s). Points are awarded under this factor for the 
quality of the activities proposed in relation to the need/problem 
identified in Factor 2, not for the number of activities proposed. In 
addition, if the activities proposed are not eligible, HUD reserves the 
right to deduct points under this factor for those activities and/or 
not fund an application if the majority of the activities are 
ineligible.
    a. (40 Points) Quality of Work Plan. This subfactor will be 
evaluated on the extent to which an applicant provides a clear detailed 
description of the proposed project activities, the anticipated results 
(outcomes), and the impact they will have on the target population at 
the end of the grant performance period.
    (1) (35 points) Specific Activities. The work plan must describe 
all proposed project activities and major tasks (steps to complete the 
proposed activities) required to successfully implement the proposed 
project. The work plan must also identify the anticipated measurable 
outcomes these activities will have on the targeted population. In 
addressing this subfactor, HUD will consider the following:
    (a) Identify the method/planning strategy(s) used during the 
development of this application. Describe in detail how the proposed 
project/activities to be undertaken were identified.
    (b) Describe each proposed project activity in measurable terms 
(e.g., 50 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);
    (c) Identify the major tasks (steps to complete the proposed 
activities) required in sequential order to successfully implement and 
complete each proposed project activity. Include the target completion 
dates for the tasks (6-month intervals, up to 36 months);
    (d) Identify the key team members/staff, as identified in Factor 1, 
who will be responsible and accountable for completing each task;
    (e) 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; and
    (f) Describe the measurable impact (outcomes) that implementing 
each activity will have or is expected to have on the target population 
by the end of the grant performance period (e.g., number of facilities 
built, number of classrooms equipped etc.).
    (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 in detail how it proposes to integrate the 
institution's students (this excludes students that are project 
recipients/participants) 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 2009. In rating this subfactor, HUD will 
evaluate the extent to which a project 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 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 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) Submit either Part A or Part B (not both) of the completed 
questionnaire HUD-27300 ``HUD's Initiative on Removal of Regulatory 
Barriers,'' found in the General Section, (2) include appropriate 
documentation, (3) identify a point of contact, and (4) indicate how 
this priority will be addressed. It is up to the applicant to determine 
which of the policy priorities they will address in order to receive 
the available two (2) points.
    d. (5 Points) Budget and Budget Narrative. HUD will assess the 
soundness of your approach by evaluating the quality, thoroughness, and 
rationality of the proposed project budget and narrative. The budget 
narrative must be broken down by line item. Administrative costs must 
be reflected under the appropriate line items (e.g., salaries, fringe, 
costs related to planning and executing the project, preparation/
submission of HUD reports, etc.).
    4. Rating Factor 4: Leveraging Resources (6 points). This factor 
addresses the ability of the applicant to secure resources that can be 
combined with HUD's grant funds to achieve the project's purpose.
    a. HUD will consider the extent to which the applicant secures 
additional resources to increase the effectiveness of the proposed 
program activities. Overhead and other institutional costs that the 
institution has waived can be counted.
    Examples of potential sources for outside assistance include:

--Tribal, federal, state, and local governments;
--Federal, state, and local governments;
--Local or national nonprofit organizations;
--Financial institutions and/or private businesses;
--Foundations; and/or
--Faith-based and other community-based organizations.

    b. To address this factor, an applicant must provide an outline in 
their application that includes the information listed below of all 
proposed leveraged resources (including any commitment of resources 
from the applicant's own institution). Applicants must have on file at 
the time of application submission the original commitment letters, 
memoranda of understanding, and/or agreements. Commitment letters, 
memoranda of understanding, and/or agreements must be dated prior to 
the application

[[Page 27106]]

deadline date; if they are dated after the application deadline date 
they will not be scored.
    Each letter, memorandum of understanding, or agreement must include 
the following information below:
    (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);
    (3) A specific description of how each contribution is to be used 
toward specific proposed activities;
    (4) The date the contribution will be made available and a 
statement that describes the duration of the contribution; and
    (5) The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services. This is only 
applicable to the original written documentation.
    c. Resources will also not be counted for which there is no 
commitment letter, memorandum of understanding, agreement, or 
quantified level of commitment, and/or when the letter, memorandum of 
understanding, or agreement does not address ALL of the requirements 
outlined above. Commitment letters, memoranda of understanding and/or 
agreements are not required at the time of application submission but 
must be on file at the time of application submission. If commitment 
letters, memoranda of understanding, and/or agreements are included 
with the application at time of submission they will not be considered 
during the review process. However, applicants submitting paper 
applications must include all letters, memoranda of understanding, and/
or agreements in the Appendix of the application. Applicants chosen to 
proceed to the next step in the selection process will be required to 
submit the signed and dated commitment letters, memoranda of 
understanding, and/or agreements outlined in the application within 
five (5) calendar days after initial contact from OUP. Letters, 
memoranda of understanding, and/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 and no later than the application 
deadline date. In addition, no points will be awarded for general 
support letters endorsing the project from organizations, including 
elected officials on the local, state, or national levels; therefore, 
please do not include them. 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 documents from the 
resources/organizations that are listed in the outline in the 
application. If OUP does not receive those documents with the required 
information within the allotted timeframe, an applicant will not 
receive points under this factor.

    Note: Submission of a grant award notification from another 
entity/agency in place of a commitment letter, memorandum of 
understanding, and/or agreement does not meet the requirement of 
this factor and will not be accepted.

    In scoring this factor, HUD will award:
    (1) Six (6) points to an applicant that provides leveraging 
resources as listed in their application that represent 10 percent or 
more of the amount requested under this program;
    (2) Five (5) points to an applicant that provides leveraging 
resources as listed in their application that represent 9 percent of 
the amount requested under this program;
    (3) Four (4) points to an applicant that provides leveraging 
resources as listed in their application that represent 8 percent of 
the amount requested under this program;
    (4) Three (3) points to an applicant that provides leveraging 
resources as listed in their application that represent 7 percent of 
the amount requested under this program;
    (5) Two (2) points to an applicant that provides leveraging 
resources as listed in their application that represent 6 percent of 
the amount requested under this program; and
    (6) One (1) point to an applicant that provides leveraging 
resources as listed in their application that represent 5 present of 
the amount requested under this program.
    (7) Zero (0) points to an applicant that provides leveraging 
resources as listed in their application that is less than 4 percent of 
the amount requested under this program.
    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 project's proposed 
objectives and goals. Applicants are required to develop an effective, 
quantifiable, outcome-oriented evaluation plan for measuring 
performance and determining that objectives and goals have been 
achieved by using the HUD-96010, ``Program Outcome Logic Model.'' The 
Program Outcome Logic Model is a summary of the narrative statements 
presented in Factors 1 through 3. Therefore, the information submitted 
on the Logic Model should be consistent with the information contained 
in the narrative statements.
    In evaluating this factor, HUD will assess the extent to which the 
applicant demonstrates how results of the project will be measured as 
outlined in the proposed work plan. To meet this factor requirement, 
applicants must submit a completed HUD-96010, ``Program Outcome Logic 
Model.'' Applicants must select from the list of activities and 
outcomes to determine their specific methods and measures that will be 
used to assess progress and evaluate program effectiveness. If an item 
is not found on the list of activities or outcomes, applicants can 
select ``other'' and then insert the activity and/or outcome and unit 
of measurement. Applicants can use the ``other'' option for up to three 
activities and three outcomes. See the instructions tab in the Logic 
Model for further details. HUD will not accept activities or outcomes 
selected as ``other'' that do not contain an identified statement of 
the activities/outcomes or units of measurement. Utilizing this form 
will help grantees to ensure that performance measures are being met 
and they are establishing achievable realistic goals.
    a. Program Outcome Logic Model instructions (using a Microsoft 
ExcelTM form) are provided in the forms appended to the 
Instruction Download from http://www.grants.gov/applicants/apply_for_grants.jsp. Applicants that do not have access to Microsoft 
ExcelTM should contact the 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 and/or The Center for Applied Management Practices at 
(717) 730-3705 (this is not a toll-free number).
    A narrative response is not required for this factor as all 
applicants must use the logic model form to respond to this factor. 
However, if a narrative is included, these pages will be included in 
the page count. HUD has developed a new approach to completing this 
form. Applicants should also review the

[[Page 27107]]

Program Outcome Logic Model training, which can be found online at: 
http://www.hud.gov/webcasts/index.cfm.
    b. HUD will review the outputs and outcomes in relation to the 
needs identified. ``Outcomes'' are benefits accruing to TCUs during or 
after participation in the TCUP. Applicants must clearly identify the 
outcomes to be measured and achieved. Examples of outcomes include 
increased number of classroom spaces available, increased student 
enrollment and graduation rates, etc.
    Applicants must also establish 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:
    (1) Short- and long-term objectives to be achieved; and
    (2) Measurable outcomes the grant will have on the university or 
the target population.
    Applicants must also reference policy priorities, as stated in 
response to Factor 3, and relate them to the project's goals, as 
appropriate.
    HUD will evaluate the Program Outcome Logic Model in accordance 
with the matrix provided in Attachment 1 of the General Section.

B. Review and Selection Process

1. Application Selection Process
    Two types of reviews will be conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Rating Factors'' 
listed in Section V A.
    Only those applications that pass the threshold review will receive 
a technical review and be rated and ranked.
    2. Rating Panels. To review and rate applications, HUD may 
establish panels 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 for Factors 1-5; 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 4 shall be selected. If there is still 
a tie, the application with the most points for Factors 1, 2, 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.
    HUD will not fund any portion of an application that is not 
eligible for funding under regulatory requirements; does not meet the 
requirements of the NOFA; or may be duplicative of other funded 
programs or activities/tasks from prior year awards. Only the eligible 
portions of an application will be funded. When the majority of the 
activities are ineligible, HUD will not fund the application.
    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, 2008.

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
    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), OMB Circular A-21 (Cost Principles for Educational 
Institutions) and OMB Circular 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. See the General Section for further 
discussion.
    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 Government Contractors' Labor Relations on 
Federal and Federally Funded Construction Projects. See the General 
Section for further discussion.
    7. Executive Order 13166, Improving Access to Services For Persons 
With Limited English Proficiency (LEP). Successful applicants may not 
exclude participants or beneficiaries on the basis of race, color, or 
national origin under Title VI of the Civil Rights Act. To ensure that 
program information is accessible to persons with limited English 
proficiency on the basis of national origin, successful applicants may 
follow HUD's Final Guidance to Federal Financial Assistance Recipients 
Regarding Title VI Prohibition Against National Origin Discrimination 
Affecting Limited English Proficient Persons, 72 FR 2732 (Jan. 22, 
2007).
    8. Code of Conduct. See the General Section for further discussion.
C. Reporting
    1. All grant recipients under this NOFA are required to submit 
quarterly progress reports. The progress reports shall consist of three 
components: A narrative that must reflect the activities undertaken 
during the reporting period; a financial report that reflects costs 
incurred by budget line item, as well as a cumulative summary report 
during the reporting period; and a HUD-96010, Program Outcome Logic 
Model form, which identifies output and outcomes achieved.
    2. Applicants selected for funding should also be aware that they 
will be

[[Page 27108]]

required to report sub-award information within 30 days of making a 
sub-award in an amount of $25,000 or greater as required by the Federal 
Funding Accountability and Transparency Act of 2006 (Pub. L. 109-282). 
The Federal Funding Accountability and Transparency Act of 2006 calls 
for the establishment of a central Web site that makes available to the 
public full disclosure of all entities receiving federal funds. 
Applicants should be aware that the law requires the information 
provided on the federal Web site to include the following elements 
related to all sub-award transactions $25,000 or greater.
    (a) The name of the entity receiving the award;
    (b) The amount of the award;
    (c) Information on the award, including the transaction type, 
funding agency, the North American Industry Classification System code 
or Catalog of Federal Domestic Assistance number (where applicable), 
program source, and an award title descriptive of the purpose of each 
funding action;
    (d) The location of the entity receiving the award and primary 
location of performance under the award, including the city, state, 
congressional district, and country;
    (e) A unique identifier (DUNS number) of the entity receiving award 
and of the parent entity of the recipient (DUNS number of the parent 
entity) should the entity be owned by another entity;
    (f) Federal parent award number and sub-award grant number;
    (g) The tier level the sub-award was made at; and
    (h) Any other relevant information specified by OMB.
    There are exceptions for sub-awards less than $25,000 made to 
individuals or to an entity whose annual expenditures are less than 
$300,000.
    Applicants should also be aware that the sub-award provision 
carries to all tiers (e.g., a direct award is made by HUD to an 
organization that in turn makes an award to another organization that 
then makes another award and so on). Collection of the tier level at 
which the award is made as well as federal parent award number can help 
in tracing the sub-award data as it tiers down several levels. Sub-
award reporting requirements to meet the Federal Funding Accountability 
Transparency Act of 2006 requirements will be finalized through a 
future Federal Register notice.

VII. Agency Contacts

    Applicants may contact Sherone Ivey at (202) 402-4200, or Susan 
Brunson at (202) 402-3852. 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 2528-0215. 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.

[[Page 27109]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.008


[[Page 27110]]



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-5200-N-22; 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 June 12, 2008. 
Applications must be received and validated by Grants.gov by the 
deadline date. Please be sure to read the General Section, published 
March 19, 2008 (73 FR 14882), for electronic submission and receipt 
requirements.
G. Additional Overview Content Information
    1. Purpose of the University Partnership Dissertation Programs:
    a. Early Doctoral Student Research Grant (EDSRG) Program. To enable 
pre-candidacy 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) 2008, approximately 
$400,000 has been made available for the following Office of University 
Partnerships (OUP) dissertation programs.
    a. Early Doctoral Student Research Grant Program. Approximately 
$100,000 is available for funding. The maximum grant performance period 
is 12 months. The maximum amount that can be requested to sponsor 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 to sponsor a 
doctoral student is $25,000.
    If funding allotted for the EDSRG program remains after all 
eligible EDSRG doctoral students have been selected for award, those 
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. Institutions of higher education accredited 
by a national or regional accrediting agency recognized by the U.S. 
Department of Education that sponsor a doctoral student is the official 
applicant. However, the sponsored doctoral student is responsible for 
the completion of the application (with the assistance of the 
institution) and must meet the following program requirements:
    a. Early Doctoral Student Research Grant Program. Pre-candidacy 
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 in an accredited doctoral program;
    (2) By the application deadline date, the student's dissertation 
proposal/prospectus will be accepted by the full dissertation 
committee;
    (3) The student will have an assigned dissertation advisor; and
    (4) By September 1, 2008, the student will have satisfactorily 
completed all other written and oral doctoral degree requirements, 
including all examinations, 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 pre-candidacy 
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 FY2008 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 FY2008 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
    All research topics must focus on domestic issues that may impact 
federal problem solving and policymaking and that are relevant to HUD's 
policy priorities and annual goals and objectives. Examples of topics 
addressing these issues (applicable to

[[Page 27111]]

both the EDSRG and DDRG programs) include but are not limited to:
    1. Increase Homeownership Opportunities.
    a. Increase Minority Homeownership.
    b. Simplify the Home Buying Process (RESPA reform) and Reduce 
Settlement Costs.
    c. Set Appropriate Housing Goals for the GSEs.
    d. Counter Predatory Lending.
    e. Help Low-Income Homeowners Avoid Default and Foreclosure.
    f. Evaluate Housing Counseling.
    2. Promote Decent Affordable Housing.
    a. Reduce Regulatory Barriers to the Development of Affordable 
Housing, and 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 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 
Consolidated Appropriations Act, 2008 (Pub. L. 110-161). 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 which, among other things, establishes the policies 
governing their operation.
E. Modifications
    Listed below are major modifications from the Fiscal Year (FY) 2007 
program-funding announcement:
    1. A support letter from the doctoral student's institution will 
now be scored under Factor 3, Institutional Support. Applicants are now 
required to submit the letter with the application. This letter must 
provide details on what type of assistance the institution will give to 
the student to support the student's research.
    2. Indirect cost rates cannot be charged against this grant.

II. Award Information

    In FY 2008, approximately $400,000 has been made available for the 
Office of University Partnerships (OUP) dissertation programs as 
follows:
    A. Early Doctoral Student Research Grant Program. Approximately 
$100,000 will be made available for funding under this program. The 
maximum grant performance period is 12 months. The maximum amount that 
can be requested to sponsor 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 to sponsor a doctoral student is $25,000.
    HUD intends to fund the highest scoring EDSRG and DDRG doctoral 
applications until all available funds are awarded under each program. 
Once all eligible applicants are selected for award under the EDSRG, if 
funding is left from the original funding allotted for the EDSRG 
program due to an insufficient number of eligible EDSRG applicants, the 
remaining funds will be made available to fund eligible DDRG doctoral 
students that could not be funded because all funds allotted under the 
DDRG program have been utilized. Similarly, once all eligible DDRG 
applicants are selected for award, if any funding allotted for the DDRG 
program remains due to an insufficient number of eligible DDRG 
applicants, the remaining funds will be made available to fund eligible 
EDSRG doctoral students that could not be funded because all EDSRG 
funds will be utilized.

III. Eligibility Information

    A. Eligible Applicants. Institutions of higher education accredited 
by a national or regional accrediting agency recognized by the U.S. 
Department of Education that sponsor doctoral students are eligible to 
apply. An institution can sponsor more than one doctoral student. Each 
student is responsible for the completion of his or her own application 
(with the assistance of the institution) and must meet the following 
program requirements:
    1. Early Doctoral Student Research Grant Program. Pre-candidacy 
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. By the application deadline date, the student's dissertation 
proposal/prospectus has been accepted by the full dissertation 
committee
    c. The student will have an assigned dissertation advisor; and
    d. By September 1, 2008, the student will have satisfactorily 
completed all other written and oral doctoral degree requirements, 
including all examinations, 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, 
and purchase of data, travel expenses to collect data, transcription 
services, and compensation for interviews.
    2. Threshold Requirements Applicable to All Applicants. All

[[Page 27112]]

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;
    d. The applicant may not request 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 
Section); 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 Instructions and Submission Information

A. Instructions to Download 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. Application Content and Forms for Submission
    1. Application Content. Applications must consist of the following 
elements: table of contents, executive summary, narrative for the 
rating factors, budget, budget narrative, and forms. Applicants that 
received a wavier of the electronic application submission requirement 
must submit their application in the order below. Copies of the 
instructions and all forms are available online at http://www.grants.gov/applicants/apply_for_grants.jsp.
    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 pertinent information from 
HUD regarding this grant; 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; and
    (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 make a legally binding agreement with HUD. See the General Section 
for further information.
    b. Table of Contents.
    c. Executive Summary (700 words or less). The Executive Summary 
should, at a minimum, include a summary of the proposed research 
project that addresses the following information:
    (1) Specific purpose of the manuscript/dissertation;
    (2) Methodology being used; and
    (3) How the student meets the eligibility criteria for the program 
from which she/he is requesting funding.
    In addition, include the following information:
    (1) Student's address, telephone number, facsimile number, and e-
mail address; 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.
    d. Narrative statement addressing the rating factors. HUD will use 
the narrative response to the ``Rating Factors'' to evaluate, rate, and 
rank applications. This NOFA has four rating factors that need to be 
addressed. 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. Do not include any 
individual's Social Security Numbers in this application. The 
application narrative, bibliographies, and any supporting references 
must not exceed 15 pages in length (excluding forms, assurances, budget 
narrative, Table of Contents, Executive Summary, and letter of support) 
and must be submitted electronically and formatted to fit an 8\1/2\-by-
11-inch paper, double-spaced, with one inch margins (for the top, 
bottom, left, and right sides of the document) and 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 1-3 
as one attachment. Please do not attach your response to each factor 
separately. Please follow the instructions on use of zip files, file 
extension, and file names in the General Section. File names should not 
contain spaces or special characters.

[[Page 27113]]

    e. Budget. The budget submission must include the following:
    (1) HUD-424-CB, ``Grant Application Detailed Budget.'' This budget 
form shows the total budget by year and by line item for the program 
activities to be carried out with the proposed HUD grant. Each year of 
the program should be presented separately.
    Make sure that the amount shown on the SF-424, HUD-424-CB, and 
budget narrative are consistent and the budget totals are correct. 
Remember to check addition in totaling the categories on the HUD-424-CB 
form so that all items are included in the total. The budget form must 
be fully completed. If there is any inconsistency between any required 
forms and/or budget narrative, 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 estimate for each line 
item. The proposed cost 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.
    (3) Indirect cost. Indirect cost rates cannot be charged under 
these programs.
    f. Appendix. 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 resumes/curriculum vitas, or 
other back-up materials to supplement the application's narrative. 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.
    2. Forms. The following forms are required for submission. All 
required forms are contained in the electronic application package. 
However, doctoral students receiving a waiver of the electronic 
submission requirements that are submitting a paper copy of the 
application must place all required forms in this section.
    a. SF-424 Supplement, Survey on Ensuring Equal Opportunities for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
    b. SF-LLL, Disclosure of Lobbying Activities, if applicable;
    c. HUD-27300, Questionnaire for HUD's Removal of Regulatory 
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if 
applicable;
    d. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov), if applicable;
    e. HUD-2993, Acknowledgement of Applicant Receipt. Complete this 
form only if you have received a waiver to the electronic application 
submission requirement. Applicants are not required to include this 
form;
    f. HUD-2994-A, You Are Our Client! Grant Applicant Survey. 
Applicants are not required to complete this form;
    g. HUD-96010, Program Outcome Logic Model; and
    h. 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 
and complete the SF-424, which 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.
    3. 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.
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 June 12, 2008, 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 the Intergovernmental Review 
process.
E. Funding Restrictions
    1. Funding will 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. Indirect cost rates and honorariums cannot be charged against 
grants under this program.
    4. 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).
    5. Early Doctoral Student Research Grant (EDSRG) Program. Three 
thousand dollars of the grant funds will be held until the doctoral 
student's research manuscript has been completed and accepted for 
presentation at a conference or publication in a refereed journal by 
the end of the grant period, or a committee of three faculty members 
(including the faculty sponsor, as the principal investigator of the 
grant) has determined and certified to HUD that the manuscript is of 
high quality and worthy of submission to academic conferences or 
journals, and two copies of the research product and a CD-ROM are 
submitted to HUD in its final version.
    6. 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 and a CD-Rom are submitted to HUD in its final 
version.
F. Other Submission Requirements
    1. Application Submission and Receipt Procedure. Please read the 
General Section carefully and completely for the electronic

[[Page 27114]]

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, 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 (OUP) 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. All paper applications must be submitted 
on 8\1/2\-by-11-inch paper, double-spaced on one side of the paper, 
with one inch margins (for the top, bottom, left, and right sides of 
the document) and printed in standard Times New Roman 12-point font.

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 possess 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 and a demand 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 FY2008. In reviewing this factor, HUD will determine the 
extent to which the doctoral student clearly addresses the following:
    a. Describe the need for funding the proposed research manuscript/
dissertation (i.e., based on questions derived from identified gaps in 
the literature, and/or knowledge from professional practice).
    b. Discuss the results or findings the proposed research 
manuscript/dissertation is expected to produce and explain why the 
information will be generally accepted by researchers and practitioners 
in your field and other related disciplines.
    c. Explain the direct relationship between the 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 goals and objectives, please 
refer to the General Section.
    3. Rating Factor 3: Soundness of Approach (50 Points). This factor 
addresses the relationship between the need proposed in Factor 2, 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. (22 Points) Quality of Research.
    (1) State the proposed research question/hypotheses and how it 
relates to the need you described in Factor 2;
    (2) Describe in detail the proposed research design as it relates 
to the question/hypotheses stated above;
    (3) Explain how the proposed methodology will be used to complete 
the proposed manuscript/dissertation;
    (4) Discuss why you think the research design and methodology 
proposed is most appropriate and will produce data and information that 
will successfully answer the research hypothesis;
    (5) Identify potential obstacles in completing the research and 
discuss how they will be handled. If your research is dependent on any 
data sources that are not readily obtainable and require obtaining 
permission to access them, please outline the alternatives that will be 
utilized to complete the research should access to the data sources not 
be obtained; and
    (6) Describe the quality assurance mechanisms that will be 
integrated into the proposed research design to ensure the validity and 
quality of the results.
    b. (20 Points) Specific Activities. The work plan must identify all 
the major tasks/benchmarks involved in completing the proposed 
research. The tasks/benchmarks must be presented in a logical sequence 
of steps and phases, with individual tasks described for each, as well 
as plans for data management and analysis.
    (1) Indicate the sequence in which these tasks/benchmarks 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);
    (3) Describe the plan that will be used to manage and analyze the 
data; and
    (4) 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.
    The major tasks and benchmarks/deliverables identified must be 
consistent with those present on the HUD-96010, Program Outcome Logic 
Model.
    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 2009. 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.

[[Page 27115]]

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 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) Submit either Part A or Part B (not both) of completed 
questionnaire, HUD-27300, ``HUD's Initiative on Removal of Regulatory 
Barriers,'' found in the General Section; (2) include appropriate 
documentation; (3) identify a point of contact; and (4) indicate how 
this priority will be addressed. It is up to the applicant to determine 
which of the policy priorities they will address in order 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. Common dissemination strategies include proposing to 
present the research at academic and professional conferences, 
publishing research in peer-reviewed academic journals or research 
briefs and editorials in trade publications, issuing press releases, 
targeted mailings, use of Web sites, e-mail, list-serves, and other 
efforts intended to target findings to a relevant audience of 
researchers, policy makers and practitioners.
    e. (3 Points) Institutional Support. This subfactor addresses the 
student's ability to secure support from their institution. The student 
must provide a support letter from the institution that details and 
outlines the specific types of support/resources the institution will 
provide to support the student's research (i.e., labor cost to 
transcribe interviews, assistance with cost associated with data 
collection, student workspace, etc.). This support must be in addition 
to what is provided to all PhD. students. The letter must also describe 
the dollar value of the in-kind goods and/or service committed. This 
letter must be included with the application at the time of submission 
and be signed by the appropriate executive officer/official authorized 
at the University.
    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 Program Outcome Logic Model is a summary of the 
narrative statements presented in Factors 1 through 3. Therefore, it 
should be consistent with the information contained in the narrative 
statements.
    In evaluating this factor, HUD will assess the extent to which the 
applicant demonstrates how results of the project will be measured as 
outlined in the proposed work plan. To meet this factor requirement, 
applicants must submit a completed HUD-96010, ``HUD Program Outcome 
Logic Model.'' Applicants must select from the list of activities and 
outcomes to determine their specific methods and measures that will be 
used to assess progress and evaluate program effectiveness. If an item 
is not found on the list of activities or outcomes, applicants can 
select ``other'' and then insert the activity and/or outcome and unit 
of measurement. Applicants can use the ``other'' option for up to three 
activities and three outcomes. See the instructions tab in the Logic 
Model for further details. HUD will not accept activities or outcomes 
selected as ``other'' that do not contain an identified statement of 
the activities/outcomes or units of measurement. Utilizing this form 
will help grantees to ensure that performance measures are being met 
and they are establishing achievable realistic goals.
    a. Program Outcome Logic Model instructions (using a Microsoft 
Excel\TM\ form) are provided in the forms appended to the Instruction 
Download from http://www.grants.gov/applicants/apply_for_grants.jsp. 
Applicants that do not have access to Microsoft Excel\TM\ should 
contact the 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 and/or The Center 
for Applied Management Practices at (717) 730-3705 (this is not a toll-
free number).

    Note: A narrative response is not required for this factor as 
all applicants must use the logic model form to respond to this 
factor. However, if a narrative is included, these pages will be 
included in the page count. HUD has developed a new approach to 
completing this form. Applicants should also review the Program 
Outcome Logic Model training, which can be found online at: http://www.hud.gov/Webcasts/index.cfm.

    b. HUD will review the outputs and outcomes in relation to the 
needs identified. ``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 manU.S.C.ript/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 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; and
    (2) Indicate the sequence in which tasks will be performed.
    Students must also reference policy priorities, as stated in your 
response to Factor 3, and relate them to the project's goals, as 
appropriate.
    HUD will evaluate the Program Outcome Logic Model in accordance 
with the matrix provided in Attachment 1 of the General Section.
B. Review and Selection Process
    1. Application Selection Process.
    Two types of reviews will be conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Rating Factors'' 
listed in Section V.A.
    Only those applications that pass the threshold review will receive 
a technical review and be rated and ranked.
    2. Rating Panels. To review and rate applications, HUD may 
establish panels that 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

[[Page 27116]]

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 an offer to 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 (not students) 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 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), OMB Circular A-21 (Cost Principles for Educational 
Institutions) and OMB Circular 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.
C. Reporting Requirements
    All doctoral students that receive grant funds under this program 
NOFA are required to submit a report and Program Outcome Logic Model 
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 to HUD two copies and a CD-Rom of the approved manuscript/
dissertation in its final version and a final complete Program Outcome 
Logic Model. 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) 402-3852 or Sherone Ivey at (202) 402-4200. 
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.

[[Page 27117]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.009


[[Page 27118]]



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-5200-N-11.
    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 July 
9, 2008. 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) published March 
19, 2008 (73 FR 14882), for information on electronic deadline and 
timeliness requirements.
G. Optional, Additional Overview Content Information
    1. Funding Breakdown. This year there are three initiatives: 
Private Enforcement, Education and Outreach, and the Fair Housing 
Organization Initiatives. The following is a breakdown of each 
Initiative (please see the chart located in Section III.A. of this NOFA 
for more information on each of these components):
    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 provides legal 
practitioners with training in the area of fair housing. Eligible 
applicants are law schools accredited by the American Bar Association. 
The component is for the development and implementation of a legal 
curriculum that relates to fair housing.
    (2) National-Based Program: National Media Campaign Component. 
There are two components under PEI (General and Performance Based 
Funding Components). Three under EOI (General, Clinical Law School, and 
National Med Campaign Components).
    c. Fair Housing Organizations Initiative (FHOI). This initiative is 
to develop or expand the ability of existing eligible organizations to 
provide fair housing enforcement and to establish new fair housing 
enforcement organizations.
    Continued Development Component. This component provides funding to 
QFHOs, FHOS, and Nonprofit groups organizing to build their capacity to 
provide fair housing enforcement. Only applicants who were sponsored 
under previous FHOI Establishing New Organizations component grants may 
apply under the Continued Development Component.
    2. Electronic Applications. For FY2008, 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 $22,800,000 in FY2008 funds and any potential recapture 
is allocated to three (3) initiatives as follows:
    a. Private Enforcement Initiative (PEI) $19,000,000;
    b. Education and Outreach Initiative (EOI) $2,800,000;
    c. Fair Housing Organizations Initiative (FHOI) $1,000,000.
    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). For the EOI National Program, eligible applicants are QFHOs, 
other fair housing enforcement organizations, and other non-profit 
organizations representing groups of persons protected under title VIII 
of the Civil Rights Act of 1968.
    6. Private Enforcement Initiative--Performance-Based Funding 
Component.
    (a) Applicants awarded PBFC funding in FY 2006 and 2007 are not 
eligible to submit applications for additional PEI funding for a three-
year period based upon the fiscal year in which the grant was awarded.
    (b) Applicants awarded funding in FY 2008 under this component will 
be eligible to apply for additional PEI funding three fiscal years from 
the date the grant is awarded, subject to appropriations.
    (c) If a grantee's performance is assessed by the HUD Government 
Technical Representative (GTR) as anything less than ``Excellent'', 
then the grantee is both:
    (i) Prohibited from drawing down funds on their current grant, and
    (ii) Prohibited from receiving PBFC funding in the second or third 
grant year if applicable. Applicants selected for funding under the 
PBFC will be required to submit a Statement of Work (SOW) and a 
separate budget for each actual year of the agency's activities, for a 
period of three fiscal years commensurate with the level of funding and 
based upon appropriations.
    7. Start Date. For planning purposes, assume a start date no later 
than October 19, 2008.

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 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 Fair Housing Act and with substantially equivalent fair 
housing laws administered by State and local government agencies under 
the Fair Housing Assistance Program (FHAP). Recipients of FHIP funding 
are obliged to affirmatively further fair housing. Under the General 
Section, applicants for FHIP funds must address their obligation to 
affirmatively further fair

[[Page 27119]]

housing in the application. Applicants must address housing 
discrimination covered by the Act. Consistent with the Department's 
FHIP rule at 24 CFR 125.105, applicants must describe practices in the 
proposed service area that adversely affect the achievement of the goal 
of fair housing; specify activities to address these adverse practices, 
to be conducted with FHIP funds including the final product(s) and/or 
any reports to be produced; and describe the expected long-term 
results. Applicants will provide this information in their responses to 
the Rating Factors or by a separate affirmatively furthering fair 
housing statement.
    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. There are 
two components under this Initiative: the General Component and the 
Performance-Based Funding Component.
    2. Education and Outreach Initiative (EOI). This Initiative assists 
organizations that inform the general public about their rights and 
obligations under the Act and substantially equivalent State and local 
fair housing laws. Under this Initiative, there are two programs with a 
total of three components. They are the EOI--Regional/Local/Community-
Based Program (R/L/C-B), General Component and Clinical Law School 
Component, and the EOI--National-Based Program; National-Media Campaign 
Component.
    EOI applicants are required to describe a referral process that 
will result in referral of fair housing complaints to HUD or Fair 
Housing Assistance Program (FHAP) substantially equivalent agencies. If 
funded, the grantee will be required to develop and implement the 
complaint referral process referenced in the application.
    3. Fair Housing Organization Initiative (FHOI) This component 
provides funding to QFHOs, FHOs, and nonprofit groups organizing to 
build their capacity to provide fair housing enforcement. Only 
applicants who were sponsored under previous FHOI Establishing New 
Organizations Component grants may apply under the Continued 
Development Component.
B. Other
    1. Program Definitions. The definitions that apply to this FHIP 
section of the NOFA are:
    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 any 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 advocated 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, and 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 as described in 
24 CFR part 115 mean State and local fair housing enforcement 
government agencies that receive FHAP funds to administer laws deemed 
substantially equivalent to the Act.
    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 of the SuperNOFA.
    j. Jurisdiction under the Act is established when the complaint is 
timely filed; the complainant has standing; the respondent and the 
dwelling involved (where the complaint involves a provision or denial 
of a dwelling) is covered by the Act; and the subject matter and the 
basis of the alleged discrimination 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 terms or conditions as specified under 24 
CFR 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 any of 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 or fewer 
inhabitants or less.
    (3) Territory, including its persons and housing units, in rural 
portions of ``extended cities.'' The Census Bureau identifies the rural 
portions of extended cities.
    (4) Open country that is not part of or associated with an urban 
area. The USDA describes ``open country'' as a site separated by open 
space from any adjacent densely populated urban area. Open space 
includes undeveloped land, agricultural land, or sparsely settled 
areas, but does not include physical barriers (such as rivers and 
canals), public parks, commercial and industrial developments, small 
areas reserved for recreational purposes, or open space set aside for 
future development.

[[Page 27120]]

    (5) Any place with a population not in excess of 20,000 and not 
located in a Metropolitan Statistical Area.
    q. Statement of Work (SOW) means a document that accurately 
reflects all the tasks necessary to do the work, all the steps needed 
for good management control and specificity regarding work to be done 
and deliverables, and that provides a basis for mutual understanding of 
the requirements and tasks.
    r. Technical Evaluation Panel (TEP) means a panel whose mission is 
to accomplish sound, impartial and comprehensive evaluation of 
proposals consistent with the guidelines of the Notice of Funding 
Availability.
    s. 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.
    t. 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.
    u. 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 no English-speaking or limited English proficient);
    (2) In rural populations,
    (3) The homeless,
    (4) Persons with disabilities (e.g., physical or mental) 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) Persons in 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 2008, $24,000,000 is appropriated for the Fair 
Housing Initiatives Program (FHIP). This appropriated amount may be 
supplemented by recaptured FHIP funds awarded in previous years. Of 
this amount, approximately $22,800,000 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 program breakdown by 
Initiative/Component, eligible applicant, funding, and project period.
    A. Award Instrument. The type of funding instrument HUD may offer a 
successful applicant which sets forth the relationship between HUD and 
the awardee will be a grant or cooperative agreement, where the 
principal purpose is the transfer of funds, property, services, or 
anything of value to the awardee to accomplish an eligible 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 awardee to be in default of the grant or cooperative 
agreement and exercising available sanctions, including suspension, 
termination, and/or the recapture of funds. Also, HUD may refer 
violations or suspected violations to enforcement offices within HUD, 
the Department of Justice, or other enforcement authorities.
    If 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, 2008.

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 amount                                                                            Applicant eligible
        Initiative/Component             available         Applicant eligibility        Project period         Award caps             activities
--------------------------------------------------------------------------------------------------------------------------------------------------------
Private Enforcement Initiative              $4,000,000  Fair Housing Enforcement    12-18 months.........           $275,000  Eligible activities
 (PEI)--General Component: Assists                       Organizations (FHOs) with                                             include: (1) Complaint
 private, tax-exempt fair housing                        at least one year of                                                  intake of allegations of
 enforcement organizations in the                        experience in complaint                                               housing discrimination,
 investigation and enforcement of                        intake, complaint                                                     testing, evaluating
 alleged violations of the Fair                          investigation, testing                                                testing results, or
 Housing Act and substantially                           for fair housing                                                      providing other
 equivalent State and local fair                         violations, and                                                       investigative and
 housing laws.                                           meritorious claims in the                                             complaint support for
                                                         two years prior to the                                                administrative and
                                                         filing of the application                                             judicial enforcement of
                                                         (24 CFR 125.401(b)(2) and                                             fair housing laws; (2)
                                                         Qualified Fair Housing                                                Investigation of
                                                         Enforcement Organizations                                             individual complaints and
                                                         (QFHOs) with at least two                                             systemic housing
                                                         years of enforcement                                                  discrimination for
                                                         related experience as                                                 further enforcement
                                                         noted above, and                                                      processing by HUD through
                                                         meritorious claims in the                                             testing and other
                                                         three years prior to                                                  investigative methods;
                                                         filing this application                                               (3) Mediation or other
                                                         (24 CFR 125.103).                                                     voluntary resolution of
                                                                                                                               allegations of fair
                                                                                                                               housing discrimination
                                                                                                                               after a complaint has
                                                                                                                               been filed; and (4)
                                                                                                                               litigating fair housing
                                                                                                                               cases including procuring
                                                                                                                               expert witnesses.

[[Page 27121]]

 
Private Enforcement Initiative             $15,000,000  QFHOs (with at least two    36 months............  $275,000 per year  For a list of eligible
 (PEI)--Performance Based Funding                        years of enforcement                               for a three-year   activities see PEI
 Component (PBFC): Assists private,                      related experience) who                             duration, based   activities above.
 tax-exempt fair housing                                 have (1) received                                              upon
 enforcement organizations in the                        excellent performance                               appropriations.
 investigation and enforcement of                        reviews for FHIP PEI                                  Eligible PBFC
 alleged violations of the Fair                          awards made in two FYs                              applicants must
 Housing Act and substantially                           (FY pertains to the year                          receive a minimum
 equivalent State and local fair                         for which the funding was                          score of 95 from
 housing laws.                                           appropriated) beginning                                  the FY '08
                                                         with FY 2002 through FY                                   Technical
                                                         2006; and (2) have                                 Evaluation Panel
                                                         received a minimum score                                (TEP) to be
                                                         of 95 on the most recent                             considered for
                                                         of the two of these                                         funding
                                                         performance reviews by
                                                         the FHEO Government
                                                         Technical Representative.
Education and Outreach Initiative           $1,300,000  QFHOs, FHOs, public or      12-18 months.........           $100,000  Eligible activities may
 (EOI)--General Component: Open to                       private for profit or not                                             include, but are not
 applicants for fair housing                             for profit organizations                                              limited to conducting
 education and outreach activities.                      or institutions, or other                                             educational symposia or
 Applicants may also address the                         public or private                                                     other training;
 fair housing needs of persons with                      entities that carry out                                               developing innovative
 disabilities, the education of                          programs to prevent or                                                fair housing activities
 consumers about fair housing,                           eliminate discriminatory                                              or materials into
 financial literacy, credit                              practices. This includes                                              languages applicable to
 management, and how to avoid high                       agencies of State or                                                  your community throughout
 cost loans and abusive lending                          local governments and                                                 your project area;
 practices that violate the Fair                         agencies that participate                                             providing outreach and
 Housing Act.                                            in the Fair housing                                                   information on fair
                                                         Assistance Program                                                    housing through printed
                                                         (FHAP). See FHIP NOFA--                                               and electronic media;
                                                         Eligibility information.                                              developing and
                                                                                                                               distributing FH
                                                                                                                               brochures, PSAs for
                                                                                                                               radio, television, and
                                                                                                                               newspaper advertisements.
Education and Outreach Initiative             $500,000  Applicants who are          12 months............           $500,000  In addition to the above,
 (EOI) Clinical Law School                               accredited by the                                                     activities must include
 Component: Applications are                             American Bar Association.                                             the following: developing
 solicited for this component to                                                                                               curricula and conducting
 organize and operate a fair                                                                                                   training, seminars,
 housing legal-clinical education                                                                                              conferences and /or,
 program that will benefit the                                                                                                 symposia for students,
 public by producing well-trained                                                                                              clinicians and lawyers on
 clinicians and lawyers who are                                                                                                fair housing rights and
 capable of educating and informing                                                                                            obligations.
 the public on fair housing rights
 and obligations.
Education and Outreach Initiative           $1,000,000  QFHOs, other fair housing   12 months............         $1,000,000  Eligible activities may
 (EOI)--National-Based Program--                         enforcement                                                           include seminars,
 National Media Campaign Component:                      organizations, and other                                              conferences, symposia,
 Applicants must provide a                               non-profit organizations                                              developing and
 centralized coordination effort                         representing groups of                                                distributing brochures,
 for the development,                                    persons protected by                                                  PSAs, and radio,
 implementation, and distribution                        under title VIII of the                                               television and newspaper
 of a fair housing media campaign                        Civil Rights Act of 1968.                                             advertisements (in
 with emphasis on a fair housing                                                                                               various languages). The
 public service announcement.                                                                                                  above activities must be
                                                                                                                               conducted on a national
                                                                                                                               level.
Fair Housing Organizations                  $1,000,000  QFHOs, FHOs and Nonprofit   12 months............        $100,000 to  See PEI above.
 Initiative (FHOI)--Continued                            groups organizing to                              $150,000 based on
 Development Component.                                  build capacity to provide                           Need, Extent of
                                                         fair housing enforcement.                          the Problem, and
                                                         Only applicants who were                                     Budget
                                                         sponsored under previous                               Requirements
                                                         FHOI Establishing New
                                                         Organizations Component
                                                         grants may apply under
                                                         the Continued Development
                                                         Component.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Eligibility of Successor Organizations for PEI. HUD recognizes that 
QFHOs and FHOs may merge either 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 organization. To determine whether the 
successor organization meets 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 must establish 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 to be eligible to apply under the PEI Initiative.
    B. Cost Sharing or Matching. No matching funds are required for the 
Education and Outreach, Private Enforcement, or Fair Housing 
Organizations Initiatives.
C. Other
    1. Threshold Requirements
    Program Requirements for All Initiatives. In addition to the civil 
rights and other threshold requirements found in Section III of the 
General Section, FHIP program applications must also meet the following 
requirements:
    a. Protected Classes. All FHIP-funded projects must address housing

[[Page 27122]]

discrimination based upon race, color, religion, sex, disability, 
familial status, and/or national origin. All services and activities 
must be available to the protected class members.
    b. Tax Exempt Status. Applicants for the PEI Initiative must be a 
501(c)(3) tax-exempt organization as determined by the Internal Revenue 
Service (IRS) prior to the application deadline date to be eligible for 
funding. Please provide an IRS report showing 501(c)(3) status.
    c. Name Check Review. See the General Section.
    d. Poor Performance. Applicants are ineligible for funding if they 
are previous FHIP grantees that have received a ``Poor'' performance 
rating for their most recent performance rating by the Government 
Technical Representative (GTR). HUD will assess performance ratings for 
applicants who have received FHIP funding in grant years 2004 through 
2006. If the applicant has received a ``Poor'' performance rating for 
its most recent performance rating by the GTR, the application is then 
ineligible for the FY2008 competition. An applicant that disagrees with 
its determination of ineligibility for the FY2008 competition because 
of a ``Poor'' performance rating must adequately address the factors 
resulting in the ``Poor'' performance rating to HUD's satisfaction 
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 applicant is ineligible to apply for the 
FY2008 FHIP NOFA competition. HUD is interested in improving the 
performance of all grantees; therefore, applicants who are deemed 
ineligible because of a ``Poor'' performance rating have the right and 
are encouraged to seek HUD technical assistance to improve their 
performance to be eligible for future NOFA competitions. Applicants who 
received a ``Poor'' performance rating prior to FY2004 must provide 
written documentation that they have implemented remedies to address 
those identified issues and concerns that contributed to this ``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 (42 U.S.C. 3616 note Sec. 561(i)).
    g. Maximum Award. Applicants are ineligible for funding if they 
have requested funding in excess of the maximum amount allowed under 
the Initiative or Component for which they applied. In addition, 
inconsistencies in the requested amount and/or miscalculations that 
result in amounts over the maximum award amounts will be considered 
excessive; therefore the application will be considered ineligible.
    h. Dun and Bradstreet Numbering System (DUNS) Numbering 
Requirement. Refer to the General Section for information regarding the 
DUNS requirement. You will need a DUNS number to complete your 
electronic application because 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 80 percent of the 
activities and costs within the Statement of Work (SOW) and budget must 
be fair housing related activities.
    j. Fair Housing Assistance Program (FHAP). FHAP agencies under a 
suspension based on agency performance, as designated under 24 CFR 
115.211(b) at time of application are ineligible for funding.
    k. Minimum Technical Evaluation Panel (TEP) Score. HUD convenes a 
Technical Evaluation Panel (TEP) to review applications against the 
Rating Factors in this NOFA to determine a score. Applicants must 
receive a minimum TEP score of 75 to be considered for funding except 
for the PEI Performance Based Funding Component where a minimum score 
of 95 is necessary to be considered for funding.
    l. Application Preference. Applicants may submit multiple 
applications to the FHIP NOFA. For those who submit multiple 
applications you may receive only one award. Grantees who received 
previous PEI-PBFC awards that are current are not eligible to receive 
other FHIP funds.
    m. Independence of Awards. The application submitted must be 
independent and capable of being implemented without reliance on the 
selection of other applications. Applicants applying under the 
Education and Outreach Initiative may not use the performance (e.g., 
performance review rating or successfully completed activities) of 
another EOI organization to meet the requirements of Rating Factor 1.
    n. Training Funds. The proposed budget must set aside funds in the 
amount of $7,000 for EOI, PEI and FHOI components and $7,000 annually 
for a 36-month duration for PBFC to participate in HUD mandatory 
sponsored or approved training.
    Do not specify amounts over $7,000 for training set-aside in this 
category. If an applicant has not included this funds allocation in the 
budget and the applicant is selected for an award, HUD will modify the 
applicant's budget, reallocating the appropriate amount for training.
    o. Accessibility Requirements. All activities, facilities, and 
materials funded by this program must be accessible to and visitable by 
persons with disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54). See General 
Section for definition of ``visitable'' or HUD's Web site at http://www.concretechange.org.
    p. Fair Housing Act. Applicants are expected to address housing 
discrimination covered under the Act. HUD is determined 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 percent of their project is aimed at research.
    r. Limited English Proficiency (LEP). Successful applicants must 
ensure that their programs do not exclude persons on the basis of race, 
color, and national origin under Title VI of the Civil Rights Act. This 
may mean providing language assistance services for persons with 
limited English proficiency on the basis of their nationality. The 
Department published Final Guidance to Federal Financial Assistance 
Recipients Regarding Title VI Prohibition Against National Origin 
Discrimination Affecting Limited English Proficient Persons (72 FR 
2732), published in the January 22, 2007 Federal Register, to assist 
recipients in identifying language assistance needs and developing 
language assistance strategies.
    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 single year 
(this can be a program or fiscal year) must be audited in accordance 
with the OMBA-133 requirements as established in 24 CFR part 84 and 24 
CFR part 85.
    u. Reimbursement Requirement. PEI and FHOI grantees are required to 
reimburse the Federal government the amount of the grant from all 
settlements, conciliations, and agreements reached as a result of their 
use of FHIP funds.

[[Page 27123]]

The grantees however may choose to use the funds as program income to 
further fair housing activities rather than returning these funds to 
HUD. Using these 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 be eligible under this 
Component, an institution must be:
    (1) Recognized by the American Bar Association as having an 
accredited law school;
    (2) Legally authorized by the State where it is located to provide 
a bachelor's degree program and a law degree program;
    w. National Based Program--National Media Campaign Component. 
Applicants as their primary purpose must provide advertising and media 
services, and must have at least five years of experience as an 
advertisement/media or public relations organization. In addition, an 
applicant must include as part of its application proposal a 
subcontract with an established qualified fair housing enforcement 
organization or be a qualified fair housing enforcement organization. 
Applicants will be ineligible if they fail to meet these requirements. 
Applicants should also address Limited English Proficiency within their 
applications.
    x. Fair Housing Organizations Initiative--Continued Development 
Component. This component provides funding to QFHOs, FHOs, and 
Nonprofit groups organizing to build their capacity to provide fair 
housing enforcement. Only applicants who were sponsored under previous 
FHOI-Establishing New Organizations Components (ENOC) grants, prior to 
FY2005, may apply under the Continued Development Component.
    y. Fair Housing Organizations Initiative--ENOC grantees are 
required to complete three years of grant experience, starting from the 
date the grant agreement is executed, before receiving any other FHIP 
funding.
    2. Other Program Requirements by Initiative. Under the PBFC in 
FY2008, applicants must receive a minimum TEP score of 95 to be 
considered for funding.
    3. Performance Measures and Products. For All Initiatives and 
Components. Applicants must submit in their application a Logic Model 
(Form HUD 96010), which provides outputs and outcomes. Applicants are 
also to identify the tools they will use to identify program progress 
against their proposed outputs and outcomes. See reporting requirements 
for 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. An example of a 
completed Logic Model is included in this NOFA. The eLogic Model form 
is a Microsoft ExcelTM form, which provides a drop-down list 
from which the applicant selects the responses that best fits their 
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 Web site for dates and times for HUD 
training on the Logic Model.
    4. Testing Requirements for PEI and FHOI Applicants. All applicants 
that propose testing must review the FHIP Regulation at 24 CFR 125.10 
and address these requirements in their application.
    a. Review and Approval of Testing Methodology. If your application 
proposes testing, other than rental housing testing, HUD may require 
you to submit copies of the following documents to HUD for review and 
approval 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 approved your testing methodology for FY2006 and FY2007, you 
do not need to resubmit your testing methodology, unless your 
methodology approved by HUD is being revised. If changes are being 
considered or you have not had your testing methodology previously 
approved by HUD, you must submit a request for approval 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 
matters of public record. Awardees must provide this information to HUD 
on an annual basis. Neither the grantee nor the individual(s) on whose 
behalf any action is filed can request to HUD to waive these 
provisions.

