Notice of HUD's Fiscal Year 2005 Notice of Funding Availability Policy Requirements and General Section to the SuperNOFA for HUD's Discretionary Programs, 13976-14383 [05-5041]
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Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 / Notices
13978
Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 / Notices
Youthbuild
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Community Planning and
Development.
B. Funding Opportunity Title:
Youthbuild.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
OMB approval number for this program
is 2506–0142. The Federal Register
number for this NOFA is FR–4950–N–
04.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): 14.243,
Youthbuild Program
F. Dates: The application submission
date is on or before June 21, 2005.
Please see the General Section of the
SuperNOFA (the General Section) for
application submission and receipt
procedures. Please note that this year,
all applications must be submitted
electronically using https://
www.grants.gov, as described in Section
IV.F of the General Section.
G. Additional Overview Content
Information: 1. Purpose of the Program.
The purpose of the Youthbuild program
is to assist disadvantaged young adults
between the ages of 16 and 24 years of
age in distressed communities to: (1)
Complete their high school education;
(2) provide on-site construction training
experiences which result in the
rehabilitation or construction of housing
for homeless persons and low- and very
low-income families; (3) foster
leadership skills; (4) further
opportunities for placement in
apprenticeship programs; and (5)
promote economic self-sufficiency for
program participants.
2. Available Funds. Approximately
$56,444,800 in appropriated funds and
carry over is available for Fiscal Year
(FY) 2005, plus any funds available
through recapture, minus any amount
needed to correct errors.
3. Eligible Applicants. Eligible
applicants are public or private
nonprofit organizations that include
grassroots community-based
organizations inclusive of faith-based
organizations. For a definition of grassroots community based organizations
see Secretarial Policy Priority D.
Providing Full and Equal Access to
Grassroots, Faith-Based and other
Community-Based Organizations in
HUD Program Implementation found in
the General Section. Other eligible
applicants include state or local housing
agencies or authorities, state or units of
local government, or any entity eligible
to provide education and employment
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training under other federal
employment training programs, as
further defined in HUD’s regulation at
24 CFR 585.4.
4. Match. None.
If you are interested in applying for
funding under this program, please
carefully review the General Section
and the following additional
information.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description. The purposes
of the Youthbuild Program are to:
1. Provide economically
disadvantaged young adults with
opportunities to obtain an educational
experience that will enhance their
employment skills, as a means to
achieving self-sufficiency;
2. Foster the development of
leadership skills and commitment to
community;
3. Expand the supply of permanent
affordable housing for homeless and
low- and very low-income persons by
providing implementation grants for
carrying out a Youthbuild program;
4. Provide disadvantaged young
adults with meaningful on-site training
experiences in housing construction and
rehabilitation that will enable them to
render a service to their communities by
helping to meet the housing needs of
homeless persons and low-income
families; and
5. Give to the greatest extent possible,
job training, employment, contracting,
and other economic opportunities to
low-income young adults.
B. Desirable Elements of a Youthbuild
Program. You should document the
extent to which HUD’s initiatives are
furthered by the proposed activities.
Such initiatives include:
1. Providing increased
homeownership and rental
opportunities for low- and moderateincome persons, persons with
disabilities, the elderly, minorities, and
families with limited English
proficiency;
2. Improving our nation’s
communities;
3. Encouraging accessible design
features;
4. Providing full and equal access to
grassroots faith-based and other
community based organizations in HUD
program implementation; and
5. Ending chronic homelessness.
C. Definitions. The following
definitions apply to the Youthbuild
Program: Rural and Underserved areas
are defined as follows:
1. Rural Area. A rural area is defined
in one of five ways:
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a. A non-urban place having fewer
than 2,500 inhabitants (within or
outside of metropolitan areas).
b. A county or parish with an urban
population of 20,000 inhabitants or
fewer.
c. Territory, including its persons and
housing units, in rural portions of
‘‘extended cities.’’ The Census Bureau
identifies the rural portions of extended
cities.
d. Open country, which is not part of
or associated with an urban area. The
United States Department of Agriculture
(USDA) describes ‘‘open country’’ as a
site separated by open space from any
adjacent densely populated urban area.
Open space includes undeveloped land,
agricultural land or sparsely settled
areas but does not include physical
barriers (such as rivers and canals),
public parks, commercial and industrial
developments, small areas reserved for
recreational purposes, and open space
set aside for future development.
e. Any place with a population not in
excess of 20,000 and not located in a
Metropolitan Statistical Area.
