[Federal Register Volume 73, Number 163 (Thursday, August 21, 2008)]
[Notices]
[Pages 49469-49472]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-19349]


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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-5237-N-01]


Notice of HUD's Policy on Quality Assurance Review (QAR) of 
Electronic Application Submission Difficulties

AGENCY: Office of the Secretary, HUD.

ACTION: Notice for HUD's procedure on quality control review of 
electronic application submission difficulties.

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SUMMARY: Since 2005, HUD has required that applicants for HUD's 
discretionary funding submit their applications electronically through 
Grants.gov, unless the applicant previously received a waiver of this 
requirement. Since July 2, 2008, however, applicants for HUD assistance 
have indicated that they have encountered technical difficulties in 
their electronic application submissions. Today's notice announces that 
HUD is taking action to respond to these concerns and is conducting a 
Quality Assurance Review (QAR) to identify applicants that correctly 
followed all electronic application submission instructions, including 
registration for electronic submission, but were unable to submit an 
application because of technical problems related to the use of the 
Adobe Acrobat forms and Grants.gov error messages.

DATES: Applicants that had difficulties submitting an electronic 
application for assistance in response to a notice of funding 
availability (NOFA), for which the deadline date has passed, may submit 
a request for QAR by September 5, 2008. Applicants having difficulties 
submitting an electronic application for assistance, in response to a 
NOFA for which the deadline date has not passed, may submit a request 
for QAR, beginning at 12:01 a.m. eastern time on the day following the 
deadline date, and must do so by 12:01 a.m. 15 days later. Requests for 
QAR must be submitted by e-mail to the appropriate program contact 
listed in the appendix to this notice to facilitate timely receipt.

FOR FURTHER INFORMATION CONTACT: For further information about each 
funded program, or to submit your QAR appeal, please contact the 
individual listed in the appendix to this notice. Appeals must be 
submitted by e-mail. When submitting the appeal, please place in the 
subject line the program name, applicant name, and any Grants.gov Call-
Center ticket number(s).

SUPPLEMENTARY INFORMATION: Since 2005, HUD has required that applicants 
for HUD's discretionary funding submit their applications 
electronically through Grants.gov, unless the applicant previously 
received a waiver of the requirement. Since January 2008, HUD has 
published a number of documents that provided instructions to meet the 
requirement, including HUD's Early Registration Notice, published on 
March 10, 2008 (73 FR 12751); HUD's Notice of FY2008 Funding 
Availability, Policy Requirements and General Section to HUD's FY2008 
Notices of Funding Availability (NOFAs) for HUD's Discretionary 
Programs (General Section), published on March 19, 2008 (73 FR 14882); 
and the Introduction to the SuperNOFA published on May 12, 2008 (73 FR 
27032) (collectively referred to as ``electronic submission 
instructions''). Since July 2, 2008, however, applicants for HUD 
assistance have indicated that they have encountered technical 
difficulties in their electronic application

[[Page 49470]]

submissions. Today's notice announces that HUD is taking action to 
respond to these concerns and is conducting a QAR to identify 
applicants that correctly followed all of HUD's electronic submission 
instructions, including registration for electronic submission, but 
were unable to submit an application because of technical problems 
related to the use of the Adobe Acrobat forms and Grants.gov error 
messages. Today's notice also provides HUD's QAR procedures, as well as 
outlines the application submission procedures an applicant must follow 
if HUD determines that the applicant complied with all electronic 
submission instructions but was unable to submit an application because 
of technical difficulties. If HUD makes this determination, the 
applicant will be contacted by HUD and invited to resubmit an 
application. Applicants planning to apply for assistance for which the 
deadline date remains open are encouraged to apply early, when the 
Grants.gov help desk is open, or when HUD staff and program offices are 
available to help overcome any electronic submission issues. Applicants 
are also reminded that validation can take 24 to 48 hours to complete 
and that time should be allotted for that process to occur. In 
addition, applicants using the facsimile solution to submit portions of 
their applications must use the form HUD-96011, Transmittal Cover 
Sheet, on each facsimile submitted. If a facsimile transmission fails, 
each attempt to fax the information must contain the HUD-96011 cover 
sheet.
    This QAR procedure is in effect for all funding opportunities 
announced by HUD, except for the Continuum of Care program, for which 
the deadline date was July 2, 2008, or later. Specifically, this 
excludes from the QAR those applicants submitting electronic 
applications in response to HUD's HOPE VI Revitalization Program NOFA 
published on March 26, 2008 (73 FR 16134) and HUD's Rural Housing and 
Economic Development NOFA published on April 28, 2008 (73 FR 23051). 
HUD is making this procedure available to applicants experiencing 
difficulty submitting an application electronically in response to 
NOFAs that HUD will publish in the Federal Register until the end of 
this fiscal year. If HUD determines that an applicant met HUD's 
electronic submission instructions, but was unable to submit its 
application because of unanticipated technical difficulties, HUD will 
contact the applicant and invite the applicant to resubmit the 
application. The following describes HUD's procedures with respect to 
2008 applications covered by this QAR.