IV. Application and Submission Information

    A. Obtaining an Application. This section describes how you may 
obtain application forms and additional information about the FHIP. 
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 may 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 
submission requirements. Applicants are encouraged to review the chart 
entitled ``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 length of the narrative response 
is ten (10) pages per factor. The narrative pages must be double-
spaced. This includes all 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 
font. You must respond fully to each rating 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 font narrative 
responses will result in five points being deducted from your overall 
score.
    2. The chart below gives a brief description of all items to be 
included in the application:

[[Page 27124]]



------------------------------------------------------------------------
 Complete application package contains      Required form and content
------------------------------------------------------------------------
Application for Federal Assistance.....  Form SF-424; (per required
                                          form).
Survey for Ensuring Equal Opportunity    SF-424 Supplement (``Faith
 for Applicants.                          Based EEO Survey (SF-424
                                          SUPP)'' on Grants.gov); (per
                                          required form).
Budget information.....................  Forms SF-424CB and SF-424-CBW)
                                          (``HUD Detailed Budget Form
                                          and Worksheet'' on
                                          Grants.gov); (per required
                                          form).
Disclosure of Lobbying Activities......  SF-LLL, if applicable; (per
                                          required form).
Applicant-Recipient Disclosure Update    HUD-2880 (``HUD Applicant
 Report.                                  Recipient Disclosure Report''
                                          on Grants.gov); (per required
                                          form).
Certification of Consistency with RC/EZ/ HUD-2990; (per required form).
 EC-IIs Strategic Plan.
Acknowledgement of Applicant receipt     HUD-2993; (per required form).
 (Required only if you are granted
 waiver to the electronic application
 requirement).
You are our client grant application     HUD-2994-A; (per required
 survey (optional).                       form).
Program Outcome Logic Model............  HUD-96010; (per required form).
Third Party Documentation Facsimile      HUD-96010 (``Facsimile
 Transmittal.                             Transmittal Form'' on
                                          Grants.gov); (per required
                                          form).
Facsimile Transmittal Form.............  HUD-96011; (per required form).
Race and Ethnic Data Reporting Form....  HUD-27061; (per required form).
America's Affordable Communities         HUD-27300 (``HUD Communities
 Initiative.                              Initiative Form'' on
                                          Grants.gov); (per required
                                          form).
Narrative for Rating Factors 1-4.......  Format described in Section
                                          IV.B of this announcement;
                                          Described in Section IV.B of
                                          this announcement.
Statement of Work......................  Format described in Section V
                                          A.3.b of this announcement.
Narrative Budget Work Plan.............  Format described in Section
                                          V.A.3.c of this announcement.
Commitment letters from third parties    No specific form or format, but
 contributing funds or in-kind            content is specified under
 resources.                               Rating Factor 4; Third
                                          parties' affirmations of
                                          amounts of their commitments.
Affirmatively Furthering Fair Housing    Short summary of how the
 Statement.                               applicant will address their
                                          obligation to affirmatively
                                          further fair housing. No
                                          specific form or format.
Addendum to Abstract--Correction of      Written documentation that
 Poor Performance (as appropriate).       performance issues and
                                          concerns have been cured. No
                                          specific form or format.
Project Abstract.......................  Short summary of project
                                          activities, areas of
                                          concentration and persons to
                                          be served. Amount requested
                                          and preference for funding, as
                                          applicable. No specific form
                                          or format.
------------------------------------------------------------------------

    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 PM Eastern Time on the application deadline date of 
July 9, 2008 to be considered timely filed. Validation may take up to 
72 hours; therefore, confirmation of receipt of your application by 
Grants.gov is not a validation that your application was complete and 
acceptable to HUD. Grants.gov will also reject applications that do not 
meet the submission 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 and FHOI Limitations for Education & Outreach--There is a 10 
percent limit on the dollar amount allowed for 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 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. 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 PM on July 9, 2008, the application 
submission deadline date.

V. Application Review Information

    A. Criteria for PEI, EOI, and FHOI applications (other than the 
National Based Program) and FHOI applications. The criteria for rating 
and ranking applications, as well as the maximum points for each Rating 
Factor, are provided below. The maximum number of points awarded any 
application is 100. An additional two Bonus Points may apply (See 
General Section).
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. If you are 
a current FHIP grantee and you received a ``Fair'' performance rating 
on your current FHIP grant, you will receive ``0'' points under this 
factor for subfactors (b) and (c).

[[Page 27125]]

    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 contractors 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 your application receiving 
lower points.
    a. Number and expertise of staff (this includes contractors and 
consultants). (5) Points for current FHIP grantees, (10) Points for New 
Applicants. You must provide a complete summary of staff expertise that 
will show sufficient, qualified staff that will be available to 
complete the proposed activities. This summary should include: Names of 
staff person(s), amount of time each will spend on project, number of 
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 lengthy 
or detailed documents. Applicants who submit resumes or other lengthy 
documents relating to staff experience will have points deducted from 
their application when the ten-page per rating factor submission 
requirement limit is exceeded.
    For PEI and FHOI Only: To receive maximum points for PEI and FHOI, 
your day-to-day program manager must devote a minimum of 75 percent of 
his/her time to this project. This individual must be located in the 
metropolitan area where the project will be carried out. This 
information must be included in the response to this Factor. PEI and 
FHOI applicants whose day-to-day managers do not have at least 75 
percent of their time dedicated to the project, will be awarded no 
points under this sub-factor. You may not designate more than one 
person to meet this 75 percent criterion. Your application must also 
clearly identify those persons that are staff at the time this 
submission, and those persons who will be assigned at a later date. 
Indicate whether the staff person is assigned to work full-time or 
part-time (if part-time, indicate the percentage of time each person 
will devote to the project). EOI applicants must devote at least 50% of 
their time 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 initiate and develop a clinical law 
curriculum. Applicants may show experience by including information on 
the development and implementation of other curriculum and/or training 
in areas such as fair housing. Please provide a copy of a curriculum 
implementation plan, if available, and/or information on developing a 
curriculum.
    (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;
    (3) Implement the curriculum design with an ABA-accredited law 
school; and
    (4) Partnering under the Clinical Law School Component. Please 
provide a brief description of the activities that each partner will 
undertake and how this partnership will enhance the project. (Please 
refer to Participation of Minority-Serving Institutions in HUD Programs 
in the General Section.)
    (a) You must identify all administrators of the clinical program 
and describe each of their functions, 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.
    (5) Describe the knowledge and experience of the proposed 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. (15) 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 past project(s) similar in scope and complexity 
(whether FHIP-funded or not) to the project proposed in your 
application, 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 FY2008 FHIP funded project. If you do 
not have any affiliates or subsidiaries, you should state this in your 
application.
    (a) If you are applying for funding under PEI and FHOI, 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 you 
have conducted successful testing in those areas.
    (ii) Describe the actions you have taken to comply with the 
requirement that you reimburse the Federal government for compensation 
received or likely to be received from FHIP-funded enforcement 
activities or that the compensation received be used as program income 
to further fair housing activities. If you are a current grantee and 
you have not addressed this requirement to reimburse the Federal 
government or use the funds as program income to further fair housing 
activities, please explain. Two (2) points will be deducted from this 
sub-factor if you have not complied with this program requirement.
    (b) EOI applicants must show that they have engaged in projects 
that are Regional/Local/Community-based. Your 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 that 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.
    (c) If you are submitting an application under the EOI--Clinical 
Law School Component, you must develop a comprehensive design concept 
Action Plan for the Clinical Law School. The Action Plan must include a 
design concept and academic structure approach that HUD will use in 
assessing your capacity to develop and operate a Fair Housing Legal-
Clinical Program. The Action Plan should clearly distinguish classroom 
and practicum elements.
    To assess your capacity to design and implement a fair housing 
curriculum, please provide documented information that your 
organization has conducted clinical project(s) similar in scope and 
complexity to the one being proposed. You must describe the knowledge 
and experience of all of the proposed faculty and staff dedicated to 
this FHIP funded activity indicating whether they have prior knowledge 
and experience in

[[Page 27126]]

establishing and implementing a similar clinical law project.
    For FHOI--CDC applicants, you must describe your FHOI-ENOC history, 
e.g. identify the funded entity and their support, and how FHOI-ENOC 
funds were used to build your capacity or establish your organization. 
Also describe how you benefited from FHOI-ENOC funds and give a 
description of your fair housing investigative and enforcement 
activities undertaken as a result of the FHOI-ENOC.
    c. Performance on past project(s). (5) 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. The past performance assessment of current FHIP 
grantees will be based on your most recent performance assessment by 
the HUD Government Technical Representative (GTR) for the past three 
(3) completed fiscal years (FY2004 through FY2006).
    HUD staff will provide this information to the Technical Evaluation 
Panel (TEP) that will evaluate your application. Based on your past 
performance, the following points will be added to your score under 
this rating sub-factor:
    (1) 5 points if you received a ``Excellent'' performance 
assessment; and
    (2) 0 points if you received a ``Good'' performance assessment.
    Transfer of Performance. Applicants submitting applications under 
PEI and EOI may not use another organization's performance review for 
assessment under this sub-factor. If you do, you will receive 0 points 
under this sub-factor and sub-factor b, above.
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, and your affirmatively furthering fair housing 
plan.
    Applicants should document and use any relevant information from 
HUD's Housing Discrimination Study 2000 (HDS2000) to respond to this 
factor. Other sources of information can be used to support this rating 
factor. You must use sound data sources to identify the level of need 
in the geographic area and the urgency, and provide Web site addresses 
for each data source (e.g., Analysis of Impediments to Fair Housing 
Choice (AI), fair housing studies, etc.). Do not include copies of the 
original reports or other materials in your application. Applicants 
that provide copies of detailed studies, including Consolidated Plans 
(including Analysis of Impediments) for their referenced project area 
will have points deducted from this factor based upon the 10 page 
submission requirement limit. Instead, reference these reports, 
statistics, or other data sources you used that are sound and reliable. 
This includes but is not limited to, HUD or other Federal, State or 
local government reports analyses, relevant economic and/or demographic 
data. This should be inclusive of 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, if applicable. 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.
    To the greatest extent possible, the data used should be specific 
to the area where the proposed activity will be conducted. You should 
document needs as they apply to that specific area(s) where your 
proposed activities will be targeted and your proximity to the target 
area, not the entire locality or State. If the data presented does not 
specifically address the target area, you should describe why the 
target area was proposed and the relationship of this data to that 
target area.
    To receive maximum points for this factor there must be a direct 
relationship between the purpose of the program funding, your proposed 
activities, the outcomes to be accomplished, and the community(ies) 
fair housing needs, describing your knowledge of and your proximity to 
the targeted area, and the issue's urgency. Applicants will not receive 
full 20 points under this rating factor unless the applicant addresses 
the target area's impediments to fair housing choice. Further, 
applicants should address the need for language services other than 
English by describing the target population's language needs.
    a. Documentation of Need. To justify the need for your project, you 
must describe:
    (1) 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;
    (2) The link between the need and your proposed activities:
    (a) How the proposed activities fill gaps left by, augment, or 
improve upon on-going fair housing 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 fair housing efforts, the 
additional funding you are requesting is necessary.
    (c) The presence of housing discrimination, high segregation 
indices or other evidence of discrimination prohibited by the Act 
within the project area.
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. Provide a 
SOW and budget.
    a. Support of Policy Priorities (8 Points). Per Section V.B.1. of 
the General Section, HUD encourages applicants to undertake specific 
activities that will assist the Department in implementing its policy 
priorities and achieving its goals for FY2008 and beyond, when the 
majority of funding recipients will be reporting programmatic results 
and achievements. 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 points. For the full 
list of each policy priority, please refer to the General Section.
    For each policy priority addressed specified, the applicant 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 the application addresses may 
receive has a point value of up to one point, with the exception that 
of the policy priority to remove regulatory barriers to affordable 
housing which has a point value of up to 2 points. To secure the 
possible 2 points for efforts to remove regulatory

[[Page 27127]]

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.
    For the Clinical Law School Component, applicants may receive up to 
5 points for partnering with a Minority Serving Institution. Please see 
the General Section for a listing of Minority Serving. For applicants 
submitting applications under the Clinical Law School Component that 
are Minority Serving Institutions, you may receive up to 5 points for 
partnering with a non-Minority Serving Institution.
    For EOI applicants only, the policy priority to promote 
participation by grassroots faith-based and other community-based 
organizations, or partnering with an organization to promote 
participation in grassroots faith-based and other community-based 
organizations has a point value of up to four points, depending on your 
response.
    b. Proposed Statement of Work (SOW) and Information Requirements 
(17 Points). The SOW and budget are attachments to the application that 
will not count toward the ten (10)-page limit on the narrative response 
to this rating factor. However, points will be given based on the 
relevance of proposed activities and expenditures (cost categories and 
dollar levels) to the needs stated in Rating Factor 2. The TEP will pay 
particular attention to implementation steps, the consistency of 
proposed activities with organizational expertise and capacity, and the 
accuracy of the SOW and budget.
    SOW--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., your organization, a subcontractor, or a 
partner), and the products, and when they will be provided to HUD. To 
receive maximum points, you must 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 must provide an estimate 
of the numbers of clients to be served.
    For the EOI General Component, HUD anticipates that products may be 
available in various languages, in addition to English: The languages 
will include French, Korean, Laotian, Vietnamese, Chinese (any Chinese 
language), Arabic, and Spanish. If other languages are necessary, 
please provide a justification in Rating Factor 2. Deliverables may be 
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 Narrative Budget Work Plan (10 Points). HUD 
will also assess the soundness of your approach by evaluating the 
quality, thoroughness, and reasonableness of the budget and financial 
controls of your organization, including 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) Related to the activities and tasks in the SOW--in terms of 
cost categories and dollar levels;
    (3) Cost-effective;
    (4) Quantifiable based on the need(s) identified in Rating Factor 
2; and
    (5) Justifiable for all cost categories in accordance with those 
indicated in the HUD-CB. If you are awarded FHIP funds, HUD staff will 
request that you provide your federally approved indirect cost rate 
during budget negotiations. 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 role in financial 
management or oversight. In addition, discuss your organization's 
capabilities in handling financial resources, disseminating payments to 
third parties, e.g. contractors, 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 the applicant may rely on 
historical data. Applicants must round all budget items to the nearest 
dollar amount.
    A written narrative budget work plan must accompany the proposed 
budget explaining each budget category listed and must explain each 
cost category. Failure to provide a written narrative budget work plan 
will result in 2 points being deducted from your rating factor. The 
narrative must explain each cost category you list. Where there are 
travel costs for contractors/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 
contractors and/or consultants do not exceed the rates and fees charged 
by local contractors and consultants. The narrative (which does not 
count toward the ten page limit) must address the Grant Application 
Detailed Budget. The budget narrative should include a brief discussion 
of how 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); expenses for 
out-stationed personnel, contracts and sub-grantees; and other direct 
costs, which may include relocation expenses, and telecommunications 
expenses; HUD will then make a final determination of cost 
effectiveness based on these listed items.
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 documented collaborative 
efforts you have with Fair Housing Assistance Program (FHAP) 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

[[Page 27128]]

the purpose(s) of your proposal. Contributions from the applicant, 
affiliates, subsidiaries, divisions, or employees of the applicant do 
not qualify as in-kind contributions. Cash or 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' planned contributions. In order to 
obtain points for leveraging third party resources you must provide 
letters of firm commitment or signed agreements from the organizations 
and/or individuals who will provide financial or in-kind support for 
your project. ``Collaboration'' refers exclusively to activities you 
are conducting or plan to conduct with Fair Housing Assistance Program 
agencies. You must provide a letter of firm commitment from a FHAP or a 
document signed by authorized representatives of the FHAP agency and 
your organization, such as a memorandum of understanding, or on their 
letterhead, stating their intent to work with you on your project. The 
FHAP agency must serve the area where the current or proposed 
activities are to be conducted. In instances where FHAPs are applicants 
and submitting letters on their own behalf, the FHAPs must state that 
FHAP funds are not being used for FHIP collaboration without prior 
approval by the FHAP GTR.
    For all applicants, each letter of firm commitment must:
    (1) State definitively a commitment to provide funding or in-kind 
resources (although the commitment may be on the condition that your 
organization receives a FHIP award);
    (2) 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;
    (3) 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 Rating Factor 3); and
    (4) Describe how these resources will be used under your SOW; and
    (5) 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 firm 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, services of a current staff person on 
a FHIP-funded project).
    There will be no points 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. 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:
    For PEI-PBFC applicants only, each letter must state the total 
dollar amount of funding or in-kind resources to be donated to the fair 
housing project, and specify the amount to be used during each of the 
three years of this project.

------------------------------------------------------------------------
                                              Percent of total project
              Points awarded                     costs from non-FHIP
                                                      resources
------------------------------------------------------------------------
One.......................................  Less than five.
Two.......................................  Five or ten.
Three.....................................  11 to 20.
Four......................................  21 to 20.
Five......................................  At least 31
------------------------------------------------------------------------

    Five points will be awarded if your application contains a letter 
or agreement from a Fair Housing Assistance Program agency stating 
their firm commitment to work with you on your project. Should the 
commitment letter lack any of the required information listed in (1) 
through (3) above, 0 points will be awarded under this factor.
5. Rating Factor 5: Achieving Results and Program Evaluation (15 
Points)
    a. In evaluating this Rating 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 SOW. 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. Applicants should mirror your logic model to 
your SOW and Budget. 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 Rating 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 Rating Factor as all 
applicants must use the Logic Model Form. Applicants that submit 
narrative responses rather than use the Logic Model Form will receive 
no points under this Rating Factor. Applicants should also review the 
Logic Model training which can be found at http://www.hud.gov/offices/adm/grants/training/training.cfm.
    b. In evaluating this Rating Factor:
    (1) Needs. HUD will review the activities/outputs and outcomes as 
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. Some 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 their organization. You 
must select from the list ``Fair Housing Services Provided'' and do not 
add additional services to that list to receive points under this 
Rating 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, as appropriate, or applicants 
may choose other activities. If other activities are identified, 
applicants must provide a brief statement to describe these activities 
or outcomes. Applicants who do not either select from the list 
``Outcomes and Indicators'' or select ``Other'', providing a brief 
description of

[[Page 27129]]

each, will not receive points under this Rating 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:
     Pre/Post Tests;
     Customer/Client Satisfaction Survey;
     Follow-up Survey;
     Observational Survey; or
     Functioning scale.

Applicants must also reference policy priorities, as stated in their 
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 
EOI National-Based Program. The criteria for rating and ranking 
applications and the maximum points for each Rating 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 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 media information campaign projects as 
appropriate on a national level. The rating of the ``applicant'' or the 
``applicant's organization and staff'' for technical merit or threshold 
compliance, unless otherwise specified, will include any sub-
contractors, consultants, and sub-recipients that are firmly committed 
to the project.
    In General. You must describe staff expertise and your 
organization's ability to complete the proposed activities within the 
grant period. HUD recognizes that, in carrying out the proposed 
activities, you may have persons already on staff, plan to hire 
additional staff, or will rely on contractors 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 contractors and these contractor activities 
amount to more than 10 percent of your total activities, you must 
submit a separate budget for each contractor. Failure to include a 
separate budget will result in lower points being assessed to your 
application. If you received a ``Fair'' performance rating, you will 
receive ``0'' points under this factor for sub-factors (b) and (c).
    (5) Points for current FHIP grantees.
    (10) Points for new applicants.
    a. Number and expertise of staff (this includes contractors and 
consultants). You must show that you will have sufficient, qualified 
staff that will be available to complete the proposed activities. The 
following information must be provided for all staff not just key 
personnel (those persons identified in SOW in Rating Factor 3: 
Soundness of Approach) assigned to or hired for this project.
    Identify all persons that will be assigned to the project by name 
and/or title and hours. You must describe the knowledge and experience 
of the proposed overall project director or day-to-day program manager 
(whose duties and responsibilities are to manage all program and 
administrative activities as outlined in the SOW and ensure that all 
timelines are met), in planning and managing national projects similar 
in scope and complex interdisciplinary programs. 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 of this application, 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).
    Whether the applicant has experienced staff or proposes to use a 
contractor sub-grantee, the extent to which the applicant provides 
rationale for how it will utilize its staff or a contractor sub-grantee 
to implement 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.
    (15) Points for current FHIP grantees.
    (15) Points for new applicants.
    b. Organizational experience. In responding to this sub-factor, 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 sub-factor, 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.
    (5) 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 current 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 2 
completed fiscal years.
    HUD staff will provide this information to the Technical Evaluation 
Panel (TEP) that will evaluate your application. Based on past 
performance, the following points will be added to your score under 
this rating sub-factor:
    (1) 5 points if you received an ``Excellent'' performance 
assessment; and
    (2) 0 points if you received a ``Good'' performance assessment.

[[Page 27130]]

2. Rating Factor 2: Need/Approach Extent of 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 meeting that national need. The applicant's submission 
will be evaluated on the extent to which it defines, describes, and 
documents the national need the application intends to address, which 
demonstrates a grasp of the elements of the need, its pervasiveness at 
the national level, and an understanding of the necessary mass media 
vehicles to disseminate information to address the need. 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 rating 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. Support of HUD Goals (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 FY2008. Describe how your proposed 
project will further and support HUD's policy priorities for FY2008. 
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, depending on your response. 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 the full list of each policy priority, please 
refer to the General Section.
    b. Statement of Work (SOW) (22 Points).
    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 
contractors. Points will be assigned based on the relevance of proposed 
activities to national needs stated in Rating 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 National Media Campaign Component, HUD anticipates that 
products should 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 Internet based services or other appropriate means to 
collect information on frequency and scope of the placement of ads.
    To obtain maximum points under this sub-factor, the applicant's SOW 
must:
    (1) Clearly describe the specific activities and tasks to be 
performed, the sequence in which tasks are to be performed and noting 
when activities must be performed simultaneously, estimated completion 
dates, and the work and program deliverables to be completed within the 
grant period. This information must include specific numbers of 
quantifiable end products and program improvements to be delivered by 
the end of the award agreement period as a result of the work 
performed;
    (2) Provide national media market coverage and specific protected 
class focus; and
    (3) Describe the methods to be used to distribute finished 
materials and gauge the effectiveness of their national marketing 
strategies.
    c. Budget Form and Narrative Budget Work Plan (15 Points). A 
written narrative budget work plan must accompany the proposed budget. 
HUD will 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 and to the 
Logic Model;
    (3) Cost-effective (as demonstrated by 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);
    (4) Reflective of an effort to provide information in a manner 
(e.g., languages, accessibility to persons with visual or hearing 
impairments, 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) Effective for yielding long-term results and innovative 
strategies or ``best practices'' that can be readily disseminated to 
other organizations and State and local governments; and
    (6) Effective with respect to the proposed National Media Campaign 
Component and its activities, training and meeting sites, and 
information services and materials, accessible to all persons including 
persons with disabilities.

[[Page 27131]]

    Indicate in the narrative budget work plan how the proposed 
project's achievements are quantifiable and relevant to 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. 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 that which 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 the applicant, 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' planned contributions. In order to 
obtain points for leveraging third party resources you must provide 
letters of firm commitment or signed agreements from the organizations 
and/or individuals who will provide financial or in-kind support for 
your project. ``Collaboration'' refers exclusively to activities you 
are conducting or plan to conduct with Fair Housing Assistance Program 
agencies. Firm letters of Commitment must:
    (1) Identify the agency, organization and/or individual committing 
resources 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
    (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 24 CFR 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:

------------------------------------------------------------------------
                                              Percent of total project
              Points awarded                     costs from non-FHIP
                                                      resources
------------------------------------------------------------------------
One.......................................  Less than five.
Two.......................................  Five to ten.
Three.....................................  11 to 20.
Four......................................  21 to 30.
Five......................................  At least 31.
------------------------------------------------------------------------

    Five points will be awarded if your application contains a letter 
of firm 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 Rating 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 http://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 Rating Factor; all 
applicants must use the Logic Model Form. Applicants that submit 
narrative responses rather than use the Logic Model Form will receive 
no points under this Rating Factor. Applicants should also review the 
Logic Model training which can be found at http://www.hud.gov/offices/adm/grants/training/training.cfm.
    b. In evaluating this Rating Factor:
    (1) HUD will review the activities/outputs and outcomes as units of 
measurement you selected 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. Some 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 their organization. Applicants 
who do not select from the list ``Fair Housing

[[Page 27132]]

Services Provided'' and/or do not add additional services to that list, 
will not receive any points under this Rating 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 other 
activities and if so, must provide a brief statement to describe these 
activities or outcomes. Applicants who do not either select from the 
list ``Outcomes and Indicators'' or select ``Other'' providing a brief 
description of each will not receive points under this Rating 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:
     Pre/Post Tests;
     Customer/Client Satisfaction Survey;
     Follow-up Survey;
     Observational Survey; or
     Functioning scale.

Applicants must also reference policy priorities, as stated in their 
response to Rating 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 (EOI-R/L/C-B)
    (a) General Component (EOI-GC);
    (b) Clinical Law School Component (EOI-CLS);
    (2) National-Based Program (EOI-NBP); National Media Campaign 
Component (EOI-NMCC).
    c. Fair Housing Organization Initiative (FHOI)
    Continued Development Component.
    For all initiatives, all eligible applications will be reviewed and 
points awarded based upon:
    (1) Narrative responses to the Factors for Award and the 
accompanying materials specified, 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 funding, except for PBFC 
applications. 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 years from FY 
2002 through FY 2006, as well as a score of 95 on the most current of 
these two performance reviews. These applicants will then be rated by 
the Technical Evaluation Panel (TEP) and ranked according to 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 tie will be broken by the Rating Factor 1 score. If a tie 
still remains, then the tie will be broken by the Rating Factor 2 
score. And if a tie remains, the application seeking a smaller amount 
of FHIP funding will be selected.
    3. Achieving Geographic Diversity of Awards.
    a. PEI and EOI: HUD reserves the discretion to distribute awards to 
as many States as possible (geographic diversity criterion) for each 
Initiative or Component. If the Selecting Official exercises this 
discretion, he or she will consider score (rank order) first, then 
geographic diversity--in the following manner: First, only qualified 
applicants will be considered--i.e., applicants achieving a score of 75 
points or higher. Second, qualified applicants will be rank ordered by 
score with the highest scoring applicant at the top of the list. Third, 
when the highest ranking applicant is selected, the Selecting Official 
will look on the list for qualified applicants from the same State. 
Those applicants will be moved to the end of the list. Then selection 
will continue with the next applicant at the top of the list. If funds 
remain after the Selecting Official goes through the list the first 
time, he or she will rank order the qualified applicants at the end of 
the list and repeat the selection process for rank order and geographic 
diversity. For the PEI-PBFC, the geographic diversity provision will be 
applied as follows: When there are two or more applications of 
sufficient quality from the same city, the application(s) with the 
lower score(s) may not be funded.
    For the Clinical Law School Component, the National Media Campaign 
Component, and the FHOI--Continued Development 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 funding amounts remain to award 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. After all applications within funding 
range have been selected or obligations are completed in an Initiative 
if funds are still available, the Selecting Official or designee will 
have the discretion to reallocate those remaining funds in rank order 
among Initiatives as follows:
    a. PEI, any remaining funds from any component will be reallocated 
first within that Initiative, if after reallocating funds within the 
Initiative and funds still remain, they shall be reallocated to EOI.
    b. EOI, any remaining funds from any component will be reallocated 
first within that Initiative; if after reallocating funds within the 
Initiative left over funds remain, they shall be reallocated to PEI;
    c. FHOI, any remaining funds will be allocated to PEI.
    D. Anticipated Announcement and Award Dates. For planning purposes, 
anticipate an announcement date of

[[Page 27133]]

September 23, 2008, and an award date of September 29, 2008.

VI. Award Administration Information

A. Award Notices
    1. Applicant Notification and Award Procedures.
    a. Notification. Information about the review and award process 
will not be available during the HUD evaluation period, which begins on 
the application deadline date for this NOFA and lasts for 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 only communicate with persons specifically 
identified in the SF-424 in the application. HUD will not provide 
information about the application to any third party such as 
contractors.
    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 based upon the 
negotiations. 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 contractor, etc.). The Grant 
Officer and Government Technical Representative will determine on a 
case-by-case basis if technical assistance or special conditions are 
required.
    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 both the 
applicant's final scores and final evaluator comments for each rating 
factor. Applicants requesting a debriefing must send a written or e-
mail 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 any third party.
B. Administrative and National Policy Requirements.
    1. Accessibility Requirements. All activities, facilities, and 
materials funded by this Program must be accessible to persons with 
disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54).
    2. Protected Classes. All FHIP-funded projects must address housing 
discrimination based upon race, color, religion, sex, disability, 
familial status, or national origin.
    3. Environmental Requirements. In accordance with 24 CFR 
50.19(b)(3), (4), (9), (12), and (13) of HUD regulations, activities 
assisted under this program are categorically excluded from the 
requirements of the National Environmental Policy Act and are not 
subject to environmental review under related laws and authorities.
    4. Procurement of Recovered Materials. State agencies (FHAP 
agencies) and agencies of a political subdivision of a State that are 
using assistance under a HUD program NOFA for procurement, and any 
person contracting with such an agency with respect to work performed 
under an assisted contract, must comply with the requirements of 
Section 6002 of the Solid Waste Disposal Act, as amended by the 
Resource Conservation and Recovery Act. See General Section for 
details.
    5. Product Information. Press releases and any other product 
intended to be disseminated to the public must be submitted to the 
Government Technical Representative (GTR) two weeks before release for 
approval and acceptance.
    6. Ensuring the Participation of Small Businesses, Small 
Disadvantaged Businesses, and Women Owned Businesses. (See General 
Section).
    7. Payment Contingent on Completion. Payment of FHIP funds is made 
on a reimbursement basis. Payments are contingent on the satisfactory 
and timely completion of your project activities and products as 
reflected in your grant or cooperative agreement. Requests for funds 
must be accompanied by financial and progress reports.
    8. Copyright Materials. You may copyright any work that is eligible 
for copyright protection subject to HUD's right to reproduce, publish, 
or otherwise 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 http://www.hud.gov for list of FHEO Regional 
Directors 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 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 contractor 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 contractor failing to 
comply with the requirements set forth in its grant or cooperative 
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. The Department 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 
http://www.HUDclips.org. Also, 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.

[[Page 27134]]



                                            Administrative Activities
----------------------------------------------------------------------------------------------------------------
             Activities                         Tasks                  Submitted by            Submitted to
----------------------------------------------------------------------------------------------------------------
1. Complete HUD-22081 Race and       ...........................  45 Days...............  GTR/GTM
 Ethnic Data Reporting Form.
2. Complete HUD-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 from start of   GTR/GTM
 Pending Grants/Contracts/Other       recipient and any            grant period and at
 Financial Agreements.                contractors.                 end of Grant.
6. Prepare and Submit Draft of       Submit Draft of Report.      One month before end    GTR/GTM
 Final Report, including HUD 96010.   Submit 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.
                                      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.   eLogic 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 (by         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-
402-7095 or 202-402-7050, respectively (these are not toll-free 
numbers). 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

    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 are 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 27135]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.010


[[Page 27136]]



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-5200-N-18; 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 July 9, 2008. 
Applications submitted through http://www.grants.gov 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, 
published March 19, 2008 (73 FR 14882) regarding application submission 
procedures and timely filing requirements.
    G. Available Funds: Approximately $47 million is 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.
    Additionally, counselors may provide counseling services to 
homeowners to prevent or resolve mortgage delinquency, default, and 
foreclosure, with the primary objective to preserve homeownership. 
Counselors provide guidance and advice to help families and individuals 
meet the responsibilities of homeownership and modify or refinance 
their loans to avoid 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 Reverse Mortgage 
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 four 
categories:
    (1) Local Housing Counseling Agencies (LHCAs);
    (2) National and Regional Intermediaries (Intermediaries);
    (3) State Housing Finance Agencies (SHFAs); and
    (4) Multi-State Organizations (MSOs).
    Also, supplemental funding is available to LHCA's and 
Intermediaries for Reverse Mortgage Counseling.
    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). On September 28, 2007, a Final Rule was published in the 
Federal Register at 72 FR 55638 and codified at 24 CFR part 214 
establishing new regulations for the Department of Housing and Urban 
Development's Housing Counseling Program.
    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. A nonprofit organization participating in the HUD-
related housing counseling program of a regional or national 
intermediary, or state housing finance agency. An affiliate is 
incorporated separately from the regional or national intermediary or 
state housing finance agency. An affiliate is also:
    a. Duly organized and existing as a tax-exempt nonprofit 
organization;
    b. In good standing under the laws of the state of the 
organization; and
    c. Authorized to do business in the states where it proposes to 
provide housing counseling services.
    2. Applicant. 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. An organizational and subordinate unit of a local 
housing counseling agency, multi-state organization, regional or 
national intermediary, or state housing finance agency not separately 
incorporated or organized, that participates in HUD's Housing 
Counseling program. A branch or branch office must be in good standing 
under the laws of the state where it proposes to provide housing 
counseling services. A branch or branch office cannot be a sub-grantee 
or affiliate.
    4. Delinquency/Default Counseling. Counseling provided to a current 
homeowner to prevent or resolve mortgage delinquency, mortgage default, 
or foreclosure.
    5. Grantee. A HUD-approved housing counseling agency or SHFA that 
receives housing counseling funds from HUD through this NOFA. The term 
``Grantee'' includes the agency's branch or branch offices identified 
in its application.
    6. HUD HECM Network Counselor. A housing counselor that has passed 
the Reverse Mortgage Counseling exam administered by HUD and/or its 
agent, and is approved by HUD to provide Reverse Mortgage Counseling 
nationally by telephone.
    7. Intermediary. A HUD-approved organization that provides housing 
counseling services indirectly through its branches or affiliates for 
whom it exercises control over the quality and type of housing 
counseling services rendered. The Housing Counseling program recognizes 
two types of intermediaries, which include:
    a. National intermediary. A national intermediary is an 
organization which operates in multiple regions of the United States, 
which provides:
    (1) Housing counseling services through its branches or affiliates 
or both; and
    (2) Administrative and supportive services to its network of 
affiliates or branches, including, but not limited to, pass-through 
funding, training, and technical assistance.
    b. Regional intermediary. A regional intermediary is an 
organization which operates in a generally recognized region within the 
United States, such as the Southwest, Mid-Atlantic, New England, which 
provides:
    (1) Housing counseling services through its branches or affiliates 
or both; and
    (2) Administrative and supportive services to its network of 
affiliates, or branches, including, but not limited to, pass-through 
funding, training, and technical assistance.
    8. Local Housing Counseling Agency (LHCA). A housing counseling 
agency that directly provides housing counseling services. An LHCA may 
have a main office, and one or more branch offices, in no more than two 
contiguous states.

[[Page 27137]]

    9. Multi-State Organization (MSO). A multi-state organization 
provides housing counseling services through a main office and branches 
in two or more states.
    10. State Housing Finance Agency (SHFA). Any public body, agency, 
or instrumentality created by a specific act of a state legislature 
empowered to finance activities designed to provide housing and related 
facilities and services, through land acquisition, construction or 
rehabilitation, throughout an entire state. SHFAs may provide direct 
counseling services or sub-grant housing counseling funds to affiliated 
housing counseling agencies within the SHFA's state, or both. 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.
    11. Sub-grantee. An affiliate of a HUD-approved intermediary or 
SHFA that receives a sub-grant of housing counseling funds provided 
under a HUD housing counseling grant. All sub-grantees must be 
identified in the grantee's application. Under certain conditions, 
including approval by HUD, grantees may amend their sub-grantee list 
after awards are made. See General Section.

II. Award Information

    A. Amount Allocated. Of the approximately $50 million appropriated 
for housing counseling in FY2008, approximately $47 million is 
available for eligible applicants under this NOFA. Approximately $43 
million is available for comprehensive counseling. Approximately $4 
million is available for Reverse Mortgage Counseling. Available funding 
may also include carryover and recaptured funds, in addition to the 
appropriations.
    B. Specific Allocations. Housing counseling funding is distributed 
over four applicant categories, as shown below.

------------------------------------------------------------------------
                                                           Total amount
       Applicant categories            Who is eligible       available
------------------------------------------------------------------------
Category 1--LHCAs.................  HUD-approved Local       $15,840,000
                                     Housing Counseling
                                     Agencies.
Category 2--Intermediaries........  HUD-approved              26,000,000
                                     National and
                                     Regional
                                     Intermediaries.
Category 3--SHFAs.................  State Housing              2,580,000
                                     Finance Agencies.
Category 4--MSOs..................  Multi-State                2,580,000
                                     Organizations.
------------------------------------------------------------------------

    1. Category 1--Local Housing Counseling Agencies (LHCAs). For the 
grant period October 1, 2008 through September 30, 2009, approximately 
$15,840,000 is available from HUD to directly fund HUD-approved LHCAs, 
including approximately $14,840,000 for comprehensive counseling and 
approximately $1 million for reverse mortgage counseling. An 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, 2008 
through September 30, 2009, approximately $26 million is available from 
HUD to directly fund HUD-approved Intermediaries, including 
approximately $23 million comprehensive counseling and approximately $3 
million for reverse mortgage counseling.
    3. Category 3--State Housing Finance Agencies (SHFAs). For the 
grant period October 1, 2008 through September 30, 2009, approximately 
$2,580,000 is available to fund SHFAs that provide housing counseling 
services directly or serve as intermediaries to Affiliates who offer 
housing counseling services.
    4. Category 4--Multi-State Organizations (MSOs). For the grant 
period October 1, 2008 through September 30, 2009, approximately 
$2,580,000 is available to fund MSOs to provide housing counseling 
services directly through its branch offices throughout its HUD-
approved multi-state service area.
    C. Maximum Awards. Funds awarded shall be available for a period of 
12 calendar months.
    1. Category 1. No individual LHCA may be awarded more than $180,000 
which may include supplemental funding for reverse mortgage counseling. 
The maximum amount for the reverse mortgage counseling is $30,000. The 
maximum amount for comprehensive counseling is $150,000. HUD 
anticipates that the average total award for LHCAs will be 
approximately $42,000.
    2. Category 2. Awards for individual HUD-approved intermediaries 
may not exceed $5.5 million, which includes any Reverse Mortgage 
supplemental funding. The limit for Comprehensive Counseling is $2.5 
million and the limit for Reverse Mortgage counseling is $3 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 
$475,000. HUD anticipates that the average total award for SHFAs will 
be approximately $130,000.
    4. Category 4. No individual MSO may be awarded more than $575,000. 
HUD anticipates that the average total award for MSOs will be 
approximately $250,000.
    D. 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); State Housing Finance 
Agencies (SHFAs); and HUD-approved Multi-State Organizations (MSOs).
    B. Cost Sharing or Matching. No specific matching funds are 
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. The Final 
Rule published in the Federal Register on September 28, 2007, at 72 FR 
55638 and codified at 24 CFR part 214 expands the conditions under 
which agencies participating in HUD's Housing Counseling Program are 
permitted to charge fees to counseling recipients. While agencies are 
strongly encouraged to aggressively leverage funds from other private 
and public sources, fee income can be used to help satisfy this 
requirement.
C. Other
    1. Eligible Activities for Comprehensive Counseling 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

[[Page 27138]]

readiness; search assistance; fair housing and fair lending, 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; home inspection; 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. 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; and 
visitability and universal design. 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.
    (6) Reverse Mortgage Counseling. This counseling and education 
assists elderly homeowners who seek to convert equity in their homes 
into income that can be used to pay for home improvements, medical 
costs, living expenses, or other expenses. This includes providing the 
statutorily-required counseling to individuals/families that may be 
eligible for, or are interested in obtaining, an FHA-insured HECM.
    b. 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 and fair 
lending 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.)
    c. Training. Training to increase the capacity of housing 
counselors and program managers.
    d. Computer equipment/systems. Computer equipment/systems with the 
objective of improving the quality of counseling and education services 
available.
    e. Administrative Costs. For intermediaries and SHFAs, this 
includes 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 sub-grantees must meet the Threshold Requirements 
in the General Section.
    b. Minimum grant request for Comprehensive Funds. LHCA applicants 
must request a minimum of $20,000. SHFAs and MSOs must request a 
minimum of $50,000 and Intermediaries must request a minimum of 
$300,000. For applicants requesting only comprehensive counseling 
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.
    c. Minimum grant request for Reverse Mortgage Counseling 
Supplemental Funds. Intermediaries must request a minimum of $500,000 
for reverse mortgage counseling supplemental funding. LHCAs must 
request a minimum of $5,000 for reverse mortgage counseling 
supplemental funding. For intermediaries and LHCAs requesting reverse 
mortgage supplemental funding, box 18a of Form SF-424 should reflect 
the total of the comprehensive and the reverse mortgage supplemental 
request. For those LHCAs and Intermediaries requesting supplemental 
funding, the narrative response to Factor 3 must make clear the exact 
comprehensive and supplemental amounts being requested.
    d. Only HUD-approved Housing Counseling Agencies and SHFAs may 
apply. Applicants must be currently approved by HUD as an LHCA, a 
housing counseling intermediary or a multi-state organization, 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 and the Final Rule published in the Federal Register on 
September 28, 2007, at 72 FR 55638 and codified at 24 CFR part 214.
    e. Client Management System. The applicant, and all affiliates and 
branches, if applicable, must utilize a client management system that 
interfaces, or is working to interface, with HUD's databases. 
Information on client management systems and interfacing with HUD's 
database is found on HUD's Web site: http://www.hud.gov/offices/hsg/sfh/hcc/hccprof21.cfm.
    f. Applicants Requesting Supplemental Reverse Mortgage Counseling 
Funding. Only LHCAs and Intermediaries are eligible to apply for 
reverse mortgage counseling supplemental funding. A separate 
application is not needed to apply for supplemental funding. However, 
applicants requesting supplemental

[[Page 27139]]

Reverse Mortgage counseling funding must meet the following 
requirements:
    (1) LHCAs must have at least one HUD HECM Network counselor; 
Intermediaries must have at least 20 HUD HECM Network counselors within 
their network of affiliates or branches.
    (2) Request the supplemental funding by identifying in box 18a of 
Form SF-424 total of the comprehensive request and the Reverse Mortgage 
supplemental request, and making clear in the narrative response to 
Factor 3 the exact comprehensive and reverse mortgage counseling 
supplemental amounts, if applicable, being requested;
    (3) Identify reverse mortgage counseling related needs in the 
target community in its response to Rating Factor 2;
    (4) Respond to all reverse mortgage counseling related requests for 
information throughout the NOFA;
    (5) Respond to the Rating Factors describing activities related to 
the proposed counseling and the reverse mortgage counseling 
supplemental funding;
    (6) Indicate in the Rating Factors how many individuals will be 
served specifically with the requested supplemental funding for Reverse 
Mortgage 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.
    (7) Identify reverse mortgage counseling related training and 
certifications received by counselors and program mangers; and
    (8) Identify all HUD HECM Network counselors in the proposed 
application.
    3. Other Program Requirements.
    a. To receive a grant or sub-grantee under this Housing Counseling 
NOFA, all applicants and sub-grantees 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 use counseling facilities 
and services that are accessible to persons with disabilities or 
provide other means of accommodation for persons with disabilities, in 
accordance with Section 504 of the Rehabilitation Act of 1973 and its 
implementing regulations at 24 CFR parts 8 & 9, and Title III of the 
Americans with Disabilities Act. In addition, counseling services must 
comply with effective communication requirements under these laws. All 
grantees and sub-grantees must help persons with disabilities 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 either:
    (a) apply directly to HUD for grant funding, including 
comprehensive and supplemental funding for Reverse Mortgage counseling, 
under Applicant Category 1; or
    (b) be included in the respective application of, and receive one 
sub-grant from, an intermediary, MSO or SHFA under Applicant Category 
2, 3, or 4.
    (2) The only exceptions to this rule are:
    (a) HUD-approved LHCAs with one or more HUD HECM Network Counselors 
that are awarded comprehensive funds, but do not receive Reverse 
Mortgage supplemental funding, may receive a sub-grant or be reimbursed 
exclusively for Reverse Mortgage counseling activities from a HUD-
approved intermediary administering the Reverse Mortgage supplemental 
funds made available through this NOFA or by another entity designated 
by HUD; and
    (b) HUD-approved LHCAs that are awarded comprehensive funds may 
also be reimbursed for default counseling by an intermediary that 
receives a category 2 award that provides default counseling 
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 Reverse 
Mortgage counseling.
    3. SHFAs. SHFAs may only apply for grants under Applicant Category 
3 for comprehensive counseling funds.
    4. MSOs. HUD-approved MSOs may either:
    a. Apply directly to HUD for a grant under Applicant Category 4 for 
comprehensive counseling funds, or;
    b. Be included in the respective application of, and receive one 
sub-grant from, intermediary or SHFA under Applicant Categories 2 or 3.
    The only exceptions to this rule are:
    (1) HUD-approved MSOs with one or more HUD HECM Network Counselors 
that are awarded comprehensive funds, may receive a sub-grant or be 
reimbursed exclusively for Reverse Mortgage counseling activities from 
a HUD-approved intermediary administering the Reverse Mortgage 
supplemental funds made available through this NOFA or by another 
entity designated by HUD; and
    (2) HUD-approved MSOs that are awarded comprehensive funds under 
category 4 may also be reimbursed for default counseling by an 
intermediary that receives a category 2 award that provides default 
counseling exclusively.
    c. Sub-grantees of Intermediaries and SHFAs.
    (1) Sub-grantees or branches of intermediaries, MSOs 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, MSOs 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. For a listing of civil rights threshold 
requirements, refer to the General Section. 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, 3 or 4, proposed 
sub-grantees 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, MSO or SHFA under Category 
2, 3 or 4 of this NOFA. Sub-grantees or branches may apply for and 
receive funding from only one intermediary, MSO or SHFA under Category 
2, 3 or 4. 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 for comprehensive counseling from an 
intermediary, MSO or SHFA under Category 2, 3, or 4 may also receive a 
sub-grant, or be reimbursed exclusively for reverse mortgage counseling 
activities, from a HUD-approved intermediary administering the reverse 
mortgage supplemental funds made available through this NOFA or by 
another entity designated by HUD; and (b) sub-grantees and branches 
that receive a sub-grant or funding for comprehensive counseling from 
an intermediary, MSO or SHFA under Category 2, 3, or 4, may also be 
reimbursed for default counseling by an intermediary that receives a 
category 2 award that provides default counseling exclusively.

[[Page 27140]]

    (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, MSOs and SHFAs 
have wide discretion to decide how to allocate their HUD Housing 
Counseling funding among branches and sub-grantees, with the 
understanding that a written record must be kept documenting and 
justifying funding decisions. This record, which must meet the data 
requirements of the Transparency Act (see General Section), must be 
made available to sub-grantees, branches and to HUD, within 30 days of 
making the sub-award or allocation to branches.
    d. List of HUD-approved and Participating 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, 3 and 4 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 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 can 
be located at 2 CFR part 230. Applicants can review Indirect Cost 
Training on http://www.hud.gov at: http://www.hud.gov/offices/adm/grants/training/training.cfm.
    g. Ensuring the Participation of Small Businesses, Small 
Disadvantaged Businesses, and Woman-Owned Businesses. See the General 
Section for information on this topic.
    h. 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.
    i. Conflicts of Interest. See the General Section and Section 
214.303(f) of the Final Rule published in the Federal Register on 
September 28, 2007, at 72 FR 55638 and codified at 24 CFR part 214.
    j. Accessible Technology. See the General Section.
    k. Participation in HUD Sponsored Program Evaluation. See the 
General Section.

IV. Application and Submission Information

    A. Receiving an Application Package. Applicants may download the 
instructions to the application found on the Grants.gov Web site at 
http://www.Grants.gov. The instructions contain the General Section and 
Program Section of the published NOFA as well as forms that you must 
complete and attach as a zip file to your application submission. If 
you have difficulty accessing the information you may call the 
Grants.gov Support desk toll free 800-518-GRANTS or 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 
http://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, MSOs 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 On the form HUD 
424 CB, clearly specify the proposed HUD housing counseling grant 
amount and itemize proposed expenses and Reverse Mortgage supplemental 
funds. Note: This amount should be consistent with the figure shown in 
Rating factors 3, 4 & 5, Form SF-424, Form HUD-424 CB and HUD-2880. 
Also, if all budget line items could not be itemized using the Form 
HUD-424 CB, submit a more detailed, comprehensive budget itemizing all 
proposed expenses under the grant. At a minimum, if applicable, the 
budget must include salaries, fringe and other benefits, training, 
travel, rent, phone, postage, supplies, technology/equipment, and 
indirect costs. Intermediaries, MSOs and SHFAs that reimburse branches 
and sub-agencies at a fixed cost per counseling/education activity, and 
type, or per office, are not exempt from this requirement.
    Intermediaries, MSOs and SHFAs that pass through funds to sub-
agencies must also itemize how administrative funds are spent.
    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

[[Page 27141]]

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) (Must be signed by the 
official authorized to certify the RC/EZ/EC-II).
    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). Faxed 
information must be sent to the following fax number: (800) HUD-1010. 
If you cannot access the toll-free 800 number, or experience problems, 
you may use (215) 825-8798 (this is not a toll-free number).
    l. HUD-9902, Housing Counseling Agency Fiscal Year Activity Report, 
for the Period October 1, 2006 through September 30, 2007 (only 
required for Applicants who did not electronically submit to HUD a form 
HUD-9902 for the period October 1, 2006 through September 30, 2007, for 
example, applicants that received approval as a HUD housing counseling 
agency after September 30, 2007.) HUD will utilize the HUD-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. Funding is limited to the eligible 
activities described in Section III.C.1 of this NOFA.
    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.