2. Underserved Area. An underserved
area is defined as an area comprised of
census tracts with the following
economic distress criteria:
a. A census tract where the
unemployment remains high (50
percent or more above the nation’s
unemployment rate) and
b. A census tract where high rates of
poverty (50 percent or more above the
national average) persist.
II. Award Information
A. Available Funds. Approximately
$56,444,800 in funding is made
available for this FY 2005 Youthbuild
NOFA, which includes any carry over
from previous appropriated funds, plus
any FY 2005 funds appropriated by
Congress. See the General Section for
funding amounts and available funds.
B. Authority. This program is
authorized under subtitle D of title IV of
the Cranston-Gonzalez National
Affordable Housing Act, as added by
section 164 of the Housing and
Community Development Act of 1992
(Pub. L. 102–550, 106 Stat. 3723, 42
U.S.C. 12899). The Youthbuild Program
regulations are found in 24 CFR part
585.
C. Funding Categories. HUD will
award up to $56,444,800 on a
competitive basis. Funds will be
divided among three categories of grants
as described below. In each fiscal year,
the Secretary shall reserve five percent
of the amounts available for technical
assistance activities under this subtitle
pursuant to section 402 to carry out
subsections (b) and (c) (Subtitle D–Hope
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for Youth: Section 458 (42 U.S.C.
12899g)).
1. Category 1 Grants. New Applicants.
HUD will award up to $10,000,000 for
new applicants that have not previously
received implementation grants since
the inception of the Youthbuild Program
and that have elected not to apply under
Category 2 or 3. The maximum amount
that may be awarded to a successful
applicant in this category is $400,000,
for a period not to exceed 30 months.
2. Category 2 Grants. Grants up to
$700,000. HUD will award up to
$37,516,800 for grants up to $700,000
for a period not to exceed 30 months.
The maximum amount that may be
awarded to a successful applicant in
this category is $700,000. Any eligible
applicant can apply in Category 2.
3. Category 3 Grants. Underserved
and Rural Areas. HUD will award
approximately $8,928,000 for grants to
organizations serving clients in
underserved and rural areas as defined
in this NOFA for a period not to exceed
30 months. The maximum amount that
may be awarded to a successful
applicant in this category is $400,000.
4. Selection of Category. Applicants
must indicate in their project abstract
which funding category they are
applying for. For Category 3 applicants,
you must designate which definition(s)
under Section I.C. is (are) applicable.
5. Grant Period. You must expend
funds awarded within 30 months of the
effective date of the grant agreement.
6. Maximum Awards. Under the
competition established by this
Youthbuild program section of the
SuperNOFA, the maximum award for a
Youthbuild grant is $700,000 for
Category 2 grants. The maximum
amount of award for Categories 1 and 3
grants is $400,000.
III. Eligibility Information
A. Eligible Applicants. Eligible
applicants are public or private
nonprofit organizations which include
grassroots community-based
organizations inclusive of faith-based
organizations. For a definition of grassroots community based organizations,
see Secretarial Policy Priority D.
Providing Full and Equal Access to
Grassroots, Faith-Based and Other
Community-Based Organizations in
HUD Program Implementation found in
the General Section. Other eligible
applicants include state or local housing
agencies or authorities, states or units of
local government, or any entity eligible
to provide education and employment
training under other federal
employment training programs as
further defined in HUD’s regulation at
24 CFR 585.4.
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B. Cost Sharing or Matching. Under
the Youthbuild program, there is no
match required. Applicants that submit
evidence of leveraging dollars under
Rating Factor 4 ‘‘Leveraging Resources’’
will receive points under that Factor.
C. Other. 1. Eligible Activities
a. Work and activities associated with
the acquisition, architectural and
engineering work, rehabilitation or
construction of housing, as defined in
HUD’s regulations at 24 CFR 585.309,
585.310, and 585.311.
b. Relocation payments and other
assistance required to comply with
HUD’s regulation at 24 CFR 585.308;
c. Costs of ongoing training and
technical assistance needs related to
carrying out a Youthbuild program;
d. Education, job training, counseling,
employment, leadership development
services, and optional activities that
meet the needs of the participants
including entrepreneurial training,
driver education, apprenticeship
opportunities, financial literacy, credit
counseling, assistance programs for
those with learning disabilities, and inhouse staff training;
e. Outreach to potential participants;
f. Wages, benefits, and need-based
stipends for participants; and
g. Administrative costs must not
exceed 10 percent of the grant award.