Policy and Procedures on Quality Assurance Review of Unsuccessful 
Electronic Applications

    HUD's QAR will focus on those electronic application submissions 
where HUD's records and those of Grants.gov document that the applicant 
followed all of the electronic submission instructions published in the 
Federal Register.
    HUD's records and those of Grants.gov indicate that, of the group 
of applicants that were unable to submit an application electronically 
through Grants.gov, some were unable to do so because they failed to 
register for electronic application submission or failed to allow 
sufficient time to complete the registration process. As detailed in 
HUD's Federal Register publications, which provide instructions for 
submitting an application electronically, the registration process 
required applicants to obtain a Dun and Bradstreet Universal Data 
(DUNS) number (the DUNS number is a governmentwide and regulatory 
requirement for all grant applications), register with the Federal 
Central Contractor Registration, obtain and register credentials from a 
credential provider for E-Authentication, and, then, have the eBusiness 
Point of Contact grant authority to submit on behalf of the applicant 
organization. As HUD has explained in its electronic submission 
instructions, this registration process is necessary to ensure that the 
electronically submitted application is that of the applicant, and that 
the individual or organization that submitted the application is 
authorized to submit it on behalf of the applicant.\1\ HUD has also 
advised applicants to allow at least 2 weeks to 4 weeks to complete the 
registration process. Applicants that failed to complete the 
registration process will not be considered for review.
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    \1\ In addition to the General Section to HUD's 2008 NOFAs and 
Early Registration Notice, HUD's Internet Web broadcasts discussed 
the electronic application submission procedures.
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    Similarly, if HUD's records and those of Grants.gov reflect that 
applicants were unable to submit an electronic application because of 
the following applicant errors, the applicant will not be considered 
under the QAR:
     The applicant typed in a wrong DUNS number;
     The applicant provided a password and ID that were not 
associated to the DUNS number used in the application;
     The applicant used a password and ID that were not 
authorized for submission by submitting entity's eBusiness Point of 
Contact.
    These aforesaid applicant submission problems will not be reviewed 
under the QAR, because it is HUD's position that it is the applicant's 
responsibility to manage its passwords, IDs, and DUNS numbers, and to 
ensure that the authorization process is accurately completed.
    HUD's quality assurance review for application submission will 
focus on circumstances where an applicant met the electronic 
application instructions, but was unable to submit an application 
because of unanticipated technical problems due to use of the Adobe 
Acrobat forms package and/or error messages emanating from the 
Grants.gov system. In these cases, HUD will hold the applicant harmless 
and permit the applicant to resubmit the application.
    Examples of unanticipated technical difficulties that may have 
resulted in an applicant's failure to submit an electronic application 
include:
     Grants.gov system records, Call Center records, or e-mail 
records from the applicant to Grants.gov">Support@Grants.gov or to HUD staff 
demonstrate that the applicant attempted submission in accordance with 
HUD instructions with time allowed for the validation process to occur 
prior to the deadline date, but the applicant was unable to 
successfully submit its application prior to the deadline due to 
difficulties uploading its application or due to error messages by the 
Grants.gov system. HUD acknowledges that numerous attempts to overcome 
the ``broken pipe'' and other error messages emanating from Grants.gov 
can result in confusion on the part of the applicant and while initial 
attempts to submit allowed time for validation to occur as documented 
by calls or e-mails to the Grants.gov help desk, the Grants.gov help 
desk did not provide guidance to resolve the applicant's submission 
issues;
     The records demonstrate the Grants.gov Call Center's help 
desk advised the applicant to leave the application processing for a 
period of time longer than 1 hour; or advised the applicant that the 
Call Center representative was submitting a research ticket to get 
further assistance for the applicant, even though the Call Center could 
not provide a response to the research ticket prior to the deadline 
date. In such cases, where the applicant fully followed the directions 
provided in HUD's instructions for registration and submission, and due 
to processing errors or lack of accurate or timely assistance on the 
part of Grants.gov, the