V. Application Review Information.

    A. Criteria. The Factors for Award, and maximum points for each 
factor, are outlined below. These factors will be used to evaluate all 
applications. The maximum number of points for each applicant is 102 
for LHCAs and 100 for all other applicants.
    1. Bonus Points--``RC/EZ/EC-II.'' Only LHCAs are eligible for 2 
bonus points. See the General Section for information regarding ``RC/
EZ/EC-II'' bonus points. Form HUD-2990 must be signed by the 
organization head of the RC/EZ/EC-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 Reverse Mortgage counseling funding.
    In responses to the various factors and sub-factors, 
intermediaries, MSOs 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 (less than 35 hours per 
week) for the applicant and, if applicable, proposed sub-grantees or 
branches;
    (c) Number of bilingual housing counselors working for the 
applicant and, if applicable, proposed sub-grantees or branches;
    (d) Average years of housing counseling experience for housing 
counselors working for the applicant and, if applicable, proposed sub-
grantees or branches;

[[Page 27142]]

    (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 experience of Housing Counseling Program project directors and 
housing counselors.
    For intermediaries, MSOs and SHFAs, scoring will be based on:
     The number of years of experience of housing counseling 
program management experience of project directors of proposed sub-
grantees and branches;
     The number of years of housing counseling experience of 
counselors in proposed sub-grantees and branches;
     The number of years, for key intermediary, MSO or SHFA 
personnel, of 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;
    For all applicants, 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. Indicate if the applicant, and proposed sub-grantees 
and branches, if applicable, meet the National Industry Standards for 
Homeownership Education and Counseling (http://www.homeownershipstandards.com/).
    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 for all counselors and program managers included in the 
proposed work plan. These descriptions do not count toward narrative 
page limitations. Intermediaries, MSOs and SHFAs acting as 
intermediaries should summarize 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, Multi-service applicants should differentiate between 
time spent on housing counseling versus time spent on other issues;
     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, for example, real estate or 
housing finance.
    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 Reverse Mortgage counseling supplemental funding 
must specify the Reverse Mortgage counseling experience of project 
directors, HUD HECM Network Counselors and the organization. Identify 
the 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 housing counseling activities, 
including specific trainings regarding FHA programs. Include dates for 
when the training was received and who provided it. Do not include on-
the-job training. Applicants that seek supplemental funds for Reverse 
Mortgage counseling must indicate what relevant training counselors 
received to prepare them as Reverse Mortgage counselors. Any training 
that is not related to the proposed activities will not be considered.
    (c) Indicate which housing counselors are certified housing or 
financial counselors. Describe what type of certification is held, who 
provided it, when certification was received, and if applicable, the 
date certification expires.
    (d) Identify the Client Management System (CMS) utilized by the 
applicant, and each affiliate, and branch, if applicable, during the 
grant period October 1, 2006, to September 30, 2007, and describe any 
automated financial/credit tools or calculators and loan product/
feature comparison tools the CMS(s) makes available to counselors, and 
explain how these tools and the CMS in general improves the quality of 
counseling.
    For the coming grant period, October 1, 2008 through September 30, 
2009, indicate which system will be used by the applicant, and each 
affiliate, and branch, if applicable, and how its use will be 
implemented, for example employee training.
    (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, 2006, to September 
30, 2007, and its ability to spend all grant funds allotted.
    If the applicant did not receive an FY2006 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. (3 points) HUD will evaluate the 
applicant's performance with regard to the timeliness and completeness 
with which the applicant satisfied grant

[[Page 27143]]

requirements, including grant document execution, grant reporting 
requirements including quarterly (if applicable), mid-term and final 
reports.
    (b) Form HUD-9902. (2 points) HUD will deduct points if the 
applicant was required to submit a form HUD-9902 for the period October 
1, 2006 through September 30, 2007, but failed to do so in a timely 
manner.
    (c) Expending Grant Funds. (2 points) If grant awards were not 
fully expended during the grant period October 1, 2006, to September 
30, 2007, 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. (5 points) 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. HUD will develop and 
apply a scoring scale based on the number of significant findings 
documented during a review(s), and incidence of repeat findings.
    (e) Housing Counseling System (HCS). (2 points) HUD will evaluate 
applicant's timeliness and effectiveness in validating and updating 
agency information in HCS. Intermediaries, MSOs 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, 2006 through September 30, 2007, and 
evaluate subsequent changes in approach resulting from any differences, 
if applicable. HUD's primary concern is outputs, specifically 
accomplishments relative to the projected total number of households to 
be served, both for one-on-one counseling and education. The outcome 
regarding the number of individuals avoiding foreclosure, if 
applicable, is also a priority for HUD. HUD will also evaluate 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 FY 2006 housing counseling grant 
covering the period October 1, 2006 to September 30, 2007, HUD will 
compare the HUD-grant specific projections made in the Program Outcome 
and Output Logic Model, Form HUD-96010 submitted with the FY2006 
Housing Counseling NOFA, including any adjustments based on actual 
award amounts, to the corresponding actual HUD-grant specific results 
for that period reported by the applicant.
    Applicants who did not receive a FY2006 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, 2006 through September 30, 2007, and 
are now applying for funding must indicate the detailed, quantifiable 
goals the organization set for itself for the period covering October 
1, 2006 to September 30, 2007, or for the 12 month period ending 
December 31, 2007 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. 
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 (10 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 (4 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 that the applicant serves has 
documented need in its Consolidated Plan, Analysis of Impediments to 
Fair Housing Choice (AI), or other planning documents, provides 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, including adequate source 
citation, 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 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 identifies how policy priority points 
will be awarded. To receive full credit for each category 
intermediaries, MSOs and SHFAs must demonstrate that at least half of 
the proposed sub-grantees or branches have met the specified criteria. 
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. 
Identify and describe outreach activities and partnerships with 
grassroots, faith-based

[[Page 27144]]

and other community-based organizations.
    (c) 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.
    (d) Utilization and Promotion of FHA-Insured Mortgages, Products 
and Programs. Applicants must describe counselors' knowledge of FHA 
products and programs, how that knowledge was obtained, and its plans 
to present these loan products and programs as viable alternatives to 
clients. Applicants must describe any tools used to inform clients 
about FHA products and programs such as a loan comparison chart or tool 
on its CMS comparing insured loans with alternatives.
    (e) Removal of Regulatory Barriers to Affordable Housing. Under 
this policy, higher rating points are available to (1) governmental 
applicants that are able to demonstrate successful efforts in removing 
regulatory barriers to housing and (2) nongovernmental applicants that 
are associated with jurisdictions that have undertaken successful 
efforts in removing barriers. To obtain the policy priority points for 
efforts to successfully remove regulatory barriers, applicants must 
complete form HUD-27300, ``Questionnaire for HUD's Initiative on 
Removal of Regulatory Barriers.'' A number of questions on form HUD-
27300 expressly request the applicant to provide brief documentation or 
contact information with its affirmative response. Applicants that do 
not provide this documentation will not receive the policy priority 
points. When addressing this policy priority, Intermediaries, MSOs and 
SHFAs should submit a form HUD-27300 for a single 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 (38 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, 2006 through September 30, 2007. 
Responses should contain ``Historical Performance'' as part of the 
heading for the response. Applicants must provide the following 
information:
    (a) Average Hours. Provide the average amount of time spent, per 
household, for the following services types. Include only direct 
housing counseling and education service provision, not follow-up, 
preparation, etc., Intermediaries, SHFAs and MSOs must provide an 
average for the entire network of affiliates and branches, if 
applicable, included in their application. 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) Reverse Mortgage Counseling
(vi) Non-Delinquency Post-Purchase Education
(vii) Rental Counseling
(viii) Homeless/Displacement Counseling
(ix) Fair Housing Education

    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, the Form HUD-9902, ``All Counseling Activities'' 
column, through the Counseling System (HCS). Verify that the 
information from this is accurate. Scoring of the variety of housing 
counseling services is weighted to incentivize Reverse Mortgage and 
Delinquency/Default.
    (c) Group Education and One-On-One Counseling. For the period 
October 1, 2006, through September 30, 2007, HUD will retrieve from 
Section 6 of form HUD-9902, ``All Counseling Activities'' column, the 
number of clients that participated in Homebuyer Education Workshops or 
other types of classes as group sessions and will retrieve from Section 
7a-e, the number of clients that participated in one-on-one counseling. 
Applicants should explain 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. Indicate the percentage 
of clients participating in both group sessions and one-on-one 
counseling. Scorers will evaluate the extent to which an agency 
encouraged and provided one-on-one counseling, HUD considers the most 
effective form of housing counseling, to complement homebuyer education 
workshops and other forms of group.
    (d) Marketing and Outreach. Describe outreach and marketing 
efforts, with particular emphasis on diverse emerging markets, for 
example, to first time. Indicate the amount from all sources of 
funding, spent on marketing and outreach.
    (2) Historical Performance--Impact/Outcomes (8 points)
    To score this Section, HUD will evaluate the applicant's 
performance for the period October 1, 2006, to September 30, 2007 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 will also be 
analyzed in the context of the applicant's total housing budget for the 
same period, FY2006. HUD will also consider the extent to which the 
services provided were time and resource intensive. Additionally, for 
MSOs and SHFAs, HUD will evaluate the geographic coverage and scope of 
the applicant's activities for the period October 1, 2006, through 
September 30, 2007, 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, 2006 through September 30, 2007, 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, 2006 through 30, 2007, 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, 2006-
September 30, 2007, 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) Indicate how factors, such as, location, type of counseling, 
client type, and expenses, may have affected client volume. Justify 
expenses and explain

[[Page 27145]]

why they were reasonable, strategic, and appropriate.
    (b) Training Expenditures: Indicate the amount spent, from all 
sources of funding, on formal staff training during the grant period 
October 1, 2006, to September 30, 2007. Do not include on-the-job 
training.
    (c) Percentage of Grant Funding Passed Through: Intermediaries, 
MSOs and SHFAs that received one or more FY2006 HUD housing counseling 
grants, the grant period October 1, 2006, to September 30, 2007, must 
also indicate what percentage of their grant(s) was passed through 
directly to sub-grantees or branches for the provision of housing 
counseling services and explain how funds not passed through were 
spent.
    LHCAs applying under Applicant Category 1 that received one or more 
FY2006 HUD housing counseling grants for the grant period October 1, 
2006, to September 30, 2007, must indicate what percentage of their 
grant(s) was spent on the salaries and benefits of housing counselors 
and project directors. Explain how other funds were spent.
    Applicants that did not receive a FY2006 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.
    (d) Geographic Coverage: Intermediaries, MSOs 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, 2006, through September 30, 2007, through:
    (i) FY2006 HUD housing counseling grant funds, if applicable
    (ii) All housing counseling resources
    (iii) SHFAs must describe methods and results of efforts to 
integrate existing agencies/systems in the state. SHFAs must also 
describe the process used to identify and rectify service delivery 
deficiencies within the state.
    (3) Projected Performance/Work Plan--Quality and Complexity of 
Services (8 points)
    This section involves information on the housing counseling 
services and other activities to be conducted during the period October 
1, 2008, through September 30, 2009. 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 should 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) Counseling and Education Services. Describe the various types 
of housing counseling and education services, and if applicable, 
intermediary activities, applicant proposes to undertake. The proposed 
work plan must be consistent with the most current work plan on file 
with the appropriate HUD, i.e., an applicant cannot propose to provide 
services which are not currently approved by HUD. 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 Reverse Mortgage and 
Delinquency/Default counseling.
    (b) Average Hours. For each of the service types listed in part 
(a), indicate the average hours of direct housing counseling and 
education service provision, by the applicant, and affiliates and 
branches if applicable, per client, for the period October 1, 2008, 
through September 30, 2009. Do not provide a range of hours. If the 
projected average times are the same as those listed for the period 
covering October 1, 2006--September 30, 2007, the applicant may simply 
state so in lieu of listing them again here.
    (c) Sufficient Staff. LHCAs must indicate the names and titles of 
employees 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 Factor 1 will be 
involved, and any new staff, subcontractors or consultants that will be 
hired for the October 1, 2008--September 30, 2009 grant period.
    (d) Training. Indicate proposed amount to be spent, from all 
funding sources, on formal staff training during the grant period 
October 1, 2008, to September 30, 2009. Indicate amount spent with HUD 
Housing Counseling grant funding, if applicable, and amount spent from 
other sources of funding. HUD will reward agencies that utilize other 
sources of funding, besides HUD housing counseling grant funding for 
training. Do not include on-the-job training. Intermediaries, MSOs and 
SHFAs should describe in detail their plans to train proposed sub-
grantees and branches if applicable, provide technical assistance, and 
evaluate compliance with program requirements, for example through site 
visits.
    (e) Persons with Disabilities/LEP. Describe plans to effectively 
serve and/or communicate with persons with limited English proficiency 
(LEP), pursuant to Title VI of the Civil Rights Act of 1964. Applicants 
may refer to the Department's January 22, 2007 Final Guidance to 
Federal Financial Assistance Recipients Regarding Title VI Prohibition 
Against National Origin Discrimination Affecting Limited English 
Proficient Persons (72 FR 2732). Applicants that identified multi-
lingual counselors in Factor 1, must demonstrate the applicability of 
their capacity to provide services in multiple languages to the 
language needs of the community they serve.
    Also describe plans to effectively serve and/or communicate with 
persons with disabilities, in accordance with Section 504 of the 
Rehabilitation Act of 1973 and its implementing regulations at 24 CFR 
parts 8 & 9, and Title III of the Americans with Disabilities Act.
    (f) Sub-grantees/Branches. Intermediaries, MSOs 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 distribute funds. If applicable, indicate how 
sub-grantee funding levels adjusted on an on-going basis based on 
performance.
    (4) Projected Performance/Work Plan--Impact (8 points)

[[Page 27146]]

    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, 2008, to September 30, 2009. Scoring will be based on the cost per 
client, compared to historical averages 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) Cost Per Client. 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, whether the impact will be short-term or long-
term. Justify proposed expenses and explain why they are reasonable, 
strategic, and appropriate for counseling activities identified above.
    (b) Projected Performance--Group Education and One-On-One 
Counseling. 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 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.
    (c) Marketing and Outreach. Describe marketing and outreach 
strategies planned, including strategies to reach out to diverse 
emerging markets and households at risk of default and foreclosure. 
These strategies should be designed to reach clients in need of the 
counseling services described in the work plan. Provide the amount of 
the proposed HUD grant budgeted, and the amount of total budget, all 
sources of funding, earmarked for marketing and outreach for the period 
covering October 1, 2008-September 30, 2009.
    (5) Projected Performance/Work Plan--Coordination (4 points). HUD 
will the extent to which, as compared to similar applicants, the 
applicant can demonstrate it will coordinate proposed activities with 
other organizations, 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 they choose 
and the house that they purchase.
    (a) Partnerships. 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. No points will be given for simply a list of other 
organizations. Applicants should also 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.
    SHFAs should describe plans to integrate existing counseling 
agencies/systems within their states. Applicants requesting Reverse 
Mortgage supplemental funding should highlight the partnerships or 
internal products that are relevant to Reverse Mortgage activities.
    (b) Conflict of Interest. 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 products and other forms of assistance might be 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.
    (6) Projected Performance/Work Plan--Coverage/Efficient Use of 
Resources (2 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, MSOs and SHFAs must indicate what percentage of their 
proposed award will be passed through directly to sub-grantees and 
branches, and explain how funds 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, MSOs and SHFAs must 
identify the sub-grantees and branches, and corresponding states, the 
applicant proposes will receive funding through this grant award. SHFAs 
should describe plans to identify and rectify service delivery 
deficiencies within their states. Applicants unable to precisely 
identify proposed sub-grantees and branches to receive funding through 
the proposed grant must identify the most likely sub- 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 
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 nonfederal resources for their housing 
counseling activities, for the period October 1, 2008-September 30, 
2009, including: direct financial assistance; in-kind contributions, 
such as services, equipment, office space, labor; etc. Resources may be 
provided by nonfederal 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 
total amount and the source of funds. Applicants are required to list 
the names of the

[[Page 27147]]

organizations providing the nonfederal funds, the sources of those 
funds, and amounts of the funds to be devoted to the proposed program. 
Applicants that fail to provide this information shall not receive any 
points for this factor. Intermediaries and SHFAs must itemize the list 
of leveraged resources by each proposed sub- 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 424CB. Responses 
should be consistent with the leveraged funds amount shown on the SF 
Form 424, HUD Form 424 CB and the documentation for this rating factor.
    (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, 2008-September 30, 
2009.
    (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.)
    (h) If a LHCA has a history of funding over the past two years from 
a particular source and cannot get a commitment letter for the coming 
grant year, the applicant can provide a verification of the receipt of 
the grant in the past and make a statement that they have applied for 
and expect to receive the grant during the period October 1, 2008-
September 30, 2009.
    (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 as down payment and closing cost 
assistance, IDA programs, and emergency services.
    (4) The Final Rule published in the Federal Register on September 
28, 2007, at 72 FR 55638 and codified at 24 CFR part 214 expands the 
conditions under which agency's participating in HUD's Housing 
Counseling Program are permitted to charge fees to counseling 
recipients. While agencies are strongly encouraged to aggressively 
leverage funds from other private and public sources, fee income can be 
counted as leveraged resources. Fee income would be identified as 
program income on required budget forms.
    (5) Intermediaries, MSOs and SHFAs should include information on 
leveraged resources for only anticipated sub-grantees and branches that 
will be funded by this application.
    (6) 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 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, MSOs 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
1-20%--10 points
21-26%--9 points
27-32%--8 points
33-41%--7 points
42-47%--6 points
48-53%--5 points
54-59%--4 points
60-65%--3 points
66-71%--2 point
72-99% --1 point
e. Rating Factor 5: Achieving Results and Program Evaluation (12 
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 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 work plan 
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. The outputs and outcomes projected in the 
logic model must be consistent with the projected number of clients 
proposed in Rating Factor 3. In addition, the narrative submitted with 
this factor should be consistent with the completed logic model. 
Applicants should clearly distinguish between one-on-one counseling and 
education participants.
    The Logic Model submission is valued at up to 10 points. The point 
structure for review of the Logic Model is contained in the General 
Section. The evaluation plan and methods for reviewing and improving 
program effectiveness is valued at 2 points.
    (1) Program Outcome Logic Model (10 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 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.

[[Page 27148]]

Applicants should make sure their entries reflect all proposed 
counseling and education activity under the grant.
    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 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 hr 
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.
    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 the following:
    (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 Reverse Mortgage 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 Reverse Mortgage 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) 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. Intermediaries, MSOs and SHFAs should 
indicate if and how the performance of sub-grantees and branch offices 
affects current and future-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. The minimum comprehensive award is $20,000 for LHCAs; 
$50,000 for SHFAs; $300,000 for intermediaries; and $50,000 for MSOs.
    b. Supplemental Funding. The same methodology described above in 
section a will be used to distribute the available Reverse Mortgage 
counseling 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.
    For intermediaries and LHCAs requesting reverse mortgage counseling 
supplemental funding, box 18a of Form SF-424 should reflect the total 
of the comprehensive request and the Reverse Mortgage counseling 
supplemental request. The narrative response to Factor 3 must make 
clear the exact comprehensive and supplemental amounts being requested.

[[Page 27149]]

    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 reverse mortgage counseling 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 reverse mortgage 
counseling 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, reverse mortgage counseling supplemental funding.
    The base award for the reverse mortgage counseling supplemental 
funding will be $40,000 for intermediaries. The base award for LHCAs 
will be $5000.
    Only applicants scoring 75 points or above are eligible for either 
supplemental funding. HUD may award one or more reverse mortgage 
counseling supplemental grants to intermediaries or LHCAs. Reverse 
mortgage counseling 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 timeframe in which the debriefing request may be 
submitted.
B. Administrative and National Policy Requirements
    1. Environmental Requirements. In accordance with 24 CFR 
50.19(b)(9) and (12) of the HUD regulations, activities assisted under 
this program are categorically excluded from the requirements of the 
National Environmental Policy Act and are not subject to environmental 
review under the related laws and authorities.
    2. Audit Requirements. Grantees that expend $500,000 or more in 
federal financial assistance in a single year (this can be program year 
or fiscal year) must be audited in accordance with the OMB requirements 
as established in 24 CFR part 84. Additional information regarding this 
requirement can be accessed at the following Web site: http://harvester.census.gov/sac.

3. Other Matters.

    a. Relocation. See the General Section.
    b. OMB Circulars and Government-wide Regulations Applicable to 
Financial Assistance Programs. See the General Section.
    c. Prohibition Against Lobbying Activities. See the General 
Section.
    d. Procurement of Recovered Materials. See the General Section.
    f. Executive Order 13279 Equal Protection of the Laws for Faith-
Based and Community Organizations. See the General Section.
    g. Salary Limitation for Consultants. See the General Section.
    h. Executive Order 13132, Federalism. See the General Section.
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 http://www.Grants.gov, contact 
the Grants.gov support desk at 800-518-Grants or by sending an e-mail 
to [email protected].
    B. Programmatic Information. For program related information, 
LHCAs, MSOs 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.   Connecticut, Delaware, District
 Brenda Bellisario, Director, Program     of Columbia, Maine, Maryland,
 Support Division, Wannamaker Building,   Massachusetts, Michigan, New
 100 Penn Square East, 12th Fl,           Hampshire, New Jersey, New
 Philadelphia, PA 19107-3389. For         York, Ohio, Pennsylvania,
 programmatic information contact:        Rhode Island, Vermont,
 Robert Wright [email protected],    Virginia, West Virginia.
 (215) 861-7268.

[[Page 27150]]

 
ATLANTA HOMEOWNERSHIP CENTER, Ms. Gayle  Alabama, Puerto Rico, Florida,
 Knowlson, Director, Program Support      Georgia, Illinois, Indiana,
 Division, 40 Marietta Street, 9th        Kentucky, Mississippi, North
 Floor, Atlanta, GA 30303-2806. For       Carolina, South Carolina,
 programmatic information contact:        Tennessee.
 Cheryl Appline
 [email protected], (404) 331-
 5001, x2696.
DENVER HOMEOWNERSHIP CENTER, Ms. Irma    Arkansas, Colorado, Iowa,
 Devich, Director, Program Support        Kansas, Louisiana, Minnesota,
 Division, 1670 Broadway, Denver, CO      Missouri, Montana, Nebraska,
 80202-4801. For programmatic             New Mexico, North Dakota,
 information contact: Vic Karels, (303)   Oklahoma, South Dakota, Texas,
 675-1640 [email protected].     Utah, Wisconsin, Wyoming.
SANTA ANA HOMEOWNERSHIP CENTER, Mr.      Alaska, Arizona, California,
 Jerrold Mayer, Director, Program         Hawaii, Oregon, Idaho, Nevada,
 Support Division, Santa Ana Federal      Washington.
 Building, 34 Civic Center Plaza, Room
 7015, Santa Ana, CA 92701-4003. For
 programmatic information contact:
 Rhonda J. Rivera,
 [email protected] (714) 796-1200
 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 FY 2008 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.

[[Page 27151]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.011


[[Page 27152]]



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-5200-N-02
    E. Catalog of Federal Domestic Assistance (CFDA) Number: Housing 
Counseling Training Program 14.316.
    F. Dates: The application deadline date is July 9, 2008. 
Applications submitted through http://www.grants.gov 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, 
published March 19, 2008 (73 FR 14882) regarding application submission 
procedures and timely filing requirements.

Full Text of Announcement

I. Funding Opportunity Description

    A. 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 ``participating agencies.'' Participating 
agencies are all housing counseling and intermediary organizations 
participating in HUD's Housing Counseling Program, including HUD-
approved agencies, and affiliates and branches of HUD-approved 
intermediaries, HUD-approved Multi-state organizations, and state 
housing finance agencies.
    B. 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), and the Housing Counseling 
program regulations at 24 CFR part 214. Additional guidance not 
incorporated in 24 CFR part 214 is provided in HUD Handbook 7610.1, 
REV-4, CHG-2, dated October 27, 2004.

II. Award Information

    A. Available Funds. This NOFA announces the availability of 
approximately $3 million.
    B. Anticipated Award. 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 an applicant receives an 
award, it must comply with and must ensure that sub-recipients 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;
     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 and must have ``tax exempt'' status under 
section 501(a) pursuant to section 501(c)(3) of the Internal Revenue 
Code (26 U.S.C. 501(a) and (c)(3). Applicants must have at least two 
years of experience providing the majority of types of housing 
counseling training services nationwide that are both listed under 
Section III.C.2 of this NOFA and proposed in their application. The 
only exception to this requirement is public or nonprofit organizations 
with at least 2 years experience providing Reverse Mortgage counseling 
training nationwide.
    A consortium of organizations may apply for funding under this 
NOFA, but one organization must be designated as the primary applicant. 
Members of the consortium must be public or private nonprofit 
organizations and must have ``tax exempt'' status under section 501(a) 
pursuant to section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 
501(a) and (c)(3). 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 working for agencies participating in HUD's Housing 
Counseling Program. The training program must contain both basic and 
advanced courses. The majority of the training services should 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 Reverse Mortgage 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

[[Page 27153]]

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 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. Reverse Mortgages. 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 that 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, Federal Emergency Management Agency (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, and state and local 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 Conversion Mortgage (HECM).
    2. 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 that are accessible to persons with 
disabilities or provide other means of accommodation for persons with 
disabilities, in accordance with Section 504 of the Rehabilitation Act 
(42 U.S.C 3601) and its implementing regulations at 24 CFR parts 8 & 9, 
and Title lll of the Americans with Disabilities Act.) 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. Applicants 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

[[Page 27154]]

required to develop and maintain a written code of conduct (See 24 CFR 
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 an organization's 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 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: 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 (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 
Grants.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-2994, You Are Our Client! Grant Applicant Survey 
(optional).
    (8) 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 tax exempt

[[Page 27155]]

nonprofit organization (for example, a 501(c)(3) determination letter 
issued by the IRS). The documentation must contain the official name, 
address, and telephone number of the legal authority that granted the 
tax exemption. 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 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.
    E. Funding Restrictions: Not Applicable.
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 (32 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 (10). 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. Indicate trainers capable of providing training to 
counselors with limited English proficiency, and the languages or the 
format in which they are capable of providing training. Individual 
descriptions should be limited to one page. List recent and relevant 
training received. Please do not include the Social Security Numbers 
(SSN) of any staff members.
    b. Experience (17). 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.C. 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 total number of housing counselors that have 
participated in your training program since its inception or otherwise 
benefited from the relevant services you provided. If you are part of a 
partnership, also provide the total number of counselors that have 
benefited from the services provided by that partnership.
    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, 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 why the funds were not fully expended 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

[[Page 27156]]

counselors and areas of housing counseling training, the application 
intends to address with the services proposed in Rating Factor 3 and 
the degree to which the applicant's work plan substantively addresses 
Departmental policy priorities. 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.
    (2) Departmental Policy Priorities (2 points). The Departmental 
policy priorities are described in detail in the General Section. Of 
those listed, the following two apply to the Housing Counseling 
Training 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 departmental policy that the projected work plan substantively 
addresses.
    (a) Participation in Energy Star. Applicants must provide 
information on how relevant trainings and training materials promote, 
or will promote, Energy Star materials and practices.
    (b) Utilization and Promotion of FHA-Insured Mortgages, Products 
and Programs. Applicants must describe how relevant trainings and 
training materials promote utilization of FHA-insured mortgages, 
products and programs. Describe trainers' knowledge of FHA products and 
programs, how that knowledge was obtained, and plans to present these 
loan products and programs to counselors with the goal that they will 
be able to present them as viable alternatives to counseling clients. 
Applicants must describe training or training materials that address 
any tools counselors can use to inform clients about FHA products and 
programs, such as a loan comparison chart or tool on a Client 
Management System comparing FHA-insured loans with alternatives.
4. Rating Factor 3: Soundness of Approach/Scope of Housing Counseling 
Services (38 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 
convincingly explains how the proposed activities will yield long-term 
results.
a. Work Plan (25 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 indicate that the applicant is capable of 
providing all the housing counseling training topics listed in section 
III.C. The only exception to this requirement is organizations 
proposing to provide Reverse Mortgage 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. Indicate the number and location of proposed place-based 
trainings to be held.
    While face-to-face training is preferred, the ideal application 
will propose a mix of face-to-face and remote training options. 
Describe plans or ability, if any, to provide training or other 
resources to counselors with limited English proficiency, should HUD 
request such training.
    The proposals must include a scholarship element to be awarded to 
housing counselors, detailing the full or partial costs to be covered, 
including travel, hotel, and tuition expenses. Applicants should 
indicate the number of full scholarships awarded to housing counselors, 
as well as the number of partial scholarships that will be offered, and 
provide information about what components partial scholarships will 
include (i.e., tuition, travel and/or lodging). Indicate the number of 
scholarships to be funded through this NOFA, as well as through 
leveraged nonfederal resources, provided to counselors working for 
agencies participating in HUD's Housing Counseling Program. Applicants 
must also describe plans for determining how the various types of 
scholarship assistance will be equitably distributed.
b. Proposed Budget (13 points)
    For the work plan proposed above, indicate the requested Grant 
amount in line 18a of form SF-424 and submit both the HUD-424-CB and a 
more detailed, comprehensive budget listing expenses under the grant. 
At a minimum, the budget must include salaries, fringe and other 
benefits, consultant expenses, travel, rent, phone, postage, supplies, 
technology/equipment, and indirect costs.
    Applicants must indicate the amount of the proposed award and the 
total dollar value of all scholarships to be awarded to counselors 
working for housing counseling agencies participating in HUD's Housing 
Counseling Program, including the in-kind value of tuition 
scholarships.
    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 or and devote additional nonfederal 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 nonfederal governmental entities, public or private 
nonprofit organizations, for-profit private organizations, or other 
entities committed to providing the applicant assistance. Applicants 
are required to list with specificity the sources and amounts of all 
nonfederal leveraged resources to be devoted to the proposed training 
program. Applicants that fail to list the source of all nonfederal 
sources of leveraged funds shall not receive any points for this 
factor. 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
------------------------------------------------------------------------
0-35...................................  10 points
36-41..................................  9 points
42-47..................................  8 points
48-53..................................  7 points
54-60..................................  6 points
61-66..................................  5 Points
67-75..................................  4 Points
76-82..................................  3 Points
83-89..................................  2 Points
90-100.................................  1 Point
------------------------------------------------------------------------


[[Page 27157]]

6. Rating Factor 5: Achieving Results and Program Evaluation (15 
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 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 work plan 
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 training 
services to housing counselors. The outputs and outcomes projected in 
the Logic Model must be consistent with the projected number of housing 
counselors to be trained as proposed in Rating Factor 3. In addition, 
the narrative submitted with this factor must be consistent with the 
completed logic model. Applicants should be clear when reporting the 
number of proposed Housing Counseling trainings to be completed during 
the grant period.
    a. Program Outcome Logic Model (10 points). Applicants must select 
appropriate outputs and outcomes from a series of ``pick lists'' for 
the Housing Counseling Training Program. The pick list can be found in 
the form HUD-96010 in the Grants.gov Housing Counseling Training 
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. Applicants 
should make sure their entries reflect all proposed activity under the 
grant.
    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. These amounts should represent results to be achieved entirely 
as a result of the HUD housing counseling training funding. If, in 
reality, various funding sources will contribute to the services 
provided to each housing counselor, the applicant must prorate their 
response to reflect a figure representing trainings provided with only 
funding from the proposed grant.
    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.
    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.
    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 housing 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.
    (1) Impact. In scoring this Section, HUD will evaluate the proposed 
outputs and outcomes from the logic model, for example, the number of 
housing counselors 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, 2008, to September 30, 
2009. Scoring will be based on the cost per housing counselor trained, 
compared to historical averages for similar services and similar 
applicants.
    (2) Justification. Proposed housing counselors trained numbers will 
also be analyzed in the context of budget, costs, spending decisions, 
the types of training services provided, level of effort expended, etc. 
Provide a context for, or qualify the number of housing counselors the 
applicant projects to train 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 housing counseling activities identified above. The 
Logic Model submission is valued at up to 10 points and the point 
structure for review of the Logic Model is contained in General 
Section. The Evaluation plan and methods for reviewing and improving 
program effectiveness is valued at 10 points.
    b. Evaluation Plan (5 points). Applicants must also submit an 
evaluation plan that explains 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. 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:
    (1) Information Collection. Describe the applicant's procedures for 
measuring outputs and outcomes, and evaluating the impact of the 
training program.
    (2) 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.
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. Corrections to Deficient Applications. See the General Section.
    3. 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, in order to provide the 
highest quality, comprehensive, and nationwide training program, 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

[[Page 27158]]

applicant during the funding round of this NOFA, HUD may select that 
applicant when sufficient funds become available.
    4. Award Size. All grantees will receive the lower of either the 
award amount determined by HUD or the amount actually requested by the 
applicant.
    5. 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.
    6. 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 FY2008, 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 x 2618 (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 or 
(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.

[[Page 27159]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.012


[[Page 27160]]



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 Grant 
Program, Lead Hazard Reduction Demonstration Grant Program, and 
Operation Lead Elimination Action Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR-5200-N-06; 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, 14.905 Lead 
Hazard Reduction Demonstration Grant 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 the application deadline 
dates as follows: The application deadline date for the Lead-Based 
Paint Hazard Control Grant Program and the Operation Lead Elimination 
Action Program is July 10, 2008. The application deadline date for the 
Lead Hazard Reduction Demonstration Grant Program is July 17, 2008. 
(All 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.) See the General 
Section, published on March 19, 2008 (73 FR 14882), for specific 
instructions regarding application submission, and timely submission of 
applications.
G. Additional Overview Content Information
    1. Purpose of the Program.
    a. The purpose of the Lead-Based Paint Hazard Control Grant Program 
is to assist states, Native American Tribes, cities, counties/parishes, 
or other units of local government in undertaking comprehensive 
programs to identify and control lead-based paint hazards in eligible 
privately owned rental or owner-occupied housing.
    b. The purpose of the Lead Hazard Reduction Demonstration Grant 
Program is the same as the Lead-Based Paint Hazard Control, but with 
the exception that the Lead Hazard Reduction Demonstration Grant 
Program is targeted for urban jurisdictions with the greatest lead-
based paint hazard control needs.
    c. The purpose of the Operation Lead Elimination Action Program 
(LEAP) is to leverage private sector resources to eliminate lead 
poisoning as a major public health threat to children under age six 
living in eligible privately owned housing units.
    2. Available Funds. Approximately $132 million (Lead-Based Paint 
Hazard Control Grant Program, Lead Hazard Reduction Demonstration Grant 
Program and Operation Lead Elimination Action Program) is available 
from current and previous years' funding.
    3. Match. Matching funds are required for the Lead-Based Paint 
Hazard Control Grant Program and Lead Hazard Reduction Demonstration 
Grant Program. For the Lead Hazard Reduction Demonstration Grant 
Program, HUD may grant a waiver of the 25 percent match requirement, if 
the applicant submits a request that meets HUD's criteria. See NOFA 
Criteria by Grant Program Chart in unit III, Eligibility Information.
    4. 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 Grant 
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, Public Law 102-550). HUD's authority for making funding 
available under this NOFA for each of these grant programs is the 
Continuing Appropriations Act, 2008 (Pub. L. 110-161, approved December 
26, 2007). The Lead-Based Paint Hazard Control Grant Program assists 
states, Native American Tribes, cities, counties/parishes, or other 
units of local government in undertaking comprehensive programs to 
identify and control lead-based paint hazards in eligible privately 
owned rental or owner-occupied housing. The Lead Hazard Reduction 
Demonstration Grant Program assists urban jurisdictions with the 
greatest 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. The 
purpose of the Operation Lead Elimination Action Program (LEAP) is to 
leverage private sector resources to eliminate lead poisoning as a 
major public health threat to children under age six living in eligible 
privately owned housing units.
    Funds will be awarded to applicants that will accomplish the 
following objectives:
    1. Maximize both the number of children less than six years of age 
protected from lead poisoning and the number of housing units where 
lead-hazards are controlled;
    2. Target lead hazard control efforts in housing in which children 
are at greatest risk of lead poisoning in order to reduce elevated 
blood lead levels in children less than six years of age;
    3. Promote cost-effective lead hazard control methods and 
approaches that can be replicated;
    4. Build local capacity to safely and effectively address lead 
hazards during lead-hazard control and renovation, remodelling, and 
maintenance activities by integrating lead safe work practices;
    5. Promote integration of this grant program with housing 
rehabilitation, maintenance, weatherization, and other energy 
conservation activities;
    6. Affirmatively further fair housing and environmental justice 
(please refer to the General Section for additional guidance);
    7. Develop a comprehensive community based approach to address lead 
hazards in housing by mobilizing public and private sector resources 
including grassroots community-based non-profit and faith-based 
organizations;
    8. Promote collaboration, data sharing, and targeting between 
health and housing departments;
    9. Establish a system or process that will facilitate lead-safe 
units to be affirmatively marketed to families with young children; 
and,
    10. 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 2008 NOFA
    1. The points allocated for match and leveraged resources in Rating 
Factor 4 have changed.
    2. Operation Lead Elimination Action Program (LEAP) grants will be 
awarded

[[Page 27161]]

from $500,000 to a maximum of $2,000,000 per grant.
    3. Applicants to the programs in this NOFA are not eligible to 
receive funding for the same program awarded under the FY2007 NOFA 
competition: Applicants awarded an LHRD grant under the FY2007 NOFA 
competition are eligible to apply for the LBPHC grant program under 
this NOFA; similarly, applicants awarded an LBPHC grant under the 
FY2007 NOFA competition are eligible to apply for the LHRD grant 
program under this NOFA. Applicants awarded both an LHRD and an LBPHC 
grant under the FY2007 NOFA competition are not eligible to apply under 
this NOFA.
    4. Applicants to the LHRD grant program may request a waiver of the 
25 percent match requirement, if the applicant submits a request that 
meets HUD's criteria. See unit III.B.2, Eligibility Information, below. 
The request for the waiver of the match, with supporting narrative and 
documentation, must be submitted in accordance with unit IV.F.2, below, 
to be received no later than June 2, 2008.

II. Award Information

    A. Funding Available. From current and previous years' funding, 
approximately $70.4 million will be available for the Lead-Based Paint 
Hazard Control Grant Program, approximately $44.1 million will be 
available for the Lead Hazard Reduction Demonstration Grant Program, 
and approximately $17.5 million will be available for the Operation 
Lead Elimination Action Program.
    1. Grant award amounts for the entire period of performance for 
Lead-Based Paint Hazard Control Grant Program grants shall be up to a 
maximum of $3 million per grant; for the Lead Hazard Reduction 
Demonstration Grant Program grants, up to a maximum of $4 million per 
grant; and for Operation Lead Elimination Action Program (LEAP) grants 
from $500,000 to a maximum of $2,000,000 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 
November 1, 2008. The period of performance shall not exceed 36 months. 
Period of performance extensions will be considered by HUD in 
accordance with 24 CFR 84.25(e)(2) or 85.30(d)(2), as applicable, and 
published policy guidance and the OHHLHC Grantee Program Guide. Such 
extensions, when granted, are one time only, and for no more than a 
period of one year from the original period of performance end date.
B. Collaboration With Other Partners
    All applicants are encouraged to enter into formal arrangements 
with grassroots community-based non-profit organizations, including 
faith-based or other community-based organizations. (This does not 
apply to Native American Tribes.) These formal arrangements could be a 
contract, a Memorandum of Understanding (MOU), a Memorandum of 
Agreement (MOA), or a letter of commitment. Such relationships should 
be established prior to the actual execution of an award or within 120 
days of award.

III. Eligibility Information

    A. Eligible Applicants. See the General Section for additional 
eligibility requirements applicable to HUD Programs.
    1. 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/parish, or other unit of local 
government. Multiple units of a local government (or multiple local 
governments) may apply as a consortium; however, a lead applicant must 
be identified 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.
    2. To be eligible to apply for the Lead Hazard Reduction 
Demonstration (LHRD) Grant Program, the applicant must be a city, 
county/parish, Native American Tribe, or other unit of local 
government. The applicant must have at least 3,500 pre-1940 occupied 
rental housing units (either alone or through a consortium), 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. Multiple units of a 
local government (or multiple local governments) may apply as a 
consortium for a metropolitan area if the total number of pre-1940 
occupied rental housing units for the combined jurisdiction is at least 
3,500; however, the application must identify the jurisdiction that 
will be administratively responsible for ensuring compliance with all 
requirements specified in this NOFA. If a jurisdiction will be covered 
as part of a State, county/parish, or consortium application, it is not 
eligible to apply as an individual applicant under this NOFA. Further, 
consortium applicants must ensure that where there is jurisdictional 
overlap, there is no double-counting of units to meet the unit 
threshold. A list of metropolitan areas having at least one place or 
county/parish with 3,500 or more occupied rental housing units built 
before 1940 is provided in Appendix A, which can be downloaded from: 
http://www.grants.gov/Applicants/Apply_for_grants.jsp.
    3. 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 entities are not allowed to 
earn a fee. Colleges and universities are also eligible to apply. 
National and local groups are encouraged to apply. Multiple eligible 
entities may apply as a consortium; however, a lead applicant must be 
identified that will be administratively responsible for ensuring 
compliance with all requirements specified in this NOFA. States, 
cities, counties/parishes and units of local government and their 
departments are not eligible.
    4. Applicants to the programs in this NOFA are not eligible to 
receive funding for the same program awarded under the FY2007 NOFA 
competition: Applicants awarded an LHRD grant under the FY2007 NOFA 
competition are eligible to apply for the LBPHC grant program under 
this NOFA; similarly, applicants awarded an LBPHC grant under the 
FY2007 NOFA competition are eligible to apply for the LHRD grant 
program under this NOFA. Also, applicants awarded both an LHRD and 
LBPHC grant under the FY2007 NOFA competition are not eligible to apply 
under this NOFA.
B. Cost Sharing or Matching
    The chart below describes the match percentage requirement, minimum 
percentage of federal funds for lead hazard control activities, and 
maximum administrative cost.
1. Match Requirements and Costs by Grant Programs

----------------------------------------------------------------------------------------------------------------
                                                                  Lead hazard control
            Grant program                   Minimum match                costs             Administrative costs
----------------------------------------------------------------------------------------------------------------
Lead-Based Paint Hazard Control        10 percent.............  Minimum 65 percent.....  Maximum 10 percent.
 (LBPHC).

[[Page 27162]]

 
Lead Hazard Reduction Demonstration    25 percent*............  Minimum 80 percent.....  Maximum 10 percent.
 (LHRD).
Operation Lead Elimination Action      N/A....................  Minimum 65 percent.....  Maximum 10 percent.
 Program (LEAP).
----------------------------------------------------------------------------------------------------------------
\*\ Applicants with approved LHRD match waivers must provide a minimum 10 percent match (see unit III.B.2.b(3)).

2. Match Requirements and Leveraged Resources
    For the LBPHC and LHRD programs that have a match requirement, HUD 
will award points based on the total amount of resources committed. For 
LEAP applicants, which have no matching requirement, HUD will award 
points based upon the amount of leveraged resources that are secured by 
the applicant. For the LBPHC and LHRD programs, all resources generated 
above the match requirement should be reported as leveraged resources. 
In general, the larger the amount of funds or in-kind services that are 
committed by the applicant, the higher the number of points that will 
be awarded under Rating Factor 4.
    a. LBPHC Match Requirement. Applicants to the LBPHC grant program 
must provide a matching contribution of at least 10 percent of the 
requested grant amount. Applications to the LBPHC grant program will 
not be reviewed and funded if they do not meet this requirement. As 
noted in the General Section, applicants to the LBPHC program should 
refer to applicable OMB circulars, particularly those with respect to 
the funds used or proposed to be used to satisfy this requirement. 
Applicants should also note 24 CFR 85.24 which provides, among other 
things, that except as provided by Federal statute, a cost sharing or 
matching requirement may not be met by costs born by another federal 
grant. Applicants to the LBPHC grant program should identify the 
specific resources that will be used to satisfy the matching 
requirement. Matching contributions must be shown to be used 
specifically for allowable program costs. The signature of the 
authorized official on the Form SF-424 commits matching resources of 
the applicant organization and from other sources. Applicants should 
document the amount of the match from each funding source using Form 
HUD-96015.
    b. LHRD Match Requirement.
    (1) Applicants to the LHRD grant program must provide a matching 
contribution of at least 25 percent of the requested grant amount, 
except as described in paragraph (3) below.
    (2) Applications to the LHRD grant program will not be reviewed and 
funded if they do not meet this requirement. Applicants to the LHRD 
program should refer to 24 CFR 85.24 for additional information on 
match. As noted in the General Section, applicants to the LBPHC program 
should refer to applicable OMB circulars, particularly those with 
respect to the funds used or proposed to be used to satisfy this 
requirement. Applicants should also note 24 CFR 85.24 which provides, 
among other things, that except as provided by Federal statute, a cost 
sharing or matching requirement may not be met by costs born by another 
federal grant.. Applicants to the LHRD grant program should identify 
the specific resources that will be used to satisfy the matching 
requirement. Matching contributions must be shown to be used 
specifically for allowable program costs. The signature of the 
authorized official on the Form SF-424 commits matching resources of 
the applicant organization and from other sources. Applicants should 
document the amount of the match from each funding source using Form 
HUD-96015.
    (3) Request for Waiver of LHRD Matching Requirement. Under the 
Consolidated Appropriations Act, 2008, HUD is allowed to waive the 25 
percent matching requirement for LHRD applicants on a case by case 
basis if a waiver is necessary to advance the purposes of the LHRD 
program. Applicants to the LHRD grant program whose waiver request has 
been approved must provide a matching contribution of at least 10 
percent of the requested grant amount to be eligible to apply for 
funding. The request for a waiver of the 25 percent match requirement 
must address your financial condition. In particular, you must document 
that: [1] Your financial condition is such that providing a 25 percent 
match presents a financial hardship, and [2] that the financial 
hardship is highly likely to continue throughout the period of the 
grant. You should recognize, when considering whether to request a 
waiver, that your application must show sufficient capacity to 
administer the grant, as related to your narrative on qualifications 
and experience (Rating Factor 1) and soundness of approach (Rating 
Factor 3). The request for the LHRD match waiver, with supporting 
narrative and documentation, must be submitted in accordance with unit 
IV.F.2, below. Note that the LHRD match waiver request deadline is 
significantly earlier than the application deadline.
    c. Leveraged Resources.
    (1) All applicants are encouraged to provide leveraged resources. 
Leveraged resources may include funds from other allowable federally 
funded programs, and/or state, local, charity, non-profit or for-profit 
entities. Leveraged resources must be shown to be specifically 
dedicated to and integrated into supporting the programs. Local 
resources from the applicant (i.e., staff in-kind, cash, etc.) should 
be given a monetary value on the Form SF-424 but does not require a 
separate letter from the authorized official.
    (2) Housing Rehabilitation in Conjunction with Lead Hazard Control. 
HUD strongly encourages integration of our grant programs with housing 
rehabilitation. Applicants may include housing rehabilitation 
expenditures as leveraged resources for housing rehabilitation 
activities conducted in conjunction with the housing units or common 
areas being made lead-safe.
    d. Examples of activities that can be counted as match or leveraged 
resources include:
    (1) Contributions from property owners. For the share of the cost 
of lead hazard control contributed by a homeowner or landlord, 
documentation of the firm commitment by the homeowner or landlord, 
including the scope and amount of commitment must be included with the 
application. Applicants should also include sample contracts between 
the applicant and a prospective homeowner to show evidence of the share 
of the cost of lead hazard control. After award, detailed documentation 
of the cost incurred by the homeowner or landlord is necessary. 
Homeowner contributions are limited to that which can be supported and 
verified by a third party, such as materials paid for and provided by 
the owner or labor that the owner paid and can substantiate via 
receipts/records. Labor by the owner shall be verified by a third 
party. The labor contributed shall be valued at market rates. If 
letters of leveraged resources are not provided by property owners, the 
applicant will receive credit for this resource only if the applicant 
provides a statement in its budget narrative and in its response to 
Rating Factor 4 indicating that the applicant will be obligated for 
providing the total leveraged dollars of proposed

[[Page 27163]]

contributions from property owners if these funds are not received by 
the end of grant.
    (2) Donations. The value of items such as paint and other materials 
or equipment that are used for lead-based paint hazard control should 
be established at market rates.
    (3) Discounts. For services or products provided at a discounted 
rate, the discounted part of the fee or price is the eligible match/
leverage. For example: If a financial institution provides a discount 
on the interest rate for loans (e.g., mortgages, home equity loans, 
lines of credit, etc.) used to fund the homeowner or landlord 
contribution to the hazard evaluation and/or control work, the net 
present value of the interest discount is eligible match/leverage; 
neither the total interest nor the loan principal is eligible match/
leverage. The same net present value calculation would be done for a 
firm commitment to forgive all or a portion of the principal. If a loan 
is used for more than the hazard evaluation and control work covered by 
the grant, only the same fraction of the discount as the fraction of 
the loan used for hazard evaluation and control may be accounted as 
match/leverage.
    (4) Third Party In-Kind Contributions. See 24 CFR 85.24 (LBPHC, 
LHRD) or 24 CFR 84.23 (LEAP), as applicable, for additional information 
on third party in-kind contributions. e. For LEAP applicants, only 
leveraged resources from the private sector are considered eligible. 
All leveraged resources shall be used for the same purposes as 
permitted for by the federal funds. For cash and in-kind sources of 
leveraged resources, the applicant must submit letter(s) of commitment, 
signed by an official of the organization legally authorized to make 
commitments on behalf of the organization. The letter must indicate the 
amount and source of the contribution.
C. Other
    1. Threshold Requirements. Please see the General Section as well 
as threshold requirements listed in this subsection. Applications will 
not be reviewed and funded if they do not meet the threshold 
requirements. Only eligible applicants as defined in unit III, 
Eligibility Information, above, will be reviewed for compliance with 
threshold requirements.
    a. Applicants to the Lead-Based Paint Hazard Control Grant Program 
are required to match 10 percent of the funds requested with other non-
federal funds or resources. Applications to the Lead-Based Paint Hazard 
Control Grant Program will not be reviewed and funded if they do not 
meet this requirement. Applicants to the Lead Hazard Reduction 
Demonstration Grant Program are required to match 25 percent of the 
funds requested with other non-federal funds or resources, unless a 
waiver of match is requested and approved per unit III.B.2.b(3) above. 
Applicants to the LHRD grant program whose waiver request has been 
approved must provide a matching contribution of at least 10 percent of 
the requested grant amount to be eligible to apply for funding.
    b. Consolidated Plans. (This requirement does not apply to Native 
American Tribes.) In addition to a Form HUD-2991 form for each 
jurisdiction in which your project or part of your project will be 
carried out, 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.
    c. Applicants shall ensure that the requested grant amount is 
consistent on all forms and materials submitted, and that rounding 
errors do not result in a request that exceeds the maximum grant award. 
Applications for amounts larger than the applicable maximum amount for 
a program will be deemed ineligible and will not be reviewed.
    2. Allowable Costs and Activities. This section applies to all 
three grant programs unless otherwise specified. For each kind of 
organization, there is a set of Federal principles for determining 
allowable costs. Allowable costs shall be in accordance with the cost 
principles applicable to the organization incurring the costs, 
specifically OMB Circulars A-21--Cost Principles for Educational 
Institutions, A-87--Cost Principles for State, Local, and Indian Tribal 
Governments, or A-122--Cost Principles for Nonprofit Organizations, 
which can be accessed at the White House Web site, http://www.whitehouse.gov/omb/circulars/index.html.
    a. Lead Hazard Control Direct Costs. Lead hazard control direct 
costs are defined as specifically related to the performance of lead 
hazard control activities, as defined below. LBPHC and LEAP applicants, 
while preparing the budget, shall earmark at least 65 percent of the 
requested grant amount and LHRD applicants shall earmark 80 percent of 
the requested grant amount for lead hazard control activities. Lead 
hazard control activities are defined as:
    (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 Rule.
    (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, including;
    (a) Interim Controls. According to the HUD Guidelines for the 
Evaluation and Control of Lead-Based Paint Hazards in Housing (``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 Abatement. Abatement of all lead-based paint 
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

[[Page 27164]]

make a special request, in writing, prior to conducting complete 
abatement of lead-based paint. 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. b. Other Allowable costs. Costs 
for the activities below should not be counted as lead hazard control 
direct costs:
    (1) Purchasing or leasing equipment having a per-unit cost under 
$5,000. The purchase or lease of up to two X-ray florescence analyzers 
(which typically cost significantly more than $5,000) to be used 
exclusively by the grant program is permitted and is not subject to the 
$5,000 per-unit cost restriction.
    (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 the Department's January 22, 2007, 
``Final Guidance to Federal Financial Assistance Recipients Regarding 
Title VI Prohibition Against National Origin Discrimination Affecting 
Limited English Proficient Persons'' (72 FR 2732), 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) Providing resources to build capacity for lead safe housing and 
lead hazard control, including free delivery of HUD-approved lead-safe 
work practices training courses for housing rehabilitation contractors, 
rehabilitation workers, homeowners, renters, painters, remodelers, 
maintenance staff, and others conducting renovation, rehabilitation, 
maintenance or other work in private housing; free delivery of lead 
sampling technician training, lead-based paint worker or contractor 
certification training; and subsidies for licensing or certification 
fees to low-income persons seeking credentials as lead-based paint 
workers or contractors or lead sampling technicians.
    (7) Conducting planning, coordination, and training activities to 
comply with HUD's Lead-Safe Housing Rule (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.
    (8) 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.
    (9) Participating in applied research, studies, or developing 
information systems to enhance the delivery, analysis, or conduct of 
lead hazard control activities, or to facilitate targeting and 
consolidating resources to further childhood lead poisoning prevention 
efforts.
    c. Other costs.
    (1) Administrative Costs. Administrative costs may not exceed 10 
percent of the grant award. For more information, please review OMB 
Circulars (A-21--Cost Principles for Educational Institutions, A-87--
Cost Principles for State, Local, and Indian Tribal Governments, or A-
122--Cost Principles for Nonprofit Organizations) that can be accessed 
at the White House Web site, http://www.whitehouse.gov/omb/circulars/index.html.
    3. Limitation on use of funds. Applicants 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 or 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 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 rental housing 
covered by pending or final HUD, EPA, and/or DOJ settlement agreement, 
consent decree, court order or other similar action 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. Activities that do not comply with the Coastal Barrier Resources 
Act (16 U.S.C. 3501).
    g. 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)). Applicants are responsible for assuring that flood 
insurance is obtained and maintained for the appropriate amount and 
term.
    4. Additional Program Requirements.
    a. All laboratory analysis in support of required testing and 
evaluation under this NOFA must be conducted by a laboratory recognized 
for the analysis by

[[Page 27165]]

the EPA National Lead Laboratory Accreditation Program (NLLAP; http://www.epa.gov/lead/pubs/nllap.htm).
    b. 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:
    (1) 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.
    (2) Lead-based paint hazard abatement. However, see the 
restrictions on using abatement in unit III.C.2.a(4)(b), Lead-Based 
Paint Abatement, above.
    c. For temporary relocation of families and individuals while the 
remediation is conducted and until the time the affected unit receives 
clearance for re-occupancy.
    d. Eligibility of HUD-Assisted Housing. The Appendix, ``Eligibility 
of HUD-Assisted Housing,'' lists the housing units that may participate 
under each of the three competitive programs detailed in this NOFA and 
can be downloaded with the application from: http://www.grants.gov/applicants/apply_for_grants.jsp.
    e. 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 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.''
    f. Prohibited Practices. Applicants must not engage in the 
following prohibited practices while conducting lead hazard control 
activities:
    (1) Open flame burning or torching;
    (2) Machine sanding or grinding without a high-efficiency 
particulate air (HEPA) exhaust control;
    (3) Uncontained hydroblasting or high-pressure washing;
    (4) Abrasive blasting or sandblasting without HEPA exhaust control;
    (5) Heat guns operating above 1,100 degrees Fahrenheit;
    (6) Chemical paint strippers containing methylene chloride or other 
volatile hazardous chemicals in a poorly ventilated space; and
    (7) Dry scraping or dry sanding, except scraping in conjunction 
with heat guns or around electrical outlets or when treating no more 
than two square feet in any one interior room or space, or totalling no 
more than 20 square feet on exterior surfaces.
    g. Written Policies and Procedures. Applicants should describe in 
their work plan policies and procedures for procurements (contracting), 
unit eligibility, unit selection and prioritization, all phases of lead 
hazard evaluation and control, including risk assessments, inspections, 
development of specifications for contractor bids, pre-hazard control 
blood lead testing, financing, temporary relocation and clearance 
examinations. Grantees, subcontractors, sub-grantees, sub-recipients, 
and their contractors must adhere to these policies and procedures.
    h. 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). Applicants should 
describe previous efforts, if applicable, to maintain a registry 
(listing) of low-income units in which lead hazards have been 
controlled (often called ``lead-safe units'') as a result of previous 
activities, their plans in conjunction with this grant for continuing 
an existing registry or establishing a new registry, and their 
procedures for ensuring that these units are affirmatively marketed to 
agencies and families as suitable housing for low-income families with 
children less than six years of age.
    i. Environmental Requirements.
    (1) 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.
    (2) Recipients of Lead-Based Paint Hazard Control grants and Lead 
Hazard Reduction Demonstration grants may conduct lead inspections and 
risk assessments prior to receiving Environmental Review Clearance 
under the exemption allowed in 24 CFR 58.34(a)(5), which states that 
``inspections and testing of properties for hazards or defects'' are 
exempt activities.
    (3) 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 58. Under part 58, a responsible entity, 
usually a unit of local government, must assume the environmental 
review responsibilities for activities funded under LEAP. Under 24 CFR 
58.11, 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.
    j. 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).
    k. Lead hazard 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.