HUD encourages you to use grant funds
for outreach, recruitment, training, and
other services for the participants that
facilitate program implementation.
Please refer to HUD’s regulation at 24
CFR 585.305 for further details on
eligible activities.
2. Threshold Requirements. All
applicants must comply with the
threshold requirements as defined in the
General Section and the requirements
listed below to receive an award.
Applications that do not meet these
requirements will be considered
ineligible for funding and will be
disqualified.
a. Eligible Participants. Participants in
a Youthbuild program must be very lowincome high school dropouts between
the ages of 16 and 24, inclusive, at the
time of enrollment. Up to 25 percent of
participants may be above very lowincome, or may be high school
graduates (or equivalent), but must have
educational needs (such as lack of
reading, writing, and communication
skills) that justify their participation in
the program.
b. Youthbuild Program Components.
Applications that receive assistance
under this Youthbuild program section
of the SuperNOFA must contain the
three components described as follows:
(1) Educational and job training
services;
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(2) Leadership training, counseling,
and other support activities; and
(3) On-site training through actual
housing rehabilitation and/or new
construction work.
(New construction may be subject to
the accessible design and construction
requirements of the Fair Housing Act
[see the General Section], including the
provision of alternative training
experiences that are necessary as a
reasonable accommodation for students
with disabilities.)
c. Identification of and Access to
Property. Your application must
identify the location of the site(s) or
property(ies) (e.g., addresses, parcel
numbers, etc.) that will be used for onsite construction. Your application
MUST contain a letter from the property
owner or property management
company or companies allowing access
to the housing site(s) for on-site
construction training. HUD will deem as
ineligible any application that fails to
specifically identify the location of the
on-site construction, including evidence
of site access. Guidance on evidence of
site access is as follows:
(1) If the applicant or joint applicant
has a contract or option to purchase the
property, you should include a copy of
the contract or option; and
(2) If a third party owns the property
or has a contract or option to purchase,
that third party must provide a letter to
you stating the nature of the ownership
and specifically providing you with
access to the property for the purposes
of the program and the time frame in
which the property will be available. In
the case of a contract or option, include
a copy of the document.
d. Minimum Score. In order to be
considered eligible for funding, your
application must receive a minimum
score of 75, including a minimum of 10
points in Factor 1.
e. DUNS Requirement. Refer to the
General Section for information
regarding the DUNS requirement. You
will need to obtain a DUNS number to
receive an award from HUD and submit
your application on line using https://
www.grants.gov.
f. Civil Rights Threshold
Requirement. Applicants must meet all
of the applicable threshold requirements
of Section III.C.2.c of the General
Section regarding Fair Housing and
Civil Rights laws, statutes, regulations
and Executive orders and enumerated in
24 CFR 5.105(a).
g. Potential Environmental
Disqualification. HUD reserves the right
to disqualify an application where one
or more environmental thresholds are
exceeded if HUD determines that it
cannot conduct the environmental
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review and satisfactorily complete the
review within the HUD application
review period. (See 24 CFR 585.307.)
Environmental thresholds are explained
in Appendix A of this program section
of the SuperNOFA. Complete form
2C13a, 2C13b, or 2C13c and form 2C15
only if you are proposing to use
Youthbuild funds for new housing
construction, rehabilitation, lease or
acquisition.
h. Consistency with Consolidated
Plan. You must provide the required
certification that the proposed activities
are consistent with the HUD-approved
Consolidated Plan in accordance with
24 CFR part 91. See the General Section
regarding the Certification of
Consistency with the Consolidated Plan
requirement.
i. If you have received a Youthbuild
grant and it is greater than 24 months
old and you have not drawn down at
least 50 percent of the total HUD grant
funds as of the application submission
date for this NOFA, you will not be
eligible to receive a FY 2005 Youthbuild
grant.