[[Page 49471]]

applicant was unable to have the application successfully received and 
validated by Grants.gov by the deadline date and time; or
     Other unique situations brought to HUD's attention that 
may lead HUD to conclude that an applicant's failure to submit was 
based on misleading technical advice or other such technology-related 
problems.
    As noted in today's Federal Register notice, HUD will base its 
review on its records; those of Grants.gov, including records from the 
Grants.gov Call Center; and records submitted by the applicant. HUD's 
review will be completed when HUD believes that the information 
provided it by the applicant and, as appropriate Grants.gov, contains 
sufficient information to determine whether an applicant's failure to 
submit was because of problems with technology or a failure on the part 
of the applicant to follow HUD's directions.
    Applicants that believe they meet the conditions described in this 
notice may contact the individuals identified in the appendix to 
request that HUD review its application submission to determine whether 
the applicant is eligible to resubmit the application. Applicants 
seeking to benefit from the QAR must provide HUD with the:
    1. Applicant's DUNS number;
    2. Authorized Organization Representative's (AOR) ID and password;
    3. Catalog of Federal Domestic Assistance (CFDA) number and name of 
the program for which the applicant is seeking funding;
    4. Grants.gov Help Desk Ticket Number;
    5. Statement of the problem including dates and times, with whom 
the applicant spoke, and advice provided, if available;
    6. Copies of any error messages received from Grants.gov or 
responses from the help desk received from the customer service 
representative or by e-mail;
    7. Application submission tracking number(s) received from 
Grants.gov, if applicable, and date and approximate times of 
transmission upload attempts; and
    8. Applicant contact information, including office and cell phone 
as well as e-mail information.
    Applicants may submit this information by e-mail message to the 
appropriate program contact listed in the appendix. In the ``subject'' 
line of the e-mail message include the program name, the applicant 
name, and any Grants.gov ticket numbers.
    Failure to provide the information listed in items 1, 2, and 3 will 
result in an applicant being ineligible for the quality assurance 
review procedures outlined in this notice. Applicants that believe they 
meet the requirements described in today's notice should provide this 
information to the appropriate program office contact listed in the 
appendix to today's notice by the deadlines established in the Dates 
section of today's notice. Applicants that have already provided this 
information to HUD do not need to resubmit the information. HUD will 
not review requests for QAR if it has already conducted a review and 
determined that the applicant did not follow HUD's electronic 
submission instructions.

Procedures for Submitting Applications

    Upon the conclusion of HUD's review, applicants will be notified of 
HUD's determination through means that provide for confirmation that 
the applicant has received notification. If HUD determines that the 
applicant correctly followed its electronic application submission 
instructions and advice from the Grants.gov help desk but was unable to 
submit an application because of technical problems, the applicant will 
be contacted and provided assistance in electronically resubmitting its 
application. It is HUD's hope that with one-on-one assistance, all 
applicants will be able to successfully submit an electronic 
application.
    If electronic application submission cannot be accomplished, 
applicants will be requested to submit their applications on a CD-ROM, 
with a hard copy, via overnight delivery (United States Postal Service, 
Federal Express, or UPS) to the applicable addressee(s) listed in the 
appendix to this notice. HUD will provide e-mail notification to the 
applicant confirming the need to submit a CD-ROM and hard copy of the 
application. Applications must be received by HUD within 4 business 
days after the date of HUD's e-mail notification. Should discrepancies 
be found between the CD-ROM and the hard copy, HUD will use the 
application on the CD-ROM as the official submission and incorporate it 
into HUD's official system of records. Applicants may not submit 
applications using overnight delivery, unless prior approval has been 
received from HUD. Hand deliveries will not be accepted.

    Dated: August 13, 2008.
Roy A. Bernardi,
Deputy Secretary.

Appendix

Quality Assurance Review Request Contact List

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          Program name              Program contact        e-Mail address                   Address
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Community Development Technical   Mark A. Horwath...  [email protected].  U.S. Department of Housing and
 Assistance.                                                                    Urban Development, Room 7218,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Community Development Block       Roberta Youmans...  [email protected]  U.S. Department of Housing and
 Grant for Indian Tribes and                           ov.                      Urban Development, Room 5156,
 Alaskan Native Villages.                                                       451 7th Street, SW., Washington,
                                                                                DC 20410.
Historically Black Colleges and   Susan Brunson.....  [email protected]  U.S. Department of Housing and
 Universities.                                                                  Urban Development, Room 8106,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Hispanic Serving Institutions     Susan Brunson.....  [email protected]  U.S. Department of Housing and
 Assisting Communities.                                                         Urban Development, Room 8106,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Alaskan Native/Native Hawaiian    Susan Brunson.....  [email protected]  U.S. Department of Housing and
 Institutions Assisting                                                         Urban Development, Room 8106,
 Communities.                                                                   451 7th Street, SW., Washington,
                                                                                DC 20410.
Tribal Colleges and Universities  Susan Brunson.....  [email protected]  U.S. Department of Housing and
                                                                                Urban Development, Room 8106,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Fair Housing Initiatives Program  Denise L. Brooks..  [email protected]  U.S. Department of Housing and
                                                                                Urban Development, Room 5222,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.