[[Page 27166]]

    l. Testing. 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.
    (1) Lead-Based Paint and Lead-Based Paint Hazard Identification. A 
lead-based paint inspection and risk assessment is required. 
Presumption of the presence of lead-based paint or lead-based paint 
hazards is not allowed.
    (2) 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.
    m. 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).
    n. Cooperation With Related Research and Evaluation. Applicants 
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 the 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 http://www.hhs.gov/ocr/hipaa/.
    o. Data Collection. Applicants shall collect, maintain, and provide 
to HUD the data necessary to document and evaluate grant program 
outputs and outcomes.
    p. Section 3 Employment Opportunities. The requirements of Section 
3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) 
are applicable to this program. Please refer to 24 CFR part 135 and the 
General Section for additional information. This sub-factor 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
    (2) Award contracts to Section 3 contractors; as each of those 
terms is defined in the regulations, 24 CFR part 135.
    q. 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.
    r. Code of Conduct. Prior to entering into a grant agreement with 
HUD, applicants will be required to submit a copy of their 
organization's Code of Conduct and describe the methods they will use 
to ensure that all officers, employees, and agents of their 
organization are aware of their Code of Conduct. An applicant who 
submitted an application during FY2006 or FY2007 and included a copy of 
its Code of Conduct will not be required, if that Code of Conduct is 
current, to submit another copy if the applicant is listed on HUD's Web 
site: http://www.hud.gov/offices/adm/grants/codeofconduct/cconduct.cfm.
    s. Coordination among Critical Agencies. HUD encourages grantees to 
participate in state-wide or jurisdiction-wide strategic plans to 
eliminate childhood lead poisoning as a major public health problem by 
2010, or to 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, HUD encourages grantees to enter into 
collaborative arrangements with childhood lead poisoning prevention 
programs, 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).
    t. Institutional Review Board (IRB). Applicants should indicate 
whether their 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 Services' 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/.
    u. Waste Disposal. Applicants must handle waste disposal according 
to the requirements of the appropriate local, state, and federal 
regulatory agencies. Applicants 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. The Guidelines are available from the HUD Web site at: 
http://www.hud.gov/offices/lead/lbp/hudguidelines/index.cfm.
    v. Worker Protection Procedures. Applicants 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.
    w. 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 that applicants review these regulations 
when preparing the 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 the General 
Section for additional information about relocation.
    x. Notification Requirements. Applicants should also describe how 
they will provide owners with lead hazard evaluation and control 
information generated by activities

[[Page 27167]]

under this grant, so that the owner can comply with the Lead Disclosure 
Rule (24 CFR part 35, subpart A, or the equivalent 40 CFR part 745, 
subpart F) and the Lead Safe Housing Rule (24 CFR part 35, subparts B-
R).

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 applicants have difficulty accessing the 
information, applicants 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 applicants have difficulty accessing the 
information, applicants may call HUD's NOFA Information Center at (800) 
HUD-8929. If applicants are a hearing-or speech-impaired person, 
applicants 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 may submit up to one application for each of the 
competitive programs covered by this NOFA for which they are eligible.
    Applicants eligible to apply under this NOFA must follow the 
submission requirements described below:
    1. Applicant Information.
    a. Application Format.
    (1) 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. The 20-page rating factor 
response does not include attachments, tables, appendices, and other 
required forms. Applicants should be aware that any narrative 
information submitted in response to the Rating Factors that exceeds 
the page limit will not be reviewed.
    (2) 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 
response to the Rating Factors should be submitted as a single 
Microsoft Word document file. All attachments must identify the related 
Rating 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. Applicants 
are encouraged to submit as few files as possible to ensure that all 
materials are received.
    b. Information contained in the abstract will not be considered in 
the evaluation and scoring of the application.
    c. Application Checklist. The applicant's 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 below includes a list 
of the required items needed for submitting a complete application and 
receiving consideration for funding (except as noted below).
    (1) Applicant Abstract (limited to a maximum of 2 pages).
    (2) Rating Factors Response (limited to a maximum of 20 narrative 
pages plus the following forms).
    (a) Capacity of the Applicant and Relevant Organizational 
Experience and Form HUD-96012.
    (b) Needs/Extent of the Problem and Form HUD-96013.
    (c) Soundness of Approach and Form HUD-96014.
    (d) Leveraging and Matching Resources and Form HUD-96015.
    (e) Program Outcome Logic Model, Form HUD-96010.
    (3) Other Materials in support of rating factors.
    (a) Form SF-424--Application for Federal Assistance.
    (b) SF-424 Supplement Survey on Equal Opportunity for Applicants 
(``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov) (optional 
submission).
    (c) HUD-424 CBW, HUD Detailed Budget Worksheet, (Include Total 
Budget (Federal Share and Matching) and Budget Justification Narrative.
    (d) Form HUD 2880--Applicant/Recipient Disclosure/Update Report 
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov).
    (e) Form HUD 2990--Certification of Consistency with the RC/EZ/EC-
II Strategic Plan.
    (f) Form HUD 2991--Certification of Consistency with the 
Consolidated Plan.
    (g) Form SF-LLL--Disclosure of Lobbying Activities (if applicable).
    (h) Form HUD 96008--Development Worksheet with Minimum Benchmark.
    (i) 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.).
    (j) Form HUD 27300--Questionnaire for HUD's Removal of Regulatory 
Barriers (required only if applicant is seeking points regarding 
removal of regulatory barriers).
    (k) Form HUD 2994-A, You Are Our Client Survey (optional).
    (l) Lead Hazard Reduction Demonstration Grant Program match waiver 
request (optional).
    C. Submission Dates and Times. The application deadline date for 
the Lead-Based Paint Hazard Control Grant Program and the Operation 
Lead Elimination Action Program is July 10, 2008. The application 
deadline date for the Lead Hazard Reduction Demonstration Grant Program 
is July 17, 2008. (All 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.) Refer to 
the General Section for timely submission requirements.
    D. Intergovernmental Review. Not required.
E. Funding Restrictions
    1. Administrative Costs. Administrative costs may not exceed 10 
percent of the grant award.
    2. Ineligible Activities. See unit III.C.3, Ineligible Costs and 
Activities.
F. Other Submission Requirements
    1. Electronic submission waiver. Applicants are required to submit 
applications electronically via the Web site: http://www.grants.gov/applicants/apply_for_grants.jsp. See the General Section for 
additional information on the electronic process and how to request a 
waiver from the electronic submission requirement, if necessary. 
Applicants should submit their electronic submission waiver requests in 
writing by e-mail. Electronic

[[Page 27168]]

submission waiver requests must be submitted no later than 15 days 
prior to the application deadline date and should be submitted to 
Jonnette Hawkins, Director, Programs Division, Office of Healthy Homes 
and Lead Hazard Control, [email protected]. If an electronic 
submission waiver is granted, the application must be received by HUD 
no later than 11:59:59 PM on the application deadline date. The 
electronic submission waiver approval notification will provide further 
information on where to send the application and the number of copies 
to be provided.
    2. Lead Hazard Reduction Demonstration Grant Program match waiver. 
Lead Hazard Reduction Demonstration Grant Program applicants requesting 
a waiver from the 25 percent match requirement are required to submit a 
request by e-mail. LHRD match waiver requests must be submitted no 
later than 11:59:59 PM on June 2, 2008 and should be submitted to 
Jonnette Hawkins, Director, Programs Division, Office of Healthy Homes 
and Lead Hazard Control, at [email protected]. HUD will 
respond to the LHRD match waiver requests by e-mail no later than June 
26, 2008 and, if a mailing address is provided in a request, by letter 
within 5 working days thereafter.

V. Application Review Information

    A. Criteria: The following section applies to all applicants unless 
otherwise specified. The application must receive a total score of at 
least 75 points to be considered for funding.
1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 Points Maximum for All Applicants)
    This factor applies to all applicants.
a. Capacity of the Applicant (10 Points)
    The applicant must demonstrate that it has sufficient qualified 
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 grant award to successfully implement 
and complete the project. Applicants must complete form HUD-96012 to 
receive up to the full points for this rating factor. Key personnel 
should include, at a minimum, a Project Director (PD) and a Program 
Manager (PM). The applicant must provide resumes of key personnel and 
job descriptions for planned key personnel. The applicant must describe 
the roles and responsibilities of each key personnel for the project. 
Please do not include the Social Security Numbers (SSN) of any staff 
members.
    The day-to-day Program Manager must be experienced in housing 
rehabilitation, lead hazard control or related work. The Program 
Manager should have demonstrated project management experience and must 
dedicate at least 75 percent of his/her time for the proposed project. 
Applicants must: (1) 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, (2) detail the sub-entity's experience in initiating and 
implementing related environmental, health, or housing projects, and 
(3) list key personnel from each sub-grantee or sub-contractor 
organization and their respective roles and responsibilities, and (4) 
provide the percent of time commitment to the proposed program.
b. Relevant Organization Experience (10 Points)
    (1) New Applicants. Describe 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 (last three years) in initiating and implementing 
lead hazard control or related environmental, health or housing 
projects. Provide examples of relevant programs that applicants 
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).
    (2) Current or previous grantees: HUD will evaluate the applicant's 
quarterly performance reports for the most recent four (4) quarters, 
and award points based on the performance ratings.
    (3) Current Grantees: For applicants with active grants that will 
not expire prior to March 31, 2008, the applicant must provide 
assurances that all funded applications will be managed and implemented 
concurrently.
2. Rating Factor 2: Need/Extent of the Problem (15 Points Maximum for 
LBPHC and LHRD Programs; 10 Points Maximum for LEAP)
    An applicant will be scored in this rating factor based on its 
documented need as evidenced by the submission of thorough, credible, 
and appropriate data and information. There must be a direct and 
substantial relationship between the proposed lead hazard control 
activities, the Consolidated Plan's lead element and documented 
community needs. The data submitted in response to this rating factor 
will be verified using data available from the Census, HUDuser, other 
data available to HUD and/or in cooperation with the Centers for 
Disease Control and Prevention.
    Multiple tables (one per target area) are permissible. The data 
submitted to HUD will be verified using data available from the Census 
http://factfinder.census.gov, HUDuser http://www.huduser.org/datasets/fmr.html, and other sources available to HUD. Points will be awarded in 
this rating factor based on the information documenting the number and 
percentage of children with an elevated blood lead level, the number 
and percentage of pre-1978 housing units (pre-1940 for the LHRD grant 
program), and the number and percentage of families with incomes at or 
below 80 percent of the Area Median Income as determined by HUD within 
the jurisdiction and/or target areas. (No overlapping data will be 
accepted.)
    a. Documented Blood Lead Level (BLL). (5 Points maximum for all 
programs). Applicants must complete form HUD-96013 to receive points 
for this rating factor. Part A of this form should be used to document 
the blood lead levels in children residing within the applicant's 
jurisdiction and target area for the most recent complete calendar year 
and identify the source of the data. Data prior to calendar year 2004 
will not be accepted. For the purposes of this application, the 
``documented number of children'' is based on a blood lead level test 
performed by a medical health care provider. Consortia of local 
governments must report the number in the cities or counties/parishes 
making up the consortium and the target areas to be served. A separate 
narrative does not need to be provided regarding this data; completion 
of the table is sufficient.
    b. Housing Age and Tenure and Very Low and Low-income Population. 
(10 points maximum for LBPHC and LHRD grant programs; 5 points maximum 
for LEAP). Applicants must complete form HUD-96013 to receive points 
for this rating factor. Part B of this form should be used to document 
where the applicant intends to conduct lead hazard control work. HUD 
will use data from the Census on the housing age and tenure and 
individuals living below poverty level in the jurisdictions where the 
applicant intends to conduct lead hazard control work as the basis for

[[Page 27169]]

review. A separate narrative does not need to be provided regarding 
this data; completion of the tables is sufficient.
3. Rating Factor 3: Soundness of Approach (40 Points Maximum for All 
Applicants)
    The activities supported by the grant programs of HUD's Office of 
Healthy Homes and Lead Hazard Control (OHHLHC) represent some of the 
most important elements of the national effort to achieve the 2010 goal 
of eliminating childhood lead poisoning, and to respond to other 
important health hazards linked to housing. The degree of success 
achieved by grantees will significantly shape the success of the 
national effort.
    This factor addresses the quality and cost-effectiveness of the 
applicant's proposed work plan. In general, there are four key stages 
in the life of a grant; application, start-up, implementation, and 
close-out. Applicants need to describe their work plan to address 
start-up and implementation phases of their grant that includes 
specific, measurable and time-phased objectives for each major program 
activity. The applicant's response to this factor must include the 
elements described below in the program description. In addition, 
applicants must complete the Rating Factor 3 Table Soundness of 
Approach to receive up to the full points for this rating factor.
    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 and 
leveraged resources, 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. LEAP applicants should 
describe their time-phased goals for generating leveraged resources and 
how they will track and use these funds during the 36-month period of 
performance. 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/. Information contained in the benchmark form 
does not need to be repeated or explained in detail in the rating 
factor narrative. Applicants may refer to the form within the narrative 
where relevant.
    a. Lead Hazard Control Work Plan Strategy (15 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, and 
individuals/groups to be reached through education and/or outreach 
activities and trained.
    As part of the applicant's work plan description, address the 
following:
    (1) Program Administration and Financial Management. Describe how 
the program will be administered, including addressing oversight and 
financial management.
    (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 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 income 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 grant 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 the applicant's involvement in coordination among 
critical agencies, including participation in the CDC state-wide or 
jurisdiction-wide strategic plan to eliminate childhood lead poisoning 
as a major health problem by 2010.
    (d) If you are seeking points regarding the Departmental policy 
priority for removal of regulatory barriers, submit a completed FORM 
HUD 27300--Questionnaire for HUD's Removal of Regulatory Barriers (2 
points).
    (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 the 
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) Briefly address how the applicant 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 the applicant will identify, select, prioritize 
and enroll eligible housing units in which the applicant will undertake 
lead hazard control interventions, especially those known to house EBL 
children. Include the estimated 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 the applicant's planned approach to control lead 
hazards in

[[Page 27170]]

vacant and/or occupied units before children are poisoned.
    (c) Describe measures the applicant will take to sustain 
recruitment. Identify the staff responsible for both monitoring 
recruitment status and implementing the measures identified to sustain 
recruitment.
    (d) If the applicant is a housing agency, explain how the applicant 
will obtain data from state and/or local health departments, Childhood 
Lead Poisoning Prevention Programs (CLPPP) and other health care 
agencies (if applicable) on the addresses of housing units in which 
children have been identified as having an elevated blood-lead level, 
for purposes of recruiting and enrolling housing units.
    (e) Discuss coordination with State and local housing agencies, and 
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.
    b. Technical Approach/Lead Hazard Control Intervention (15 points 
for all applicants). In this section, the applicant should describe its 
technical approach and associated costs for testing enrolled units, 
blood-lead testing of children in enrolled units, and performing lead 
hazard control methods and strategies, occupant protection, and 
temporary relocation. This description should also indicate how the 
applicant will ensure cost-effectiveness for the program.
    Describe the lead hazard control methods, and strategies, including 
the hazard control methods the applicant will undertake, and the number 
of single and multi-family units that will be treated using each method 
selected (e.g., interim controls and/or hazard abatement) if this will 
vary. Explain the applicant's strategy to ensure that the units are 
maintained lead safe after treatment.
    In selecting lead hazard control methods, applicants should 
consider several factors: The relative costs and durability of the 
treatments, the characteristics of the unit, and the condition and 
projected durability of the component(s) treated. Applicants should 
choose appropriate control methods using their best judgement in each 
case. However, applicants should be aware that complete abatement of 
all lead-based painted surfaces in units is not generally a cost 
effective strategy and is discouraged in these programs. 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. Applicants 
are encouraged to review the National Evaluation of lead hazard control 
methods provided at http://www.hud.gov/offices/lead/library/misc/NatEval.pdf.
    (1) 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.
    (2) Coordination.
    (a) Explain the coordination of relevant activities among lead 
hazard control, rehabilitation, weatherization, and other contractors 
performing work other than lead hazard control. In particular, describe 
the coordination of lead hazard reduction with weatherization 
activities funded by state and local governments. Applicants may 
receive up to 1 point for addressing this departmental policy priority 
to Improve our Nation's Communities. See the General Section for more 
information on this departmental policy priority.
    (b) Describe the applicant's testing methods, schedule, and costs 
for lead-based paint inspections and risk assessments and clearance 
examinations. If the applicant proposes 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.
    (c) Describe how the applicant 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 
specifications and applicable federal/state/local regulations.
    (d) Using Form HUD-96008, 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. In addition, 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).
    (e) Describe the production process from intake to unit completion/
clearance and follow-up testing (if applicable), and identify the 
agency/person responsible for each step and how monitoring will be 
performed to both prevent and resolve production impediments.
    (f) Describe the applicant's plan for the relocation of occupants 
of units selected for remediation, if temporary relocation is 
necessary. If temporary relocation is necessary, the applicant should 
describe the relocation process (i.e., the uses of safe houses and 
other housing arrangements, storage of household goods, stipends, 
incentives, etc.), and the source of funding for relocation. Describe 
your plan for ensuring the right of return and/or first referral of 
occupants who have had to relocate temporarily for the lead hazard 
control work to be performed. If temporary relocation is not necessary, 
please describe measures to protect the occupants.
    (g) Describe the methods, measures and cost for performing blood 
lead testing in children less than six years of age.
    (i) Describe efforts to perform blood lead testing of children 
within the target area(s) and other screening efforts.
    (ii) Explain how the applicant 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.
    (iii) 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 will be 
maintained and the security of medical information is protected in 
accordance with the Health Insurance Portability and Accountability Act 
(HIPAA) of 1996.
    (h) Describe the methods for implementing Energy Star building 
techniques and utilizing Energy Star applicants whenever activities of 
the grant afford the opportunity (1 point).
    c. Economic Opportunity (2 points for all applicants). Explain how 
the applicant 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 the applicant will accomplish Section 3 requirements by 
identifying the number

[[Page 27171]]

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 
applicant's jurisdiction.
    d. Lead Hazard Control Outreach (6 points for all applicants).
    (1) Describe the applicant's involvement in collaborative 
agreements or arrangements with state or local health, housing, and 
code enforcement agencies, and community and/or faith based 
organizations for the target area(s) for performing outreach 
activities. If this information is detailed in letters of commitments, 
MOAs, or MOUs, it can be briefly summarized in this section. If these 
collaborative agreements or arrangements are not yet made, address 
plans to develop these agreements if applicable.
    (2) Discuss the applicant's proposed outreach activities and 
expected outcomes, as it relates to unit enrollment or reducing 
childhood lead poisoning in the target area.
    (3) 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.
    (a) Include the estimated number of individuals to receive the 
intended education and the estimated number of events to be delivered.
    (4) Affirmatively Furthering Fair Housing.
    (a) 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.
    (b) 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.
    e. Data Collection and other Program Support Activities (2 Points 
for all Applicants).
    (1) Identify and discuss the methods the applicant will use (in 
addition to HUD reporting requirements) to document activities, 
progress, and program effectiveness. Explain how the applicant will 
make necessary changes to improve program performance.
    (2) Describe how databases, including Web sites, computer, paper or 
other formats, will ensure the privacy of participants.
    f. Budget Proposal.
    (1) The applicant's budget proposal should thoroughly estimate all 
applicable costs (direct, indirect, and administrative), 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. The applicant must thoroughly 
document and justify all budget categories and costs (Form HUD-424-CBW) 
and all major tasks, for the applicant, 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. The applicant's application will be evaluated 
on the extent to which resources are appropriate for the scope of the 
proposed project.
    (2) The applicant's budget 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. 
The applicant's proposed budget should clearly identify the funding or 
cash equivalent amounts being provided as match and leveraged 
resources. These funds should reflect the numbers and contributions 
provided in response to Rating Factor 4, Leveraging Resources.
4. Rating Factor 4: Leveraging Resources (10 Points Maximum for LBPHC 
and LHRD Grant Programs; 15 Points Maximum for LEAP)
    This rating factor applies to all programs unless otherwise 
specified. This factor addresses the applicant's ability to obtain 
additional community and private sector resources that can be combined 
with HUD's program resources to increase the effectiveness of the 
proposed program activities. Applicants will be given points based on 
the amount of net match and leveraged resources equalling, for the 
LBPHC and LEAP programs, 10 percent or greater, and for the LHRD 
program, 25 percent or greater, or 10 percent or greater if HUD has 
granted a match waiver. Match and leveraged resources must be shown to 
be specifically dedicated to and integrated into supporting program 
activities. See unit III.B.2, Eligibility, for additional information 
on match and leveraged resources.
a. Match and Leveraged Resources
    Applicants will be given points based on the amount of total match 
and leveraged resources in accordance with the chart below (10 points). 
In awarding points, fractional percentages will be rounded down to 
whole number percentages, and will not be rounded up (e.g., 14.99% 
match and leveraged resources for LBPHC receives 5 points).

                Match and Leveraged Resources Point Table
------------------------------------------------------------------------
Match and leveraged resources as percent of requested federal    Points
                            amount                              awarded
------------------------------------------------------------------------
                             LBPHC and LEAP
------------------------------------------------------------------------
10-14........................................................          5
15-19........................................................          6
20-24........................................................          7
25-29........................................................          8
30-34........................................................          9
35 or greater................................................         10
------------------------------------------------------------------------
                        LHRD without match waiver
------------------------------------------------------------------------
25-26........................................................          5
27-28........................................................          6
29-30........................................................          7
31-32........................................................          8
33-34........................................................          9
35 or greater................................................         10
------------------------------------------------------------------------
                         LHRD with match waiver
------------------------------------------------------------------------
10-12........................................................          5
13-15........................................................          6
16-17........................................................          7
18-20........................................................          8
21-23........................................................          9
24...........................................................         10
------------------------------------------------------------------------

    The applicant must support each source of contributions, cash or 
in-kind, by a letter of commitment from the contributing entity, 
whether a public or private source. Each letter of commitment, 
memorandum of understanding, or agreement to participate should include 
the organization's name, the proposed level of commitment and the 
responsibilities as they relate to the proposed program. Staff in-kind 
contributions should be given a monetary value based on the local 
market value of the staff skills. The signature of the authorized 
official on the Form SF-424 commits match and leveraged resources of 
the applicant organization and from other sources. Contributions 
required of rental property owners may be included as part of the 
applicant's match and leveraged resources. The applicant should 
document and estimate the

[[Page 27172]]

amount of the match and leveraged resources from each partnership.
    Excluding local resources, applicants should submit evidence of a 
firm commitment for each match and leveraged resource. Such evidence 
must be provided in the form of letters of firm commitment, memoranda 
of understanding, or other signed agreements to participate from those 
entities identified as partners in the application. The commitment must 
be signed by an official of the organization legally able to make 
commitments on behalf of the organization.
b. Strategy and Approach (for LEAP Applicants Only--5 Points)
    (1) Experience and/or ability in leveraging resources will enhance 
the application. Describe this experience and the applicant's proposed 
strategy for leveraging resources including:
    (a) Types of leveraging and/or fundraising to be employed;
    (b) Proposed use and distribution of funds/resources contributed;
    (c) Overall project management and coordination;
    (d) Proposed schedule of activities within the 36-month period of 
performance;
    (e) Describe what the organization has done in the recent past 
(e.g., within the past five years) that gives evidence of its ability 
and experience to generate substantial private sector resources; and,
    (f) Describe time-phased goals for generating leveraged resources 
and how they will track and use these funds over the 36-month period of 
performance.
5. Rating Factor 5: Achieving Results and Program Evaluation. (15 
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 the applicant will measure the results.
    (3) Explain how the applicant will document and track its goals, 
program activities, and schedules.
    (4) Identify the procedures the applicant will follow to make 
adjustments to the work plan to improve performance if benchmarks are 
not met within established timeframes.
    b. Logic Model (10 points).
    (1) Submit Form HUD-96010.
    HUD is using an electronic Logic Model with dropdown menus from 
which the applicant can select needs, activities, and outcomes 
appropriate to the 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 the applicant 
has described the benefits and outcome measures of the 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 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 the applicant and HUD to monitor and 
assess the progress in achieving the 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). In FY 2008, HUD will use the Matrix in Appendix 1 of the 
General Section to rate the quality of the Logic Model. The matrix 
provides for a sliding scale of up 10 points based upon the quality of 
the submission.
6. Bonus Points. (2 Points for all programs)
    Applicants are eligible for 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 
U.S. 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 (EZ-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.
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 102. This maximum 
includes 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:

[[Page 27173]]



------------------------------------------------------------------------
                                                       Maximum points
                                                   ---------------------
                  Rating factors                     LBPHC &
                                                       LHRD       LEAP
------------------------------------------------------------------------
1. Capacity of the Applicant and Relevant                  20         20
 Organizational Experience........................
2. Need/Extent of the Problem.....................         15         10
3. Soundness of Approach..........................         40         40
4. Matching and Leveraging Resources..............         10         15
5. Achieving Results and Program Evaluation.......         15         15
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 leveraged resources for the multiple awards. 
During negotiations, such applicants would be required to provide 
alternative match and leveraged resources, if necessary, before the 
grant can be awarded in order to avoid committing duplicate match and 
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 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. Davis-Bacon wage rates. The Davis-Bacon wage rates are not 
applicable to these programs. However, if the applicant uses grant 
funds in conjunction with other federal programs, Davis-Bacon 
requirements will apply to the extent required under the other federal 
programs.
    3. Procurement of Recovered Materials. See the General Section for 
information concerning this requirement.
    4. 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 the General Section. The 
following items are a part of OHHLHC reporting requirements.
    1. Successful applicants will be required to submit quarterly, 
annual, and final program and financial reports according to the 
requirements of the Office of Healthy Homes and Lead Hazard Control. 
Specific guidance and additional details will be provided to successful 
applicants. For each reporting period, as part of the required report 
to HUD, a grant recipient must include a completed Logic Model (form 
HUD 96010), which identifies output and outcome achievements. 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 the award agreement.
    2. 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, the applicant may 
contact the Grants.gov help line at 800-518-GRANTS. For programmatic 
questions, the applicant may contact: Ms. Jonnette G. Hawkins, 
Director, Programs 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) 402-
7593 (this is not a toll-free number); facsimile (202) 755-1000; e-
mail: [email protected]. For administrative questions, the 
applicant may contact Curtissa L. Coleman, Director, Grants Services 
Division, at the address above or by telephone at: (202) 402-7580 (this 
is not a toll-free number); e-mail at: [email protected]. If 
the applicant is a hearing- or speech-impaired person, the applicant 
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

[[Page 27174]]

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.

[[Page 27175]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.013


[[Page 27176]]



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-5200-N-07, 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 July 3, 2008. 
Applications 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, published on March 19, 2008 (73 FR 
14882), 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 $4.3 
million will be available. Of this, approximately $2.2 million is for 
Lead Technical Studies and approximately $2.1 million is for Healthy 
Homes Technical Studies.
    3. Anticipated awards: Approximately 3 to 5 awards will be made for 
the Lead Technical Studies Program, ranging from approximately $350,000 
to a maximum of $1 million each for the entire period of performance. 
Approximately 3 to approximately 5 awards are anticipated under the 
Healthy Homes Technical Studies Program, ranging from approximately 
$350,000 to a maximum of $1 million 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 http://
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 purpose 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 key residential health and safety hazards. Key 
hazards are discussed in Appendix A. A list of references that serve as 
the basis for the information provided in this NOFA is provided as 
Appendix B. Appendices A and 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 are 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.hud.gov/offices/adm/grants/fundsavail.cfm.
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 and 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 27177]]

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 conditions that may 
impact health, research has identified other more subtle health hazards 
in the residential environment (e.g., asthma triggers, mycotoxins, 
volatile organic compounds, pesticide residues). While such hazards are 
found disproportionately in housing that is substandard (e.g., 
structural problems, lack of adequate heating and cooling, moisture 
infiltration), 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, pesticides, and 
unintentional injuries. These resource papers can be downloaded from 
http://www.hud.gov/offices/lead/hhi/hhiresources.cfm.
    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. 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 
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'' which can be found at: 
http://www.hud.gov/offices/lead/researchers.cfm. 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 2008 funds for both programs are authorized under 
the Consolidated Appropriations Act, 2008 (Pub. L. 110-161).

II. Award Information

A. Funding Available
    Approximately $2.2 million in fiscal year 2008 and prior-year funds 
are available for Lead Technical Studies. Approximately $2.1 million in 
fiscal year 2008 and prior-year funds are 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 3 to 5 awards will be made for 
the Lead Technical Studies Program, and that approximately 3 to 5 
awards will be made for the Healthy Homes Technical Studies Program. 
Awards will range from approximately $350,000 to no more than 
$1,000,000 per award for each program.
B. Anticipated Start Date and Period of Performance for New Grants
    The start date for new awards is expected to be not later than 
November 1, 2008. The period of performance cannot exceed 36 months 
from the date 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 in 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.

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 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:

[[Page 27178]]

    (1) Effectiveness of Ongoing Maintenance Activities in Controlling 
Lead-Based Paint Hazards. HUD has supported research that has shown 
that interim controls can be effective in significantly reducing dust-
lead levels for periods of up to six years following intervention (see 
e.g., Wilson et al., 2005 in Appendix B). Outside of the intensity of 
the intervention and baseline conditions, few factors have been 
identified that are predictive of the effectiveness of lead hazard 
control interventions in reducing dust-lead levels over the long term. 
The frequency and thoroughness of ongoing maintenance is one factor 
that is expected to be of significance with respect to the long term 
effectiveness of interim controls. 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.
    (2) Effectiveness of HUD-Required Training on Lead Safe Work 
Practices and Visual Assessment. HUD has sponsored the development and 
delivery of training in both lead safe work practices and the visual 
assessment of residences for the purpose of identifying deteriorated 
lead-based paint. To date, however, there has been no formal research 
to assess the effectiveness of this training. Such research would be 
useful for improving curricula and identifying the most effective 
methods for training delivery. HUD is placing a higher priority on the 
use of existing training curricula (with or without revision), but will 
consider proposals that include the development of new materials, if 
well justified. New training materials should be developed as ``step-
in'' packages so that HUD or other training providers may independently 
conduct the course on their own. All lead safe work practices training 
must comply with HUD requirements and guidelines (available on HUD's 
Web site at: http://www.hud.gov/offices/lead/training/hudapproval_main.cfm). Applicants must address the need for training or education 
in their target recipients.
    (a) Training workers in lead-safe work practices is important for 
preventing contamination of the work area and reducing occupant and 
worker lead exposures. New renovators and workers lack experience in 
lead-safe work practices. Their skill and ability to use lead-safe work 
practices properly and pass clearance depends, in large part, upon the 
type and quality of the training and education they receive. Thousands 
of workers throughout the U.S. have received lead safe work practices 
training; however, there has been little formal evaluation of the 
effectiveness of various training methods. HUD is interested in 
identifying the most effective approach(es) to delivering lead safe 
work practices training as well as assessing the effectiveness of the 
various components of HUD-approved training curricula. The results of 
research on this topic will be used to guide trainers in the most 
effective training protocols for this material, improve curricula and 
increase availability of training.
    Although there are several HUD-approved curricula including one 
developed jointly by HUD and the Environmental Protection Agency (EPA) 
(``Lead Safety for Remodeling, Repair and Painting''), training methods 
vary widely. For example, many training providers use only classroom 
lectures, while others include a variety of hands-on activities. Based 
on adult learning theory, it is expected that using hands-on activities 
is more effective compared to passive methods of training workers to 
reduce exposure to lead and pass end-of-job clearance examinations.
    In addition, much of the lead-safe work practices training has been 
delivered in urban areas in order to reach the maximum numbers of 
persons possible, with less emphasis on training individuals in rural 
areas. Barriers to training in rural locations include low enrollments, 
physical distance from the training location, travel costs and other 
factors. HUD will consider applications that investigate strategies 
designed to reach affected persons closer to where they live and work 
through technology-based instructional alternatives or structured on-
the-job training solutions. (Structured on-the-job training (SOJT) 
includes planning, breaking down jobs into their component tasks and 
providing instructors with lesson plans and materials. It produces 
consistent training outcomes of predictable quality. Information on 
SOJT is readily available in the body of training and education 
literature. Proposed training solutions must be suitable for the 
delivery of training that can be shown to be effective in giving 
workers the skills and ability they need to complete projects that pass 
independent third-party clearance examinations in target housing. HUD 
will consider funding applications that evaluate current existing 
technologies and infrastructure possibilities that appear to be 
suitable for delivery of such training.
    (b) Visual assessment for the presence of deteriorated paint is 
another activity for which an evaluation of training effectiveness is 
needed. In the past, HUD has supported two types of visual assessment 
training: instructor-led lecture and self-paced on-line training 
module. At this time, HUD maintains only the on-line visual assessment 
module, at: http://www.hud.gov/offices/lead/training/training_curricula.cfm and is aware of no comparable visual assessment training 
that is currently available. HUD will consider applications that 
address the effectiveness of various training or educational methods 
for visual assessment and recommend improvements to HUD's or others' 
curricula or offer alternative training solutions targeted to 
increasing the availability of effective visual assessment training. As 
above, the results of this research will be used to improve the quality 
and availability of the training.
    (3) Analysis of Available Data and Databases. HUD is interested in 
supporting research using existing data to address key scientific 
issues related to the identification and control of lead-based paint 
hazards. Large research efforts often generate comprehensive data sets 
that are analyzed to address primary research objectives; however, 
there is often important information to be gained by conducting 
additional analyses of the collected data. Such analyses can generally 
be conducted at low cost relative to the cost of the initial research. 
Applicants submitting proposals in this area should explain how the 
analyses would address high priority issues and possibly lead to 
improvements in lead hazard assessment and control methods. HUD is also 
interested in the creative use of existing databases (e.g., Census 
data, blood-lead screening data) to improve the efficacy of lead hazard 
control programs (e.g., by improved targeting of the highest risk homes 
and 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

[[Page 27179]]

identification and control of residential lead-based paint hazards.
    (4) 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).

    Applicants should consider the efficiencies that might be gained by 
working cooperatively with one or more recipients of HUD's 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.
    Because HUD has funded several recent applications in the following 
topic areas, HUD will not consider funding any applications on the 
following:
    i. Phytoremediation of lead-contaminated soil.
    ii. Analysis of dust or soil by portable X-ray fluorescent (XRF) 
analyzers.
    iii. Lead emissions from building demolition.
    iv. Contribution of soil lead to interior dust lead.
b. Healthy Homes Technical Studies
    (1) HUD expects to advance the recognition and control of 
residential health and safety hazards and more closely examine the link 
between housing and health. The overall objectives of 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 the identification 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 vulnerable populations (e.g., children, senior citizens);
    (e) Analysis of existing data or generation of new data to improve 
knowledge regarding the prevalence and severity of specific hazards in 
various classes of housing, with a focus on low-income housing. 
Specific examples include:
    (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., 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 illness or injury of children or other 
vulnerable populations. 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.
    (f) 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 focuses on approaches 
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 consumption and/or 
costs (e.g., increasing air exchange rates resulting in an increase in 
heating and cooling costs) and how significantly increased energy 
consumption and/or costs can be avoided or mitigated;
    (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) Improving understanding of the potential effects of residential 
construction and rehab practices using ``green principles'' on indoor 
air quality and resident health;
    (f) 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;
    (g) 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 likely 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

[[Page 27180]]

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 
complete 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.
    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 must 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 
EPA's National Lead Laboratory Accreditation Program (NLLAP) must 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 to databases (whether Web 
site, computer, paper, or other format) of addresses of housing units 
identified, treated or cleared under these studies 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 and local 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 are 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 under 
``Grantee Resources'' at http://

[[Page 27181]]

www.hud.gov/offices/lead/hhi/hhts.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.
    o. 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.
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 use to register as an Authorized Organization Representative (AOR) 
with Grants.gov. Be sure 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].
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

[[Page 27182]]

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 (48 points).
    (d) Leveraging Resources (6 points).
    (e) Achieving Results and Program Evaluation (10 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-please 
do not include Social Security Numbers on Resumes).
    (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) Budget narrative.
    (d) Form HUD-96010 (Program Outcome Logic Model Form).
    (e) 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).
    (f) Form SF LLL (Disclosure of Lobbying Activities, if applicable).
    (g) Form HUD-2880 (Applicant/Recipient Disclosure/Update Report) 
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov).
    (h) 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).
    (i) Form HUD-2994-A (You Are Our Client! Grant Applicant Survey, 
Optional).
    (j) Form HUD-27300 (Questionnaire for HUD's Removal of Regulatory 
Barriers) (``HUD Communities Initiative Form'' on Grants.gov) including 
the required information (required only if applicant is seeking points 
regarding removal of regulatory barriers.).
    (k) 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.).
    (l) Form HUD-96012 (Capacity of the Applicant and Relevant 
Organizational Experience).
    (m) Form HUD-96015 (Leveraging Resources).
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. Detailed explanations of indirect and 
administrative costs are provided in applicable OMB Circulars (A-21--
Cost Principles for Educational Institutions, A-87--Cost Principles for 
State, Local, and Indian Tribal Governments, or A-122--Cost Principles 
for Nonprofit Organizations) that can be accessed at the White House 
Web site, http://www.whitehouse.gov/omb/circulars/index.html.
    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 either 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].

[[Page 27183]]

    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
    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 102 points, including a possible 2 bonus points. 
Applicants should be certain that each of these factors is adequately 
addressed in the project description and accompanying materials. To the 
extent feasible, include all of the needed information within your 
response to each rating factor. If your response to a particular rating 
factor cites information provided in your response to another rating 
factor, clearly indicate where the information is located so that the 
reviewer can easily locate it.
    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 academic and 
professional 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. In responding to 
this rating factor, you should complete and submit Form HUD-96012 
(Capacity of the Applicant and Relevant Organizational Experience). 
Please do not include the Social Security Numbers (SSN) of any staff 
members.
    (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 any past OHHLHC grants 
and describe the outcomes of those grants and your organization's 
performance in their implementation (e.g., whether they were completed 
on time and within budget). Also, describe the past performance of the 
organization (applicant and/or partners) on other projects related to 
residential environmental health and safety research, or other relevant 
experience. Provide details about the nature of the project, the 
funding organization, 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 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 have not published the study results in a 
peer-reviewed scientific journal, 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 
the health of children and other sensitive populations such as seniors. 
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. 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. Identify 
which goals and objectives are addressed by the proposed study. For 
Healthy Homes Technical Studies applicants that are conducting research 
with households in targeted communities, include available documented 
rates of illness or injury associated with the hazard or hazards that 
you are addressing within that community. Data should be provided for 
the relevant geographic area(s) (e.g., local, regional, state level), 
depending upon availability. Similarly, Lead Technical Studies 
applicants should provide data on the prevalence of lead-based hazards 
and/or elevated blood-lead levels among households in targeted 
neighborhoods, if applicable.
    (2) A discussion of how your proposed project would significantly 
advance the current state of knowledge for your focus area. You should 
make clear how your proposed study would effectively build upon the 
current body of knowledge, especially the peer-reviewed literature.
    (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 (48 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

[[Page 27184]]

presented as a logical sequence of steps or phases with individual 
tasks described for each phase. Include an organizational chart in the 
material supporting your response to this rating factor. Your narrative 
should reflect the relevant scientific literature, which should be 
thoroughly cited in your application. Your proposed study will be 
judged in part on the soundness of the underlying body of research upon 
which it is based (e.g., is it based upon well-understood or poorly-
understood associations from previous epidemiological studies?) and the 
clarity and soundness of your interpretation and summarization of this 
research base. 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 2008 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 2008 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.
    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 for this policy priority. Instead of submitting the 
documentation, applicants may provide a Web site address where the 
documentation can be readily found.
    (3) Quality assurance mechanisms (7 points). You must describe the 
quality assurance mechanisms that will be integrated into your project 
design to ensure the accuracy, 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. If applicable, 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 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

[[Page 27185]]

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 (5 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)
    This factor addresses your ability to obtain other resources that 
can be combined with HUD's project funding to increase the 
effectiveness of the proposed study. 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. Contributed 
resources must be shown to be specifically dedicated to and integrated 
into supporting study activities. Resources may include funding or in-
kind contributions (such as direct labor, specialized facilities) 
allocated to the purpose(s) of your project. Staff and in-kind 
contributions should be assigned a monetary value. In assigning points 
for this factor, HUD will consider the significance of the leveraging 
in the context of the amount of federal funds that you are requesting. 
Applicants proposing to contribute resources valued at 10% or more of 
the federal funds requested will receive the most points.
    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. In responding to this rating factor, 
you should complete and submit Form HUD-96015 (Leveraging Resources).
    e. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points). This factor emphasizes HUD's commitment to ensuring that 
applicants keep promises made in their applications and assess their 
performance to ensure performance goals are met. Achieving results 
requires that you have clearly identified the expected outcomes of your 
project and interim performance measures for measuring progress in 
achieving the desired outcomes. Outcomes are ultimate goals. Benchmarks 
or outputs are interim activities or products that lead to the ultimate 
achievement of your goals.
    Project evaluation requires that you 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 identified goals. 
You should also 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. If appropriate, you can 
refer to the benchmarks and milestones identified in the management 
plan that you provide as part of your response to Rating Factor 3, 
providing additional explanation, as necessary. In your response you 
should also identify potential obstacles in meeting your study 
objectives and related performance measures and discuss steps you would 
take to respond to these obstacles.
    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 measures. Describe 
how the outcome information will be obtained, documented, and reported. 
You must complete and return the eLogic Model TM Form HUD-96010 
included with the download instructions found as part of the 
application at http://www.grants.gov/applicants/apply_for_grants.jsp. 
You must show your proposed project short-term, intermediate-term, 
long-term and final results. Instructions on the Logic Model are 
contained in the General Section and 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.
    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.

[[Page 27186]]

    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 leveraging for 
the multiple awards. During negotiations, applicants selected for 
multiple awards will be required to provide alternative leveraged 
resources, if necessary, before the grant can be awarded. This is 
required in order to avoid committing duplicate 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 
funds) on, a project or activities under this NOFA (other 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.

[[Page 27187]]

    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 2008, 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 (4726). 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) 402-7687 (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) 402-7595 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) 402-7580 (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 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 and B to this NOFA are available for 
downloading with the application at http://www.grants.gov/applicants/apply_for_grants.jsp.

[[Page 27188]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.014


[[Page 27189]]



Lead Outreach Grant Program

Overview Information

    A. Federal Agency Name: U.S. 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-
5200-N-15. 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 July 17, 2008. 
Applications 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, published on March 19, 2008 (73 FR 
14882), regarding application submission procedures and timely filing 
requirements.
G. Additional Overview Information
    1. Available Funds. Approximately $1.5 million is available under 
this program from current and previous years funding.
    2. Number and Amount of Awards. Approximately 5 to 8 grants, 
minimum of $100,000 and maximum of $300,000, will be awarded.
    3. 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). Partnerships are encouraged, but a lead applicant must be 
identified that will be responsible for ensuring compliance with all 
requirements specified in this NOFA.
    4. Matching and Cost Sharing Requirements. There are no matching or 
cost sharing requirements.
    5. Limitations on Applications. Each applicant, partner, sub-
contractor and sub-recipient may participate in only one application to 
the Lead Outreach program.

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 Lead Outreach Grant Program is to promote 
efficient and effective outreach, education, and training for the 
public concerning the hazards and sources of lead-based paint 
poisoning, particularly for low-income children, and to reduce or 
eliminate such hazards.
B. Desired Outcomes
    All applicants should direct their proposed activities to achieving 
the following, especially among at-risk populations.
    1. Increase enrollment of low-income units in HUD or other lead 
hazard treatment programs.
    2. Increase number of residents, housing owners, community leaders, 
maintenance and rehabilitation workers, and other related persons who 
are aware of and able to identify lead-based paint hazards.
    3. Increase number of residents, housing owners, community leaders, 
maintenance and rehabilitation workers, and other related persons who 
understand proper lead hazard control methods.
    4. Develop easy to use and sustainable systems for reporting and 
addressing lead hazards.
    5. Develop effective partnerships between public and private 
entities, including grassroots, community-based and faith-based 
organizations, dedicated to reducing lead hazards.
B. Changes in the FY 2008 Competitive NOFA
    Listed below are major changes from the FY 2007 Lead Outreach NOFA:
    1. Purpose of program has been expanded.
    2. Award amounts have been changed.
    3. Type of award instrument has changed from a cooperative 
agreement to a grant.
    4. Current Lead-Based Paint Hazard Control, Lead Hazard Reduction 
Demonstration, or Operation Lead Elimination Action Program grantees 
are eligible to apply.
    5. Point allocations have been revised.
    6. Match requirement has been eliminated.
    C. 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) (42 
U.S.C. 4852(e)(8) and 4852(g)(1)), and the Consolidated Appropriations 
Act, 2008 (Pub. L. 110-161, approved December 26, 2007). Section 
1011(e)(8) and Section 1011(g)(1) authorize outreach grants on the 
causes and control of lead hazards, as well as capacity-building lead 
outreach grants to state and local governments to develop their own 
capacity and to non state and local government organizations where 
outreach activities will be conducted to develop the capacity of state 
and local governments.

II. Award Information

A. Available Funding
    Approximately $1.5 million from the current and previous fiscal 
year's funding is available under this program. HUD anticipates that 
approximately five to eight grants will be awarded, for a minimum of 
$100,000 and a maximum of $300,000 each, for the entire period of 
performance.
B. Type of Award and Period of Performance
    1. Awards will be made as grants.
    2. HUD anticipates announcing awards under this program no later 
than September 30, 2008, with an anticipated start date of November 1, 
2008.
    3. The period of performance for awards will be 24 months from the 
date of award.
    4. HUD reserves the right to offer partial funding to any or all 
applicants. Applicants offered a reduced grant amount will have a 
maximum of 14 calendar days to accept such a reduced award. If the 
applicant fails to respond within the 14-day limit, the organization 
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.
    5. Period of performance extensions for delays due to exceptional 
conditions 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. If approved, grantees will be eligible to receive a single 
extension of up to 12 months in length. Applicants should not include 
the ability to obtain an extension in their application or project 
planning.

II. Eligibility Information

A. Eligible Applicants
    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 eligible to apply, but not allowed to earn a fee 
(i.e., make a profit from the project).

[[Page 27190]]

B. Cost Sharing or Matching
    There are no cost sharing or matching requirements. See Section V. 
Rating Factor 4 for more information on this topic.
C. Threshold Requirements
    1. Applicants must meet the threshold requirements of the General 
Section of the Super NOFA, including the Civil Rights and Fair Housing 
threshold (See General Section III.C.). 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 and must 
be included in the electronic application submission; use the same DUNS 
number that is used to register as an Authorized Organization 
Representative (AOR) with Grants.gov. Be sure that the eBusiness Point 
of Contact has authorized the submission of an application on behalf of 
the applicant organization (see the General Section for details about 
the Grants.gov registration process).
    2. Allowable Costs and Eligible Activities.
    a. Direct Costs and Activities. You should align all forms of 
outreach activities with the stated program purpose and outcomes. There 
should be a demonstrable connection between proposed activities and the 
purpose of the grant. All eligible activities must identify at-risk 
populations (or areas); propose activities to meet those populations' 
information needs; and evaluate the program's effectiveness in 
accordance with the grant's stated purpose (Section I.A.) and outcomes 
(Section 1.B.). Eligible activities may include, but are not limited 
to, the following:
    (1) Improve or establish systems, infrastructure, or procedures, to 
enroll units in existing lead hazard control programs.
    (2) Perform direct education and training for residents, 
businesses, local officials and community leaders in target areas.
    (3) Develop and evaluate educational and training tools or methods.
    (4) Develop and evaluate outreach methods, especially for families 
with children under 6 years of age or with pregnant women.
    (5) Prepare and distribute lead hazard information in various media 
formats.
    b. Indirect Costs and Administrative Costs. Administrative costs 
may not exceed 10 percent of the grant award. Please see unit IV.E.1., 
Indirect Costs and Administrative Costs.
    3. Unallowable Costs and Ineligible Activities.
    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.
    4. Program Requirements.
    a. Awardees must ensure that materials are appropriate for the 
target populations, including persons with Limited English Proficiency 
(LEP) (Please see Final LEP Guidance at http://www.hud.gov/offices/fheo/promotingfh/lep.cfm for information), and for visually impaired or 
other disabled persons. All new products and adaptations/translations 
must be submitted to HUD as deliverables, in electronic format suitable 
for Web posting. All products must utilize universal formatting and 
type-editing to the best of the awardee's ability.
    b. Awardees are responsible for first determining if a translation 
already exists. Reimbursements will not be allowed for translations of 
federal documents that have previously been translated into the target 
language.
    c. Awardees must use existing outreach, training, and technical 
assistance documents unless their application can demonstrate a great 
need exists in their community to substantively modify existing 
documents or create new ones.