3. Program Requirements. In addition
to the program requirements listed
below, applicants must comply with the
program requirements in Section III.C of
the General Section.
a. Locational Limitations. You may
submit more than one application in the
current competition if your program’s
participant recruitment and housing
areas are in different jurisdictions. Each
application you submit may only
propose activities to carry out one
Youthbuild program, i.e., to start a new
Youthbuild program or to fund new
classes of Youthbuild participants for an
existing program.
b. Site Selection. In determining the
site or the location of a federally
assisted facility, the applicant may not
select sites that will exclude qualified
persons with disabilities, or otherwise
subject them to discrimination under
the Youthbuild program.
c. New Construction, Substantial
Alterations,—Other Alterations. If the
applicant undertakes to participate in
New Construction, Substantial
Alterations, or Other Alterations, it must
conform to the accessibility standards
outlined in the regulations
implementing the Rehabilitation Act of
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1973 at 24 CFR part 8, §§ 8.22, 8.23(a)
and § 8.23(b).
d. Training Requirement. Each
program must be structured so that 50
percent of each participant’s time is
spent in on-site training and the other
50 percent in educational training.
e. Economic Opportunities for Lowand Very Low-Income Persons (Section
3). Section 3 of the Housing and Urban
Development Act of 1968, (12 U.S.C.
1701u) is applicable to the Youthbuild
program. Section 3 requires recipients to
ensure that, to the greatest extent
feasible, training, employment, and
other economic opportunities will be
directed to low- and very-low income
persons, particularly those who are
recipients of government assistance for
housing, and business concerns which
provide economic opportunities to lowand very low-income persons. The
regulations may be found at 24 CFR part
135.
f. Participation in Local Workforce
Investment Act One-Stop Center.
Youthbuild grantees are mandatory
partners in one-stop centers authorized
by the Workforce Investment Act of
1998 (Pub. L. 105–220).
g. First time applicants. If you are a
first-time applicant applying for funding
under Category 1, you must have a
graduating class of not more than 20
participants.
h. Environmental Reviews.
Environmental procedures apply to
HUD approval of grants when you
propose to use Youthbuild funds to
cover any costs for the lease,
acquisition, rehabilitation, or new
construction of real property proposed
for housing project development.
Environmental procedures do not apply
to HUD approval of your application
when you propose to use your
Youthbuild funds solely to cover costs
for classroom and/or on-the-job
construction training and support
services.
If you propose to use your Youthbuild
funds to cover any costs of the lease,
acquisition, rehabilitation, or new
construction of real property, you must
submit all relevant environmental
information in your application to
support HUD decisionmaking in
accordance with the environmental
procedures and standards set forth in
HUD’s regulation at 24 CFR 585.307.
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IV. Application and Submission
Information: (See the General Section)
A. Addresses to Request Application
Package: There is no application kit for
the FY2005 Youthbuild NOFA. This
SuperNOFA clearly describes the
requirements for completing a
successful application and all forms and
certifications needed to complete the
application are included in the General
and Youthbuild Sections of the
SuperNOFA, which can be downloaded
from https://www.Grants.gov/Apply. The
Grants.gov web site contains the
electronic forms and the NOFA which
includes forms and other attachments.
The NOFA and forms are contained in
a zipped file found under instructions.
You many call the Grants.gov Support
Desk at 800–518–Grants or email the
Support Desk at Support@Grants.gov for
assistance in downloading the
application and instructions. The
Support Desk is open weekdays from 8
a.m. to 9 p.m. Eastern Time, except
Federal holidays.
B. Content and Form of Application
Submission: Be sure to read the
application submission instructions in
the General Section and below carefully.
1. Response to NOFA Page Limitation.
The total narrative response to all
factors identified in Section V of this
program NOFA must not exceed 15
single sided pages of text based on an
8.5 by 11 inch paper, using a standard
12 point font, with lines double-spaced.
Please note that submitting pages in
excess of the page limit will not
disqualify your application. However,
HUD will not review or consider the
information on any excess pages.
2. Application Items. Your
application must contain the items
listed in this section below. These items
include the standard forms,
certifications, and assurances listed in
the General Section that are applicable
to this funding (collectively referred to
as the ‘‘standard forms’’). The standard
forms can be found in Appendix A to
the General Section. The other items
listed represent program specific forms
or information needed to evaluate your
application. General letters of support
not associated with specific cash or inkind commitments have no bearing on
the rating of the applications for any
rating factor.
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What to submit
Required content
Required form or format
Project abstract ...........................................
Category applying for (if Category 3, specify which definition(s) under ‘‘rural and underserved’’ is(are) applicable); Amount of funds requested; Location of project,
including census tract(s);
Number of participants to be
trained; Number of houses to
be constructed; Number of
houses to be rehabbed;
Major partners.