[[Page 49472]]

 
Housing Counseling Program......  Brian N.            Brian.N.Siebenlist@hud.  U.S. Department of Housing and
                                   Siebenlist.         gov.                     Urban Development, Room 9274,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Housing Counseling Training.....  Brian N.            Brian.N.Siebenlist@hud.  U.S. Department of Housing and
                                   Siebenlist.         gov.                     Urban Development, Room 9274,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Healthy Homes Demonstration       Warren Friedman...  [email protected]  U.S. Department of Housing and
 Program.                                                                       Urban Development, Room 8236,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Lead Outreach Grant Program.....  Warren Friedman...  [email protected]  U.S. Department of Housing and
                                                                                Urban Development, Room 8236,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Lead Technical Studies..........  Warren Friedman...  [email protected]  U.S. Department of Housing and
                                                                                Urban Development, Room 8236,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Healthy Homes Technical Studies.  Warren Friedman...  [email protected]  U.S. Department of Housing and
                                                                                Urban Development, Room 8236,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Lead Hazard Control Program.....  Warren Friedman...  [email protected]  U.S. Department of Housing and
                                                                                Urban Development, Room 8236,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Lead Hazard Reduction             Warren Friedman...  [email protected]  U.S. Department of Housing and
 Demonstration.                                                                 Urban Development, Room 8236,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Operation Lead Elimination        Warren Friedman...  [email protected]  U.S. Department of Housing and
 Action Program (LEAP).                                                         Urban Development, Room 8236,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Housing Choice Voucher Family     James D. Reeves...  [email protected].  U.S. Department of Housing and
 Self-Sufficiency.                                                              Urban Development Grants
                                                                                Management Center, 3rd Floor,
                                                                                550 12th Street, SW.,
                                                                                Washington, DC 20024.
Resident Opportunities and Self-  James D. Reeves...  [email protected].  U.S. Department of Housing and
 Sufficiency (ROSS) Service                                                     Urban Development Grants
 Coordinators.                                                                  Management Center, 3rd Floor,
                                                                                550 12th Street, SW.,
                                                                                Washington, DC 20024.
Housing Opportunities for         Benjamin L. Ayers.  [email protected]  U.S. Department of Housing and
 Persons with AIDS (HOPWA).                            v.                       Urban Development, Room 7212,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Public Housing Family Self-       James D. Reeves...  [email protected].  U.S. Department of Housing and
 Sufficiency (PHFSS).                                                           Urban Development Grants
                                                                                Management Center, 3rd Floor,
                                                                                550 12th Street, SW.,
                                                                                Washington, DC 20024.
Self-Help Homeownership           Louise Thompson...  [email protected]  U.S. Department of Housing and
 Opportunity Program (SHOP).                           ov.                      Urban Development, Room 7162,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Assisted Living Conversion        Aretha Williams...  [email protected]  U.S. Department of Housing and
 Program.                                              ov.                      Urban Development, Room 6142,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Section 202 Supportive Housing    Aretha Williams...  [email protected]  U.S. Department of Housing and
 for the Elderly.                                      ov.                      Urban Development, Room 6142,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Section 811 Supportive Housing    Aretha Williams...  [email protected]  U.S. Department of Housing and
 for Persons with Disabilities.                        ov.                      Urban Development, Room 6142,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
Demonstration Program for         Aretha Williams...  [email protected]  U.S. Department of Housing and
 Elderly Housing for                                   ov.                      Urban Development, Room 6142,
 Intergenerational Families.                                                    451 7th Street, SW., Washington,
                                                                                DC 20410.
Capacity Building Program.......  Karen Daly........  [email protected]...  U.S. Department of Housing and
                                                                                Urban Development, Room 7340,
                                                                                451 7th Street, SW., Washington,
                                                                                DC 20410.
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[FR Doc. E8-19349 Filed 8-20-08; 8:45 am]
BILLING CODE 4210-67-P