III. Application and Submission Information

    A. Address to Request Application Package. All the information 
required to submit an application can be downloaded from 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. The electronic submission process requires 
proposals to conform to the formatting requirements below to be 
eligible.
    a. Only submit material that is indicated as mandatory or directly 
in support of the rating factors. The application narrative response to 
the Rating Factors is limited to a maximum of 25 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. The 25-page 
rating factor response does not include attachments, tables, 
appendices, and other required forms. Applicants should be aware that 
any narrative information submitted in response to the Rating Factors 
that exceeds the page limit will not be reviewed.
    b. Materials provided in the appendices should directly refer to 
the specific rating factor narrative. Applicants are strongly urged not 
to submit information that is not required and/or requested in the NOFA 
or relevant to a specific narrative response. The narrative response to 
the rating factors 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. Applicants are encouraged to 
submit as few files as possible to ensure that all materials are 
received.
    c. Mandatory HUD forms do not count towards the 25-page limit.
    d. Each attachment or appendix must be an individual electronic 
file.
    e. Applicants are responsible for verifying the successful 
transmission of all documents submitted with their applications. 
Grants.gov will not allow you to submit applications if the mandatory 
forms are not attached. The mandatory forms are the ones indicated 
below.
    2. Required Application Contents. The application must contain all 
of the mandatory information requested in this NOFA and the General 
Section to be eligible for all available points. These items include 
the standard forms, and the certifications and assurances listed in the 
General Section that are applicable to this NOFA. Points will be 
deducted for incomplete forms associated with each rating factor. The 
forms required for application submission and instructions can be found 
in the application at http://www.grants.gov/applicants/

[[Page 27191]]

apply--for--grants.jsp. The checklist below includes a list of the 
required items needed for submitting a complete application.
    a. Application Abstract (limited to 2 pages). Summarize the 
proposed project, expected activities and results and applicant contact 
information. Information contained in the abstract will not be 
considered in the evaluation and scoring of the application.
    b. Rating Factor Responses (total narrative response limited to 25 
pages)
    (1) Capacity of the Applicant and Relevant Organizational 
Experience (20 points) and Form HUD-96012
    (2) Need/Extent of the Problem (15 points) and Form HUD-96013.
    (3) Soundness of Approach (40 points).
    (4) Leveraging Resources (10 points) and Form HUD-96015.
    (5) Achieving Results and Program Evaluation (15 points) and Form 
HUD-96010.
    (6) Bonus Points (RC/EZ/EC-II) (2 points).
    c. Required materials in response to rating factors (does not count 
towards 25-page limit):
    (1) Resumes of Key Personnel (limited to 3 pages per resume).
    (2) Organizational Chart.
    (3) 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 be considered.
    (4) Material in support of the Rating Factors (25 page limit).
    d. Other Materials in Support of Rating Factors
    (1) Form SF 424 (Application for Federal Assistance).
    (2) Form HUD-424-CBW (Budget Worksheet) One form for each partner 
receiving ten percent or greater of total budget.
    (3) Budget narrative.
    (4) 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).
    (5) Form SF LLL (Disclosure of Lobbying Activities, if applicable).
    (6) Form HUD-2880 (Applicant/Recipient Disclosure/Update Report) 
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov).
    (7) 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).
    (8) Form HUD-2994-A (You Are Our Client! Grant Applicant Survey, 
Optional).
    (9) Form HUD-27300 (Questionnaire for HUD's Removal of Regulatory 
Barriers) (``HUD Communities Initiative Form'' on Grants.gov) including 
the required information, if applicable.
    (10) 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.). Applications must be received and validated electronically via 
the Web site http://www.grants.gov/applicants/apply_for_grants.jsp. 
See the General Section for additional information on the electronic 
process.
    C. Submission Dates and Times
    Applications must be received and validated by Grants.gov by 
11:59:59 p.m. eastern time on the deadline date. Submission of the 
application electronically does not constitute ``validation'' by 
Grants.gov. 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/applicants/apply_for_grants.jsp. Applicants are strongly encouraged to submit 
their applications well ahead of the deadline. Validation by Grants.gov 
may take up to three days. Applications validated after the deadline 
will not be eligible for review.
    D. Intergovernmental Review. Not required.
E. Funding Restrictions
    1. Indirect Costs and Administrative Costs. Administrative costs 
may not exceed 10 percent of the grant award. Detailed explanations of 
indirect and administrative costs are provided in applicable OMB 
Circulars (A-21--Cost Principles for Educational Institutions, A-87--
Cost Principles for State, Local, and Indian Tribal Governments, or A-
122--Cost Principles for Nonprofit Organizations) that can be accessed 
at the White House Web site, http://www.whitehouse.gov/omb/circulars/index.html. Eligible administrative costs include the 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; and
    c. 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.
    2. Ineligible Activities. See Section III.C.3, Unallowable Costs 
and Activities.
F. Other Submission Requirements
    1. Waiver of Electronic Submission Requirements. HUD requires 
applicants to submit applications electronically through http://
www.grants.gov unless the applicant requests and is granted a waiver to 
the electronic submission requirements. Waivers may only be granted for 
cause. See General Section for further discussion. Applicants should 
submit waiver requests 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, Programs Division, Office of 
Healthy Homes and Lead Hazard Control, [email protected]. If a 
waiver is granted, 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.
    2. Applicants should use the application checklist in this NOFA 
(Section IV. B. 2) to help them identify any missing elements and 
complete the application before it is submitted.
    3. No information may be submitted after the deadline date except 
under the threshold review process.
    4. 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.)

V. Application Review Information

    A. Criteria. 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. B. of this NOFA. The application must receive a 
total score of at least 75 points to be considered for funding.
    1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 points). This factor addresses your 
organization's capacity

[[Page 27192]]

to successfully implement the proposed activities. The following areas 
will be evaluated: organizational capacity, experience and past 
performance, individual staff and participants' qualifications, and 
specific qualifications related to the categories of activities under 
this NOFA.
    a. Organizational Capacity (6 points).
    (1) Describe your program's resources to be dedicated to this 
project. This entails number and type of staff, or the ability to hire 
qualified experts or professionals within 90 days of award, 
partnerships and agreements that provide staff and other resources, and 
general access to needed materials and work space.
    (2) Include a project-specific organizational chart indicating the 
relationships among the various entities involved in the project. Do 
not provide an organization chart of your employer with elements beyond 
those necessary to illustrate who within the organization will conduct 
the project.
    (3) Describe how the principal components/entities will support the 
project, and how all partners will communicate.
    b. Organizational Experience (9 points). HUD will consider 
organizational experience that has occurred within the last 5 years.
    (1) List relevant, recent outreach projects with brief descriptions 
for each; include the period of performance, achievement of specific 
tasks, measurable objectives and benchmarks and whether outcomes were 
consistent with the approved timeline/work plan and budget.
    (2) Explain previous success in leveraging resources for similar 
outreach initiatives.
    c. Individual Qualifications (5 points).
    (1) Project Director and Project Manager (Day-to-Day). Identify by 
name the individuals proposed to serve as the overall project director 
and day-to-day project manager. 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.
    (2) Other Key Personnel. Identify by name and position up to three 
additional key personnel. Provide the individual qualifications, 
experience, percentage commitment to the project, and role in the 
proposed project for each key personnel.
    (3) Please 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. Please do not include the Social Security 
Numbers (SSN) of any staff members.
    (4) Complete Factor 1 form HUD-96012.
    2. Rating Factor 2: Need/Extent of the Problem (15 Points).
    This factor addresses the extent to which there is a need for the 
proposed project activities. Need is demonstrated by documenting 
specific problems in identified target area(s) and target 
population(s). Applicants will be evaluated on the degree of need for 
lead outreach beyond existing levels of outreach activities. Use 
specific and reliable data in responses.
    a. Please complete form HUD 96013 (5 points). Part A of this form 
should be used to document the blood lead levels in children residing 
within the applicant's jurisdiction and target area for the most recent 
complete calendar year and identify the source of the data. Data prior 
to calendar year 2004 will not be accepted. For the purposes of this 
application, the ``documented number of children'' is based on a blood 
lead level test performed by a medical health care provider. Part B of 
this form should be used to document where the applicant intends to 
conduct outreach activities. The data submitted to HUD will be verified 
using data available from the Census http://factfinder.census.gov, 
HUDuser http://www.huduser.org/datasets/fmr.html, and other sources 
available to HUD. HUD will use data on the housing age and tenure and 
individuals living below the poverty level in the jurisdictions where 
the applicant intends to conduct outreach activities as the basis for 
review.
    b. In an accompanying narrative include the following (10 points):
    (1) Describe the community being targeted (provide supporting 
data).
    (2) Describe the characteristics of the target population (provide 
supporting data).
    (3) Discuss the current level of lead outreach in the target 
community and population; what barriers are present that hamper 
effective lead outreach, and how your proposed outreach program 
responds to lead outreach gaps/needs not being met at present.
    (4) Discuss how the targeted community's Five-Year Consolidated 
Plan and Analysis of Impediments to Fair Housing Choice (AI) (see 
paragraph III. C. of the General Section of this Super NOFA) identifies 
the level of the problem, the urgency in meeting the need, and the 
community's implementation plan for meeting this need.
    3. Rating Factor 3: Soundness of Approach (40 Points).
    This factor addresses the quality and cost-effectiveness of the 
proposed work plan. Plans are evaluated on having a reasonable scope of 
activities aimed at a specific outcome, which can be accomplished in 
the time allotted, with available resources. There should be a clear 
connection between the proposed activities, the stated needs in Factor 
2, the desired outcomes for this program as stated in Section I.B. of 
this NOFA, and activities, outcomes and the timeframe identified in 
your Logic Model submission under Factor 5.
    a. Objectives and Goals (4 points).
    (1) Detail the proposed goals and objectives for the project based 
on the needs explained in Factor 2.
    (2) Provide proposed outcomes which should relate to the stated 
Desired Outcomes in Section 1B. Please estimate outcomes based on the 
programs specific goals and objectives. For instance, you can indicate 
the estimated total number of individuals expected to be reached or 
trained, the number of low-income housing units expected to be enrolled 
in lead hazard treatment programs, etc.
    (3) Explain how the proposed activities support HUD's policy 
priorities (See Section II of the General Section for an explanation of 
HUD's policy priorities):
    (a) Providing Full and Equal Access to Grassroots Faith-Based and 
Other Community Organizations in HUD Implementation. (Please detail how 
these organizations will be involved in your program implementation),
    (b) Improving our nation's communities, and
    (c) Removing regulatory barriers to affordable housing (complete 
form HUD-27300).
    b. Approach for Developing the Project. Describe the overall 
approach for developing the proposed project (19 points).
    (1) Describe theory or research that supports the effectiveness of 
the proposed activities in achieving identified outcomes.
    (a) Demonstrate your knowledge of the outreach methodology relevant 
to the proposed approach.
    (b) Past successful experiences that would not qualify as 
scientifically proven theory can be discussed as well.

[[Page 27193]]

    (2) Summarize the outreach strategy or marketing plan to be 
implemented.
    (a) Describe in detail how those receiving outreach will be 
identified, tracked, and served under the project, especially 
participants in high-risk groups and communities, vulnerable 
populations (especially families with young children and pregnant 
women) and persons traditionally underserved, including minority 
families.
    (b) Describe proposed approaches to overcome poor response, low 
attendance or low participation.
    (3) Describe the methods of community education to be used, 
including community awareness, education, and training, in support of 
stated objectives.
    (4) Explain how education and training methods are culturally 
sensitive and targeted to specific target populations.
    (5) Describe how and why specific outreach materials will be 
utilized or created. Explain how these materials effectively reach 
target populations.
    (a) Describe methods to ensure materials will be of high quality, 
accurate, and technically sound.
    (b) Detail how materials will be made available in alternative 
formats for persons with disabilities and in languages other than 
English which are common in the target area.
    (6) Explain how you will ensure proposed activities will not 
duplicate actions of other local organizations.
    (7) Discuss if proposed programs can be duplicated by other 
communities.
    c. Organization and Implementation of Project (10 points). This 
section details how the proposed project will be implemented and 
monitored. You should demonstrate an organized, logical, and feasible 
work plan.
    (1) The work plan should contain the following elements, which may 
be combined into one chart or addressed individually.
    (a) List all specific, measurable, and time phased objectives and 
outputs, including reports and all deliverables, for each major 
activity of the proposed program.
    (b) List all major tasks and sub-activities in sequential order of 
implementation in relation to relative objectives.
    (c) Identify major benchmarks and milestones.
    (d) List proposed dates of completion for major program activity.
    (e) Identify required resources and inputs for each major activity.
    (f) Designate who is responsible for each activity.
    (2) Include a process flow chart depicting the creation and 
implementation of the outreach process or product from start to finish. 
Indicate all major organizations involved.
    (3) Describe project management and oversight to ensure goals are 
met and resources are used efficiently.
    (4) Describe the management processes to be used to ensure the 
cost-effectiveness of activities and how expenditures will be tracked.
    (5) Describe who is responsible for quality control of processes 
and materials produced by sub-recipients.
d. Institutionalization of Program (3 points).
    (1) Describe how lead poisoning prevention will be incorporated in 
to your existing, permanent programs. Explain your commitment to 
continue lead outreach activities in the future. Address leadership and 
policy development and the logistics of implementing the program.
    (2) Describe how the proposed project compliments or supports 
existing local/regional lead hazard control strategies and activities.
    e. Budget Narrative (4 points). The proposed budget will be 
evaluated for the extent to which it is reasonable, clearly justified, 
and consistent with the project management plan. HUD is not required to 
approve or fund all proposed activities.
    (1) Fill out HUD-424-CBW.
    (2) Describe and justify all costs for each category on HUD-424-
CBW, include all major tasks from work plan. Address all direct and 
indirect costs. Identify all direct and indirect administrative costs 
and ensure allocated amount does not exceed 10 percent limit.
    (a) Explain how each cost was calculated, include estimated unit 
prices and time periods.
    (b) Indicate expenditures that will be made by sub-grantees and 
partner organizations.
    (3) Include a separate budget (HUD-424-CBW) and budget narrative 
for any sub-grantee receiving 10 percent or greater of total budget 
request.
    4. Rating Factor 4: Leveraging Resources (10 points).
    This factor evaluates your ability to secure resources beyond those 
provided by this specific HUD program. You can receive points for 
resources contributed that are directly supportive of, and integrated 
into, achieving the program's purposes.
    a. Contributed Resources (5 points). You are encouraged to 
contribute resources from your own organization and to 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 allowable activities. Contributed resources can come from 
public or private sources. Include commitment letters signed by an 
authorized official indicating a specific dollar amount or dollar value 
for services to be contributed. The letter(s) must describe the 
contributed resource(s) that will be used in the project, and roles and 
responsibilities as they relate to the proposed project. Contributed 
resources will provide points for this rating factor in accordance with 
the chart below. You must complete form HUD-96015.

                 Other Contributed Resources Point Table
------------------------------------------------------------------------
                                                                 Points
              Minimum percent of federal amount                 awarded
------------------------------------------------------------------------
10 percent or less...........................................          0
> 10 percent up to < 20 percent..............................          1
20 percent up to < 30 percent................................          2
30 percent up to < 40 percent................................          3
40 percent up to < 50 percent................................          4
50 percent or greater........................................          5
------------------------------------------------------------------------

    b. Describe the extent to which you have coordinated your 
activities with other organizations that are not directly participating 
in your proposed work activities, but with which you share common goals 
and objectives.
    c. Describe 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, Tribal, local and private funding to 
continue educational and outreach activities after the grant period is 
completed.
    5. 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. You should have a formal plan 
to evaluate your performance. HUD will evaluate the degree to which you 
address all program goals, have self-evaluation features, use realistic 
and quantifiable measures, and demonstrate the ability to adjust 
activities to ensure goals and objectives are met. The evaluation plan 
should encompass the entire grant period and correspond to the eLogic 
Model (HUD 90610).
    a. Explain what indicators your organization will measure to track 
progress towards goals, how they will be measured, and how adjustments 
will be made if necessary to keep the program on track to achieve goals 
in the stated period of time (5 points). Incorporate and expand upon 
benchmarks, indicators and objectives identified in the eLogic Model 
(HUD 90610).

[[Page 27194]]

    b. You are required to complete the eLogic Model (10 points). The 
eLogic Model must contain quantifiable performance goals for each 
activity. See the General Section for detailed information on the use 
of the ``Master'' eLogic Model. Instructions for completing the eLogic 
Model are found in Tab 1 of the eLogic Model itself. Training on using 
and completing the eLogic Model is available via satellite broadcast 
and Web cast. This training schedule can be found on http://www.hud.gov/offices/admin/grants/fundsavail.cfm.
    HUD will evaluate the Logic Model in accordance with the matrix 
provided in Attachment 1 to the General Section.
    6. 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. Review and Selection Process
    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 bonus points. The review and selection process is 
provided in the General Section.

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 grant agreement.
    2. Negotiations. HUD may require that selected applicants 
participate in negotiations to determine the specific terms of the 
grant agreement budget and eLogic 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 to, and proceed with negotiations with the next highest-
ranking applicant. If you accept the terms and conditions of the grant 
agreement, you must return your signed grant 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 grant 
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. You 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 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 90 days of 
award) staff to fill key positions identified in your proposal as 
vacant.
    5. Procurement of Recovered Materials. See the General Section for 
further information.
    6. Conducting Business in Accordance with HUD Core Values and 
Ethical Standards. Refer to the General Section for information about 
conducting business in accordance with HUD's core values and ethical 
standards.
    C. Reporting. The following items are Post-Award Reporting 
Requirements:
    1. Final Budget and Work Plan. Final budget and work plans are due 
60 days after the effective date of the grant 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. OHHLHC awardees will submit quarterly reports via an 
on-line reporting system and will use the eLogic 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 eLogic 
Model with an associated cost estimate. For FY 2008, HUD is considering 
a new concept for the eLogic 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 eLogic Model under the 
reporting Tab. The completed eLogic Model showing output and outcome 
status must be submitted as part of the quarterly progress report.

[[Page 27195]]

    4. Final Report. A final report, due at the completion of the grant 
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 grant 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 grant agreement activities). The final 
report shall include cumulative achievements, final project outputs, 
outcomes and results reported against the project's eLogic 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, 
Director, Programs Division, Office of Healthy Homes and Lead Hazard 
Control; telephone (202) 402-7593 (this is not a toll-free number) or 
via e-mail at [email protected]. For grants administrative 
questions, you may contact Mr. Royal Rucker, Grants Officer, Office of 
Healthy Homes and Lead Hazard Control; telephone (202) 402-7584 (this 
is not a toll-free number) or via e-mail at [email protected]. If 
neither of these individuals is available, you may contact the Office's 
general Lead Regulations hotline, at (202) 755-1785, extension 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. More Information. 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 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, 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 27196]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.015


[[Page 27197]]



Healthy Homes Demonstration Program

Overview Information

    A. Federal Agency Name: U.S. 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-5200-N-17, 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 July 17, 2008. 
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 SuperNOFA General Section, published on March 19, 2008 (73 FR 
14882), 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 residential safety 
and health hazards that produce serious diseases and injuries in 
children and other sensitive subgroups such as the elderly, with a 
particular focus on low income households. The Healthy Homes 
Demonstration Program is committed to supporting the Departmental 
Strategic Goal of strengthening communities by addressing housing 
conditions that threaten health.
    2. Available Funds. HUD anticipates that approximately $4,375,000 
in fiscal year 2008 and prior year funds will be available.
    3. Anticipated Awards. Approximately four to five cooperative 
agreements will be awarded for a maximum of $875,000 each for the 
entire period of performance.
    4. Eligible Applicants. Not-for-profit institutions and for-profit 
firms, state and local governments, housing authorities, 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. Individuals are not eligible to apply.
    5. Type of Award. Cooperative Agreements, with substantial 
involvement of the Government, will be awarded (see Section 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 of the SuperNOFA 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 at http://www.hud.gov/offices/lead/hhi/index.cfm. This site 
also contains additional information on the HHI.
    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. HUD is interested in capturing 
the costs and benefits of the healthy homes approach and encourages 
applicants to develop their project designs in such a way as to allow 
the capture of project costs and an estimate of the value of the 
resulting benefits.
    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. See ``Key Residential Health and 
Injury Hazards,'' Appendix A, for a brief description of the housing-
associated environmental health and injury hazards that HUD considers 
as key targets for remediation. Appendix A 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 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 project participants, 
improving participants' understanding of the program, ensuring ongoing 
communication, and more effective dissemination of project findings.
    Although the focus of your application may not be research, 
approaches to community involvement that are commonly incorporated into 
``community-based participatory research (CBPR)'' models may be 
applicable for incorporation into your project. CPBR is characterized 
by substantial community input in all phases of a project, including 
the design, implementation, data interpretation, conclusions, and 
communications of results. The National Institute of Environmental 
Health Sciences published a report titled ``Successful Models of 
Community-Based Participatory Research'', which can be found at: http://www.hud.gov/offfices/lead/researchers.cfm.
    Because of the importance of residential asthma triggers, many 
Healthy Homes Demonstration Program applicants and grantees have 
included asthma trigger control as a core component of their projects. 
If you are including the control of asthma triggers as a core component 
of your Healthy Homes Demonstration Program application, you are 
encouraged to review the findings of a systematic review of 223 
community-based asthma intervention programs that was sponsored by the 
U.S. Environmental Protection Agency (EPA). This effort, titled the 
Asthma Health Outcomes Project (AHOP), resulted in the identification 
of components that were associated with the most effective intervention 
programs (see: http://www.alliesagainstasthma.net/AHOP). Many of these 
program components are likely to also be important for maximizing the 
effectiveness of programs that conduct other community

[[Page 27198]]

health interventions as well. HUD also encourages applicants with an 
asthma intervention focus to join the EPA-sponsored online peer to peer 
learning network, ``Communities in Action for Asthma Friendly 
Environments (CAAFE)'', accessible from: http://www.asthmacommunitynetwork.org/.
    HUD's authority for making funding available under this NOFA is the 
Consolidated Appropriations Act, 2008 (Pub. L. 110-161).
B. Healthy Homes Initiative Goals
    1. Develop and implement demonstration projects that address 
multiple housing-related problems affecting the health of children and 
other sensitive subgroups;
    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;
    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. 
Applicants should review the General Section at III.C.4.b for 
information on what comprises the duty to affirmatively further fair 
housing. HUD also encourages applicants to undertake specific 
activities that will assist the Department in implementing its Policy 
Priorities. HUD's fiscal year 2008 Policy Priorities are discussed in 
the General Section of the SuperNOFA.
C. Healthy Homes Demonstration Program Objectives:
    The major objectives of the Healthy Homes Demonstration Program 
include the following:
    1. Identify and remediate priority health hazards in high risk 
target housing where environmental conditions may contribute to a 
child's illness or risk of injury;
    2. Support public education and outreach that furthers the goal of 
protecting children and other vulnerable populations from 
environmentally induced illnesses;
    3. Develop a professional workforce that is trained in healthy 
homes principles;
    4. Evaluate the efficacy of healthy homes program activities and 
facilitate the dissemination of findings, with a focus on evidence-
based best practices;
    5. Increase public awareness of housing related environmental 
health and safety hazards that threaten the health of children and 
other vulnerable populations;
    6. Further the principles of environmental justice and fair housing 
by increasing the availability of safe, low income housing.

II. Award Information

A. Funding Available
    Approximately $4,375,000 in fiscal year 2008 and prior year funds 
are available for Healthy Homes Demonstration cooperative agreements. 
HUD anticipates that approximately four to five cooperative agreements 
will be awarded, for a maximum of $875,000 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 November 1, 2008, with a period of performance not to 
exceed 36 months. Applicants are encouraged to plan projects with 
shorter implementation periods than 36 months, considering the 
possibility that issues may arise that could cause delays. For planning 
purposes, applicants need to include adequate time for start up 
activities such as the Institutional Review Board (IRB) approval 
process, recruitment of project participants, fulfillment of 
environmental requirements, and development of new methods (e.g., 
survey forms, database, etc) within this period of performance. Because 
delays have been associated with obtaining IRB approval, achieving 
participant recruitment targets, and coordinating the activities of 
project partners, HUD encourages applicants to consider these issues in 
particular and to involve all partners in pre-planning processes. When 
multiple organizations are collaborating on a proposed project and each 
has an IRB approval requirement, this can lead to significant delays. 
In such situations HUD strongly encourage grantees to work with their 
partners to investigate other options such as designating a primary IRB 
for the project. For further guidance on this topic, see the Office for 
Human Research Protections (OHRP) Web site at: http://www.hhs.gov/ohrp.
    2. If approved, grantees are eligible to receive a single period of 
performance extension of up to 12 months in accordance with 24 CFR 
85.24(e)(2) or 85.30(d)(2), as applicable, and the OHHLHC Program 
Guide.
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 project design, 
including: project objectives; project implementation plan; data 
collection methods; and project evaluation;
    2. Review and provision of technical recommendations in response to 
quarterly progress reports (e.g., amendments to project design based on 
preliminary results); and
    3. Review and provision of technical recommendations on the final 
report, journal articles, or other project-related reports or 
publications.

III. Eligibility Information

A. Eligible Applicants
    Eligible applicants include not-for-profit institutions and for-
profit firms, state and local governments, housing authorities, 
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. Individuals are not eligible to apply.
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 of the SuperNOFA. 
Applications that do not address the threshold items will not be 
reviewed. 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

[[Page 27199]]

points is required for consideration for award. The maximum score that 
can be attained is 100 points for the narrative responses plus an 
additional 2 bonus points for any activities proposed to be located in 
a Renewal Communities/Empowerment Zone/Enterprise Community (RC/EZ/EC-
II communities). In order to receive the bonus points, Form 2990 must 
be completed and signed by the appropriate official of the RC/EZ/EC-II.
    2. Eligible Costs and Activities. The allowable costs under this 
grant program per 24 CFR 85.22 or 24 CFR 84.27 include: (1) Direct 
costs (as defined below, must be tracked separately), (2) indirect 
costs, and (3) administrative costs. Explanations of costs are provided 
in applicable OMB Circulars (A-21--Cost Principles for Educational 
Institutions, A-87--Cost Principles for State, Local, and Indian Tribal 
Governments, or A-122--Cost Principles for Nonprofit Organizations) 
that can be accessed at the White House Web site, http://www.whitehouse.gov/omb/circulars/index.html. 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 and related activities in the home. 
The following kinds of activities can be included in the 65% 
expenditure:
    a. 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 and 
maximizes the number of housing units that receive remediations.
    b. 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.
    c. Conducting sampling and analysis for lead, allergens, carbon 
monoxide and/or other housing-related environmental health and safety 
hazards as appropriate, following established protocols and procedures 
when possible. 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 mold should be submitted 
to a laboratory accredited in the Environmental Microbiological 
Laboratory Accreditation Program (EMLAP), administered by the American 
Industrial Hygiene Association (AIHA).
    d. Remediating existing residential environmental health and safety 
hazards and addressing conditions that could cause these hazards to 
recur.
    e. 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 paint 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/lbp/hudguidelines/index.cfm.
    f. Environmental sampling and medical testing to protect the health 
of the remediation workers, supervisors, and contractors, unless 
reimbursable from another source.
    g. Carrying out necessary architectural, engineering and work 
specification development and other construction management services.
    h. 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 of the SuperNOFA, 
and Section VI.B.4 of this NOFA for a discussion of regulations that 
apply when relocating families.
    i. Providing training on Healthy Homes practices to homeowners, 
renters, landlords, painters, remodelers, and housing maintenance staff 
working in low-or very low-income housing.
    j. 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 of the SuperNOFA for more information about 
grassroots community-based nonprofit organizations, including faith-
based organizations.)
    k. Providing reasonable incentives (financial or other incentives, 
including, but not limited to, coupons for video rentals, coupons for 
groceries, stipends for completion of surveys, child care, cleaning 
kits, etc). 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.
     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.)
    n. Development of methodologies for evaluating the effectiveness of 
remediations on the health of the resident or program participant. HUD 
believes health outcomes, particularly the reduction in asthmatic 
episodes or injuries, are an important component of projects funded 
through this NOFA and wants to assess how Healthy Homes remediations 
affect the health of the population being served relative to the 
population at large.
3. Other Direct Costs
    a. Education and outreach that furthers the goal of protecting 
children from environmentally induced illnesses, including:
    (1) Targeting specific communities which include low-or very low-
income families, pregnant women, children, persons with disabilities, 
and other audiences such as homeowners, landlords, health care 
providers, residential construction contractors, maintenance personnel, 
housing inspectors, real estate professionals or home buyers;
    (2) 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

[[Page 27200]]

Proficiency (LEP) Recipient Guidance'' (see http://www.hud.gov/offices/fheo/promotingfh/lep.cfm);
    (3) Development of local capacity for target groups to operate 
sustainable programs to prevent and control housing-related 
environmental health and safety hazards and to sustain Healthy Homes 
programs beyond the life of the award period.
    4. Program Requirements. In addition to the program requirements in 
the General Section of the SuperNOFA, applicants must also meet the 
following program requirements:
    a. Institutional Review Board (IRB) Approval. This requirement is 
discussed in detail in Section V, Rating Factor 3.
    b. HIPAA Authorization. This requirement is discussed in detail in 
Section V, Rating Factor 3.
    c. Community Involvement. Applicants must incorporate meaningful 
community involvement into any program that requires a significant 
level of interaction with a community (including projects being 
conducted within occupied dwellings or that involve surveys of 
community residents). This requirement is further discussed under 
Section V, Rating Factor 3.
    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.
    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, subparts B-R. 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.e regarding lead hazard control activity limitations.
    f. Compliance with the 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). 
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 regulation.
    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 
broadcast 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. Other IPM resources are provided in 
Appendix C.
    h. Dust Sampling Protocol. Collection of settled dust samples for 
environmental allergen analysis (e.g., cockroach, dust mite) must 
follow HUD's standard dust sampling protocol, which is posted on the 
OHHLHC Web site under ``Grantee Resources'' at: http://www.hud.gov/offices/lead/hhi/hhd.cfm. If you choose to use a different protocol, 
you must provide a strong justification to HUD.
    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 OSHA, (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 lead clearance testing. You should 
document how you will address mold, carbon monoxide or other hazards, 
as applicable. You and 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 assessment and remediation methods, building 
conditions, medical and familial information (with confidentiality of 
individually-identifiable information ensured) in order to determine 
the effectiveness and relative cost of these methods.
     m. Evaluation. You must develop an evaluation protocol in order to 
document the findings of your program. You may use a qualified 
individual or individuals associated with your program or other 
evaluators/researchers (e.g., from a local university) to develop the 
protocol and conduct the evaluation. HUD strongly encourages grantees 
to publish evaluation results in a scientific or professional journal 
to facilitate the distribution of project findings.
    n. Section 3 Employment Opportunities. Recipients of assistance in 
the Healthy Homes Demonstration Program must comply with Section 3 of 
the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u 
(Economic Opportunities for Low- and Very-Low-Income Persons in 
Connection with Assisted Projects) and the HUD regulations at 24 CFR 
part 135, including the reporting requirements of subpart E. See 
Section V, Rating Factor 3, for recommendations for implementing 
Section 3 Employment Opportunities.
    o. Requirements for peer review of scientific data in accordance 
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 2664-2667, January, 
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.
    4. DUNS Requirement. Refer to the General Section of the SuperNOFA 
for information regarding the DUNS requirement.

[[Page 27201]]

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 (4726) 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 of the 
SuperNOFA 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, period of performance, a short 
summary of the proposed project and the mailing address, e-mail 
address, telephone and fax numbers 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 abstract will not be included in the 25 
page limit of the application.
    2. A narrative statement addressing the rating factors for award 
must be included. You should number the pages of your narrative 
statement, and 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 a narrative statement addressing the 
rating factors will not be reviewed or considered for funding. You 
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.
    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 statement will not be credited towards your rating factor 
responses.
    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) shall not exceed 3 pages 
each (single-spaced, 12-point standard font, with at least 3/4 inch 
margins). These resumes or position descriptions will not be counted 
toward the 25-page limit.
    5. An organizational chart for the proposed Healthy Homes 
Demonstration Project (not the sponsoring organization) that shows the 
relationship between the primary entity and partners, sub-contractors, 
etc.
    6. Any attachments, materials, references, or other relevant 
information that directly supports the narrative may be included as an 
Appendix and must not exceed 20 pages for your entire application. Any 
pages in excess of this limit will not be read. See the General Section 
of the SuperNOFA for instructions for submitting third party documents 
or material not readily available in electronic format.
    7. 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(4). 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. Organizations that 
do not have a federally negotiated rate schedule must obtain a rate 
from their cognizant agency; otherwise the organization will be 
required to obtain a negotiated rate through HUD.
    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. This documentation will be verified during award 
negotiations.
    8. Applicants are encouraged to use the following checklist to 
ensure that all required materials have been prepared and submitted. 
You are not required to submit this checklist with your application.
Checklist for Healthy Homes Demonstration Program Applicants
    a. Applicant Abstract (limited to 2 pages).
    b. 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 
(Program Outcome Logic Model).
    c. Required materials in response to rating factors (does not count 
towards 25-page limit).
    (1) Form SF 424, ``Application for Federal Assistance'' .
    (2) Form HUD-424-CBW, ``Grant Application Detailed Budget 
Worksheet''.
    (3) Form SF-424 Supplement (SF-424 SUPP), ``Survey on Ensuring 
Equal Opportunities for Applicants'' (Faith Based EEO Survey on 
Grants.gov), (to be completed by private nonprofit organizations only).
    (4) Form SF-LLL, ``Disclosure of Lobbying Activities'' (if 
applicable).
    (5) Form HUD-2880, ``Applicant/Recipient Disclosure/Update Report'' 
(HUD Applicant Recipient Disclosure Report on Grants.gov).
    (6) Form HUD-2990, ``Certification of Consistency with the RC/EZ/
EC-II Strategic Plan'', signed by the

[[Page 27202]]

authorized representative of the RC/EZ/EC-II (if applicable).
    (7) Form HUD-27300, ``Questionnaire for HUD's Removal of Regulatory 
Barriers'' (HUD Communities Initiative Form on Grants.gov) (required 
only if applicant is seeking points regarding removal of regulatory 
barriers.).
    (8) 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 of the SuperNOFA.
    (9) Resumes of Project Director, Project Manager and up to 3 Key 
Personnel (limited to 3 pages per resume).
    (10) Position Descriptions for Key Personnel to be hired (limited 
to 1 page per description).
    (11) Organizational Chart.
    (12) Letters of Commitment (if applicable).
    (13) Form HUD-2994A,--``You are Our Client! Grant Applicant 
Survey'' (Optional).
d. 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 
of the SuperNOFA for submission requirements. Materials associated with 
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 of 
the SuperNOFA 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. Detailed explanations of administrative costs 
are provided in applicable OMB Circulars (A-21--Cost Principles for 
Educational Institutions, A-87--Cost Principles for State, Local and 
Indian Tribal Governments, or A-122--Cost Principles for Nonprofit 
Organizations) that can be accessed at the White House Web site, 
https://www.whitehouse.gov/omb/circulars/index.html.
    2. Purchase of Real Property is not permitted.
    3. Purchase or lease of equipment having a per-unit cost in excess 
of $5,000 is not permitted, unless prior written approval is obtained 
from HUD.
    4. Medical costs are not permitted (except for medical testing to 
protect the health of the intervention workers, supervisors, and 
contractors, if not reimbursable from another source).
    5. For-profit organizations cannot receive a fee or profit.
    6. Applicants must comply with the Coastal Barrier Resources Act 
(16 U.S.C. 3501).
    7. 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 of the SuperNOFA. 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, at [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 PM on 
the application deadline date.

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, plus an additional 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 responses to the rating factors and in the accompanying 
materials. Applicants are required to submit an eLogic Model in 
conjunction with the response to Rating Factor 5. The Logic Model is 
developed using a form which can be downloaded at the Grants.gov Web 
site. It is important that the Logic Model is consistent with the 
project narrative.
a. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (15 Points)
    This factor addresses your organizational capacity, as well as that 
of your partner organizations, 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 to increase the 
effectiveness of your Healthy Homes project. 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

[[Page 27203]]

Section of the SuperNOFA. 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 Key and Supporting Personnel (6 
points). Describe your recent, relevant, and successfully 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 
support staff, their experience with housing and health programs, 
percentage commitment to the project, and position titles. Describe how 
other principal components of your organization will participate in, or 
support, your project. The day-to-day project manager's time commitment 
should be at least 50 percent and you should clearly indicate the 
project director's time commitment and describe why it is appropriate 
for the project. HUD will evaluate these percentages and determine if 
there is adequate project oversight. Resumes of up to 3 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 
proposed 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. 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. Please do not include the 
Social Security Numbers (SSN) of any staff members.
    (2) Qualifications of Partner Organizations and Contractors (4 
points). Include names and descriptions of the experience and 
qualifications of partner organizations and contractors. If partners 
are grassroots community-based, non-profit organizations, including 
faith-based organizations, include documentation demonstrating their 
grassroots community-based 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. If your organization is an existing Healthy Homes 
grantee, or if you received previous Healthy Homes Demonstration 
Program funding, provide your grant number(s) and HUD will review the 
information it has regarding your current and/or prior performance. If 
you received funding for a related grant from another agency or 
organization, provide details about the nature of the project, the 
funding agency, and your performance, relative to performance measures 
and the achievement of desired outcomes. 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 (14 Points)
    This factor addresses 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 on your targeted group(s), in order 
to demonstrate the need for your proposed project activities.
    (1) Target Area for Proposed Activities (8 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 relevant data identifying needs of area residents, 
especially those who are members of groups that are traditionally 
underserved or have special needs. If data are not available for your 
specific target area, indicate this (describe your efforts in 
documenting that data are not available) and provide data for the most 
relevant geographic area for which they are available and explain their 
relevance for your target area. Points will be awarded under this 
subfactor based on the following data.
    (a) Economic and demographic data (4 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 
area median income (AMI), 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 governments, for target area data.
    (b) The age and condition of housing (4 points). In responding, 
provide data available in your jurisdiction's currently approved 
Consolidated Plan, 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. Information of interest 
includes, for example, the age of housing, the frequency of code 
violations and other indicators of housing quality, and a description 
of recent events such as flooding or other disasters (if such data are 
relevant/available).
    (2) Link to Housing-related Health and Safety Hazards (6 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. Data that might be used to demonstrate need include 
statistics for your target area that present rates of childhood 
illnesses (including asthma, elevated blood-lead levels) or injuries 
(falls, burns) among children that could be caused or exacerbated by 
exposure to conditions in the home environment. 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 (33 points). HUD would 
like to be able to compare results achieved by Healthy Homes 
Demonstration projects and, to that end, would like to see standard 
approaches which would lead to comparable outcomes and performance 
measures. In HUD's experience, grantees have identified effective 
approaches to remediate a number of frequently identified housing/
health hazards. You are encouraged to employ these or similar 
approaches as you develop your project plan. For further guidance, see 
Appendix C (Resources for Designing and Implementing Healthy Homes 
Demonstration Projects).
    (a) Project Plan (5 Points). Describe your approach to implementing 
your proposed project. In particular describe the methods that will be 
used to identify and control housing-related environmental health and 
safety hazards

[[Page 27204]]

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 to be enrolled, units to be assessed, 
units to receive remediations, and individuals or groups that will be 
reached through education or outreach activities. You are expected to 
document environmental outputs (e.g., 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. To facilitate the 
comparability of data across programs, you are strongly urged to use 
standardized data collection instruments, such as those listed in 
Appendix C. The use of standardized instruments facilitates your and 
HUD's ability to compile meaningful statistics and to compare results 
between programs.
    (b) Community Involvement (2 points). If you are proposing to 
conduct a project that includes a significant level of community 
interaction (e.g., resident recruitment, home-based assessment and 
remediations, data collection, environmental sampling in residences) 
describe your plan for meaningful involvement of the target community 
in your proposed 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 
program partners, training and employing community residents to recruit 
program 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. You 
should identify the community that is most relevant to your particular 
project and discuss your proposed approach to community involvement and 
why it will make a meaningful contribution to your project and to the 
community.
    (c) Institutional Review Boards and HIPAA (2 Points). 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 Department of Health and Human Services (DHHS) regulation at 45 CFR 
part 46), if your project involves human subjects, your organization 
must provide proof (e.g., a letter signed by an appropriate official) 
that the project has been reviewed and approved by an Institutional 
Review Board before you can initiate activities that require IRB 
approval. You must also provide the number for your organization's 
assurance (i.e., an ``institutional assurance'') that has been approved 
by the DHHS's Office for Human Research Protections (OHRP). For 
additional information on what constitutes human subject research 
(please note that this is broadly defined) or how to obtain an 
institutional assurance see the OHRP Web site at http://www.hhs.gov/ohrp/.
    Although you do not have to provide proof of IRB approval with your 
application, you should address how and when you will obtain such 
approval. If appropriate, 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 project. 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, if applicable, and how you plan to work with families 
with Limited English Proficiency (LEP), (as defined at http://www.hud.gov/offices/fheo/promotingfh/lep.cfm) or primary languages 
other than English, and with families, including persons with 
disabilities. You must also comply with the Health Insurance 
Portability and Accountability Act of 1996 (HIPAA), if relevant. The 
Privacy Rule of HIPAA defines covered entities as those that transmit 
health information electronically (health care providers, health plans, 
etc.). Only those entities are required to protect that information 
under HIPAA. (Other requirements for confidentiality of personal data 
may apply.) 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. Additional information is also available at: 
http://privacyruleandresearch.nih.gov/authorization.asp.
    (d) Staff and Partner Training and Capacity Building (2 points). 
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, remediations and project evaluation). Include 
an outline of training curricula, a description of qualifications of 
trainers, and describe how individuals or groups to be trained will be 
selected.
    (e) Economic Opportunity (2 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 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:
    (i) Providing training and employment opportunities for low- and 
very low-income persons living within the target area, thus providing 
opportunities for self-sufficiency, particularly for persons enrolled 
in welfare-to-work programs.
    (ii) 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 target area. Information about Section 
3 requirements is available at: http://www.hud.gov/offices/fheo/section3/section3.cfm.
    (f) Recruitment and Enrollment (6 Points).
    (i) Describe your proposed methods to reach high-risk groups and 
communities, vulnerable populations and traditionally underserved 
populations by affirmatively furthering fair housing, which would 
include, but not be limited to: (A) 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

[[Page 27205]]

not served by the grassroots community-based, nonprofit organizations, 
including faith-based organizations or other partner organizations); 
(B) providing materials in alternative formats for persons with 
disabilities; providing materials in languages other than English for 
individuals with limited English proficiency and their families; (C) 
assuring long-term residency by families currently living in the 
community; and (D) assuring that priority for treated units go to those 
who need the features (treatment) of the unit.
    (ii) Describe how you will monitor enrollment and recruitment 
status and implement measures identified to sustain enrollment and 
recruitment.
    (iii) Discuss possible recruitment problems, and the probability of 
dropouts, and describe measures you will perform to sustain recruitment 
and enrollment, including over-recruitment to account for drop-outs, 
and incentives for sustainability of participants throughout the period 
of performance of the cooperative agreement.
    (g) Unit Assessments and Medical Referrals (3 Points).
    (i) Describe how you will identify, prioritize, and enroll units of 
housing in which you will assess and perform housing-based 
environmental health and safety remediations, targeting low- and very 
low-income families with young children and other sensitive subgroups 
to the extent feasible.
    (ii) Describe the assessment tools your project will employ to 
evaluate and establish baseline data for unit condition, and the health 
of the occupant(s). These tools include questionnaires, visual 
assessment protocols, and protocols for environmental sampling and 
analysis.
    (iii) If you are planning to conduct dust sampling for allergen 
analyses as part of your unit assessment plans, you should judiciously 
select the allergens that you will test for to avoid unnecessary 
expenditures on data that could be of little value. For example, it is 
often not necessary to analyze samples for dog or cat allergens because 
their presence can be assumed based on the presence of a pet. If 
possible, the allergen(s) that are targeted should reflect your 
knowledge of the housing stock (e.g., cockroach infestation is common 
in older, low income, multifamily housing) and if known, the 
sensitivities of the individual(s) in a specific household.
    (iv) 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, their knowledge of healthy homes 
issues, and their prior experience providing case management to the 
target population(s).
    (h) Remediations (7 Points).
    (i) Describe your process for the development of work 
specifications for the selected physical remediations and for 
identifying individuals (or organizations) to develop the work 
specifications. Include specifics about the individual's position or 
the organizational role in your project.
    (ii) 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). Describe how you will track the costs of 
remediations and provide information about the strategy that you use to 
confirm the efficacy of these remediations.
    (iii) Discuss your process to select and obtain contractors for 
conducting remediations in selected units and provide details about the 
competitive bidding process.
    (iv) Discuss how you will assure that the contractor will comply 
with all applicable Federal, state and local regulations.
    (v) Describe your plan for the relocation of occupants of units 
selected for remediation, 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.
    (vi) If relocation is necessary for occupants of rental units, 
describe your plan for ensuring right of return and/or first referral 
for occupants of these units. (For further information, see Section 
VI.B.4., below).
    (i) Community Education, Outreach and Capacity Building/Training (4 
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.
    (2) Approach for Managing the Project (5 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 major activities necessary to complete 
the proposed project, such as recruitment, unit assessment, enrollment, 
remediation, training, education and outreach, and project evaluation, 
should 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. 
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.
    (3) Quality Assurance (QA) Activities (2 Points). 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. The awardee is also 
required to submit quality control (QC) samples of allergens in 
residential household dust, provided by HUD to the grantee at no cost, 
as blind samples in the train of samples submitted for laboratory 
analysis. For the purpose of budgeting for laboratory analyses of these 
samples, assume that 5 percent of your total allergen dust samples will 
consist of HUD-provided QC samples. You should also discuss the use of 
validated questionnaires and assessment tools (see Appendix C), data 
collection,

[[Page 27206]]

data management (e.g., ensuring the accuracy of data entry), 
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 
funded, you will be asked to develop a brief Quality Assurance Plan 
that incorporates these elements.
    (4) Budget Justification (4 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. Provide 
an estimate of the average cost of each remediation (material costs and 
labor costs associated with installation) and an estimate of total 
costs projected per unit. 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 (see 
Section III: Eligibility Information, C, Other, 2, Eligible Costs and 
Activities for a discussion of activities which can be included in the 
65% expenditures). Include a separate, detailed budget for any sub-
grantee proposed to receive more than 10 percent of the total federal 
budget request.
    (5) 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 of the SuperNOFA). You will receive 
points for each of the applicable FY 2008 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, Faith-Based and Other Community Organizations in HUD 
Program Implementation; (3) Participation of Minority-Serving 
Institutions in HUD Programs; (4) Removal of Regulatory Barriers to 
Affordable Housing; and (5) Reducing Energy Costs. Minority serving 
institutions are defined by the Department of Education and listed at 
http://www.ed.gov/about/inits/list/whhbcu/edlite-list.html. Only 
institutions appearing on this list are eligible for a point under 
Policy Priority (3).
    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. In order to earn the points, applicant must 
submit the required documentation as described in Form HUD-27300 or may 
instead provide a Web site address where the documentation can be 
readily found.
d. Rating Factor 4: Leveraging Resources (8 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 outcomes. 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. Contributed resources must be shown to be 
specifically dedicated to and integrated into supporting program 
activities. 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. In assigning 
points for this factor, HUD will consider the significance of the 
leveraging in the context of the amount of federal funds you are 
requesting. Applicants proposing to contribute resources valued at 10% 
or more of the federal funds requested will receive the most points. 
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 leveraging.
    (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. You should 
provide an estimate of the monetary value of each of the leveraged 
resources, which you should be prepared to document.
    (2) The signature of the authorized official on the Form SF-424 
commits contributed resources of the applicant organization. The 
applicant must obtain a letter of commitment from each organization 
(other than itself) that is contributing resources, whether cash or in-
kind. The letter must describe the contributed resource(s) that will be 
used in your project and assign a dollar value to 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:
    (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 young 
children and other sensitive subgroups.
    (c) 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 (13 
Points)
    This rating factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability. HUD is committed to ensuring 
that applicants keep promises made in their

[[Page 27207]]

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 efficacy and cost-effectiveness of 
remediations. You should also 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). Also identify benchmarks 
(e.g., number of units that receive assessments and interventions) that 
you will use to track the progress of your project, and identify 
project deliverables.
    You should focus particular attention on providing details on the 
project outputs and outcomes that you will capture. While project 
outputs (e.g., homes assessed, individuals trained) are important for 
helping you and HUD to track the progress of your proposed project, the 
capture of outcomes is of the greatest importance. Outcome measures 
should follow logically from your program goals and activities. HUD is 
especially interested in measures of residential health risk (e.g., 
sustained reduction in cockroach allergen loadings, reduction in injury 
hazards), health outcomes, and quality of life. You should provide a 
description of how these outputs/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 
standard questionnaires or other instruments (see Appendix C for 
examples of standardized instruments). Careful attention should be 
given to the relationship between the residential interventions 
implemented by the program (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 and quality of 
life. To help ensure the quality and utility of project evaluations, 
HUD encourages applicants to consider teaming with experienced 
evaluators when developing your project (e.g., faculty at local 
colleges/universities) and conducting your evaluation.
    In addition, you should describe how you will collect the data 
necessary to estimate the monetary costs and benefits of your proposed 
Healthy Homes project. Examples of benefits include reduction in 
medical care utilization and improved quality of life. For 
interventions for which benefits cannot be directly measured (e.g., 
reduction in residential fire injuries and mortality) it may be 
possible to estimate benefits based on the ``risk reduction'' that is 
achieved through the intervention (e.g., fire deaths likely to be 
prevented through installation of smoke alarms with 10-yr. batteries).
    HUD believes that it is important to widely disseminate the 
findings of projects funded through Healthy Homes grants so that other 
programs can benefit from these findings. This can also help identify 
``best practices'' for the design and implementation of Healthy Homes 
projects as well as ineffective approaches. Provide a discussion of 
your plan to disseminate the findings of your Healthy Homes program 
(e.g., posting information on the Web, presentation at public meetings, 
publication in journals). Applicants that provide a credible plan for 
publishing results in a professional or scientific journal will receive 
the most points for this subfactor. In evaluating Rating Factor 5, HUD 
will consider how you have described the benefits and outcome measures 
of your program. You must submit the Logic Model, 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 earlier discussion as well as the General Section of the 
SuperNOFA for detailed information on use of the Logic Model. 
Applicants must submit the Logic Model in the Microsoft Office Excel 
2003 format provided. Do not convert the file to PDF format. 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 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 of the SuperNOFA). 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 of the SuperNOFA. 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.
    b. HUD may require that a selected applicant participate in 
negotiations to determine the specific terms of the cooperative 
agreement and budget. If the applicant accepts the terms and conditions 
of the cooperative agreement, a signed cooperative agreement must be 
returned by the date specified. 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 leveraging for the multiple awards. During negotiations, 
applicants selected for multiple awards will be required to provide 
alternative leveraged resources, if necessary, before the grant can be 
awarded. This is required in order to avoid committing duplicate 
leveraged resources to more than one OHHLHC grant. Refer to the General 
Section of the SuperNOFA for additional details on negotiation.
    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 SF-SAC 
can be downloaded at: http://harvester.census.gov/sac/.
    2. Debriefing. The General Section of the SuperNOFA provides the 
procedures for applicants to request a debriefing. Applicants wanting 
to receive a debriefing must send an e-mail

[[Page 27208]]

request to [email protected].
    3. Adjustments to Funding. Refer to the General Section of the 
SuperNOFA for additional details.
B. Administrative and National Policy Requirements
    1. Environmental Requirements. Under the Consolidated 
Appropriations Act, 2008 (Pub. L. 110-161), 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 
Tribes must act as the responsible entity and assume the environmental 
review responsibilities for activities funded under this NOFA. Other 
applicants, including for-profit/not-for-profit organizations, must 
contract with a state or unit of general local government or Indian 
Tribe to act as the responsible entity. The expenses associated with 
this contractual work should be clearly shown in the budget and 
discussed in the budget narrative. 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 leveraged 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 of the SuperNOFA for information concerning this requirement. 
http://www.hud.gov/.
    3. Procurement of Recovered Materials. See the General Section of 
the SuperNOFA 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 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. 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: (1) There has been a 
change in the legal name, address or authorizing official for your 
organization or (2) there has been any change to the actual Code of 
Conduct since it was last submitted. See the General Section of the 
SuperNOFA for information about conducting business in accordance with 
HUD's core values and ethical standards.
    6. 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.
    7. 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 part 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 to 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; environmental outputs, health outcomes, 
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/grants/index.cfm#reports.
    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. Successful applicants are strongly 
encouraged to submit a

[[Page 27209]]

draft of a publishable paper as a major component of the final report. 
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 Dr. Suzanne 
Gaynor; 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 (202) 402-7689 (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.
    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. The reporting burden for completion of the Quality 
Assurance Plan by applicants who are awarded a cooperative agreement 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, and C to this NOFA are available 
for downloading with the application at http://www.grants.gov/applicants/apply_for_grants.jsp.