...................................................
...................................................
Application Survey on Ensuring Equal Opportunity for Applicants.
Budget information ......................................
Rating Factors: Narrative addressing 5 rating factors.
Non-Housing Program Resources and accompanying letters of commitment for
non-housing program resources.
Logic Model Form .......................................
Applicant/Recipient
Disclosure/Update
Form.
Disclosure of Lobby Activities (if necessary).
Certification of Consistency with RC/EZ/
EC–II Strategic Plan.
Certification of Consistency with Consolidated Plan.
Acknowledgment of Application Receipt ....
Client Comments and Suggestions ............
Youthbuild Program Specific Forms/information (required for all applications) Exhibit 2C (Housing Site Description).
Exhibit 2C10 (Individual Housing Project
Site) Estimate.
Accompanying letters of commitment to
cover costs of lease, acquisition, rehabilitation or new construction of real
property.
Site Access Letter(s).
Youthbuild Program Specific Forms (only if
applicant proposes to use Youthbuild
funds for lease, acquisition, rehabilitation, or new construction of real property).
Exhibit 2C13a (Housing Project Certifications for Residential Rental Units.
Exhibit 2C13b (Housing Project Certifications for Transitional Housing).
Exhibit 2C13c (Housing Project Certifications for Homeownership).
Exhibit 2C15 (Environmental Threshold Information for a Property Proposed for
YB Funding).
Questionnaire for HUD’s Initiative on Removal of Regulatory Barriers.
Facsimile Transmittal ..................................
C. Submission Dates and Times: The
application submission date is June 21,
2005. Applications must be received by
Grants.gov no later than 11:59:59 PM
Eastern time on the application
submission date. Applicants that have
requested and received a waiver to the
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When to submit it
Application submission date.
SF–424, SF–424 supplement.
Total Youthbuild Grant Budget
Described in Section V of this
announcement.
...................................................
Youthbuild Form 4A.
Youthbuild Form 4B.
...................................................
(Per required form) ...................
HUD–96010.
HUD–2880.
...................................................
SF–LLL.
...................................................
HUD–2990.
...................................................
HUD–2991.
...................................................
...................................................
...................................................
HUD–2993.
HUD–2994.
HUD–40211 ..............................
Application submission date.
...................................................
...................................................
Application submission date.
...................................................
...................................................
Application submission date.
...................................................
HUD–27300 ..............................
Application submission date.
To be used when submitting
third party letters or other
documents if you are unable
to scan the documents and
make them attachments to
your electronic application.
HUD–96011 ..............................
On or before the application
submission date.
electronic application submission
requirement must submit their
application to the United States Postal
Service no later than 11:59:59 PM on the
application submission date. Please see
the General Section for application
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submission and timely receipt
procedures.
D. Intergovernmental Review. The
Youthbuild is subject to
Intergovernmental Review under
Executive Order 12372,
‘‘Intergovernmental Review of Federal
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Programs.’’ See the General Section for
further discussion of the Executive
Order and HUD’s implementing
regulations.
E. Funding Restrictions.
Administrative costs must not exceed 10
percent of the grant award.
V. Application Review Information
The factors for rating and ranking
applicants, and maximum points for
each factor, are provided below. The
maximum number of points for the
program is 102. This includes two RC/
EZ/EC–II and USDA designated Round
II EC bonus points, as described in the
General Section. The minimum
fundable score is 75, including a
minimum of 10 points in Factor 1.
A. Rating Factor 1. Capacity of the
Applicant and Relevant Organizational
Experience (20 points, minimum 10
points). This factor addresses the
qualifications and experience of the
applicant and participating parties to
implement a successful young adult
education training program in
accordance with your work plan as
further described in Factor 3. HUD will
review and evaluate information
provided documenting recent
capability. Experience within the last 5
years will be considered recent. In
addition, as described in the General
Section, HUD will take into account the
applicant’s past performance and may
deduct points in this rating factor for
previous inability to demonstrate
performance. In reviewing this rating
factor, HUD will evaluate the following
sub-factors:
1. Team Member Composition and
Experience (5 points). Your experience
and the experience of your project
director, core staff competencies
including your day-to-day program
manager, consultants, and contractors.
You must demonstrate that your
program manager has the background,
experience, and capacity to implement
all of the program components of the
proposed work plan, as evidenced by
recent work experience (within the last
5 years) in managing projects of the
same or similar size, dollar amount,
types of activities, and beneficiaries as
those proposed in your work plan. If
any gaps exist in your experience or
organizational structure to carry out the
program, describe how you will fill
those gaps including the hiring of
consultants or other outside parties.
2. Organizational Structure (5 points).
The structure of your organization
(include an organizational chart),
management structure, including
reporting relationships of key staff, a
system for coordinating with outside
contractors or third party service
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providers, a mechanism for an internal
and external auditing relationship, and
an accounting system which meets
federal accounting system requirements.
You should provide a clear description
of how your organizational structure
will operate to carry out your work plan.
3. Achievement of Performance
Outcomes (10 points). The objectives
and accomplishments of your past
experience in conducting similar
activities. You must describe your past
project objectives and accomplishments
that are similar to those of your
proposed work plan to show your
effectiveness and timeliness in
managing similar projects. If you have
received similar grants including
previous Youthbuild grants, you must
describe the effectiveness of your
administration, including timeliness
and meeting performance results from
performance reports. In addressing
timeliness of reports, you must compare
when your reports were due with when
they were actually submitted. You must
describe your achievements, including
specific measurable outcome objectives:
number of youths recruited, trained, and
received GEDs; number of youths
obtaining jobs (i.e., those that are a part
of a career path or apprenticeship
program); number of youths
participating in apprenticeships and
number of housing units rehabilitated or
constructed and made available for lowand very low-income persons.
Previously generated outcomes should
include the following: (1) Percent
entered employment or enrolled in
education and/or training first quarter
after program exit, (2) percent of
participants that earned a diploma,
GED, or certificate, (3) percent that have
attained literacy and numeracy skills by
participants, (4) annual cost per
participant.
Also, you must describe the extent to
which you or participating partners
have been successful in past education,
training and employment programs and
activities, including federally funded
Youthbuild programs. In applying the
rating criteria, HUD will take into
consideration your performance
(including meeting target dates and
schedules) as reported. The more recent,
relevant, and successful the experience
of the proposed team members,
organization and other participating
entities in relation to the work plan, the
greater the number of points that you
will receive. For previous and existing
Youthbuild grantees, applicants that can
demonstrate a closer and greater linkage
between the expected outcomes and the
previously generated outcomes will
receive a higher amount of points for
this Factor. Applicants that have been
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slow to draw their funds and therefore
appear to be not making progress in
completing their program activities, will
receive lower rating points than
applicants that have a pattern and
practice of drawing funds in a timely
manner consistent with timely progress
in meeting program activity goals and
objectives.
B. Rating Factor 2: Need/Extent of the
Problem (22 Points): This Factor
addresses the extent to which there is
need for funding the proposed activities
based on levels of distress and an
indication of the urgency of meeting the
need/distress in the applicant’s target
area. In responding to this Factor,
applications will be evaluated on the
extent to which the level of need for the
proposed activity and the urgency in
meeting the need are documented and
compared to the target area and national
data.
1. In applying this Factor, HUD will
consider current levels of distress for
the area (i.e., Census Tract(s) or Block
Groups) immediately surrounding the
project site or the target area to be
served by the proposed project, and in
the nation. This means that an
application that provides data that show
levels of distress in the target area
expressed as a percent greater than the
national average will be rated higher
under this Factor.
Notwithstanding the above, an
applicant proposing a project to be
located outside the target area could still
receive points under the Distress Factor
if a clear rationale and linkage is
provided linking the proposed project
location and the benefits to be derived
by persons living in more distressed
area(s) of the applicant’s target area.
2. Applicants should provide data
that address indicators of distress, as
follows:
a. Poverty (5 points)—data should be
provided in both absolute and
percentage form (i.e., whole numbers
and percentages) for the target area(s);
an application that compares the local
poverty rate in the following manner to
the national average at the time of
submission will receive points under
this section as follows:
(1) Less than the national average—0
points.
(2) Equal to but less than twice the
national average—1 points.
(3) Twice but less than three times the
national average—3 points.
(4) Three or more times the national
average—5 points.
b. Unemployment (5 points)—for the
project area;
(1) Less than the national average—0
points.
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(2) Equal to but less than twice the
national average—1 point.
(3) Twice but less than three times the
national average—2 points.