[[Page 27210]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.016


[[Page 27211]]



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 5200-N-03, 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 June 12, 2008. 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 Consolidated 
Appropriations Act, 2008 (Pub. L. 110-161, approved December 26, 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) 
2008 HCV FSS Program Coordinator NOFA, HUD is again making funding 
available to PHAs to employ HCV FSS program coordinators and HCV 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, FY 2006, or FY 
2007 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 HCV 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 outreach 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 HCV 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, FY 2006 or FY 2007 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, FY 2006 or FY 2007.
    2. New PHA Applicant. PHAs that did not receive funding under the 
HCV FSS NOFA in FY 2005, FY 2006 or FY 2007 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 specified 
calendar year, plus those families that

[[Page 27212]]

successfully completed their FSS contracts during that calendar year.
    6. Percentage of Families with Positive FSS Escrow Balances. A 
percentage that will be computed by HUD and used to determine funding 
order of priority 3 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, 
2006 through December 31, 2007 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 2007 is higher than their Calendar Year 
2006 number of participants.

 II. Award Information

    Available Funds. This NOFA announces the availability of up to $49 
million in FY 2008 to employ FSS program and FSS homeownership 
coordinators for the HCV FSS program. If additional funding becomes 
available during FY 2008, HUD may increase the amount available for 
coordinators under this NOFA. A maximum of $66,000 is available for 
each full-time coordinator position funded. Salaries are to be based on 
local comparables. The funding will be provided as a one-year 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, FY 2006 or FY 2007. To continue to qualify 
as renewal PHAs, the FY 2008 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 2008 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, FY 2006 or FY 2007. 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 deadline 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 
deadline 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. HCV 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 deadline 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. See 
Affirmatively Furthering Fair Housing requirements in section 
III.C.3.g. of this NOFA.
    (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

[[Page 27213]]

similar positions in the local jurisdiction must be kept on file in the 
PHA office.
    b. FSS Action Plan. The requirements for the FSS Action Plan are 
stated in 24 CFR 984.201. For a new PHA applicant to qualify for 
funding under this NOFA, the PHA's initial FSS Action Plan or amendment 
to change the number of 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 deadline 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 deadline, 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.
    g. Affirmatively Furthering Fair Housing. The General Section of 
the SuperNOFA directs applicants to submit a statement of their plans 
to affirmatively further fair housing if they receive funding or, if 
directed in the particular program NOFA, to demonstrate otherwise that 
they will affirmatively further fair housing. Prior to the application 
due date under this NOFA, each applicant must submit to the public 
housing director in the applicant's local HUD field office an addendum 
to the applicant's HCV administrative plan that outlines reasonable 
steps the applicant will take to affirmatively further fair housing in 
its HCV FSS program and how it will maintain records of those steps and 
their impacts. Reasonable steps include: (1) Advertising widely in the 
community for the coordinator position or positions, (2) marketing the 
program to all eligible persons, including persons with disabilities 
and persons with limited English proficiency, (3) making buildings and 
communications that facilitate applications and service delivery 
accessible to persons with disabilities (see, for example, HUD's rule 
on effective communications at 24 CFR 8.6), (4) providing fair housing 
counseling services or referrals to fair housing agencies, (5) 
informing participants of how to file a fair housing complaint, 
including providing the toll-free number for the Housing Discrimination 
Hotline: 1-800-669-9777, and (6) if the program has a goal of 
homeownership or housing mobility, recruiting landlords and service 
providers in areas that expand housing choice to program participants. 
Record-keeping covers, but is not limited to, the race, ethnicity, 
familial status, and disability status of program participants.

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 http://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,

[[Page 27214]]

``Applicant/Recipient Disclosure/Update Report'' (HUD Applicant 
Recipient Disclosure Report on Grants.gov); HUD-2994-A, You are our 
Client! Grant Applicant Survey, (Optional); Acknowledgment of 
Application Receipt (HUD-2993), if applicable; HUD Facsimile 
Transmittal (HUD-96011, Third Party Documentation Facsimile 
Transmittal); HUD-2991, Certification of Consistency with the 
Consolidated Plan or a copy of the signed PHA Certification of 
Compliance for their current Annual PHA Plan. 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. 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 from your 
agency's Annual Contributions Contract (ACC) (e.g., MD035V012 or 
AK002V005). Both new and renewal PHA applicants should enter the 
proposed ACC amendment effective and ending dates for the requested 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 2008 FSS application, and 18.g., Total. 
The dollar amounts entered in 18.a. and 18.g. must be the total 
requested under 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 
total salary requested per position under the NOFA including the 
percentage increase requested.
    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 
$66,000 per year per full-time coordinator position funded. Under this 
NOFA, if PHAs apply jointly, the $66,000 maximum amount that may be 
requested per position applies to up to one full-time coordinator 
position for the application as a whole, not to each PHA separately.
    2. Limitation on Renewal Funding Increases. For renewal coordinator 
positions, PHAs will be limited to a one (1) 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 deadline. 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 2008, 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 2008 SuperNOFA.
    b. Funds under this FSS NOFA may not be used to pay for services 
for FSS program participants.
    c. Funds under this NOFA may not to be used for performance of 
routine HCV program functions that are reimbursed through HCV 
administrative fees.
    d. Funds under this NOFA may not be used to compensate coordinators 
for homeownership functions performed for families not enrolled in the 
HCV/FSS program.
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 e-mail message should be FY'08 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 twenty (20) 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 2006 to Calendar Year 
2007. 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 qualifying 
homeownership programs and an

[[Page 27215]]

increase in the number of HCV FSS program participants of at least ten 
(10) percent from Calendar Year 2006 to Calendar Year 2007.
    Funding Category 3--Eligible renewal PHA applicants with programs 
that have families with positive escrow balances and/or families that 
successfully completed their HCV FSS contracts between December 31, 
2006, and December 31, 2007.
    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 that has a 
minimum of twenty (20) HCV FSS program participants or graduates that 
purchased homes between October 1, 2000 and the publication date of 
this FSS NOFA 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 eligible 
Funding Category 2 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.
    c. Funding Category 3. If funds remain, HUD will process requests 
of eligible Funding Category 3 applicant PHAs. HUD will first calculate 
the Percentage of Families with Positive FSS escrow balances for all 
eligible Funding Category 3 applicants. If there are not sufficient 
monies to fund all eligible funding category 3 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 applicants with the smallest HCV program size.
    d. Funding Category 4. If funds remain after all Category 1, 2 and 
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 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 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 deadline 
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 deadline 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 August 
or September 2008.

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

[[Page 27216]]

environmental review is required in connection with activities 
conducted under this NOFA, because the NOFA provides funds for 
employing a coordinator to 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 20 of their FSS families 
have become homeowners, that have increased their FSS program size by 
at least 10 percent in calendar year 2007 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 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 contained in their Logic Model (HUD-
96010). An annual Performance Report consisting of the updated Logic 
Model (HUD-96010) 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 2008, 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 Web 
site at http://www.hud.gov.

VIII. Other Information

    A. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2577-0178. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average one hour per annum per respondent 
for the application and grant administration. This includes the time 
for collecting, reviewing, and reporting the data for the application 
and other required reporting. The information will be used for grantee 
selection and monitoring the administration of funds. Response to this 
request for information is required in order to receive the benefits to 
be derived.
    B. Public Access, Documentation, and Disclosure. See Section VIII. 
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.

[[Page 27217]]

 
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.
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 27218]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.017


[[Page 27219]]

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-5200-N-04, 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 30, 2008. 
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. Please be sure to read the General Section, published March 19, 
2008 (73 FR 14882), for electronic application submission and receipt 
requirements.
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 http://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 FY2008 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 FY 2008 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 April 4, 2008 (73 FR 18553) 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

[[Page 27220]]

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 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 http://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 $17,000,000 in FY2008 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 
$17,000,000 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 deobligate 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.

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 FY2008, you, the applicant, must 
meet all statutory and regulatory requirements applicable to this NOFA 
as described in the General Section. HUD may also eliminate ineligible 
activities from funding consideration and reduce funding amounts 
accordingly.
    3. General HUD Threshold Requirements. You must meet all threshold 
requirements described in the General Section.
    a. Ineligible Applicants. HUD will not consider an application from 
an ineligible applicant.
    b. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3).
    (1) Recipients of assistance under this NOFA must comply with 
section 3 of the Housing and Urban Development

[[Page 27221]]

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. The purpose of Section 3 is to ensure that employment and 
other economic opportunities generated by HUD financial assistance 
shall, to the greatest extent feasible, and consistent with existing 
Federal, state and local laws and regulations, be directed to low- and 
very-low income persons, particularly those who are recipients of 
government assistance for housing, and to business concerns which 
provide economic opportunities to low- and very-low income persons. 
Section 3 applies to training, employment, contracting, and other 
economic opportunities arising in connection with the expenditure of 
housing assistance (including Section 8 assistance, and including other 
housing assistance not administered by the Assistant Secretary of 
Housing) and community development assistance that is used for the 
following projects: (1) Housing rehabilitation (including reduction and 
abatement of lead-based paint hazards, but excluding maintenance, 
repair and replacement); Housing construction; and (3) Other public 
Construction. The Section 3 requirements apply to recipients where the 
amount of the assistance exceeds $200,000. Section 3 requirements apply 
to contractors and subcontractors performing work on Section 3 covered 
projects for which the amount of assistance exceeds $200,000 and the 
contract or subcontract exceeds $100,000. If a recipient receives 
Section 3 covered housing and community development assistance in 
excess of $200,000, but no contract exceeds $100,000, the Section 3 
preference requirements only apply to the recipient. The Section 3 
requirements apply to the entire project or activity that is funded 
with section 3 covered assistance, regardless of whether the Section 3 
activity is fully or partially funded with Section 3 covered 
assistance.
    Applicants that propose Section 3 covered projects or activities 
must demonstrate that they will train and employ Section 3 residents 
and contract with Section 3 business concerns for economic 
opportunities generated in conjunction with the assisted project or 
activity.
    Recipients and covered contractors may demonstrate compliance with 
the ``greatest extent feasible'' requirement of Section 3 by providing 
training, employment, and contracting opportunities to Section 3 
residents and Section 3 business concerns. Numerical goals established 
in 24 CFR 135.30 (b)(2) may demonstrate compliance with the requirement 
by committing to employ Section 3 residents as 10 percent of the 
aggregate number of new hires for each year over the duration of the 
Section 3 project. Numerical goals set forth in paragraph (c) apply to 
contracts awarded in conjunction with all section 3 covered projects 
and all section 3 covered activities. Each contractor and subcontractor 
covered by the regulations, may demonstrate compliance with the 
requirements by committing to award to Section 3 business concerns: (1) 
At least 10 percent of the total dollar amount of all section 3 covered 
contracts for building trades work arising in connection with housing 
rehabilitation, housing construction and other public construction; and 
(2) At least 3 percent of the total dollar amount of all other Section 
3 covered contracts. A recipient that meets the minimum numerical goals 
set forth in this Section will be considered to have complied with the 
Section 3 preference requirements. In evaluation compliance, a 
recipient that has not met the numerical goals set forth in this 
section has the burden of demonstrating why it is not feasible to meet 
the numerical goals. Such justification may include impediments 
encountered despite actions taken. A recipient or contractor also can 
indicate other economic opportunities, such as those listed in 24 CFR 
part 135.40, which were provided in its efforts to comply with Section 
3 requirements.
    (2) Section 3 Reporting. Each recipient which receives directly 
from HUD financial assistance that is subject to Section 3 
requirements, shall submit to the Assistant Secretary an annual report. 
If the program requires submission of an annual report, the section 3 
report shall be submitted with the annual performance report. If the 
program does not require an annual report, the Section 3 report is to 
be submitted by January 10, of each year or within 10 days of project 
completion, which ever is earlier. Grantees are required to report on 
form HUD 60002. Section 3 shall also be reported using the RHED Logic 
Model. All reports are made available to the public.
    See; 24 CFR part 135 and the General Section.
    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/applicants/apply_for_grants.jsp. 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 
Factors'' 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 SF-424 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 
``Faith Based EEO Survey'' (SF-424 SUPP) on Grants.gov (optional 
submission).
    (5) Facsimile Transmittal (HUD-96011). (This must be used as the 
cover

[[Page 27222]]

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) ``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov.
    (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) ``HUD Communities Initiative Form'' on 
Grants.gov. To get the points for this policy priority, you must 
include the documentation or references to Web site 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.
    (17) Per the General Section, successful applicants engaged in 
housing or housing related activities are obliged to affirmatively 
further fair housing including taking reasonable steps to overcome 
barriers to fair housing choice in its service area such as:
    (a) Identify Barriers--Applicants must submit a description of 
barriers to fair housing in their jurisdiction or service area (based 
on the applicable state or local Consolidated Plan and Analysis of 
Impediments or other source of information on impediments to fair 
housing). See http://www.hud.gov/offices/fheo/promotingfh.cfm for 
further information.
    (b) Specify Activities to Affirmatively Further Fair Housing--
Applicants must describe how they will address barriers to fair 
housing, including specifying applicable and eligible uses of RHED 
funds--for example, housing counseling to make persons aware of 
discriminatory practices, innovative housing design or construction to 
increase access for persons with disabilities, language assistance 
services to persons with limited English proficiency (on the basis of 
national origin), affirmative fair housing marketing, or location of 
new or rehabilitated housing in a manner that provides greater housing 
choice or mobility for persons in classes protected by the Fair Housing 
Act.
    (c) Reporting--Applicants are obliged to maintain records of their 
activities to affirmatively further fair housing and describe how they 
plan to document such activities, as well as maintaining records on the 
race, ethnicity, disability status, and family status of the 
beneficiaries of RHED programs.
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 May 30, 2008, 
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 the 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 last application received and validated before the deadline date 
will be the one reviewed by HUD. HUD will not accept application 
addendums after the deadline unless HUD has specifically asked the 
applicant for a correction to a technical deficiency in the 
application. Responses to technical deficiencies must be received by 
HUD within the time allocated to cure the deficiency and must be 
submitted by facsimile using the form Facsimile Transmittal (HUD 96011) 
submitted to the 800-894-4047 and (215) 825-8796 fax numbers. 
Applicants must use the Facsimile Transmittal form submitted with the 
last application that was received and validated by Grants.gov prior to 
the deadline. This will ensure that your technical cure will be 
electronically associated to your previously submitted application. 
Failure to follow these instructions may result in your information 
being misdirected. The request for a technical cure will also contain 
instructions for when the cure must be received by the Department and 
other pertinent information.
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;

[[Page 27223]]

    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 a request from HUD. 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 FY2008 General Section because HUD will 
only accept electronic applications submitted through http://www.grants.gov/applicants/apply_for_grants.jsp. 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. 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 7th 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 
will be met, that consultants and other project partners will perform 
as planned, and that beneficiaries will be 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. Please do not include the Social 
Security Numbers (SSN) of any staff members.
    b. Organizational structure and management capacity (15 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. 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. (Note: Previous HUD performance-based experience 
will be verified through HUD's field offices as needed. Other relevant 
past performance information should be included as part of the 
application.)
    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 reserves the right to give zero points for Rating Factor 1, if 
the applicant has been determined to have a pattern or practice of any 
or all of the following activities related to the management and 
operation of previous grant awards: (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.
    Applicants who have been awarded Rural Housing and Economic 
Development program funds prior to FY 2008 must indicate in their 
response to Rating Factor 1 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 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:

[[Page 27224]]

    (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/parishes, 
with a 2-month lag;
    (ii) Population--estimated for incorporated places and counties/
parishes, 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 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.

[[Page 27225]]

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 = 1 point;
    (6) Removal of regulatory barriers to affordable housing = 2 
points; and
    (7) Reducing energy costs = 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 section I.B. of 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 
provision 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 http://www.grants.gov/applicants/apply_for_grants.jsp 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 http://www.grants.gov/applicants/apply_for_grants.jsp include the eLogic ModelTM that you can complete 
and attach to your electronic application submission. Applicants who do 
not have Microsoft Excel software should 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 should be used 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.

[[Page 27226]]

The rating will be in accordance with the matrix found in Attachment 1 
of the General Section and how the applicant proposes 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.
    a. 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.
    b. 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.
    c. 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 http://www.grants.gov/applicants/apply_for_grants.jsp. 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 http://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:
    (1) Total number of housing units constructed;
    (2) Total number of housing units rehabilitated;
    (3) Number of housing units rehabilitated that will be made 
available to low-to-moderate-income participants;
    (4) Number of housing units constructed that will be made available 
to low-to-moderate-income participants;
    (5) Number of jobs created;
    (6) Percentage change in earnings as a result of employment for 
those participants;
    (7) Number of participants trained;
    (8) Percent of participants trained who find a job;
    (9) Number of new businesses created;
    (10) Number of existing businesses assisted;
    (11) Annual estimated savings for low-income families as a result 
of energy efficiency improvements.
    (12) 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
    (13) 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 narrative 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 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, 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.
    (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.
    b. 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;

[[Page 27227]]

    (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.
    c. 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.
    d. 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 http://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.
    e. 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.
    f. Corrections to Deficient Applications. After the application 
deadline 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
    1. 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. Successful Rural Housing and Economic 
Development program applicants will be notified of the grant award and 
will receive post-award instructions by mail.
    2. Debriefing. See the General Section for information on how to 
obtain a debriefing on your application review and evaluation.
    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), the 
Residential Lead-Based Paint Hazard Reduction Act (42 U.S.C. 4851 et 
seq.), 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 semi-annual reporting period, as part of your required 
report to HUD, grantees must include a completed Logic Model (Form HUD 
96010), which identifies output and outcome achievements. For FY 2008, 
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

[[Page 27228]]

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 http://www.HUDclips.org, a comparable program form, or a 
comparable electronic data system for this purpose.

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 27229]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.018


[[Page 27230]]



Resident Opportunity and Self-Sufficiency (ROSS) Service Coordinators 
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) Service Coordinators program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR 5200-N-14; 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 August 14, 2008. 
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 provision of a Service Coordinator to 
coordinate supportive services and other activities designed to help 
Public and Indian housing residents attain economic and housing self-
sufficiency. This program works to promote the development of local 
strategies to coordinate the use of assistance under the Public Housing 
program with public and private resources, for supportive services and 
resident empowerment activities. These services should enable 
participating families to increase earned income, reduce or eliminate 
the need for welfare assistance, make progress toward achieving 
economic independence and housing self-sufficiency, or, in the case of 
elderly or disabled residents, help improve living conditions and 
enable residents to age-in-place. A Service Coordinator ensures that 
program participants are linked to the supportive services they need to 
achieve self-sufficiency or remain independent. Funds in this program 
will no longer be allowed to be used for the direct provision of these 
services. This program is similar to the Public Housing FSS program (PH 
FSS), however, the PH FSS program is open only to PHAs and Tribes/
TDHEs, has a requirement of an escrow account for its participants and 
is one-year funding. The ROSS SC program is open to non-profit and 
Resident Association applicants, is three-year funding, includes admin 
expenses and training as eligible uses of the funds and requires a 25% 
match by statute. A PHA or Tribe may receive grants in both programs.
    2. Funding Available. A total of approximately $28 million is 
available for the ROSS Service Coordinator program in fiscal year 2008, 
plus any carryover or recaptured funds from prior ROSS appropriations 
that may become available.
    3. Award Amounts. Awards will pay for the annual salary and fringe 
benefits of Service Coordinators. Awards may be for up to three 
coordinators, depending on size and type of applicant and each 
coordinator salary must not exceed $68,000. Awards will also include 
funds for training and for administrative expenses. Total awards for 3-
year grant term will range from approximately $240,000 to $720,000. 
Please see the program description for more specific information about 
funding amounts.

----------------------------------------------------------------------------------------------------------------
                                                                                                   Maximum grant
          Grant program               Total funding        Number of SCs           To serve           amount
----------------------------------------------------------------------------------------------------------------
ROSS-Service Coordinators........  $28 million........  1 SC...............  50-1000 units......        $240,000
                                                        2 SCs..............  1001-2500 units....         480,000
                                                        3 SCs..............  2501 + units.......         720,000
----------------------------------------------------------------------------------------------------------------

    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. Match may also be made up of self-sufficiency 
and supportive services/programs provided to participants in the ROSS-
Service Coordinators program. 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.

Full Text of Announcement

I. Funding Opportunity Description

A. Purpose.
    The purpose of the ROSS Service Coordinator program is to provide 
funding to hire and maintain Service Coordinators who will assess the 
needs of residents of conventional Public Housing or Indian housing and 
coordinate available resources in the community to meet those needs. 
The ultimate goal of a Family Service Coordinator is to assist families 
to increase earned income and move towards economic and housing self-
sufficiency. The ultimate goal of an Elderly/Disabled Service 
Coordinator is to ensure that residents can maintain independent living 
and age-in-place in their units and avoid placement in a full-care 
facility to the greatest extent possible. Applicants will indicate if 
their Service Coordinators will serve families, elderly residents, or a 
mix of both.
B. Number of Positions for Which Eligible Applicants May Apply
    1. For PHA and Tribe/TDHE applicants, the number of positions is 
determined by number of ACC units. (Tribes/TDHEs should use the number 
of units counted as Formula Current Assisted Stock for FY 2007 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

[[Page 27231]]

operated by the Tribe and that are identified in their housing 
inventory as of September 30, 2007. Applicants may apply for up to 3 
Service Coordinators depending on the size and type of the applicant. 
Program ratio for number of eligible Service Coordinators is in the 
table above under ``Award Amounts.''
    The Service Coordinator does not have to serve all residents in a 
particular PHA or development however each Service Coordinator must 
serve a minimum of 50 units. Service Coordinators generally serve an 
average of between 75-400 residents. Part of the Service Coordinator's 
role is to convene a Program Coordinating Committee, similar to that 
required in the Family Self-Sufficiency program, to coordinate services 
for families and/or elderly residents. HUD expects that all entities 
wishing to serve residents at a particular PHA will have coordinated 
their grant-seeking efforts. If more than one application proposing to 
serve the same development/Asset Management Project (AMP) is received, 
they will both be reviewed and if both are deemed to enter the lottery, 
the first chosen will be funded.
    2. Non-Profit Applicants may apply with the support of a PHA or 
with the support of one or more RAs. A non-profit applicant with 
support from a PHA may apply to serve a PHA/Tribe/TDHE using the same 
ratio as above. A non-profit applicant applying with the support of an 
RA(s) may apply for up to one Service Coordinator per RA (or set of RAs 
if combining RAs is required to achieve the minimum number of units to 
be served) for a total of not more than three SCs per PHA. (This may 
serve more than three RAs per PHA, if more than one RA need to combine 
in order to meet the minimum number of residents required for an SC 
position.)
    A non-profit applicant may apply to serve as many as 3 PHAs (up to 
9 SCs), but must submit a separate application for each PHA to be 
served unless they are proposing to split one SC's time between PHAs. 
In this case, one application may be submitted, but a letter of support 
from each PHA (or RA at each PHA) is required and the PHA listed first 
on the HUD-52768 will be considered the lead PHA.
    3. Local Resident Association Applicants may apply for one 
coordinator each, provided that the minimum number of units will be 
served.
    4. State-wide and National and other Resident Associations with 
non-profit status should apply using the eligibility guidelines for 
non-profit applicants.
    5. Joint Applicants--more than one PHA/Tribe/TDHE or RA may combine 
their eligible units and share the number of Service Coordinators for 
which they are eligible together. In this case, a lead applicant must 
be identified.
C. 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. 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.
    3. Elderly person means a person who is at least 62 years of age.
    4. 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.
    5. 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.
    6. 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).
    7. Intermediary Resident Organizations means jurisdiction-wide 
resident organizations, citywide resident organizations, statewide 
resident organizations, regional resident organizations, and national 
resident organizations.
    8. NAHASDA-assisted resident means a member of a tribe (as defined 
above) who has been assisted by NAHASDA.
    9. 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.
    10. 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. 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 http://www.irs.gov. Applicants who are 
in the process of applying for nonprofit status, but have not yet 
received nonprofit designation from the IRS by the deadline date, 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. 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.
    11. Past Performance. 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. New applicants will be evaluated using their narrative 
responses to the Past Performance requirement below.
    12. Person with disabilities means a person who:

[[Page 27232]]

    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.
    13. 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.
    14. 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.
    15. 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.
    16. 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.
    17. Site-Based Resident Associations means resident councils or 
resident management corporations representing a specific public housing 
development.
    18. 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.
    19. 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).
    D. Regulations Governing the ROSS Program. ROSS 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 
three-year grant term must be submitted in writing to the local HUD 
field office or area ONAP at least 60 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. Required extensions 
may be considered as part of future Past Performance reviews.
    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 $28,000,000 under this 
funding category of ROSS.

III. Eligibility Information

A. Eligible Applicants
    1. Eligible applicants are PHAs, tribes/TDHEs, RAs, and nonprofit 
organizations supported by PHAs, tribes/TDHEs or RAs.
    2. PHA applicants that are currently eligible to receive funding 
for one or more Elderly/Disabled Service Coordinators (EDSC) through 
the Operating Subsidy and that are granted ROSS Service Coordinator 
funding to serve Elderly residents through this NOFA will forgo all 
future eligibility for EDSC Renewal Funding through the Operating 
Subsidy.
    3. Nonprofits are eligible applicants if they are representing or 
acting at the behest of an RA or PHA/Tribe/TDHE. Accordingly, nonprofit 
applicants must show support from one or more RAs or PHAs/Tribes/TDHEs. 
Applicants should see the General Section for instructions on 
submitting support letters and other documentation with their 
electronic application.
B. Cost Sharing or Matching
    The required match is 25 percent of requested funds. Match is a 
threshold requirement. Therefore, applicants who do not demonstrate the 
minimum 25 percent match will not receive further consideration for 
funding. Match may be cash or in-kind and may also be made up of self-
sufficiency and supportive services/programs provided to participants 
in the ROSS-Service Coordinators program. Please see the section below 
on threshold requirements for more information on what is required for 
the match.
C. Other
    1. Eligible Program Activities. Funds awarded to applicants under 
this NOFA may be used for:
    a. Salaries and fringe benefits of one or more Service 
Coordinators. A part-time Service Coordinator may be retained where 
appropriate, however, the minimum units served remains the same. One or 
more PHAs may share a full-time position if that is deemed most 
appropriate for the applicant's program. Although the exact role for 
the SC shall be designed to meet the needs of the project's community, 
below is a listing of recommended functions for an SC:
    (1) Coordinate a Local Program Committee with local service 
providers

[[Page 27233]]

to ensure that program participants are linked to supportive services 
needed to achieve self-sufficiency. The Service Coordinator will act as 
a liaison between the residents/PHA and local service providers.
    (2) Market the program to residents.
    (3) Provide general case management which includes intake, 
assessment, education, and referral of residents to service providers 
in the general community.
    (4) Coordinate and oversee the delivery of services, ensuring 
services are provided on a regular, ongoing, and satisfactory basis.
    (5) Coordinate and sponsor educational events, which may include 
subjects relating to health care, job search seminars, life skills 
training, etc.
    (6) Assist the PHA, Tribe/TDHE or RA to create a resident group to 
promote self-sufficiency efforts and/or encourage residents to build 
informal support networks with other residents, family, and friends.
    (7) Facilitate the formation of Self-Help Groups with residents and 
faith-based and/or other community-based groups if a particular need is 
evident. The formation of small groups will assist in fostering a sense 
of community and encourage residents' efforts to support and assist 
each other.
    (8) Monitor the ongoing provision of services including supportive 
services from community agencies and keep the case management and 
provider agency current with the progress of the individual. Monitor 
the provision of supportive services where appropriate.
    (9) Track and report to HUD on the progress of residents enrolled 
in the program.
    (10) Evaluate the overall success of the program.
    b. Training and travel pursuant to training related to professional 
and/or program development. All training must be approved by the HUD 
Field Office or Area ONAP. HUD anticipates providing Start-Up training 
for all new SCs after awards are made.
    c. Administrative Costs may be used for activities including but 
not limited to the list contained in Section IV.E of this NOFA.
    d. Supportive services to which residents might be connected will 
vary with need and community resources. However, the spectrum of 
services offered should be as broad and as responsive to residents' 
needs as possible. Please Note: These services cannot be paid for using 
funds from this grant (except where allowed under Admin costs). SCs 
might connect residents to organizations providing the following types 
of services. The provision of these and similar services would qualify 
as match.
    (1) Life-Skills Training, including:
    (a) Financial Literacy/Credit Repair/Banking and Money Management.
    (b) Real Life Issues. Information on tax forms, leases, car 
insurance, health insurance, long-term care insurance, etc.
    (c) Literacy training and GED preparation/Basic Education/ESOL.
    (d) Mentoring.
    (2) Job Training, Job Search, and Placement Assistance, including:
    (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) Resume writing.
    (e) Interviewing techniques.
    (3) Employer linkage and job placement. Working with local 
employers and job placement providers who design and offer training 
that addresses local employers' needs, and offer a job placement 
program that refers trained residents to participating employers and 
other local area employers.
    (4) Provision of professional clothing or uniforms related to new 
employment.
    (5) Career advancement and planning programs. Such programs should 
be designed to:
    (a) Set career goals;
    (b) 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.
    (c) 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.
    (d) 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.
    (6) Post-Employment Follow-up and Activities to Support Career 
Advancement and Long-Term Economic Self-Sufficiency;
    (a) Individual Savings Accounts (ISAs).
    (b) Housing Counseling and Homeownership readiness programs. 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, including use of FHA mortgages or other mortgage vehicles, 
fair housing, fair lending, Individual Savings Accounts, the Real 
Estate Settlement Procedures Act (RESPA), energy efficiency measures/
Energy Star appliances, and home maintenance. Applicants are strongly 
encouraged to refer residents to 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. This type of 
training could include:
    (i) Asset building;
    (ii) Credit counseling and credit scoring;
    (iii) Financial literacy and management;
    (iv) Selecting a real estate broker;
    (v) Choosing a lender;
    (vi) Appraisals;
    (vii) Home inspections;
    (viii) Avoiding delinquency and predatory lending;
    (ix) Foreclosure prevention;
    (x) Home maintenance and financial management for first-time 
homeowners;
    (xi) RESPA; and
    (xii) Fair Housing and fair lending Counseling.
    (c) Community Safety.
    (d) Health Coordination and Outreach.
    (e) Resident Empowerment/Capacity Building.
    (f) Computer Skills.
    (g) Coordinating Services necessary for elderly or disabled 
residents to age-in-place.
    (h) Good Neighbor Programs.
    (i) After-school and or summer programs for school-age children to 
include tutoring, remedial training, and using computers.
    (j) 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.

[[Page 27234]]

    (k) Transportation to enable residents to participate in program 
activities, find and maintain employment, maintain independent living, 
etc.
    (l) Child Care to enable residents to work or participate in 
program activities.
    (m) Parenting Courses.
    (n) Nutrition courses.
    (o) Health care information and services including referrals to 
mental health providers and alcohol and other drug abuse treatment 
programs.
    (p) Resident Business Development.
    (q) Assistance with Activities of Daily Living for Elderly/Disabled 
Residents.
    (r) Meal services to meet nutritional need for Elderly/Disabled 
Residents.
    (s) Disability Services Counseling.
    (t) Personal Emergency Response Resources.
    (u) Wellness Programs.
    SCs may also create and maintain linkages to other 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.
    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 of the total grant amount in match of cash or in-
kind donations as defined in this NOFA. Match does not have to be for 
only the eligible activities under this grant (e.g. salary, fringe, 
admin and training). The intention is that the match will be either 
cash or, if in-kind, made up of services provided to participants in 
the ROSS-Service Coordinators program. Activities eligible to be 
counted for match may be both the activities eligible for federal 
funding under this program as well as self-sufficiency and supportive 
services/programs provided to participants in the ROSS-Service 
Coordinators program.
    Applicants are not required to submit match commitment letters with 
their application, but they must be kept on file. The match 
certification on the HUD-52769 Needs/Partners Form must be signed by 
the applicant's Executive Director, Resident Association Board 
President, Tribal Chairman or other person authorized to make the 
stated commitment, attesting to at least 25% match for activities 
pursuant to this grant. Please note that all forms with signatures must 
be scanned and attached to your application or submitted by fax, using 
the facsimile cover sheet provided with your application.
    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.
    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. 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 for this NOFA 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 have a letter of 
commitment indicating the type of match (cash or in-kind) and how the 
match will be used.
    (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 per hour.
    (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) that by statute allow those funds to be used for 
matching purposes, 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 the narrative provided by the 
applicant, the field office/area ONAP will evaluate applicants' past 
performance. Applicants should carefully prepare their Past Performance 
statement to ensure it addresses the criteria requested therein.
    c. Letters of Support for Nonprofit Applicants.
    (1) All nonprofit applicants must include a letter of support from 
either the Public Housing Authority/Tribe/TDHE(s) or the particular 
Resident Association(s) they intend to serve. 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. Please be advised that all letters with signatures will need 
to be scanned and attached to the application or faxed using the 
facsimile cover sheet included with the application package.
    (2) Nonprofit applicants that receive support only from Resident 
Associations must submit form HUD-52753 (Certification of Resident 
Council Board of Election) for each RA from which the non-profit is 
receiving support. Submitting this form is not applicable where non-
profits submit letters of support from the PHA/Tribe/TDHE .
    (3) PHA/RA Letters of support must indicate the number of eligible 
units at the PHA (or the number of eligible units represented by the 
RA, in the case of RA support letters) and list the names of the 
developments to be served. The letter should also describe to what 
extent the PHA/RA is familiar with the nonprofit applicant and indicate 
their support of the nonprofit application. Letters must include 
contact information and the name and title of the person authorized to 
sign for the organization. Please see the General Section for 
instructions for submitting the required letters with your electronic 
application.
    HUD expects that all entities wishing to serve residents at a 
particular PHA will have coordinated their grant-seeking efforts. If 
more than one

[[Page 27235]]

application proposing to serve the same development/AMP is received, 
they will both be reviewed and if both are deemed eligible to enter the 
lottery, the first chosen will be funded.
    d. General Section Thresholds. All applicants will be subject to 
all Threshold requirements listed in the General Section including the 
Dun and Bradstreet Universal Numbering System (DUNS) Number 
Requirement. You will need to obtain a DUNS number to receive an award 
from HUD. Obtaining a waiver to submit a paper application does not 
release an applicant from this requirement. Refer to the General 
Section for more information.
    3. Program Requirements
    a. Contract Administrator. All RA and PHAS Troubled PHA applicants 
must have 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 parts 84 or 85, as appropriate. 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. 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 in meeting 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/local associations, agencies and 
organizations. Troubled PHAs are not eligible 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. Nonprofit status. All nonprofit applicants must submit their IRS 
determination letter to prove their nonprofit (e.g., 501(c)(3)) status. 
Please see the General Section for instructions for submitting the 
required documentation with your electronic application.
    c. 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.
    d. Affirmatively Furthering Fair Housing. The General Section of 
the SuperNOFA directs applicants to submit a statement of their plans 
to affirmatively further fair housing if they receive funding or, if 
directed in the particular program NOFA, to demonstrate otherwise that 
they will affirmatively further fair housing. Successful applicants for 
this program will certify in their grant agreement/other funding 
arrangement that they will take reasonable steps to affirmatively 
further fair housing and maintain records of these steps and their 
impacts. Reasonable steps include: (1) Advertising for the Service 
Coordinator position widely in the community, (2) marketing the program 
to all eligible persons, including persons with disabilities and 
persons with limited English proficiency, (3) making buildings and 
communications that facilitate applications and service delivery 
accessible to persons with disabilities (see, for example, HUD's rule 
on effective communications at 24 CFR 8.6), (4) providing fair housing 
counseling services or referrals to fair housing agencies, (5) 
informing participants of how to file a fair housing complaint, 
including providing the toll-free number for the Housing Discrimination 
Hotline: 1-800-669-9777, and (6) if the program has a goal of 
homeownership or housing mobility, recruiting landlords and service 
providers in areas that expand housing choice to program participants. 
Record-keeping covers, but is not limited to, the race, ethnicity, 
familial status, and disability status of program participants. Prior 
to execution of the grant agreement/other funding arrangement, the 
successful applicant will submit a statement to HUD outlining the 
reasonable steps it plans to take affirmatively further fair housing 
and how it proposes to maintain records of such activities and their 
impact.
    4. Number of Applications Permitted.
    a. PHA/Tribe/TDHE Applicants may submit only one application each. 
PHAs may propose to serve their own developments. Local RAs may propose 
to serve their own residents and may submit one application each. Non-
Profit Organizations (including state and national non-profit Resident 
Associations) may be funded to serve residents at as many as three (3) 
PHAs/Tribes/TDHEs, but must submit a separate application for each PHA 
to be served unless they will be serving more than one PHA with only 
one SC. If this is the case, one application is acceptable, but a 
letter of support from each PHA (or an RA from each PHA) to be served 
must be included in the application and the PHA listed first on the 
HUD-52768 will be considered the lead PHA. Each application should be 
complete in and of itself and will be evaluated independently. If an 
applicant submits more than one application, separate, non-duplicative 
match letters must be kept on file.
    b. More than one application per development. HUD expects that all 
entities wishing to serve residents at a particular PHA will have 
coordinated their grant-seeking efforts. If more than one application 
proposing to serve the same development/AMP is received, they will both 
be reviewed and if both are deemed eligible to enter the lottery, the 
first chosen will be funded.
    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. The PHA listed 
first on the HUD-52768 will be considered the lead PHA. 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 from each PHA or RA to be served for 
nonprofit applicants;
    (2) Evidence of nonprofit status as outlined under the section 
covering threshold requirements for nonprofit applicants; and
    (3) Threshold requirements outlined in Section III.C. of the 
General Section. 
    Applicants 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. However, if more than one PHA is to be served by a non-profit 
applicant, a letter of support from each PHA (or an RA at each PHA) to 
be served is required in the application. Also, a Certification of 
Consistency with the Consolidated Plan is required for each PHA to be 
served.
    5. Eligible Participants. All residents assisted by ROSS Service 
Coordinators must be residents of conventional public housing or 
NAHASDA-assisted housing
    6. Eligible Developments. Only conventional Public and Indian 
housing developments and NAHASDA-assisted

[[Page 27236]]

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.

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) or 800-HUD-
2209 (TTY) between the hours of 10 a.m. and 6:30 p.m. (Eastern Time) 
Monday through Friday, except on federal holidays. When requesting 
information, please refer to the name of the program you are interested 
in. The NOFA Information Center opens for business simultaneously with 
the publication of the SuperNOFA. You can also obtain information on 
this NOFA from HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. 
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 in the General Section. This will 
help ensure a fair and accurate review of your application.
    2. Content and Format for Submission.
    a. Content and Format of Application. Narrative pages must be 
typed, double-spaced, numbered, be in Times New Roman, 12-point font, 
and have one-inch margins. Please see the General Section for 
instructions on how to submit supporting documentation with your 
electronic application.
    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 meet the requirements for submission 
specified in their waiver notification.) 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 2008 application so as to avoid using 
outdated forms that may be on HUDClips or found from another source.

General Forms

    (1) Acknowledgement of Application Receipt (HUD-2993), (paper 
application submissions only. You must have an approved waiver to 
submit a paper application);
    (2) Application for Federal Financial Assistance (SF-424)--The 
Federal Identifier requested in 5a. is the PHA number of each applicant 
(e.g., MD035 or AK002).;
    (3) SF-424 Supplement, Faith Based EEO Survey (also known as the 
Survey on Ensuring Equal Opportunity for Applicants) (SF-424 SUPP) 
(non-profit applicants only);
    (4) Applicant/Recipient Disclosure Report (HUD-2880);
    (5) Disclosure of Lobbying Activities (SF-LLL), if applicable;
    (6) Disclosure of Lobbying Activities Continuation Sheet (SF-LLL-
A), if applicable;
    (7) You Are Our Client Grant Applicant Survey (HUD-2994-A) 
(Optional);
    (8) Facsimile Transmittal Form (HUD-96011) (MUST be used as the 
cover sheet for any faxes pursuant to an electronic application. Must 
also be included in the application even if faxes are not sent. See 
General Section for more information.);
    (9) Code of Conduct per General Section Instructions.
    If any of the above requirements are missing, incomplete or 
incorrect in your application, they may be requested through the 
technical deficiency process.
    Program Required Submissions:
    (1) HUD-52768--ROSS SC Application Form (This serves as the budget 
form--a separate budget form is NOT required in this application.)
    (2) Narrative on Capacity/Past Performance
    (3) HUD-52769 Needs/Partners Form with Signed Certification from 
Executive Director, Resident Association Board President, or Tribal 
Chairman or other person authorized to make stated commitment attesting 
to at least 25% of the entire amount of grant funds requested in match 
for administrative support or services pursuant to this grant. (The 
actual match letters or MOUs should be kept on file with the applicant 
and be made available in case of review or audit.)
    (4) Logic Model (HUD-96010) showing proposed performance measures. 
See the General Section for information on the Logic Model.
    (5) Letter(s) of Support from PHA or RA (Nonprofit applicants)
    (6) IRS nonprofit determination letter proving non-profit status 
(nonprofit applicants)
    (7) Certification of Consistency with the Consolidated Plan (HUD-
2991) (for all applicants except for tribes/TDHEs and non-profits 
serving tribes/TDHEs). If more than one PHA is to be served, there must 
be one for each PHA.
    (8) Certification of Consistency with the Indian Housing Plan (HUD-
52752) (for tribes/TDHEs and non-profits serving tribes/TDHEs). If more 
than one tribe/TDHE is to be served, there must be one for each tribe/
TDHE;
    (9) Certification of Resident Council Board of Election (HUD-52753) 
(for RA applicants and non-profit applicants supported by an RA only. 
One Certification is required from each RA applying or submitting a 
letter of support. If RA applicants are submitting a joint application, 
one is needed for each RA applying);
    (10) Contract Administrator Partnership Agreement (required for all 
Resident Associations, and PHAS-troubled PHAs. NOT required for Non-
Profit applicants.) (HUD-52755).
    Please note that all forms that are not grants.gov electronic forms 
requiring a signature must be actually signed and then faxed or scanned 
and attached to your application. ONLY the grants.gov electronic forms 
are electronically signed.
    If any of the above requirements are missing, incomplete or 
incorrect in your application, they may be requested through the 
technical deficiency process.
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 of August 14, 2008. Please note that the validation process may 
take up to 72 hours. If a waiver request is approved, the notification 
of approval of the waiver request will provide instructions on where to 
submit the paper application. Applicants should submit their waiver 
requests in writing using mail or e-mail. Waiver requests must be 
postmarked (or for e-mail, dated) no later than 15 days prior to the 
application deadline date and should be sent to Anice Schervish, 451 
Seventh Street, SW., Room 4130, Washington, DC 20410 or 
[email protected]. If an applicant receives a waiver to the 
electronic application submission

[[Page 27237]]

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. Service Coordinator. This program will fund up 
to $68,000 in combined annual salary and fringe benefits for each 
eligible full-time Service Coordinator. Applicants may propose a part-
time coordinator at a lesser salary. However, the minimum number of 
units still must be served. 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.
    3. Training/Travel. This program will cover up to $2,000 per year, 
per Service Coordinator position for pertinent training and associated 
travel. All training must be approved by the local HUD Field Office or 
Area ONAP. HUD anticipates providing a Start-Up training after awards 
are made. A part-time SC will be entitled to the full amount of 
training/travel funds.
    4. Administrative Costs. Administrative Costs will be approved up 
to $10,000 per year per SC position. A part-time position will be 
entitled to the full amount of administrative funds. These funds may be 
used for activities including but not limited to:
    a. Administrative staff support.
    b. Local transportation by the SCs.
    c. Stipends for reasonable out-of-pocket costs incurred by the 
residents for such things as local transportation to and from job 
training and job interviews, supplemental educational materials, and 
child care expenses.
    d. Tracking and evaluation.
    e. Purchase of office furniture or office equipment and supplies.
    f. Program outreach, printing and postage.
    g. Utilities.
    h. 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 except for minimal alterations to make 
the facilities accessible for a person with disabilities;
    (2) No repairs or renovations of the property may be undertaken 
with ROSS 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.
    5. 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 salaries, travel/training and/or administrative 
costs, within allowable limits, up to the maximum grant amount for 
which the applicant is eligible.
    6. Ineligible Activities/Costs. Grant funds may not be used for 
ineligible activities.
    a. Funds may not be used for any other activities other than the 
salary and fringe of ROSS Service Coordinators and related 
administrative and training activities.
    b. Funds under this NOFA may not be used to pay the salary of an 
FSS coordinator for a Housing Choice Voucher (HCV) or Public Housing 
(PH) FSS program. The funding for PH and HCV FSS program coordinators 
is being made available through a separate NOFA included in the FY 2008 
Super NOFA.
    c. If, upon review, the Field Office or Area ONAP finds that funds 
have been used for ineligible activities, these funds may be 
recaptured.
    7. ROSS funds cannot be used to hire or pay for the services of a 
Contract Administrator.
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. 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.
    All paper applications must be received by the deadline date. Any 
paper applications submitted without an approved waiver will be 
considered ineligible and will not receive funding consideration.

V. Application Review Information

A. Criteria
    1. Factors for Award Used To Evaluate Applications to the ROSS 
program. Eligibility for this program will be evaluated on three 
factors--Past Performance, Demonstrated Link between Partners and Local 
Need, and Match. All three requirements must meet the stated 
eligibility standards in order to be considered for funding. The Logic 
Model is also required in order to be funded.
    a. Past Performance--Capacity of the Applicant and Relevant 
Organizational Staff.
    Please include with your application a narrative statement of no 
more than ten pages (12 point, Times New Roman, double spaced, 1'' 
margins) addressing the factors below. This will be used by the Field 
Office or Area ONAP in conjunction of their knowledge of the 
applicant's (and/or service coordinator's) past performance to evaluate 
the Past Performance. The Field Office or Area ONAP will evaluate this 
requirement on a pass/fail basis.
    This factor addresses whether the applicant has the organizational 
capacity and resources necessary to successfully implement the proposed 
activities within the grant period. The narrative should include:
    (1) Past Performance of Applicant/Contract Administrator and 
proposed Staff
    Applicants' narratives must describe how the applicants (or 
Contract Administrator) successfully implemented past grant programs 
designed to promote resident self-sufficiency or assisted elderly or 
disabled residents to remain independent and age-in-place. This should 
include the recent, relevant and successful knowledge and experience of 
the applicant, proposed Service Coordinator(s) and/or partners in 
planning and managing Service Coordinator or similar programs. You may 
provide resumes or position descriptions (where staff is not yet hired) 
for Service Coordinators that will be on applicant staff or contracted. 
(Resumes/position descriptions and other HUD forms do not count toward 
the page limit. Please do not include any Social Security numbers.)
    The applicant must provide the requested materials in sufficient 
detail to demonstrate the applicant's capacity to manage a Service 
Coordinator program. The narrative or other

[[Page 27238]]

documentation should show that the applicant and/or the Service 
Coordinator(s) on staff or proposed to be hired have (or will have)
    (a) Recent experience (within the last 5 years),
    (b) Relevant experience (pertaining to having provided or 
coordinated supportive services) and
    (c) Successful experience (attracted a significant number of 
residents, kept them involved, and produced specific results) in 
conducting and completing similar activities.
    (2) Program Administration and Fiscal Management
    Applicants should include (applicants required to have a Contract 
Administrator should provide relevant data regarding their Contract 
Administrator as well):
    (a) A list of self-sufficiency grants received in the last five 
years, the grant amounts, and grant terms (years) of the grants, which 
are being counted toward past experience;
    (b) 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;
    (c) A description of how the applicant has leveraged funding or in-
kind services equal to or beyond amounts that were originally proposed 
for past projects;
    (d) The project management structure and program accountability, 
including the use of a contract administrator, if applicable, including 
how partners will report to the Service Coordinator and how the Service 
Coordinator(s) will work with other senior staff; and
    (e) 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.
    b. Demonstrated Link Between Partners and Local Need.
    Applicants should use the HUD-52769 Needs/Providers Form to 
identify local needs. Applicants must identify a minimum of ten (10) 
need categories. If less than 10 are identified, this requirement will 
not be considered to have been met. Then, applicants should identify a 
partner in the community who will meet each need category. In order to 
be considered for funding, applicants will need to show that they have 
partners in the community that can meet at least 50% of the service 
categories identified as being needed. It will be a part of the role of 
the Service Coordinator to continue to build upon the partnerships that 
are in place at the time of the application and to expand the services 
available to residents. The applicant itself may be listed as meeting 
the service need if the funding for the service/program comes from 
funding other than a current or previous ROSS grant and will continue 
for the three-year grant term.
    c. Match.
    Applicants must use the HUD-52769 Needs/Providers Form to identify 
the in-kind or cash match that will be provided pursuant to this grant. 
All providers listed are not required to provide a letter attesting to 
match. However, if applicants list match, be it in-kind or cash, on the 
HUD-52769, a letter attesting to that match commitment must be on file 
with the applicant and available for review upon request. Applicants 
must show, and have letters to attest to, a match of at least 25% of 
the grant amount requested in order to be considered for funding. This 
match percentage is to be shown on the HUD-52769 as well. On the HUD-
52769, the Executive Director, Tribal Leader, Board President or other 
person authorized to make such certification must certify that this 
match has been firmly committed to the applicant. Match can be for any 
type of service that meets the needs indicated on the HUD-52769 or 
other eligible grant activities. See Threshold section on match for 
additional information.
    d. Achieving Results and Program Evaluation.
    (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 program requirement requires that applicants identify 
program outputs, outcomes, and performance indicators that will allow 
applicants to measure the outcomes achieved by themselves and their 
partners. Performance indicators should be objectively quantifiable and 
measure actual achievements against anticipated achievements. 
Applicants' 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 must include the standards, data sources, 
and measurement methods they will use to measure performance. If an 
applicant proposed to refer residents to homeownership counseling, the 
applicant should report on the homeownership-related policy priorities 
listed as options for activities and outcomes in the Logic Model.
B. Review and Selection Process
    1. Review Process. Three types of reviews will be conducted: An 
initial screening to determine if your application is on time, you are 
eligible to apply for funding under this grant program, and whether 
your application submission is complete; a review by the field office 
or Area ONAP to evaluate

[[Page 27239]]

past performance, and a threshold review.
    2. Selection Process for All Grant Categories and All Applicants. 
All qualified applications will be awarded based on a lottery. Per 
statute, 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. Even if applying as non-profits, state, national, and other 
incorporated non-profit Resident Associations will be included in this 
set-aside. To be included in this Resident Association Category, you 
must indicate your status on the HUD-52768. If there are more qualified 
resident organizations than 25% of the available funding, there will be 
an initial lottery for all resident organizations, then the remaining 
resident organizations will be put together with the rest of the 
qualified applicants for a second general lottery.
    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. Deficiency Period. Applicants will have 14 calendar days in 
which to provide missing information requested by HUD. For other 
information on correcting deficient applications, please see the 
General Section.