(4) Three but less than four times the
national average—3 points.
(5) Four but less than five times the
national average—4 points.
(6) Five or more times the national
average—5 points.
c. High School Dropouts (9 points)—
for the project area;
(1) Less than the national average—0
points.
(2) Equal to but less than twice the
national average—2 points.
(3) Twice but less than three times the
national average—4 points.
(4) Three but less than four times the
national average—6 points.
(5) Four but less than five times the
national average— 8 points.
(6) Five or more times the national
average—9 points.
d. Concrete examples of social and/or
economic decline that best capture the
applicant’s local situation (3 points).
Examples that could be provided under
this section are information on the
community’s stagnant or falling tax
base, including recent commercial or
industrial closings, housing conditions,
such as the number and percentage of
substandard and/or overcrowded units,
rent burden (defined as average housing
cost divided by average income) for the
target area and urgency in addressing
problems facing youth, local crime
statistics, etc.
3. In rating applications under this
Factor, HUD reserves the right to
consider sources of available objective
data, such as the U.S. Census, other
than, or in addition to, those provided
by applicants, and to compare such data
to those provided by applicants and
local crime statistics for the project site.
HUD requires use of sound and
reliable data (e.g., U.S. Census data,
state statistical reports, university
studies/reports that are verifiable) to
support distress levels cited in each
application. A source for all information
along with the publication or
origination date must also be provided.
Updated Census data are available as
follows for the listed indicators:
a. Unemployment rate— estimated
monthly, with a two-month lag;
b. High School Dropout rate using the
status rate-1999 data;
c. Poverty rate—2000 Census data at
the tract level.
C. Rating Factor 3: Soundness of
Approach (36 points): This Factor
addresses the extent to which your
proposed program is coordinated with
other ongoing and related activities in
the area you propose to serve and how
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well your program outcomes result in
increased independence and
empowerment to your beneficiaries at
the conclusion of the grant period. HUD
will evaluate the extent to which your
application meets the following three
elements:
1. Coordination Elements: 5 points as
distributed below.
a. Coordination of activities (2 points).
The extent to which you have
coordinated your activities with other
known organizations that are not
directly in your proposed work
activities, but with which you share
common goals and objectives and are
working toward meeting these
objectives in a holistic and
comprehensive manner. The goal of
coordination is to ensure that programs
do not operate in isolation. The more
your activities are coordinated with
other agencies in your service area, the
more points you will receive. An
example of coordination of activities
would be the applicant’s partnership
with an existing child day care facility
(which is not funded by program) that
provides day care services to the
Youthbuild participants during the
hours they are being trained or receiving
education.
b. Self-Sufficiency (1 point). Describe
how your program will provide
Youthbuild participants the ability to
achieve: independent living, economic
empowerment, educational
opportunities, housing choice or an
improved environment that is free from
environmental hazards such as lead
hazards, brownfields, overcrowded
housing, etc. An applicant that
addresses this subfactor will receive one
point.
c. Sustainability (2 points). For
applicants that have not received a prior
Youthbuild award, describe how your
program will be financially selfsustaining by decreasing dependence on
Youthbuild funding and relying more
on state, local, and private funding so
your activities can be continued after
your grant award is complete. For
previous Youthbuild grantees, describe
how your program demonstrates a
progression of reduced reliance on
HUD’s Youthbuild funds, as either a
reduced Youthbuild grant amount or
increased overall program level with
Youthbuild as a declining share of the
total.
2. Youthbuild Program Work Plan:
For each component, HUD will consider
the overall quality and feasibility of
your proposed work plan and budget
that must be consistent with the
Youthbuild program as measured by
your specific activities and outcomes.
You will receive a greater number of
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points if the program components are
consistent with the purpose of the
Youthbuild program and your project
goals and the resources provided.
Letters describing specific resources or
services to be contributed by nonapplicant organizations must be
included in your application.
Specifically, HUD will consider the
following categories when assessing
your proposed work plan:
a. Program Components. (15 points)
(1) Outreach strategy, recruitment
strategy, and selection activities. Points
will be awarded based upon overall
quality and feasibility of the outreach,
recruitment and selection activities, the
number and types of outreach activities,
number of youths to be recruited
including eligible participants who are
harder to reach and comprehensiveness
of the local selection process.