VI. Award Administration Information

    A. Award Notices. HUD will make announcements of grant awards after 
the review 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.
    B. 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.
C. Administrative and National Policy Requirements
    1. Environmental Impact. In accordance with 24 CFR 58.34 (a)(3) or 
(a)(9), 58.35(b)(2), (b)(4) or (b)(5), 50.19(b)(3), (b)(9), (b)(12), 
(b)(14), or (b)(15), activities under this ROSS program are 
categorically excluded from the requirements of the National 
Environmental Policy Act of 1969 and are not subject to environmental 
review under related laws and authorities.
    2. Applicable Requirements. Unless specifically enumerated in this 
NOFA, all applicants (lead and non-lead) 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 Non-Profit 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). Grantees must 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 For this program, 
this applies to the hiring of ROSS Service Coordinators.
    4. Fair Housing and Civil Rights Laws. Grantees 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 III.C(2)(c) for 
more information.
D. Reporting
    1. Annual Performance Reports. Grantees must submit 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. A narrative describing 
milestones, work plan progress, and problems encountered and methods 
used to address the problems to support the data in the Logic Model is 
optional. 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 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 2008, 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) and a final Logic Model. A narrative describing milestones, 
work plan progress, and problems encountered and methods used to 
address the problems to support the data in the Logic Model is 
optional. Grantees must use quantifiable data to measure performance 
against goals and objectives outlined in their work plan. 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 report is 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 part 84 or 24 CFR part 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)

    A. For Technical Assistance. For answers to your questions, you may 
contact the Public and Indian Housing

[[Page 27240]]

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 on 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. For persons with hearing or speech 
impairments, please call the toll-free Federal Information Relay 
Service at 800-877-8339.
    B. Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the ROSS SC 
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 
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 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 7 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 27241]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.019


[[Page 27242]]



Public and Indian Housing Family Self-Sufficiency Program Coordinators 
Under Resident Opportunities & 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 5200-N-09; OMB Approval Number is 
2577-0229.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.877.
    F. Application Deadline: The application deadline date is July 18, 
2008. Please see the General Section published on March 19, 2008 (73 FR 
14882) 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 million in FY 2008.
    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 $68,000.
    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. 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. Match may also be made up of self-sufficiency 
and supportive services/programs provided in-kind to participants in 
this program. Selected applicants will be required to show proof of 
committed match at the time of grant agreement execution before any 
grant agreement will be executed. If a selected applicant fails to 
provide this documentation, the grant will not be made and the funds 
will go to the next eligible applicant.
    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 Consolidated 
Appropriations Act, 2008 (Pub. L. 110-161, approved December 26, 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 this FY2008 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, 2006 or 2007 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, 
2006 or 2007 (whichever was the latest year funded).
    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, 2006 or 2007.
    2. New Applicant. Applicants that did not receive funding under the 
ROSS PH FSS NOFA in FY 2005, FY2006, or FY2007 that have HUD approval 
to administer a PH FSS program of at least

[[Page 27243]]

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 the Native American and Housing Assistance 
and Self-Determination Act of 1996 (NAHASDA).
    4. Indian Tribe means any tribe, band, nation, or other organized 
group or a community of Indians, including any Alaska Native village, 
regional, or village corporation as defined in or established pursuant 
to the Alaska Native Claims Settlement Act, and that is recognized as 
eligible for the special programs and services provided by the United 
States to Indians because of their status as Indians pursuant to the 
Indian Self Determination and Education Act of 1975, or any state-
recognized tribe eligible for assistance under section 4 (12)(C) of 
NAHASDA.
    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 2007 NOFA, 
please use the enrollments anticipated by the deadline 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 million in FY2008 to employ FSS program coordinators 
for the PH FSS program. If additional funding becomes available during 
FY2008, HUD may increase the amount available for PH FSS program 
coordinators under this NOFA. A maximum of $68,000 is available for 
each full-time coordinator position funded. Salaries are to be based on 
local comparables. The funding will be provided as a one-year 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 one-year 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 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. PHAs or Tribes/TDHEs that received funding 
under the PH FSS NOFA in FY 2005, 2006 or 2007. To continue to qualify 
as renewal applicants, the FY2008 application of joint applicants must 
include at least one applicant that meets this standard. Joint 
applicants can change the lead applicant in their FY2008 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, 2006 or 2007. 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.

[[Page 27244]]

    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
    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 deadline 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. 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. Match may also be made up of self-sufficiency and 
supportive services/programs provided in-kind to participants in this 
program. Selected applicants will be required to show proof of 
committed match at the time of grant agreement execution before any 
grant agreement will be executed. If a selected applicant fails to 
provide this documentation, the grant will not be made and the funds 
will go to the next eligible applicant.
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. Threshold 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) 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. Match 
may also be made up of self-sufficiency and supportive services/
programs provided in-kind to participants in this program. Selected 
applicants will be required to show proof of committed match at the 
time of grant agreement execution before any grant agreement will be 
executed. If a selected applicant fails to provide this documentation, 
the grant will not be made and the funds will go to the next eligible 
applicant.
    (3) 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.)
    (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 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. 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. 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/local associations, 
agencies and organizations. Troubled PHAs are not eligible 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 85.
    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.

[[Page 27245]]

    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 
provided 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 deadline 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 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.
    h. Civil Rights Thresholds, Non-discrimination. All applicants must 
comply with these requirements.
    i. Affirmatively Furthering Fair Housing. The General Section of 
the SuperNOFA directs applicants to submit a statement of their plans 
to affirmatively further fair housing if they receive funding or, if 
directed in the particular program NOFA, to demonstrate otherwise that 
they will affirmatively further fair housing. Successful applicants for 
this program will certify in their grant agreement/other funding 
arrangement that they will take reasonable steps to affirmatively 
further fair housing and maintain records of these steps and their 
impacts. Reasonable steps include: (1) Advertising for the Service 
Coordinator position widely in the community, (2) marketing the program 
to all eligible persons, including persons with disabilities and 
persons with limited English proficiency, (3) making buildings and 
communications that facilitate applications and service delivery 
accessible to persons with disabilities (see, for example, HUD's rule 
on effective communications at 24 CFR 8.6), (4) providing fair housing 
counseling services or referrals to fair housing agencies, (5) 
informing participants of how to file a fair housing complaint, 
including providing the toll-free number for the Housing Discrimination 
Hotline: 1-800-669-9777, and (6) if the program has a goal of 
homeownership or housing mobility, recruiting landlords and service 
providers in areas that expand housing choice to program participants. 
Record-keeping covers, but is not limited to, the race, ethnicity, 
familial status, and disability status of program participants. Prior 
to execution of the grant agreement/other funding arrangement, the 
successful applicant will submit a statement to HUD outlining the 
reasonable steps it plans to take to affirmatively further fair housing 
and how it proposes to maintain records of such activities and their 
impact.

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 use the Grants.gov helpdesk e-mail or 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 2008 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 
FY2008 FSS application, and 18.g., Total. The Federal Identifier 
requested in 5a. is the PHA number of each applicant (e.g., MD035 or 
AK002). The Federal Award Identifier is the grant number on your Grant 
Agreement/1044 from your last grant (e.g. AZ004RFS008A006). If you are 
a new applicant, you will not have a Federal Award Identifier.
    b. SF-LLL Disclosure of Lobbying Activities (if applicable).
    c. HUD-2880--Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov).
    d. HUD-2991--Certification of Consistency with the Consolidated 
Plan (for PHA applicants).
    e. HUD-52752--Certification of Consistency with Indian Housing Plan 
(for Tribes/TDHE applicants).
    f. Contract Administrator Partnership Agreement, required for 
troubled PHA applicants (see HUD-52755).
    g. HUD-96011 Facsimile Transmittal, even if not transmitting any 
faxes

[[Page 27246]]

(``HUD Facsimile Transmittal'' on Grants.gov).
    h. HUD-52767 Family Self-Sufficiency Funding Request Form.
    i. The HUD-2994-A--``You Are Our Client Applicant Survey'' is 
optional.
    j. Completed Logic Model (form HUD 96010) showing proposed 
performance measures. See the General Section for information on the 
Logic Model.
    k. Code of Conduct 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 
$68,000 per year per full-time coordinator position funded. Under this 
NOFA, if applicants apply jointly, the $68,000 maximum amount that may 
be requested per position applies to up to one full-time coordinator 
position for the application as a whole, not to each 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 FY2008 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 FY2008 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 or e-mail. Waiver requests must be postmarked (or, for e-
mail, dated) 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 or [email protected]. 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.

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 Graduation Percentage 
first. If monies are not sufficient to fund all applicants with the 
same Graduation Percentage, HUD will fund eligible applicants in order 
starting with those that have the highest Positive Escrow Percentage 
first. If funding is not sufficient to fund all applicants with the 
same FSS Graduation Percentage and/or Positive Escrow 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 the same criteria as provided 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

[[Page 27247]]

applications. If there are not enough funds to fund all of Funding 
Category 2, HUD will use the same criteria as provided for Funding 
Category 1.
    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.

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). Grantees must 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. For this program, 
this applies to the hiring of FSS Coordinators.
    4. Fair Housing and Civil Rights Laws. Grantees 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 III.C.(2)(c) 
for details.
    5. Provision of Services to Individuals with Limited English 
Proficiency (LEP). Applicants other than EOI General Translation 
Component should comply with Final Guidance to Federal Financial 
Assistance Recipients Regarding Title VI Prohibition Against National 
Origin Discrimination Affecting Limited English Proficient Persons, (72 
FR 2732, Jan. 22, 2007).
    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 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 PHAs/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.cfm.
    8. HUD Policy Priorities. This NOFA supports the HUD policy 
priority of helping HUD-assisted renters make progress toward self-
sufficiency. 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. 
Annual Performance Reports consisting of the updated Logic Model are 
due in the field office on January 31 of each year. For FY 2008, 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. In furtherance of the Federal Funding Accountability 
and Transparency Act of 2006, funded applicants will be required to 
provide information on sub-awards made as a result of this award. Sub-
award reporting requirements take effect January 1, 2009. HUD will 
provide further details of this reporting requirement as details are 
finalized. 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. 
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

[[Page 27248]]

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 or the toll-free Federal Information Relay 
Service at 800-877-8339.
    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 
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 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 6 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 27249]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.020

[GPO: Photograph MS page 770]
[[Page 27250]]



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-5200-N-23; 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 July 11, 2008. 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) 2008 is $26,500,000.

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 $26,500,000 will be available for this program in FY 
2008. 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 FY 2008 
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 FY 2008 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 individual consortium member. The agreement must include the 
requirements of the FY 2008 SHOP Grant Agreement between HUD and the 
consortium and set forth the individual consortium member's 
responsibilities for compliance with HUD's 2008 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
    (2) A local public or private nonprofit self-help housing 
organization with

[[Page 27251]]

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 
FY2008 application is not also seeking FY2008 SHOP funding from another 
SHOP applicant. If an affiliate applies for funds through more than one 
applicant, it may be disqualified for funding from any applicant that 
receives a grant.
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 
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 pre-agreement 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 funds 
expended by the organization, consortium, or affiliate to acquire land 
before completion of the environmental 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 applicable threshold requirements listed in 
the General Section published on March 19, 2008 (73 FR 14882) 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 
for 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 a written 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-help housing programs that are assisted by 
the U.S. Department of Agriculture's

[[Page 27252]]

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.
    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. Affirmatively Furthering Fair Housing.
    Successful applicants must affirmatively further fair housing by 
promoting fair housing rights and fair housing choice in housing 
programs funded by the award. Instead of the actions for affirmatively 
furthering fair housing in the General Section of the SuperNOFA, 
successful applicants must affirmatively further fair housing by 
requiring each affiliate to adopt and follow procedures and 
requirements to affirmatively market the self-help housing program. (If 
the applicant will carry out self-help housing activities under the 
grant, it must also adopt and follow affirmative marketing 
requirements.) Affirmative marketing consists of taking actions to 
provide information and otherwise attract eligible persons in the 
housing market to the self-help housing program without regard to race, 
color, national origin, sex, religion, familial status or disability. 
The requirements and procedures include: methods for informing the 
public and potential homebuyers about federal fair housing laws; use of 
the Equal Housing Opportunity logo; procedures to inform and solicit 
applications from persons in the housing market area who are not likely 
to apply for the program without special outreach.
    b. 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.
    c. 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.
    d. 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 1996 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.

[[Page 27253]]

    e. Reduce Energy Costs. Applicants are required to take specific 
energy-saving actions. In the construction and/or rehabilitation of 
self-help housing, SHOP applicants must incorporate energy-efficiency 
measures in the design, construction, and/or rehabilitation of self-
help housing units. Applicants must meet Energy Star construction 
standards and use Energy Star labeled products and appliances.
    f. 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 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 paper application kit for this 
program. All the information you need to apply is contained in this 
NOFA and is available on-line at http://www.grants.gov/applicants/apply_for_grants.jsp. The NOFA forms are available to be downloaded 
from http://apply.grants.gov/forms_apps_idx.html. 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 http://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 FY 2008 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 
Applicant (``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''). 
(Limited to five pages.)


[[Page 27254]]


    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 
1.)
----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 or electronically submitting the SF-424 cover page 
noted above in 2.a., Application Overview, the applicant is certifying 
to all information described in Section IV.F.2 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 July 11, 2008. The validation process may take 
24-48 hours. Applicants are advised to submit applications 72 hours in 
advance. By doing so, if your application fails validation and 
Grants.gov rejects the application, you have time to correct the noted 
problems prior to the deadline date. 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 (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. Pre-agreement costs not 
identified in the application are ineligible costs. 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 deadline 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 application deadline date. Applicants may e-mail their requests 
to louise.d.thompson @hud.gov 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
1. Rating Factor l: Capacity of the Applicant and Relevant 
Organizational Staff (30 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 20 points under this factor will not be 
eligible for funding.

[[Page 27255]]

    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 as it 
relates to self-help housing and the ability to mentor new affiliates.
    For applicants that previously received SHOP grants, HUD will 
assess your organization's past performance based upon performance 
reports and other available data 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, prior years' logic models, financial closeout reports, 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 for all open 
grants during the most recent five full years of participation in the 
program. ``Open grants'' means all grants with incomplete properties 
and/or a final Closeout Agreement has not been issued. 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 
five 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.
Submission Requirements for Rating Factor 1
    a. Past Experience (10 points). You must describe the 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. In addition, 
you must provide the specific number of self-help housing units 
completed within the previous 24 months of the date of this NOFA. 
Further, 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. 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, closeout reports 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 as stated in prior years' logic models. The supplemental 
reports and information must be included as an appendix and will not 
count against the page limitations.
    c. Management Structure (10 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 FY 2008 SHOP funds. Do not include individuals' Social Security 
Numbers in your application.
    You must specifically state that you will or will not be working 
with affiliates that are inexperienced in carrying out self-help 
housing. If you propose to fund inexperienced affiliates, you must 
describe the technical assistance you will provide and how you will 
directly or indirectly mentor these affiliates to develop their 
capacity that results in development of FY 2008 SHOP-assisted units.
    d. 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 from the date of the NOFA 
on the number of accessible units completed.

2. Rating Factor 2: Need/Extent of the Problem (5 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 SHOP 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 Self-help Housing (5 points). You must establish 
the need for self-help housing and the specific need for SHOP funds in 
identified 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. You must include data on housing problems in the proposed target 
areas, such as overcrowding, cost burden, housing age or deterioration, 
low homeownership rate (especially among minority families, lack of 
housing for families with children, and families with members with 
disabilities), and lack of adequate infrastructure or utilities. Also,

[[Page 27256]]

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 noted above.
    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 self-help 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.
3. 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 four of eight HUD policy 
priorities described in the General Section. The four policy priorities 
that apply specifically to SHOP in FY 2008 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; and
    (4) 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, the proposed number of units to be assisted with SHOP 
funding, the housing type(s) (single family or multifamily, or both) to 
be assisted, the form of ownership (fee simple, condominium, 
cooperative, etc.) and the Energy Star measures and appliances you 
propose to use. Applicants must indicate if they will provide pre- and 
post-homebuyer counseling and/or training.
    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 a written 
agreement to complete the work on behalf of the homebuyers. Include the 
per unit and total 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 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 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, but no greater than 
semiannually).
    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. The budget must include line items for the cost 
of monitoring consortium members and affiliates at least once during 
the grant period and pre- and post-homebuyer counseling for homebuyers 
regardless of the funding source(s). Your detailed budget must also 
include leveraged funding to cover costs of completing construction of 
the proposed number of units, including the cost of Energy Star 
appliances. You must state whether your budget includes the value of 
sweat equity contributions of homebuyers and other volunteer labor. 
Budget amounts on the HUD-424-CB and 424-CBW must agree with amounts 
stated elsewhere in the application.
    d. Cost Effective to the Homebuyer (7 points). State how the sales 
price for SHOP-assisted units is established (provide a table outlining 
separate costs for land purchase and infrastructure improvements paid 
by the affiliate; land and infrastructure improvements charged to the 
homebuyer; construction and project-related soft costs, such as 
architectural, engineering and related professional services; and any 
other costs charged to the homebuyer including 2nd or additional 
mortgages that must be repaid by the homebuyer upon sale of the 
property). You must demonstrate the extent to which the investment of 
SHOP funds, the contribution of sweat equity and volunteer labor, 
donations (e.g., land or building materials), in-kind contributions, 
and financing subsidies, further reduce the sales price to the 
homebuyer below the appraised value of the house or market value of 
comparable housing in the neighborhood. This must be demonstrated for 
homebuyers receiving both USDA and non-USDA construction assistance. 
Applicants showing a larger reduction of the sales price to the 
homebuyer from the appraised or market value as a result of

[[Page 27257]]

the use of the SHOP funds for costs that are not charged to the 
homebuyer, the SHOP homebuyer's sweat equity, volunteer labor, and 
other contributions and subsidies not repaid by the homebuyer will 
receive a higher score.
    e. Policy Priorities (5 points). Describe how each of the four 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 three 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 4, 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 FY 2007, must demonstrate how 
the evaluative criteria that were included in your FY 2007 application 
were implemented. You must also describe how the evaluative criteria in 
your FY2007 SHOP program affected or will affect the selection and 
funding of affiliates for FY 2008, to the extent this has been 
completed. The narrative for your evaluative criteria may be included 
as an appendix and will 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. For the remaining 
questions for each affirmative response, applicants must 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 e-mail 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 procedures and materials 
or services that will be used to reach potential homebuyers in the 
proposed housing market area, including persons least likely to apply 
without special outreach. In addition, describe alternative formats to 
be used to reach persons with a variety of disabilities and the 
language accommodations that 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 and 
provide a schedule for monitoring each consortium member and affiliate 
for program compliance at least once during the term of the grant. Over 
50 percent of the monitoring reviews must be conducted on site. 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/parish) 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/parish) 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 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 FY 2008 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.
4. Rating Factor 4: Leveraging Resources (10 points)
    This factor addresses your ability to secure other resources that 
can be

[[Page 27258]]

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 mortgage 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 FY 2008 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 FY 2008 SHOP application or 
specific projects in your FY 2008 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 FY 2008 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 FY 2008 SHOP program, you must 
submit a separate letter committing these dollars to your FY 2008 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 
FY 2008 SHOP application or specific projects in your FY 2008 
application do not count as firm commitments.
    To receive full credit for leveraging, an applicant's leveraging 
resources must be clearly identified for its FY 2008 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.
5. Rating Factor 5. Achieving Results and Program Evaluation (10 
points)
    This factor emphasizes HUD's determination to track whether 
applicants meet commitments made in their applications. 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 http://www.grants.gov/applicants/apply_for_grants.jsp. Applicants must clearly identify the 
``Outputs'' and ``Outcomes'' to be achieved and measured. Completed 
newly constructed or rehabilitated self-help housing units are outputs. 
Outcomes are benefits accruing to the families and/or communities 
during or after participation in SHOP. Examples of outcomes include 
increasing the homeownership rate in a neighborhood or among low-income 
families by a certain percentage, increasing the property tax base by a 
certain value, or increasing housing stability (e.g., increasing assets 
of the low-income homebuyer households by creating household equity or 
reducing total housing costs compared to rents that SHOP participants 
previously paid) during and beyond the grantee's period for reporting 
on property completions. See Reporting in Section VI.C. In addition, 
applicants must establish interim benchmarks for which outputs lead to 
the ultimate achievement of outcomes. ``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 acquisition of land, completion of 
infrastructure, identification of income-qualified 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 within a specified timeframe. 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 report quarterly on their progress in achieving the proposed 
outcomes identified in the Logic Model. Applicants should refer to the 
General Section for more information on the Master Logic Model.

Submission Requirements for Rating Factor 5

    Program Evaluation Plan and Logic Model (10 Points). The FY 2008 
application requires submission of a written program evaluation plan 
and a completed eLogicModelTM. The eLogicModelTM 
allows the applicant to select from drop down menus the elements of 
their program that are 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(s) and outcome(s) selected. Applicants must 
identify a unit of measure and establish a goal for each output and 
outcome.
    HUD has designated mandatory outputs and outcomes that must be 
addressed by the applicant. For both

[[Page 27259]]

``Housing Constructed'' and ``Housing Rehabilitated,'' applicants must 
address the following five mandatory Outputs: (1) Sweat Equity (hours); 
(2) Volunteer Labor (hours); (3) Design incorporates energy efficiency 
measures and Energy Star Standards (units); (4) Policy Priority--Design 
incorporates universal design (units); and (5) Policy Priority--Design 
incorporates visitability standards (units).
    For both `` New construction'' and ``Rehabilitated units,'' 
applicants must address the following four mandatory Outcomes: (1) One 
of the three sets of ``average reduced sales price'' from 1-10 % 
(dollars and units) or from 11-30% (dollars and units) or greater than 
30% (dollars and units)--each set counts as two outcomes; (2) Increased 
housing stability--average decreased housing costs (dollars); and (3) 
Increased housing stability--average increased assets in savings 
(dollars).
    If an applicant's program consists of new construction or 
rehabilitation, but not both, the five mandatory outputs and four 
outcomes applicable to the program must be selected. If an applicant's 
program includes both new construction and rehabilitation, applicant 
must address all mandatory outputs/outcomes. However, applicants are 
expected to select additional outputs and outcomes identified in their 
work plan. Further, interim benchmarks, program indicators, outputs, 
and outcomes must be quantifiable.
    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 time frames. Applicants that include both mandatory and 
optional outputs and outcomes and interim benchmarks, and prepare a 
written evaluation plan that meets the specified content requirements 
will receive a higher score. HUD will rate the eLogicModelTM 
submission based upon the matrix contained in Attachment 1 to the 
General Section.
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://egis.hud.gov/egis/. 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.
    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 at least 20 of 30 points for Factor 1 
will be fully reviewed. 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 deadline date and 
consistent with regulations in 24 CFR part 4, subpart B, HUD will 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 or 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

[[Page 27260]]

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 
fund eligible SHOP activities for at least 30 units at an average 
investment of not more than $15,000 per unit or a lesser amount if 
lower costs for SHOP activities 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. Following 
issuance of a grant agreement and establishment of a line of credit for 
the grantee, as part of the required quarterly reporting 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 deadline 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 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 27261]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.021


[[Page 27262]]



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-5200-N-21; 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 July 18, 2008. 
Applications submitted through http://www.grants.gov must be received 
and validated by grants.gov no later than 11:59:59 PM Eastern time on 
the application deadline date. The validation process may take up to 72 
hours. Refer to the General Section, published March 19, 2008 (73 FR 
14882), 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 creates or maintains 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 $8 million in Fiscal Year (FY) 
2008 funding is made available under the Consolidated Appropriations 
Act, 2008 (Pub. L. 110-5, December 26, 2007). Funds for the renewal of 
expiring HOPWA competitive grants that have successfully undertaken 
permanent supportive housing projects will be distributed under a 
separate process described in a separate notice from this NOFA. The 
remaining funds will be made available under this NOFA after renewals 
have been funded. This notice makes funding available for two types of 
new HOPWA projects: (1) Long-term projects for housing activities 
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) 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.
    The Department will advise existing competitive grantees that 
provide permanent supportive housing of the procedure for qualifying 
for additional funds as a renewal of an expiring HOPWA grant. As 
implemented in FY2006 and FY2007, the renewal process has changed: 
Existing grantees will not be required to submit an application under 
this competition for a renewal grant. In FY2005, one-time funding was 
also made available for 17 transitional housing demonstration projects 
that are not eligible for the renewal as permanent supportive housing 
projects. The 2005 selection criteria noted that funded projects would 
only be for demonstration efforts and that applications were reviewed 
for on-going sustainability, evidenced by plans that continued to 
outplace clients to permanent housing arrangements and plans for 
continued operation of projects from other sources following the 
demonstration effort. However, along with other applicants, the 
transitional housing projects awarded under the 2005 NOFA could be 
eligible to apply and compete for additional funding under this NOFA. A 
project application could propose new activities to be undertaken over 
the next three year period and applicants are not required to maintain 
the same design elements for any currently operating projects by making 
changes to address needs. HUD further advises that the amount of funds 
available for the new awards would potentially only support 6 to 8 new 
projects and that this number of awards will be significantly less than 
the likely number of new applications, including potential applications 
from grantees now operating one of these 17 expiring demonstration 
grants.
    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 FY2008 
HOPWA formula allocations. Applications should be submitted by the 
state or the unit of general local government undertaking activities in 
an area not eligible for formula funds or 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 must demonstrate potential replicability 
in the larger HOPWA program. Applications should be submitted by 
states, units of general local government, and non-profit organizations 
in accordance with the General Eligibility for Applicants and Sponsors 
section of this NOFA.
    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.

[[Page 27263]]

    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.
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 and one county in 84 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 HUD appropriations acts. In 
2007, HUD provided $27,280,081 to 27 renewal projects that were 
eligible, consistent with CPD Notice 07-13, Standards for Fiscal Year 
2007 HOPWA Permanent Supportive Housing Renewal Grant Applications, 
issued on February 21, 2007.
    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 FY2008 
is approximately $300 million. After first awarding funds to renew 
existing HOPWA permanent housing projects in FY2008, HUD estimates that 
approximately $8 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, 2008. 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 an award that you 
may receive are:
    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 amount received by the project sponsor under the grant (e.g., an 
additional $91,000 if the maximum grant is awarded). A grantee carrying 
out all program activities without the use of a project sponsor is only 
eligible to receive grantee administrative costs of 3 percent and is 
not eligible for the additional project sponsor administrative costs of 
7 percent;
    4. Total maximum grant amount for all categories of grant awards 
under this NOFA is $1.43 million with an additional onetime funding of 
up to $30,000 for Return on Investment (ROI) activities if your 
organization submits a Return on Investment plan that is awarded for 
funding. For more information on Return on Investment activities see 
Section III.C..3..b.(4), Other HUD-Approved Activities, in this NOFA.
    D. Average Grant Award. Based on the results of the FY2007 HOPWA 
competition, the average grant award for the four new project grants 
selected was $1.2 million.

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, such as 
the transitional housing demonstration grants funded under the FY2005 
NOFA, or a grantee that wishes to significantly change 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 activities approved under a grant agreement remain 
significantly delayed in their implementation; (2) A significant number 
of the housing units approved under a grant agreement 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 to obtain 
additional funding for 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 FY2008 or if the government agency is not 
eligible to receive formula funds and will serve a balance of state 
area outside

[[Page 27264]]

of any EMSA. Nonprofit organizations are not eligible to apply directly 
for Long-term grants, but may serve as project sponsors 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 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., 
entitled, 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 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 80 percent of the beneficiaries achieve stable housing, have 
reduced risks of homelessness and improve 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 2009. 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

[[Page 27265]]

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. Training on the logic model will 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 
FY2008 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 3 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 program participants. 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. If 
HOPWA funds are requested for new construction or rehabilitation costs, 
the applicant must agree to comply with Section 3 of the Housing and 
Urban Development Act of 1968, as amended (12 U.S.C. 1701(u)), and 
comply with regulations pursuant thereto (24 CFR part 135), which 
require that, to the greatest extent feasible, employment and other 
economic opportunities generated by federal financial assistance for 
housing and community development programs be directed toward the low 
and very low-income residents of the project's 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. Applicants that propose New Construction and/or Rehabilitation 
activities must address the Section 3 requirements, at a minimum, by 
(a) quantifying the opportunity, such as number and type of jobs to be 
made available, scope and nature of contacts for development services 
or other similar elements, (b) establishing a schedule or elements of a 
plan to implement the opportunity and (c) a plan to track and report on 
accomplishments in performance under this requirement. If selected, the 
applicant/grantee would report on accomplishments in annual reports to 
HUD.
    m. Improving Access to Services for Persons with Limited English 
Proficiency (LEP). Applicants obtaining an award from HUD must comply 
with Executive Order 13166, ``Improving Access to Services for Persons 
with Limited English Proficiency.'' For more information on Executive 
Order 13166, reference Section IV, Additional Nondiscrimination and 
Other Requirements in the General Section of the FY2008 SuperNOFA.
    n. Affirmatively Furthering Fair Housing. Funding recipients are 
obligated to affirmatively further fair housing. For more information 
on the Affirmatively Furthering Fair Housing program requirement 
reference Section III.C.4. in the General Section. 
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

[[Page 27266]]

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 Web page 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 
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.
    (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.
    In addition, HUD is interested in developing Return-On-Investment 
models to provide insight from specific community-based efforts that 
can help determine the cost effectiveness of the HOPWA program and 
related services delivered in the community. As discussed in the 
General Section, the Carter-Richmond Methodology presents the building 
blocks for effective program management and for developing Return-On-
Investment models. There are nine questions in the Carter-Richmond 
Methodology, the first seven are the building blocks for effective 
program management and can be used to develop benefit/cost models, and 
the last two questions address valuing outcomes and calculating Return-
On-Investment (ROI).
    When developing ROI models there are several principles to be 
considered:
     These models should address the connection between 
investment and results.
     In order to compute an ROI effectively, one must clearly 
delineate the nature of investment and the nature of results or 
outcomes.
     All public services, including housing assistance and 
related support provided through HOPWA projects, should produce a 
measurable outcome. All outcomes have a value; however the value is not 
always monetary. It is incumbent upon agencies to determine the value 
of these outcomes for the individual client/family and for the 
community in monetary or non-monetary terms.
     In technical terms, ROI is a rate of ``dollars saved per 
dollars invested.'' If the investment and return are measurable in 
dollars, one has a quantifiable ROI methodology.
     When calculating an ROI, the calculation may result in an 
effective ROI, a neutral ROI, or a less than effective ROI. An 
effective ROI is where the value of the benefit or dollars saved 
exceeds the cost of the investment. A neutral ROI is where the value of 
the benefit or dollars saved equals the cost of the investment. A less 
than effective ROI is where the value of the benefit or dollars saved 
is less than the investment. Your organization will not be penalized 
for a less than effective ROI.
    An example of a ``dollars saved per dollars invested'' ROI could be 
that HOPWA funds provided to the grantee for supportive housing (the 
investment) would result in a cost savings by maintaining clients in 
the community (the return) rather than a longer term institutional 
placement. The grantee would need to compare the funds provided from 
the supportive housing grant to the savings resulting from community 
placement compared to an institutional or long term placement. An 
effective ROI would be achieved if the savings achieved were greater 
than the initial grant investment.
    HUD is also interested in calculating ROI as ``benefits per dollars 
invested.'' An example of a ``benefits per dollars invested'' ROI is 
the number of people housed in permanent housing compared to the 
development cost of constructing the housing, along with related 
operating costs for a facility based program, or costs in providing 
rental

[[Page 27267]]

assistance over a measured period of support.
    Additional support is also available in this notice to assist HOPWA 
grantees in conducting program evaluation using the ROI methodology. 
This NOFA provides additional one-time funding for related ROI data 
collection and analysis efforts up to a maximum of $30,000 per grantee. 
These additional funds are available under rating factor 5, Achieving 
New Results, (see rating criteria under Section V.A.1.d. Application 
Selection Process for Projects, Rating Factor 5 Achieving New Results). 
You may earn up to an extra five points for developing and submitting a 
plan to demonstrate a ROI for your program activities. Projects must 
demonstrate a viable ROI plan and methodology with data sources that 
support relevant and accurate reports on the project's ROI to the 
community's public systems of support for HOPWA-eligible households. 
The highest scored ROI plan (5 points) would need to establish:
     For 1 point under ROI: A description of your methodology, 
including the rationale for using one or both of the ROI types as 
described above (``dollars saved per dollars invested'' and ``benefits 
per dollars invested'') and the reason this type of methodology was 
selected.
     For 1 point under ROI: Identify the program or service to 
be addressed by the ROI and why it was selected. When establishing the 
cost for delivering the program housing assistance or service addressed 
by the ROI, add the direct HOPWA portion of these project costs to the 
related leveraged resources that are used to support beneficiaries with 
the program or service addressed by the ROI.
     For 1 point under ROI: A description of the expected 
benefit(s)/outcome(s) whether resulting in cost savings or achieving a 
specific program benefit(s).
     For 1 point under ROI: A submission of your data 
collection and analysis plan describing the source(s) of output and 
outcome data, establishment of baseline data for comparative analysis 
over a three-year time period and how the outcome is to be valued. For 
example, if the case is being made that community based supportive 
housing is less expensive than institutional care, how was the cost of 
institutional care derived? This is necessary to support a legitimate 
comparison of costs.
     For 1 point under ROI: A description of your 
organization's capacity to conduct the project. Your organization must 
provide a brief description of the staff you propose to assign to the 
ROI effort and their relevant experience in working with data 
collection and evaluation activities.
    In general HOPWA is looking for ROI methodologies that address:
     Cost savings to the HOPWA-funded project or to related 
public systems of housing, care and related support.
     Greater efficiencies in service delivery for the types and 
levels of support provided to HOPWA beneficiaries.
    Here are several examples of areas of interest to HOPWA. These are 
only examples and not necessarily recommended courses of action:
     An ROI model that could compare average HOPWA costs to 
costs associated with the reliance on other public services, such as 
hospitalization, and services that offer higher levels of personal care 
(dollars saved per dollars invested).
     An ROI model that proposes how to assess if the program 
resulted in improved quality of life measured by households' achieving 
better relative health, greater family stability, and improved life 
outcomes compared to possible institutional placement (benefits per 
dollars invested and dollars saved per dollars invested).
     An ROI model that could compare the average costs for 
delivering HOPWA supportive permanent housing assistance in contrast to 
greater reliance on hospitalization or inpatient health care services. 
The model could also provide insight on how housing stability achieved 
with HOPWA resources reduces reliance, where appropriate, on this other 
type of support (benefits per dollars invested).
     An ROI model related to care and treatment efforts to 
maintain independent living in the community (benefits per dollars 
invested and/or dollars saved per dollars invested).
    HUD is interested in developing pragmatic models and norms based on 
the actual costs it takes to operate your program including programs 
assisting persons with various levels of supportive housing needs. This 
evaluation can help ensure that resources are targeted to reduce the 
most pressing needs for vulnerable populations, including housing and 
related assistance for persons who are homeless or have severe risks of 
homelessness, along with challenges of serious mental illness and/or 
chronic substance abuse.
    When applying for these supplemental ROI funds, please enter the 
requested amount up to $30,000 under the ``other'' budget line item. 
HUD reserves the right to deny your request for funding under the Other 
budget line item for ROI activities if your ROI plan is deemed limited, 
incomplete, or unresponsive to this assessment objective (i.e., 
receives less than half of these points in the rating review), or 
duplicative in the process and methodology of other higher rated 
applications.
    The following is an example of calculating ``benefits per dollars 
invested'' ROI, using the Carter-Richmond Methodology and a published 
example:
    (i) How many clients are you serving? 100.
    (ii) Who are they? Single unemployed women ages 21-34 who are 
seeking employment and have at least one child under the age of 12.
    (iii) What services do you give them? A package of job readiness 
training, job placement and 90-day follow-up services after job 
placement.
    (iv) What does it cost? $100,000.
    (v) What does it cost per service delivered? $100,000/100 = $1,000/
job readiness/training/placement package, or $1,000/client.
    (vi) What happens to clients as a result of the service? 10 clients 
or 10% of the program participants will obtain a full time job above 
minimum wage with employer provided benefits.
    (vii) What does it cost per outcome? $100,000/10 clients = $10,000/
outcome. The outcome is a full time job above minimum wage with 
employer provided benefits.
    (viii) What is the value of a successful outcome? The value of the 
outcome is income from employment ($20,000), benefits from employer 
($5,000), EITC ($2,000), payment of taxes ($500), elimination of 
welfare and other subsidized benefits ($22,500) for a total of $50,000 
per year. (EITC increases the client's benefit value which should 
reduce or offset the value associated with elimination or decrease in 
subsidized benefits. The total value of the return may be disputable 
depending on how we identify the investor.)
    (ix) What is the return on investment?

--ROI Individual = Value of outcome $50,000/ Cost of outcome $10,000 or 
a 500% return.
--ROI Program = Value of outcomes ($50,000) x (10) participants = 
$500,000/ Cost of outcomes ($10,000) x (10) participants = $100,000.
--The cost of the program at $100,000 returned $500,000 in benefits.
--Every $1.00 invested in the program returned $5.00 in benefits.

    Example cited from: Return-On-Investment Training for Community 
Action, (copyright) 2007, F. Richmond, B. Nazar, with permission from 
Reginald Carter,

[[Page 27268]]

The Center for Applied Management Practices, Camp Hill, PA 717-730-
3705, http://www.appliedmgt.com, all rights reserved.
    (5) Resource Identification. Resource Identification activities may 
be used to establish, coordinate, and develop housing assistance 
resources in your community.

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 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; or

[[Page 27269]]

    (b) A ruling from the Treasury Department of the Commonwealth of 
Puerto Rico granting income tax exemption under section 101 of the 
Income Tax Act of 1954, as amended (13 LPRA 3101); or
    (c) Documentation that the applicant is a certified United Way 
agency; or
    (d) Copy of your most recent completed tax statement, Form IRS-990 
or Form 990-EZ; or
    (e) All of the following:
    (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 5 double-spaced 
typed pages or similar chart or table, for the Applicant, and no more 
than 2 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 5 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 10 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. If HOPWA funds are requested for new 
construction or rehabilitation costs, the applicant must agree to 
comply with Section 3 of the Housing and Urban Development Act of 1968, 
as amended (12 U.S.C. 1701(u)), and comply with regulations pursuant 
thereto (24 CFR part 135), which require that, to the greatest extent 
feasible, employment and other economic opportunities generated by 
federal financial assistance for housing and community development 
programs be directed toward the low and very low-income residents of 
the project's 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. Applicants that propose New 
Construction and/or Rehabilitation activities must on one additional 
page describe their plan for addressing the Section 3 requirements, at 
a minimum, by (a) Quantifying the opportunity, such as number and type 
of jobs to be made available, scope and nature of contacts for 
development services or other similar elements, (b) establishing a 
schedule or elements of a plan to implement the opportunity and (c) a 
plan to track and report on accomplishments in performance under this 
requirement. If selected, the applicant/grantee would report on 
accomplishments in annual reports to HUD.
    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.
    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. In addition, under 
rating factor 5 Achieving New Results you may earn an extra 5 rating 
points for developing a plan to demonstrate a ROI on your program 
activities, (see rating criteria under Section V.A.1.d. Application 
Selection Process for Projects, Rating Factor 5 Achieving New Results). 
Your ROI evaluation plan should test new methods or other innovations 
and serve as a model with developed features. When developing ROI 
models there are several principles to be considered:
     These models should address the connection between 
investment and results.
     In order to compute an ROI effectively, one must clearly 
delineate the nature of investment and the nature of results or 
outcomes.
     All public services, including housing assistance and 
related support provided through HOPWA projects, should produce a 
measurable outcome. All outcomes have a value; however the value is not 
always monetary. It is incumbent upon agencies to determine the value 
of these outcomes for the individual client/family and for the 
community in monetary or non-monetary terms.
     In technical terms, ROI is a rate of ``dollars saved per 
dollars invested.'' If the investment and return are measurable in 
dollars, one has a quantifiable ROI methodology.
     When calculating an ROI, the calculation may result in an 
effective ROI, a neutral ROI, or a less than effective ROI. An 
effective ROI is where

[[Page 27270]]

the value of the benefit or dollars saved exceeds the cost of the 
investment. A neutral ROI is where the value of the benefit or dollars 
saved equals the cost of the investment. A less than effective ROI is 
where the value of the benefit or dollars saved is less than the 
investment. Your organization will not be penalized for a less than 
effective ROI.
    An example of a ``dollars saved per dollars invested'' ROI could be 
that HOPWA funds provided to the grantee for supportive housing (the 
investment) would result in a cost savings by maintaining clients in 
the community (the return) rather than a longer term institutional 
placement. The grantee would need to compare the funds provided from 
the supportive housing grant to the savings resulting from community 
placement compared to an institutional or long term placement. An 
effective ROI would be achieved if the savings achieved were greater 
than the initial grant investment.
    HUD is also interested in calculating ROI as ``benefits per dollars 
invested.'' An example of a ``benefits per dollars invested'' ROI is 
the number of people housed in permanent housing compared to the 
development cost of constructing the housing, along with related 
operating costs for a facility based program, or costs in providing 
rental assistance over a measured period of support.
    Additional support is also available in this notice to assist HOPWA 
grantees in conducting program evaluation using the ROI methodology. 
This NOFA provides additional one-time funding for related ROI data 
collection and analysis efforts up to a maximum of $30,000 per grantee. 
Projects must demonstrate a viable ROI plan and methodology with data 
sources that support relevant and accurate reports on the project's ROI 
to the community's public systems of support for HOPWA-eligible 
households. The highest scored ROI plan (5 points) would need to 
establish:
     For 1 point under ROI: A description of your methodology, 
including the rationale for using one or both of the ROI types as 
described above (``dollars saved per dollars invested'' and ``benefits 
per dollars invested'') and the reason this type of methodology was 
selected.
     For 1 point under ROI: Identify the program or service to 
be addressed by the ROI and why it was selected. When establishing the 
cost for delivering the program housing assistance or service addressed 
by the ROI, add the direct HOPWA portion of these project costs to the 
related leveraged resources that are used to support beneficiaries with 
the program or service addressed by the ROI.
     For 1 point under ROI: A description of the expected 
benefit(s)/outcome(s) whether resulting in cost savings or achieving a 
specific program benefit(s).
     For 1 point under ROI: A submission of your data 
collection and analysis plan describing the source(s) of output and 
outcome data, establishment of baseline data for comparative analysis 
over a three-year time period and how the outcome is to be valued. For 
example, if the case is being made that community based supportive 
housing is less expensive than institutional care, how was the cost of 
institutional care derived? This is necessary to support a legitimate 
comparison of costs.
     For 1 point under ROI: A description of your 
organization's capacity to conduct the project. Your organization must 
provide a brief description of the staff you propose to assign to the 
ROI effort and their relevant experience in working with data 
collection and evaluation activities.
    In general HOPWA is looking for ROI methodologies that address:
     Cost savings to the HOPWA-funded project or to related 
public systems of housing, care and related support.
     Greater efficiencies in service delivery for the types and 
levels of support provided to HOPWA beneficiaries.
    Here are several examples of areas of interest to HOPWA. These are 
only examples and not necessarily recommended courses of action:
     An ROI model that could compare average HOPWA costs to 
costs associated with the reliance on other public services, such as 
hospitalization, and services that offer higher levels of personal care 
(dollars saved per dollars invested).
     An ROI model that proposes how to assess if the program 
resulted in improved quality of life measured by households' achieving 
better relative health, greater family stability, and improved life 
outcomes compared to possible institutional placement (benefits per 
dollars invested and dollars saved per dollars invested).
     An ROI model that could compare the average costs for 
delivering HOPWA supportive permanent housing assistance in contrast to 
greater reliance on hospitalization or inpatient health care services. 
The model could also provide insight on how housing stability achieved 
with HOPWA resources reduces reliance, where appropriate, on this other 
type of support (benefits per dollar invested).
     An ROI model related to care and treatment efforts to 
maintain independent living in the community (benefits per dollars 
invested and/or dollars saved per dollars invested).
    HUD is interested in developing pragmatic models and norms based on 
the actual costs it takes to operate your program including programs 
assisting persons with various levels of supportive housing needs. This 
evaluation can help ensure that resources are targeted to reduce the 
most pressing needs for vulnerable populations, including housing and 
related assistance for persons who are homeless or have severe risks of 
homelessness, along with challenges of serious mental illness and/or 
chronic substance abuse.
    When applying for these supplemental ROI funds, please enter the 
requested amount up to $30,000 under the ``other'' budget line item. 
HUD reserves the right to deny your request for funding under the Other 
budget line item for ROI activities if your ROI plan is deemed limited, 
incomplete, or unresponsive to this assessment objective (i.e., 
receives less than half of these points in the rating review), or 
duplicative in the process and methodology of other higher rated 
applications.
    The following is an example of calculating ``benefits per dollars 
invested'' ROI, using the Carter-Richmond methodology and a published 
example:
    (i) How many clients are you serving? 100.
    (ii) Who are they? Single unemployed women ages 21-34 who are 
seeking employment and have at least one child under the age of 12.
    (iii) What services do you give them? A package of job readiness 
training, job placement and a 90 day follow-up services after job 
placement.
    (iv) What does it cost? $100,000.
    (v) What does it cost per service delivered? $100,000/100 = $1,000/
job readiness/training/placement package, or $1,000/client.
    (vi) What happens to clients as a result of the service? 10 clients 
or 10% of the program participants will obtain a full time job above 
minimum wage with employer provided benefits.
    (vii) What does it cost per outcome? $100,000/10 clients = $10,000/
outcome. The outcome is a full time job above minimum wage with 
employer provided benefits.
    (viii) What is the value of a successful? The value of the outcome 
is income from employment ($20,000), benefits from employer ($5,000), 
EITC ($2,000), payment of taxes ($500),

[[Page 27271]]

elimination of welfare and other subsidized benefits ($22,500) for a 
total of $50,000 per year. (EITC increases the client's benefit value 
which should reduce or offset the value associated with elimination or 
decrease in subsidized benefits. The total value of the return may be 
disputable depending on how we identify the investor.)
    (ix) What is the return on investment?

--ROI Individual = Value of outcome $50,000/Cost of outcome $10,000 or 
a 500% return.
--ROI Program = Value of outcomes ($50,000) x (10) participants = 
$500,000/ Cost of outcomes ($10,000) x (10) participants = $100,000.
--The cost of the program at $100,000 returned $500,000 in benefits.
--Every $1.00 invested in the program returned $5.00 in benefits.

    Example cited from: Return-On-Investment Training for Community 
Action, (copyright) 2007, F. Richmond, B. Nazar, The Center for Applied 
Management Practices, Camp Hill, PA 717-730-3705, http://www.appliedmgt.com, all rights reserved. Sponsored by OACCA/OCATO, 
Columbus, Ohio, April 21, 2007.
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 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 2007 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 July 18, 
2008. 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, with an 
additional onetime funding up to a maximum of $30,000 for Return on 
Investment (ROI) activities if your organization submits a Return on 
Investment plan that is awarded for funding. For more information on 
Return on Investment activities see Section III.C..3..b.(4), ``Other 
HUD-Approved Activities,'' in this NOFA.
    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

[[Page 27272]]

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.
    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 http://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, July 18, 2008, to: Office of HIV/AIDS 
Housing, Department of Housing and Urban Development, 451 Seventh 
Street, SW., Suite 7212, Washington, DC 20410-7000, E-mail: mail to: 
[email protected], facsimile (fax) 202-708-9313.
    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 of July 18, 2008.

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 5 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 1 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 1 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 2 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.
    (5) For up to 2 rating points under project soundness of approach, 
you are encouraged to propose an application in which the grantee 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 Homeless Management Information 
Systems (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.
    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

[[Page 27273]]

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 
performance and disseminating information on project housing outputs 
and client outcomes similar to the HOPWA outcomes of stable housing, 
reduced risks of homelessness, and access to care; 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 5 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 5 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 10 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 enhance 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 under-served (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

[[Page 27274]]

necessary to provide this subpopulation with as effective housing, 
benefits, aid, or services as that provided to others. See 24 CFR 
8.4(b)(1)(iv).
Rating Factor 3: Soundness of Approach: Responsiveness, Coordination 
and Public Policy Priorities, and Model Qualities (45 Points)
    Address this factor on not more than 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 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. If HOPWA funds are 
requested for new construction or rehabilitation costs, the applicant 
must comply with Section 3 of the Housing and Urban Development Act of 
1968, as amended (12 U.S.C. 1701(u)), and comply with regulations 
pursuant thereto (24 CFR part 135), Applicants that propose New 
Construction and/or Rehabilitation activities must on one additional 
page describe their plan for addressing the Section 3 requirements, at 
a minimum, by (a) quantifying the opportunity, such as number and type 
of jobs to be made available, scope and nature of contacts for 
development services or other similar elements, (b) establishing a 
schedule or elements of a plan to implement the opportunity, and (c) a 
plan to track and report on accomplishments in performance under this 
requirement. If selected, the applicant/grantee would report on 
accomplishments in annual reports to HUD.
    (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

[[Page 27275]]

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 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 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, applicants seeking 
HOPWA funds or the use of related leveraged funds for capital 
development activities, (including rehabilitation or new construction), 
for one rating point under project soundness of approach, your 
application describes:
    (i) the use of universal design and visitability standards in 
development activities undertaken with HOPWA or leveraged funds; and
    (ii) how you will 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 1 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 1 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

[[Page 27276]]

standard is as defined in the General Section.
    (d) For 2 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) For up to 2 rating points under project soundness of approach, 
your application exclusively targets the population of the chronically 
homeless. If your project does not exclusively target those individuals 
classified as chronically homeless but will serve some chronically 
homeless individuals or families then one point will be earned. If your 
project does not address the chronically homeless no points will be 
earned. Chronically homeless is defined in section I.A. 3., Definitions 
for all HOPWA grants of this program NOFA.
    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 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 (5 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 5 
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 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.
Factor 5: Achieving Results and Program Evaluation (Maximum 15 Points)
    Address this factor in your Logic Model for 10 points and in a 
Return on Investment (ROI) plan for 5 points. The ROI narrative should 
be presented in not more than 5 double spaced pages (and is an option, 
not a requirement for submission). In addition, as may be needed, you 
may submit a supplemental related narrative if other project 
performance elements are added to those available on this Logic Model 
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

[[Page 27277]]

your application's logic model 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.
    In addition, under rating factor 5, Achieving Results, you may earn 
an extra 5 points for developing a plan to demonstrate a ROI on your 
program activities. When developing ROI models there are several 
principles to be considered:
     These models should address the connection between 
investment and results.
     In order to compute an ROI effectively, one must clearly 
delineate the nature of investment and the nature of results or 
outcomes.
     All public services, including housing assistance and 
related support provided through HOPWA projects, should produce a 
measurable outcome. All outcomes have a value; however the value is not 
always monetary. It is incumbent upon agencies to determine the value 
of these outcomes for the individual client/family and for the 
community in monetary or non-monetary terms.
     In technical terms, ROI is a rate of ``dollars saved per 
dollars invested.'' If the investment and return are measurable in 
dollars, one has a quantifiable ROI methodology.
     When calculating an ROI, the calculation may result in an 
effective ROI, a neutral ROI, or a less than effective ROI. An 
effective ROI is where the value of the benefit or dollars saved 
exceeds the cost of the investment. A neutral ROI is where the value of 
the benefit or dollars saved equals the cost of the investment. A less 
than effective ROI is where the value of the benefit or dollars saved 
is less than the investment. Your organization will not be penalized 
for a less than effective ROI.
    An example of a ``dollars saved per dollars invested'' ROI could be 
that HOPWA funds provided to the grantee for supportive housing (the 
investment) would result in a cost savings by maintaining clients in 
the community (the return) rather than a longer term institutional 
placement. The grantee would need to compare the funds provided from 
the supportive housing grant to the savings resulting from community 
placement compared to an institutional or long term placement. An 
effective ROI would be achieved if the savings achieved were greater 
than the initial grant investment.
    HUD is also interested in calculating ROI as ``benefits per dollars 
invested.'' An example of a ``benefits per dollars invested'' ROI is 
the number of people housed in permanent housing compared to the 
development cost of constructing the housing, along with related 
operating costs for a facility based program, or costs in providing 
rental assistance over a measured period of support.
    Additional support is also available in this notice to assist HOPWA 
grantees in conducting program evaluation using the ROI methodology. 
This NOFA provides additional one-time funding for related ROI data 
collection and analysis efforts up to a maximum of $30,000 per grantee. 
Projects must demonstrate a viable ROI plan and methodology with data 
sources that support relevant and accurate reports on the project's ROI 
to the community's public systems of support for HOPWA-eligible 
households. The highest scored ROI plan (5 points) would need to 
establish:
     For 1 point under ROI: A description of your methodology, 
including the rationale for using one or both of the ROI types as 
described above (``dollars saved per dollars invested'' and ``benefits 
per dollars invested'') and the reason this type of methodology was 
selected.
     For 1 point under ROI: Identify the program or service to 
be addressed by the ROI and why it was selected. When establishing the 
cost for delivering the program housing assistance or service addressed 
by the ROI, add the direct HOPWA portion of these project costs to the 
related leveraged resources that are used to support beneficiaries with 
the program or service addressed by the ROI.
     For 1 point under ROI: A description of the expected 
benefit(s)/outcome(s) whether resulting in cost savings or achieving a 
specific program benefit(s).
     For 1 point under ROI: A submission of your data 
collection and analysis plan describing the source(s) of output and 
outcome data, establishment of baseline data for comparative analysis 
over a three-year time period and how the outcome is to be valued. For 
example, if the case is being made that community based supportive 
housing is less expensive than institutional care, how was the cost of 
institutional care derived? This is necessary to support a legitimate 
comparison of costs.
     For 1 point under ROI: A description of your 
organization's capacity to conduct the project. Your organization must 
provide a brief description of the staff you propose to assign to the 
ROI effort and their relevant experience in working with data 
collection and evaluation activities.
    In general HOPWA is looking for ROI methodologies that address:
     Cost savings to the HOPWA-funded project or to related 
public systems of housing, care and related support.
     Greater efficiencies in service delivery for the types and 
levels of support provided to HOPWA beneficiaries.
    Here are several examples of areas of interest to HOPWA. These are 
only examples and not necessarily recommended courses of action:
     An ROI model that could compare average HOPWA costs to 
costs associated with the reliance on other public services, such as 
hospitalization, and services that offer higher levels of personal care 
(dollars saved per dollars invested).
     An ROI model that proposes how to assess if the program 
resulted in improved quality of life measured by households' achieving 
better relative health, greater family stability, and improved life 
outcomes compared to possible institutional placement (benefits per 
dollars invested and dollars saved per dollars invested).
     An ROI model that could compare the average costs for 
delivering HOPWA supportive permanent housing assistance in contrast to 
greater reliance on hospitalization or inpatient health care services. 
The model could also provide insight on how housing stability achieved 
with HOPWA resources reduces reliance, where appropriate, on this other 
type of support (benefits per dollars invested).
     An ROI model related to care and treatment efforts to 
maintain independent living in the community (benefits per dollars 
invested and/or dollars saved per dollars invested).
    HUD is interested in developing pragmatic models and norms based on 
the actual costs it takes to operate your program including programs 
assisting persons with various levels of supportive housing needs. This 
evaluation can help ensure that resources are targeted to reduce the 
most pressing needs for vulnerable populations, including housing and 
related assistance for persons who are homeless or have severe risks of 
homelessness, along with challenges of

[[Page 27278]]

serious mental illness and/or chronic substance abuse.
    When applying for these supplemental ROI funds, please enter the 
requested amount up to $30,000 under the ``other'' budget line item. 
HUD reserves the right to deny your request for funding under the Other 
budget line item for ROI activities if your ROI plan is deemed limited, 
incomplete, or unresponsive to this assessment objective (i.e., 
receives less than half of these points in the rating review), or 
duplicative in the process and methodology of other higher rated 
applications.
    The following is an example of calculating ``benefits per dollars 
invested'' ROI, using the Carter-Richmond methodology and a published 
example:
    (i) How many clients are you serving? 100.
    (ii) Who are they? Single unemployed women ages 21-34 who are 
seeking employment and have at least one child under the age of 12.
    (iii) What services do you give them? A package of job readiness 
training, job placement and 90 day follow-up services after job 
placement.
    (iv) What does it cost? $100,000.
    (v) What does it cost per service delivered? $100,000/100 = $1,000/
job readiness/training/placement package, or $1,000/client.
    (vi) What happens to clients as a result of the service? 10 clients 
or 10% of the program participants will obtain a full-time job above 
minimum wage with employer provided benefits.
    (vii) What does it cost per outcome? $100,000/10 clients = $10,000/
outcome. The outcome is a full time job above minimum wage with 
employer provided benefits.
    (viii) What is the value of a successful outcome? The value of the 
outcome is income from employment ($20,000), benefits from employer 
($5,000), EITC ($2,000), payment of taxes ($500), elimination of 
welfare and other subsidized benefits ($22,500) for a total of $50,000 
per year. (EITC increases the client's benefit value, which should 
reduce or offset the value associated with elimination or decrease in 
subsidized benefits. The total value of the return may be disputable 
depending on how we identify the investor.)
    (ix) What is the return on investment?

--ROI Individual = Value of outcome $50,000/ Cost of outcome $10,000 or 
a 500% return.
--ROI Program = Value of outcomes ($50,000) x (10) participants = 
$500,000/Cost of outcomes ($10,000) x (10) participants = $100,000.
--The cost of the program at $100,000 returned $500,000 in benefits.
--The every $1.00 invested in the program returned $5.00 in benefits.

    Example cited from: Return-On-Investment Training for Community 
Action,(copyright) 2007, F. Richmond, B. Nazar, The Center for Applied 
Management Practices, Camp Hill, PA, 717-730-3705, http://www.appliedmgt.com, all rights reserved. Sponsored by OACCA/OCATO, 
Columbus, Ohio, April 21, 2007.
    The highest rated applications will have a clear plan to address 
the HOPWA client outcome goals, to increase the amount of housing 
assistance provided to eligible persons, to establish or maintain 
housing stability, to reduce the risks of homelessness for eligible 
persons, to improve access to health care and other support, to collect 
information on your project's ROI. 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 pertaining to a request for a 
long-term project or a 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 
FY2008 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 in combination 
with recaptured funds made available from related grant management 
actions to fund projects under this NOFA. HUD will select applications 
in rank order in each category of assistance (long-term and SPNS) to 
the extent that funds are available. 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 1; Rating Factor 2; Rating Factor 
5; and Rating Factor 4.

[[Page 27279]]

C. Anticipated Announcement and Award Dates
    The anticipated announcement of the projects selected under this 
notice is no later than September 31, 2008.

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 Construction Projects. See the General 
Section for the information on how to meet this requirement.
    2. Davis-Bacon wage rates. The Davis-Bacon wage rates are not 
applicable to the HOPWA program. However, if the applicant uses grant 
funds in conjunction with other federal programs, the Davis-Bacon 
requirements will apply to the extent required under the other federal 
programs.
    3. 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 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 project under the HOPWA 
annual progress report (form HUD-40110-C), comparing your results to 
proposed plans, including reporting on the required HOPWA Performance 
Goals 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:
    a. HUD-27061, Racial and Ethnic Data Reporting Form (instructions 
for its use) found on http://www.HUDclips.org;
    b. A comparable program form (HOPWA--Annual Progress Report (APR) 
form HUD-40110-C); or
    c. 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: http://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

[[Page 27280]]

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 http://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 27281]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.022


[[Page 27282]]



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-5200-N-10.
    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 the deadline date of July 
3, 2008. See the General Section, published March 19, 2008 (73 FR 
14882), 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.

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 statutes/
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 
Consolidated Appropriations Act, 2008 (Pub. L. 110-161), which provides 
up to $24,750,000 for the conversion of eligible projects to assisted-
living or related use and for emergency repairs.

II. Award Information

    A. Available Funds. This NOFA makes available up to $24,750,000 in 
grant 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 ensure 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 $24,750,000 for the 
ALCP reflects demographic characteristics of age and incidence of 
frailty that would be expected for program participants. The FY2008 
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. FY2008 Allocation

 FY2008 Allocation for the Assisted Living Conversion Program (ALCP) of
                 Eligible Assisted Multifamily Projects
------------------------------------------------------------------------
                         Area                           Grant authority
------------------------------------------------------------------------
East.................................................      $6,213,067.00
South................................................       7,841,079.00
Central..............................................       5,810,557.00
West.................................................       4,885,297.00
                                                      ------------------
  Total..............................................      24,750,000.00
------------------------------------------------------------------------

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),

[[Page 27283]]

(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 facilities 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 completed final closing and must 
have been in occupancy for at least five years from the date of the HUD 
approved form HUD-92485 (Permission to Occupy Project Mortgage). 
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 http://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 deadline 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 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

[[Page 27284]]

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.
    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 
regarding what 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; frail 
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 that 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 
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.

[[Page 27285]]

    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 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). Show evidence that funding for service 
coordination is provided by other sources by indicating such funding on 
the form SF-424.

    Note: Service coordinator funds are not available this fiscal 
year. Therefore, if there is a need to enhance an existing service 
coordination program or add one where it does not exist, project 
owners must pay for the service coordination program or seek funding 
from other resources.

    (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 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.
    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.
    (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.hud.gov/offices/adm/hudclips/index.cgi. These documents are in HUD's Client Information and Policy 
System (HUDCLIPS)--Housing database. Enter only the number without the 
letter prefix (e.g., 99-16) in the ``Search HUDCLIPS'' to retrieve the 
program notice.
    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. Refer to 
Section III.C of the General Section for additional requirements and 
information regarding non-discrimination and other Requirements, 
including compliance with the requirements of Section 504 of the 
Rehabilitation Act of 1973, 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 section 24 
CFR 200.600, 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.
    a. Comply with the Uniform Federal Accessibility Standards (http://www.access-board.gov/ufas/ufas-html/ufas.htm); section 504 of the 
Rehabilitation Act of 1973 and HUD's implementing regulations at 24 CFR 
part 8; and any applicable provisions of the Americans with 
Disabilities Act of 1990 for all portions of the development physically 
affected by this proposal.
    b. Comply with Section 232 of the National Housing Act as 
applicable.
    c. 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 program 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.
    d. 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 General Section for further instructions 
regarding this requirement.)
    e. 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.

[[Page 27286]]

    f. 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.)
    g. 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.)
    h. 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.
    i. 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).
    j. 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).
    k. 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 may 
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: http://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 FY2008 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. Table of Contents
    Exhibit I--Form HUD-92045, Application Summary for the Assisted 
Living Conversion Program.
    Exhibit II--Evidence of private nonprofit status and legal ability 
to operate an ALF program:
    a. Articles of Incorporation.
    b. Bylaws.
    Exhibit III--Community support:
    a. Links to the community at large and to the minority and elderly 
communities in particular; and
    b. Efforts to involve elderly persons, including minority elderly 
persons and persons with disabilities in:
    (1) Development of the application;
    (2) Development of the ALF operating philosophy;
    (3) Review of the application prior to submission to HUD; and
    (4) Intent to involve eligible ALF residents in the operation of 
the project.
    Exhibit IV--Evidence of occupancy.
    Exhibit V--Evidence of need for project.
    a. Need for the ALF by current project residents:
    (1) Demographic characteristics of the elderly residents currently 
living in the project,
    (2) Services currently available to the residents.
    b. Need for ALF units by very low-income elderly and disabled 
households in the market area.
    c. Type, availability and cost of alternate care and services,
    d. How the community's Analysis of Impediments to Fair Housing 
Choice was used.
    Exhibit VI--Narrative of the physical construction aspect of the 
ALF conversion:
    a. Project development and timeline.
    b. Narrative stating the number of units, special design features, 
common areas,
    c. Energy efficiency features,
    d. Original plans and specifications,
    e. Description of how project will conform to UFAS,
    f. Architectural sketches:

[[Page 27287]]

    (1) All doors being widened;
    (2) Kitchen and bathroom reconfiguration;
    (3) Bedroom/living/dining area modification,
    (4) Reconfigured common space;
    (5) Added/reconfigured office and storage space;
    (6) Monitoring stations,
    (7) Kitchen and dining facility.
    g. Budget.
    h. Commitment letters.
    i. Relocation:
    (1) Cost of temporary relocation;
    (2) Staff to carry out relocation activities;
    (3) List of tenants to be temporarily relocated.
    (4) Statement that temporary relocation will not extend beyond one 
year.
    j. Section 3 requirements.
    Exhibit VII--Description of Retrofitting or renovations.
    Exhibit VIII--Zoning.
    Exhibit IX--Supportive Services Plan:
    a. Description of the supportive services needed;
    b. Description of how the supportive services will be provided;
    c. Description of how the operation of your ALF will work;
    d. Costs for board and supportive services;
    e. List who will pay for the board and supportive services:
    (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
    f. Support or commitment letter;
    g. State or local support letter;
    h. Experience in arranging services and/or delivering supportive 
services to frail residents.
    Exhibit X--Project's resources.
    Exhibit XI--Forms and Certifications:
    a. Form HUD-92045, Multifamily Housing Assisted Living Conversion 
Program Application Summary Sheet.
    b. Form SF-424, Application for Federal Assistance.
    c. SF-424 Supplement, Survey for Ensuring Equal Opportunity for 
Applicants.
    d. Form HUD-424-CB, Grant Applications Detailed Budget.
    e. Form HUD-424-CBW, Grant Application Detailed Budget Worksheet.
    f. Form HUD-2880, Applicant/Recipient Disclosure/Update Report.
    g. Form HUD-2991, Certification of Consistency with the 
Consolidated Plan.
    h. Form HUD-2994-A, You Are Our Client! Grant Application Survey.
    i. Standard Form-LLL, Disclosure of Lobbying Activities.
    j. Form HUD-96010, Program Outcome Logic Model.
    k. Form HUD-27300, America's Affordable Communities Initiative/
Removal of Regulatory Barriers.
    l. Certification of Consistency with RC/EZ/EC-II Strategic Plan 
(HUD-2990).
    m. HUD-96011, ``Third Party Documentation Facsimile Transmittal''.
2. Programmatic Application Requirements
    Exhibit 1. Application Summary for the Assisted Living Conversion 
Program, Form HUD-92045.
    Exhibit 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.
    Exhibit 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;
    (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.
    Exhibit 4. Evidence of your project being occupied for at least 
five years prior to the date of application to HUD.
    Exhibit 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

[[Page 27288]]

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).
    Exhibit 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 how energy efficiency features will be incorporated into the 
design, rehabilitation, 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/index.cfm?c=home.index.
    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) Indicates temporary relocation will not extend beyond one year. 
If it takes more than one year to return the tenant to his or her 
previous unit or location, the grantee must pay permanent relocation 
benefits immediately. This assistance would be in addition to any 
assistance the person has already received for temporary relocation, 
and may not be reduced by the amount of any temporary relocation 
assistance. Receiving permanent relocation benefits does not mean that 
the resident has lost the right to return to the project or unit.

    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.
    Exhibit 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.
    Exhibit 8. A letter from the local zoning official indicating 
evidence of permissive zoning. Also, show that the modifications to 
include the ALF into the project as proposed are permissible under 
applicable zoning ordinances or regulations.
    Exhibit 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 http://www.cms.hhs.gov. 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)

[[Page 27289]]

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; also 
describe 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.
    Exhibit 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 FY2008 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.
    Exhibit 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 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 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
    1. 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 of 
July 3, 2008. (Refer to Section IV. of the General Section for further 
instructions on the delivery and receipt of applications.)

[[Page 27290]]

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 (temporary relocation costs include increases in rent, 
reconnection of telephones, moving costs, and appropriate out-of-pocket 
expenses). See HUD Handbook 1378 and the URA for further guidance 
regarding relocation costs.
    3. ALCP grants funds are to be considered the total amount of funds 
that the Department will provide for the conversion of the project. 
Amendment funds will only be provided in exceptional circumstances, 
that is, to cover increases in costs that are beyond the control of the 
owner. Otherwise, any costs over and above the award amount are the 
responsibility of the owner.
    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. Pay management fees;
    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. ALCP 
applicants should also read HUD's Federal Register Notice on Early 
Registration which can be found on HUD's Web site at http://
www:hud.gov/offices/adm/grants/fundsavail.cfm.
    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 p.m. 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 July 3, 2008. 
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

[[Page 27291]]

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. Exhibits 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. Timeframe for completion of 
the project in 9 months or less (9 points); completion in 13 months (5 
points); completion in 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 (2 point), providing or 
making available on-site preventive health care (1 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. Exhibits 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 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. Exhibits 3.a. through c. and 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

[[Page 27292]]

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 taken 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 measures in the design, rehabilitation, 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. Exhibits 6.h. and 
i., B.7., and B.9.e. through g. of this NOFA.
    a. (4 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 = 4 points; 80-89.9 
percent with no more than 20 percent for meals and services = 3 points; 
65-79.9 percent with no more than 35 percent for meals and services = 2 
points; 40-64.9 percent with no more than 60 percent for meals and 
services = 1 point; less than 40 percent commitment of the total budget 
with no more than 60 percent support for meals and services = 0 points.
    b. (2 points) The extent to which your past performance evidence 
commitments for funding for meals and supportive services.
    c. (2 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 = 2 points, 20-49.9 percent = 1 
points, and under 20 percent = 0 points).
    d. (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. Exhibits 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. HUD 
will evaluate the Logic Model in accordance with the matrix provided in 
Attachment 1 to the General Section.
    a. (4 points). Describe the extent to which your conversion time 
frame reflects the length of time it will take to convert the units 
describing how residents will benefit from the conversion of the units; 
and how the converted units will result in ALF residents being able to 
age in place;
    b. (2 points). Describe the extent to which your assisted living 
facility will implement practical solutions that will result in 
assisting residents in achieving independent living and improved living 
environment.
    c. (2 points). Demonstrate how the project will be viable absent 
HUD funds while relying more on state, local, and private funds.
    d. (2 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

[[Page 27293]]

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:

List of Curable Exhibits

     *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 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 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

[[Page 27294]]

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 FY2008, 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 Aretha Williams, Director, Grant Policy and 
Management Division, Room 6138 at (202) 708-3000, extension 2480 for 
questions regarding the ALF grant award process. This is not a toll-
free number. Ms.Williams can be reached by e-mail 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 2,373 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.

[[Page 27295]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.023


[[Page 27296]]



Section 202 Supportive Housing for the Elderly 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-5200-N-25; 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 July 10, 
2008. 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, published March 19, 2008 (73 FR 14882), for 
information regarding 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 $431.7 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 Consolidate Appropriations Act, 2008 (Pub. L. 110-161; approved 
December 26, 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 FY2008, approximately $431.7 million is 
available for capital advances for the Section 202 Supportive Housing 
for the Elderly Program. The Consolidate Appropriations Act, 2008 (Pub. 
L. 110-161; approved December 26, 2007) provides approximately $735 
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 $1.4 
million to be transferred to the Working Capital Fund. Additionally, of 
the amount appropriated, approximately $60,000,000 is provided for 
Service Coordinators and the continuation of Congregate Services 
grants, up to $24,750,000 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 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 Consolidate 
Appropriations Act, 2008 (Pub. L. 110-161; approved December 26, 2007), 
the Secretary is waiving the following statutory and regulatory 
provision: The term of the project rental assistance

[[Page 27297]]

contract is reduced from 20 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 FY2008 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). To view the exact income limits for a particular area of the 
country you may access the FY2008 Income Limit Documentation System at: 
http://www.huduser.org/datasets/il/il08/index.html.
    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:

[[Page 27298]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.024


[[Page 27299]]


[GRAPHIC] [TIFF OMITTED] TN12MY08.025


[[Page 27300]]


[GRAPHIC] [TIFF OMITTED] TN12MY08.026

BILLING CODE 4210-01-C
    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

[[Page 27301]]

National Affordable Housing Act are not eligible to use capital advance 
or PRAC funds for supportive services or the cost of a service 
coordinator.
    2. Threshold Requirements for Funding Consideration. In addition to 
the threshold criteria outlined in the General Section, 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. Failure to 
submit paper applications to the appropriate local HUD office by that 
office's close of business on the application deadline date will deem 
the application late and therefore ineligible for funding 
consideration;
    (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 FY2008 funding competition, the Phase II must be received by 
the local HUD office on or before August 11, 2008.
    (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 the FY2008 funding competition, this information must be 
received by the local HUD office on or before August 11, 2008. 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

[[Page 27302]]

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) 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 and in this NOFA, you must comply with all 
statutory and regulatory requirements that govern the Section 202 
program.
    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 visitability 
and universal 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 Sponsor's Conflict of Interest Resolution, 
Form HUD 92041, 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: http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/energyenviron/environment/compliance/forms/4128.pdf.

[[Page 27303]]

    g. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects. Refer to the 
General Section.
    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. To receive up to two (2) 
points, you must submit, under Exhibit 3(j), 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.
    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 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 27304]]

     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), Bylaws, 
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) Bylaws.
    (c) IRS Tax Exemption Ruling.
    (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/Supportive Services experience.
    (f) Involvement of target population.
    (g) Practical solutions.
    (h) Project Development Timeline.
    (i) Form HUD-27300, America's Affordable Communities Initiative/
Removal of Regulatory Barriers (HUD Communities Initiative Form on 
Grants.gov), with supporting documentation.
    (j) 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) FY08 Sections 202/811 applications to other Offices.
    (b) Information on FY07 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;
    (e) Issuance of general information notice and advisory services 
information.
    (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 Commitment 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. Please refer to the General Section for a detailed 
discussion.
    (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;

[[Page 27305]]

    (b) Bylaws;
    (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 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. 
Completion of Exhibit 8(i), Program Outcome Logic Model, will respond 
to this exhibit. The Logic Model must list the major development stages 
for the project with associated measures that must be met in order to 
get the project to initial closing and start of construction within the 
18-month fund reservation period, full completion of the project, and 
final closing
    (i) 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).
    (j) 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 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

[[Page 27306]]

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 how the project will promote energy efficiency, 
including any plans to incorporate energy efficiency measures in the 
design, construction, and operation of the project and the use of 
Energy Star labeled products and appliances. Refer to the General 
Section for additional guidance.
    (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, as proposed in your 
application, in the event you are later unable to obtain the necessary 
outside funding. NOTES: (1) 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. (2) 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. 
The same requirements for site control are applicable to sites to be 
acquired from public bodies as are applicable to sites to be acquired 
from other entities. 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 but 
only if the commitment does not contain restrictions or qualifications 
that would be unacceptable in the case of other entities. Where a 
public housing site is to be acquired from a public housing agency 
(PHA), the PHA must have applied to HUD for permission to dispose of 
the site or received approval of the disposition from HUD.
    (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 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.


[[Page 27307]]


    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: http://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 August 11, 2008. 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 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.


[[Page 27308]]


    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 FY2008 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 FY2007 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 reasons for their moves.
    (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. If you are located in a state that does not 
have a SPOC, please indicate such.

    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-II's 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). The form HUD-96011 must be used as the 
coversheet for any facsimile.
    If you are not faxing any documents, you must still complete the 
facsimile transmittal form. In the section of the form titled ``Name of 
Document Transmitting,'' enter the words ``Nothing Faxed with this 
Application.''

[[Page 27309]]

Complete the remaining highlighted fields and enter the number ``0'' in 
the section of the form titled ``How many pages (including cover) are 
being faxed?'' You must move the form to the right side of the 
Grants.gov application to open and complete the form. Forms on the 
right side of the application get uploaded as part of your application 
submission with the forms getting embedded ID numbers. The embedded ID 
numbers allow HUD to match your faxes to your application submission. 
Please refer to the General Section for a detailed discussion.

    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 July 10, 2008, 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. Wavier 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. If you are located in a state that does not have a SPOC, 
please indicate that on Exhibit 8(a) of your 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. Residential units without kitchens and/or bathrooms;
    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:
    $48,328 per family unit without a bedroom;
    $55,722 per family unit with one bedroom;
    $67,202 per family unit with two bedrooms;
    For elevator structures:
    $50,859 per family unit without a bedroom;
    $58,300 per family unit with one bedroom;
    $70,893 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

[[Page 27310]]

project design and cost standards of Sec.  891.120 and Sec.  891.210.
    b. Increased development cost limits.
    (1) HUD may increase the development cost limits set forth above, 
by up to 140 percent in any geographic area where the cost levels 
require, and may increase the development cost limits by up to 160 
percent on a project-by-project basis. This increase may include 
covering additional costs to make dwelling units accessible through 
rehabilitation.

    Note: In applying the applicable high cost percentage, the local 
HUD Office may use a percentage that is higher or lower than that 
which is assigned to the local HUD Office if it is needed to provide 
a capital advance amount that is comparable to what it typically 
costs to develop a Section 202 project in that area.

    (2) If HUD finds that high construction costs in Alaska, Guam, the 
Virgin Islands, or Hawaii make it infeasible to construct dwellings, 
without sacrificing 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 Consolidated Appropriations 
Act, 2008 requires HUD to obligate all Section 202 funds appropriated 
for FY2008 by September 30, 2011. Under 31 U.S.C. section 1531, no 
funds can be disbursed from the account after September 30, 2016. The 
obligation of Section 202 funds occurs for both capital advances and 
project rental assistance upon execution of the agreement letter by the 
Assistant Secretary of Housing. If all funds are not disbursed by HUD 
and expended by the project Owner by September 30, 2016, 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 and expenditure of PRAC funds no 
later than September 30, 2016. Furthermore, all unexpended balances, 
including any remaining balance on PRAC funds, will be cancelled as of 
October 1, 2016. Amounts needed to maintain PRAC payments for any 
remaining term on the affected contracts beyond that date will have to 
be funded from current appropriations, if available.
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 wavier 
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 as well as Section IV of this 
NOFA, scanning documents to create electronic files increases the size 
of the file. If your computer has the capacity to upload scanned 
documents, submit your documents with the application by using the 
Attachment Form in the Mandatory or Optional Forms section of the 
application. Such documents must be saved according to the instructions 
provided in the General Section and attached using the ``Attachment'' 
form included in the application package downloaded from Grants.gov. 
Electronic files must be labeled and numbered according to the 
appropriate Exhibit in order for HUD reviewers to 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

[[Page 27311]]

II, Exhibit 2(a) of the Section 202 application.
    Third party letters, certifications requiring signatures, and other 
information required to be submitted with the electronic application 
may be scanned or transmitted via fax using Form HUD-96011, Facsimile 
Transmittal found in the downloaded application package. Applicants 
should only use the fax method when documents cannot be attached to the 
electronic application package or when the size of the submission is 
too large to upload from the applicant's computer. Please note that the 
facsimile transmittal form, found in the downloaded application, 
contains an embedded ID number that is unique to your application 
submission. Make a copy of this facsimile transmittal cover page and 
provide that copy to the third party for use with the fax transmission. 
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 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 Section IV.B.3. of the General Section for further 
instructions.

    If you are not faxing any documents: Even though you are not faxing 
any documents, you must still complete the facsimile transmittal form. 
In the section of the form titled ``Name of Document Transmitting,'' 
enter the words ``Nothing Faxed with this Application.'' Complete the 
remaining highlighted fields and enter the number ``0'' in the section 
of the form titled ``How many pages (including cover) are being 
faxed?'' You must move the form to the right side of the Gratns.gov 
application. Forms on the right side of the application get uploaded as 
part of your application submission with the forms getting embedded ID 
numbers. The embedded ID numbers allow HUD to match your faxes to your 
application submission.

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 FY2008. 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, 
construction, rehabilitation, 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 (25 Points)
    This factor addresses the extent to which you have the 
organizational resources to successfully implement the proposed 
activities in a timely manner. Submit information responding to this 
factor in accordance with Application Submission Requirements in 
Exhibits 3(a), 3(b), 3(e), 5 and 6 of Section IV.B. of this 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 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,

[[Page 27312]]

where they are circulated and how they are circulated. Descriptions of 
other advertising/outreach efforts to the minority (including limited 
English proficient communities) and elderly communities and the dates 
and places of such advertising/outreach efforts should also be 
included.
    c. (-3 to -5 points). HUD will deduct (except if the delay was 
beyond your control) 3 points if a fund reservation you received under 
either the Section 202 Program of Supportive Housing for the Elderly or 
the Section 811 Program of Supportive Housing for Persons with 
Disabilities in FY 2003 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.

    Note: Percentage calculations will be rounded to the nearest 
whole number (e.g. 5.5 percent will be rounded to 6 percent and 5.4 
percent will be rounded to 5 percent).

    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 2003 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. 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 greater than 15 percent; OR (0 points). The area of the 
proposed project has no unmet needs for housing assistance.
    b. (3 points). The extent that a connection has been established 
between the project and the community's Consolidated Plan, Analysis of 
Impediments to Fair Housing Choice (AI) or other planning document that 
analyzes fair housing issues and is prepared by a local planning or 
similar organization.
3. Rating Factor 3: Soundness of Approach (45 Points)
    This factor addresses the quality and effectiveness of your 
proposal and the extent to which you involved elderly persons, 
including elderly minority persons, in the development of the 
application and will involve them in the development and operation of 
the project, whether the jurisdiction in which your project will be 
located has undertaken successful efforts to remove regulatory barriers 
to affordable housing, whether you will promote energy efficiency in 
the design, construction, rehabilitation, 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(e), 3(f), 3(g), 3(j), 
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. (18 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. (8 points). The suitability of the site from the standpoint of 
promoting a greater choice of housing opportunities for minority 
elderly persons/families

[[Page 27313]]

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 
``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 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 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 in 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.
    c. (2 points). The extent to which your proposed design will meet 
the special physical needs of elderly persons.
    d. (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.
    e. (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.
    f. (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.
    g. (2 points). The extent to which your project will implement 
practical solutions that will assist residents in achieving independent 
living, educational opportunities, and improved living environments. 
Practical solutions may include but are not limited to activities that 
will improve access to educational, employment, and health resources.
    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, construction, rehabilitation, and operation 
of the proposed housing. Refer to Section III.C.4. of this NOFA. (Note: 
Although this is not a requirement, to receive one (1) point, your 
application must demonstrate that you intend to incorporate energy 
efficiency measures in the design, construction, rehabilitation, and 
operation of your project and use Energy Star-labeled products.)
    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(j) 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.

    Note: Percentage calculations will be rounded to the nearest 
whole number (e.g. 5.5 percent will be rounded to 6 percent and 5.4 
percent will be rounded to 5 percent).

    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, finance, 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.

[[Page 27314]]

    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 develop clear outputs and 
outcomes that measure your performance during the development of your 
project. Information provided in Exhibit 8(i), Project Outcome Logic 
Model (HUD-96010), as well as the Assessment Matrix will be used when 
reviewing and scoring this factor. This rating factor also addresses 
the extent to which your past performance demonstrates your ability to 
develop the project within a timely manner. Submit information 
responding to this factor in accordance with Application Submission 
Requirements in Exhibits 3(h), 6(b) and 8(i) of Section IV.B.
    a. (10 points). The extent to which your Logic Model demonstrates 
your full understanding of the development process and will, therefore, 
result in the timely development of your project.
    The following subfactors reflect the criteria for review as 
identified in the logic model matrix found in the General Section:
    (1) (3 points). The extent to which the services/activities 
identified in your Logic Model are consistent with the information 
provided in your application as well as the extent to which you 
demonstrate your full understanding of the activities that must be 
accomplished in order to develop your project within the required 
timeframe.
    (2) (3 points). The extent to which the outcomes identified in your 
Logic Model are consistent with the services/activities that must be 
accomplished in order to get the project to initial closing within the 
18-month fund reservation period, completion of the project, and to 
final closing.
    (3) (3 points). The extent to which your projected measures show a 
realistic understanding of the development process resulting in a 
timely initial closing, start of construction, and final closing.
    (4) (1 point). The extent to which the evaluation tools selected in 
your Logic Model are consistent with the project described.
    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.
    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).......................................  Bylaws*.
(c).......................................  IRS tax exemption ruling*.
4(c)(iii).................................  Description of mixed-
                                             financing plans for
                                             additional units, if
                                             applicable.
4(d)(i)(A)................................  Deed or long-term leasehold.
4(d(i)(B).................................  Contract of sale.
4d(i)(C)..................................  Option to purchase or for a
                                             long-term leasehold.
4d(i)(E)..................................  Evidence that the public
                                             body possess clear title &
                                             binding agreement.
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.
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*.
(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

[[Page 27315]]

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 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 nonmetropolitan 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

[[Page 27316]]

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 needed 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 proposed measures against the proposed 
activities/output and proposed outcome(s) for the appropriate year. The 
proposed measures should be entered in the ``Pre'' column of the form. 
The Logic Model has been designed to clearly identify the stages of the 
development process and it must present a realistic annual projection 
of outputs and outcomes that demonstrates your full understanding of 
the development process. Using the ``Year One'' through ``Year Three'' 
tabs on the Logic Model, you must demonstrate your ability to ensure 
that the proposed measures will result in the timely development of 
your project. To provide for greater consistency in reporting, you must 
include all activities and outcomes excepted per year of the period of 
performance. Note: The reported outcome of an identified activity/
output may be realized in a different year.
    The Logic Model will capture information in two stages. Stage one 
will demonstrate your ability to develop the project within the 
required timeframe. This stage will capture data that relates to 
initial closing, construction, and final closing. Stage one will 
require the submission of a completed form HUD-96010, Logic Model on an 
annual basis, beginning with the date of the Agreement Letter and 
concluding with the date of Final Closing. At the time of the Project 
Planning Conference, HUD and the applicant will finalize the services 
and activities in association with this Logic Model and the development 
timeline. On an annual basis, applicants will report against the 
finalized logic model by documenting the achieved measures in the 
``Post'' column. (Note: Applicants are not required to complete the YTD 
(year-to-date) column.) The final reporting requirement for the Logic 
Model will require that the applicant use the ``Total'' worksheet to 
fully document the activities and outcomes as well as the associated 
measures that have occurred during the period of activities. In 
addition, a response to each of the program management evaluation 
questions is required at time of final report.
    The second stage will require the Owner to submit a completed form 
HUD-96010, Logic Model on an annual basis, beginning one year after the 
date of the final logic model submission that was required in stage one 
and concluding at the conclusion of the mortgage. Stage two will 
require the Owner to document the services/activities that are made 
available to tenants and the expected outcomes of such services.
    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 application package from http://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

[[Page 27317]]

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 27318]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.027


[[Page 27319]]



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-5200-N-25 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 is July 16, 2008. 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, published March 19, 2008 (73 FR 14882) 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 $99.3 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 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. 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 separate Notice.

II. Award Information

    A. Available Funds. For FY2008, $99.3 million is available for 
capital advances for the Section 811 Program of Supportive Housing for 
Persons with Disabilities. The Consolidated Appropriations Act, 2008 
(Pub. L. 110-161), approved December 26, 2007, provides $237 million 
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 assistance and renewal of expiring

[[Page 27320]]

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 
$600,000 to be transferred to the Working Capital Fund. Approximately 
$74,745,000 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.
    In accordance with the waiver authority provided in the 
Consolidated Appropriations Act, 2008 (Pub. L. 110-161), approved 
December 26, 2007, the Secretary is waiving the following statutory and 
regulatory provision: The term of the project rental assistance 
contract is reduced from 20 to 3 years. HUD anticipates that at the end 
of the contract terms, renewals will be approved subject to annual 
appropriations. 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 FY2008 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 describe 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:

[[Page 27321]]

[GRAPHIC] [TIFF OMITTED] TN12MY08.028


[[Page 27322]]


[GRAPHIC] [TIFF OMITTED] TN12MY08.029


[[Page 27323]]


[GRAPHIC] [TIFF OMITTED] TN12MY08.030

BILLING CODE 4210-01-P
    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. A proposal to develop a mixed-use 
project or the development of a mixed-use project in which the Section 
811 units are mortgaged separately from the other uses of the structure 
is not considered a mixed-finance project and is not allowed. 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 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 submitted to the appropriate 
local HUD office and received no later than that office's close of 
business on the application deadline date. Failure to submit paper 
applications to the appropriate local HUD office by that office's close 
of business on the application deadline date will deem the

[[Page 27324]]

application late and therefore ineligible for funding consideration.
    (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 a 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 Section 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 Section 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 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 the site being rejected and 
placed in Category B for selection purposes.

    (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 August 18, 2008.

[[Page 27325]]

    (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 August 18, 2008.

    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 Certification for Provision 
of Supportive Services, Form HUD 92043 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 Certification for 
Provision of Supportive Services:
    (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 the agency fails to complete item 3 or 4 of the Certification for 
Provision of Supportive Services or the certification indicates (or 
where 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 and in this NOFA, you must comply with all 
statutory, regulatory, and handbook requirements that govern the 
Section 811 program.
    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. Units may be comprised of efficiency, one, two or more 
bedrooms with three or more bedroom units restricted to occupancy by 
families comprised of at least one person 18 years or older with a 
disability. 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 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.
    (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. The total number of condominium units on one 
or adjacent sites cannot exceed the

[[Page 27326]]

greater of 14 units or 10 percent of the total units at that site not 
to exceed 24 units. Units may be comprised of efficiency, one, two or 
more bedrooms with three or more bedroom units restricted to occupancy 
by families comprised of at least one person 18 years or older with a 
disability. 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 Sponsor's Conflict of Interest Resolution, Form HUD 
92041 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: http://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. To receive up to two (2) points 
you must submit, under Exhibit 3(l), 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.
    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

[[Page 27327]]

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), Bylaws, 
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, 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) Bylaws.
    (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.

[[Page 27328]]

    (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) Coordination with other organizations.
    (j) Consultation with Continuum of Care organizations.
    (k) Form HUD-27300, America's Affordable Communities Initiative/
Questionnaire for HUD's Initiative on Removal of Regulatory Barriers 
(HUD Communities Initiative Form on Grants.gov), with supporting 
documentation.
    (l) 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) FY08 Sections 202/811 applications to other Offices.
    (b) Information on FY07 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.
    (e) Issuance of general information notice and advisory services 
information.
    (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 Commitment 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. Please refer to the General Section for a detailed 
discussion.
    (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
    (1) 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 either http://www.grants.gov/applicants/apply_for_grants.jsp or http://www.hudclips.org/sub_nonhud/html/forms.htm
    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) Bylaws;
    (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 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 has been any 
modifications or additions to the subject documents, indicate such, and 
submit the new material.]

[[Page 27329]]

    (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. 
Completion of Exhibit 8(j), Program Outcome Logic Model, will respond 
to this exhibit. The Logic Model must list the major development stages 
for the project with associated measures that must be met in order to 
get the project to initial closing and start of construction within the 
18-month fund reservation period, full completion of the project, and 
final closing.
    (i) 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.
    (j) 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.
    (k) 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).
    (l) 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/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

[[Page 27330]]

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 how the project will promote energy efficiency, 
including any plans to incorporate energy efficiency measures in the 
design, construction, and operation of the project and the use of 
Energy Star labeled products and appliances. Refer to the General 
Section for additional guidance.
    (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), provide 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 in the event you are later unable to obtain the necessary 
outside funding for the additional units.

    Note: (1) 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. (2) A mixed-finance project does not include the 
development of a mixed-use project or the development of a mixed-use 
project in which the Section 811 units are mortgaged separately from 
the other uses of the structure. (3) 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 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 
fund reservation award. The same requirements for site control are 
applicable to sites to be acquired from public bodies as are applicable 
to sites to be acquired from other entities. 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 is sufficient evidence of site control but 
only if the commitment does not contain restrictions or qualifications 
that would be unacceptable in the case of other entities. Where a 
public housing site is to be acquired from a public housing agency 
(PHA), the PHA needs to have applied to HUD for permission to dispose 
the site or received approval of the disposition from HUD.
    (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

[[Page 27331]]

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 http://factfinder.census.gov/home/saff/main.html?_lang=en.

    (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 the site being rejected and the application placed in 
Category B for selection purposes.

    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 in the local HUD office by August 18, 2008. 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

[[Page 27332]]

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 [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 Certification for 
Provision of Supportive Services (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 (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.

[[Page 27333]]

    (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 FY2008 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 FY2007 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 and the reasons for their moves.

    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 
Section IV.D. of this NOFA for additional information on compliance 
with Executive Order 12372. If you are located in a state that does not 
have a SPOC, please indicate such.

    Note: For Section 811 program purposes, for item 12 of the SF-
424, Areas Affected by Project, provide the name 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.
    (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

[[Page 27334]]

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, Facsimile Transmittal (``Facsimile Transmittal 
Form'' on Grants.gov). The form HUD 96011 must be used as the 
coversheet for any facsimile.
    If you are not faxing any documents, you must still complete the 
facsimile transmittal form. In the section of the form titled ``Name of 
Document Transmitting,'' enter the words ``Nothing Faxed with this 
Application.'' Complete the remaining highlighted fields and enter the 
number ``0'' in the section of the form titled ``How many pages 
(including cover) are being faxed?'' You must move the form to the 
right side of the Grants.gov application to open and complete the form. 
Forms on the right side of the application get uploaded as part of your 
application submission with the forms getting embedded ID numbers. The 
embedded ID numbers allows HUD to match your faxes to your application 
submission. Please refer to the General Section for a detailed 
discussion.

    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 July 16, 2008, 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 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 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;
    e. Intermediate care facilities;
    f. Assisted living facilities;
    g. Community centers, with or without special components for use by 
persons with disabilities;
    h. Sheltered workshops and centers for persons with disabilities;
    i. Headquarters for organizations for persons with disabilities; 
and
    k. Refinancing of Sponsor-owned facilities without rehabilitation.

Note: You may propose to rehabilitate an existing currently-owned or 
leased structure (if the structure already serves persons with 
disabilities, it cannot have operated as housing for persons with 
disabilities for longer than one year prior to the application deadline 
date); however, the refinancing of any federally funded or assisted 
project or project insured or guaranteed by a federal agency is not 
permissible under this Section 811 NOFA. HUD does not consider it 
appropriate to utilize scarce program resources to refinance projects 
that have already received some form of assistance under a federal 
program or that have been operating as housing for persons with 
disabilities for longer than one year prior to the application deadline 
date. (For example, Section 202, Section 202/8 or Section 202/PAC 
direct loan projects cannot be refinanced with capital advances and 
project rental assistance.)
    2. Application Limits (Units/Projects). A Sponsor or Co-Sponsor may 
not apply

[[Page 27335]]

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:
    $48,328 per family unit without a bedroom.
    $55,722 per family unit with one bedroom.
    $67,202 per family unit with two bedrooms.
    $86,020 per family unit with three bedrooms.
    $95,830 per family unit with four bedrooms.
    For elevator structures:
    $50,859 per family unit without a bedroom.
    $58,300 per family unit with one bedroom.
    $70,893 per family unit with two bedrooms.
    $91,712 per family unit with three bedrooms.
    $100,672 per family unit with four bedrooms.
    (2) For group homes only (the development cost limits are capped by 
type of occupancy and number of person with disabilities):

                           Type of Disability
------------------------------------------------------------------------
                                                               Chronic
                  Residents                     Physical/       mental
                                              developmental    illness
------------------------------------------------------------------------
2...........................................      $192,754      $186,066
3...........................................       207,279       200,089
4...........................................       221,806       212,546
5...........................................       236,331       225,002
6...........................................       250,842       237,459
------------------------------------------------------------------------

    (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 sacrificing 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 by more than 360 percent.
    (3) For group homes only, local HUD offices may approve increases 
in the development cost limits in Section IV.E.3.a.(2), above, in areas 
where you can provide sufficient documentation that high land costs 
limit or prohibit project feasibility. An example of acceptable 
documentation is evidence of at least three land sales that have 
actually taken place (listed prices for land are not acceptable) within 
the last two years in the area where your project is to be built. The 
average cost of the documented sales must exceed ten percent of the 
development cost limit for your project in order for an increase to be 
considered.
    4. Commercial Facilities. A commercial facility for the benefit of 
the residents may be located and operated in the Section 811 project. 
However, the commercial facility cannot be funded with the use of 
Section 811 capital advance or PRAC funds. The maximum amount of space 
permitted for a commercial facility cannot exceed 10 percent of the 
total project cost. An exception to this 10 percent limitation is if 
the project involves acquisition or rehabilitation and the additional 
space was incorporated in the existing structure at the time the 
proposal was submitted to HUD. Commercial facilities are considered 
public accommodations under Title III of the Americans with 
Disabilities Act of 1990 (ADA), and thus must comply with all the 
accessibility requirements of the ADA.
    5. Expiration of Section 811 Funds. The Consolidated Appropriations 
Act, 2008 (Pub. L. 110-161), requires HUD to obligate all Section 811 
funds appropriated for FY2008 by September 30, 2011. Under 31 U.S.C. 
section 1551, no funds can be disbursed from this account after 
September 30, 2016. Under Section 811, obligation of funds occurs for 
both capital advances and project rental assistance upon execution of 
the Agreement Letter by the Assistant Secretary of Housing. If all 
funds are not disbursed by HUD and expended by the project Owner by 
September 30, 2016, 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

[[Page 27336]]

and expenditure of PRAC funds no later than September 30, 2016. 
Furthermore, all unexpended balances, including any remaining balance 
on PRAC funds, will be cancelled as of October 1, 2016. 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 if available.
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 SF-424; 
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; 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 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 as well as Section IV of this 
NOFA, scanning documents to create electronic files increases the size 
of the file. If your computer has the capacity to upload scanned 
documents, submit your documents with the application by using the 
Attachment Form in the Mandatory or Optional Forms section of the 
application. Such documents must be saved according to the instructions 
provided in the General Section and attached using the ``Attachment'' 
form included in the application package downloaded from Grants.gov. 
Electronic files must be labeled and numbered according to the 
appropriate Exhibit in order for HUD reviewers to 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.
    Third-party letters, certifications requiring signatures, and other 
information required to be submitted with the electronic application 
may be scanned or transmitted via fax using Form HUD-96011, Facsimile 
Transmittal found in the downloaded application package. Applicants 
should only use the fax method when documents cannot be attached to the 
electronic application package or when the size of the submission is 
too large to upload from the applicant's computer. Please note that the 
facsimile transmittal form, found in the downloaded application, 
contains an embedded ID number that is unique to your application 
submission. Make a copy of this facsimile transmittal cover page and 
provide that copy to the third party for use with the fax transmission. 
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 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 Section IV.B.3. of the General Section 
for further instructions. If you are not faxing any documents: You must 
still complete the facsimile transmittal form. In the section of the 
form titled ``Name of Document Transmitting,'' enter the words 
``Nothing Faxed with this Application.'' Complete the remaining 
highlighted fields and enter the number ``0'' in the section of the 
form titled ``How many pages (including cover) are being faxed?'' You 
must move the form to the right side of the Grants.gov application. 
Forms on the right side of the application get uploaded as part of your 
application submission with the forms getting embedded ID numbers. The 
embedded ID numbers allow HUD to match your faxes to your application 
submission.

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 FY2008. 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

[[Page 27337]]

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, construction, rehabilitation, 
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 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 communities 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 FY2003 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. 
Note: Percentage calculations will be rounded to the nearest whole 
number (e.g., 5.5 percent will be rounded to 6 percent and 5.4 percent 
will be rounded to 5 percent).
    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 2003 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. 
Note: Percentage calculations will be rounded to the nearest whole 
number (e.g., 5.5 percent will be rounded to 6 percent and 5.4 percent 
will be rounded to 5 percent).
    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

[[Page 27338]]

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 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, construction, rehabilitation 
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(i), 3(j), 3(k), 3(l), 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

[[Page 27339]]

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 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, construction, rehabilitation, and operation of the 
proposed housing. (Note: Although this is not a requirement, to receive 
one (1) point, your application must demonstrate that you intend to 
incorporate energy efficiency measures in the design, construction, 
rehabilitation, and operation of your project and use Energy Star-
labeled products.).
    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(l) 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. Note: Percentage calculations will be rounded to the nearest 
whole number (e.g. 5.5 percent will be rounded to 6 percent and 5.4 
percent will be rounded to 5 percent).
    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. (10 points) The extent to which your Logic Model demonstrates 
your full understanding of the development process and will, therefore, 
result in the timely development of your project. The following 
subfactors reflect the criteria for review as identified in the logic 
model matrix found in the General Section:
    (1) (3 points). The extent to which the services/activities 
identified in your

[[Page 27340]]

Logic Model are consistent with the information provided in your 
application as well as the extent to which you demonstrate your full 
understanding of the activities that must be accomplished in order to 
develop your project within the required timeframe.
    (2) (3 points). The extent to which the outcomes identified in your 
Logic Model are consistent with the services/activities that must be 
accomplished in order to get the project to initial closing within the 
18-month fund reservation period, completion of the project, and to 
final closing.
    (3) (3 points). The extent to which your projected measures show a 
realistic understanding of the development process resulting in a 
timely initial closing, start of construction, and final closing.
    (4) (1 point). The extent to which the evaluation tools selected in 
your Logic Model are consistent with the project described.
    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 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)..............................  Bylaws.*
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:
    (A)...........................  Deed or long-term leasehold;
    (B)...........................  Contract of sale;
    (C)...........................  Option to purchase or for long-term
                                     lease; or
    (E)...........................  Evidence that the public body
                                     possesses clear title & binding
                                     agreement.
4d(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(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

[[Page 27341]]

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 
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

[[Page 27342]]

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 proposed measures against the proposed 
activities/output and proposed outcome(s) for the appropriate year. The 
proposed measures should be entered in the ``Pre'' column of the form. 
The Logic Model has been designed to clearly identify the stages of the 
development process and it must present a realistic annual projection 
of outputs and outcomes that demonstrates your full understanding of 
the development process. Using the ``Year One'' through ``Year Three'' 
tabs on the logic model, you must demonstrate your ability to ensure 
that the proposed measures will result in the timely development of 
your project. To provide for greater consistency in reporting, you must 
include all activities and outcomes excepted per year of the period of 
performance. Note: The reported outcome of an identified activity/
output may be realized in a different year.
    The Logic Model will capture information in two stages. Stage one 
will demonstrate your ability to develop the project within the 
required timeframe. This stage will capture data that relates to 
initial closing, construction, and final closing. Stage one will 
require the submission of a completed form HUD-96010, Logic Model on an 
annual basis, beginning with the date of the Agreement Letter and 
concluding with the date of Final Closing. At the time of the Project 
Planning Conference, HUD and the applicant will finalize the services 
and activities in association with this Logic Model and the development 
timeline. On an annual basis, applicants will report against the 
finalized logic model by documenting the achieved measures in the 
``Post'' column. (Note: Applicants are not required to complete the YTD 
(year-to-date) column.) The final reporting requirement for the Logic 
Model will require that the applicant use the ``Total'' worksheet to 
fully document the activities and outcomes as well as the associated 
measures that have occurred during the period of activities. In 
addition, a response to each of the program management evaluation 
questions is required at time of final report.
    The second stage will require the Owner to submit a completed form 
HUD-96010, Logic Model on an annual basis, beginning one year after the 
date of the final logic model submission that was required in stage one 
and concluding at the conclusion of the mortgage. Stage two will 
require the Owner to document the services/activities that are made 
available to tenants and the expected outcomes of such services.
    2. The Regulatory Agreement (Form HUD-92466-CA) requires the Owner 
of the Section 811 project to submit an annual financial statement for 
the project. This financial statement must be audited by an Independent 
Public Accountant who is a Certified Public Accountant or other person 
accepted by HUD and filed electronically with HUD's Real Estate 
Assessment Center (REAC) through the Financial Assessment Subsystem for 
Multifamily Housing (MF-FASS). The submission of annual financial 
statements is required throughout the 40-year term of the mortgage.

VII. Agency Contact(s)

    Technical Assistance. For technical assistance in downloading an 
application package from http://www.grants.gov/Apply, contact the 
Grants.gov help desk at 800-518-Grants or by sending an e-mail to 
[email protected].
    Programmatic Information. For programmatic information, you may 
contact the appropriate local HUD office, or Marvis Hayward at HUD 
Headquarters at (202) 402-2255 (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

[[Page 27343]]

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.

 [FR Doc. E8-8863 Filed 5-9-08; 8:45 am]
BILLING CODE 4210-67-P