In evaluating this category, HUD will
consider your selection strategies and
your specific outreach efforts to recruit
or contact:
(a) potential eligible participants who
are unlikely to be aware of this program
(because of race, color, national origin,
religion, ethnicity, sex, or disability);
(b) young women, young women with
dependent children, and persons
receiving public assistance; and
(c) public agencies, courts, homeless
shelters, local school systems, local
workforce development systems, onestop centers and community-based
organizations, etc.
(2) Educational and job training
services and activities. Points will be
awarded based upon the qualifications
of instructors and proposed wages and
stipends for youth participants. In
evaluating this category, HUD will
consider:
(a) The types of in-class academic and
vocational instruction you will provide;
(b) The number and qualifications of
program instructors and ratio of
instructors to participants;
(c) Scheduling plan for classroom and
on-the-job training needed to meet
program requirements and ensure
timely completion of your program; and
(d) Reasonable payments to
participants of wages, stipends, and
incentives. Wages or stipends for on-site
construction training must be at least
federal minimum wage.
(3) Leadership development. Points
will be awarded based upon your
proposed leadership curriculum,
qualifications of instructors, and the
impact of the proposed leadership
activities on the target area. You must
describe the leadership development
training you will offer to participants
and strategies for providing the training
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to build group cohesion and peer
support.
(4) Support services. You must assess
the need for counseling and referral
services during each stage of program
implementation: outreach strategy,
recruitment strategy, youths interviewed
and not selected for the program,
program participants, youths who drop
out of the program, and graduates of the
program. Describe how the participant
needs will be addressed, document
counseling and referral services to be
offered to participants, the type of
counseling, social services, and/or needbased stipends you will provide.
(5) Follow-up assistance and support
activities to program graduates. You
must describe the type of proposed
assistance and support which should be
based upon an assessment of the needs
of the program graduates and should
include continued linkage to the local
Youthbuild program, counseling, and
social service referral services.
(6) On-site training. Points will be
awarded based upon the experience of
proposed instructors, number of youth
to be trained, and wages or stipends for
participants. HUD will consider:
(a) The housing construction or
rehabilitation activities participants will
undertake at the site(s) to be used for the
on-site training component of the
program as provided in the training
curriculum and methodology for
carrying out on-site training;
(b) The qualification and number of
on-site supervisors;
(c) The ratio of trainers to
participants;
(d) The number of participants per
site; and
(e) The amounts, wages, and/or
stipends you will pay to participants
during on-site work. Amounts must be
at least federal minimum wage.
b. Strategy for Job Placement. (2
points).
(1) For applicants that have not
received a prior Youthbuild award.
HUD will evaluate the quality and
feasibility of your proposed strategy to
place youth participants in permanent
jobs. You will be rated on the following
factors: (a) proposed number of youth to
obtain jobs that promote economic selfsufficiency (i.e., those that are a part of
career paths or apprenticeship
programs); (b) proposed number of
youths who will continue postsecondary or secondary education; and
(c) proposed number of youths to
receive entrepreneurship training.
(2) For Youthbuild grantees who have
grants that are at least 24 months old. In
addition to the information in section
V.C.2.b(1) above, provide the actual
number of program participants that met
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each criterion in section V.C.2.b(1)(a),
V.C.2.b(1)(b) and V.C.2.b(1)(c) as a
percent of the total program participants
served.
c. Housing Program Priority: (10
points). HUD will assign Housing
Program Priority points to all
applications that contain evidence that
housing resources from other federal,
state, local, or private sources are
available and firmly committed to cover
all costs, in full, for the following
housing activities for the proposed
Youthbuild program: acquisition,
architect and engineering fees,
construction, and rehabilitation. Forms
2C, Housing Site Description, and 2C10,
Youthbuild Grant Individual Housing
Project Site Estimate, must be
completed to receive the Housing
Program Priority points. Applications
that do not include proper
documentation of firm financial
commitments of non-Youthbuild
resources or propose to use Youthbuild
grant funds, in whole or in part, or do
not evidence site control, for any one of
the housing activities listed above will
not be entitled to housing program
priority points. For an applicant to
receive the housing program priority
points, each letter of commitment to
cover the costs of the above activities
must include the following:
(1) The organization’s name;
(2) the applicant’s name;
(3) the proposed program;
(4) the proposed amount of
commitment and which housing
activity(ies) (i.e., acquisition, architect
and engineering fees, construction, and
rehabilitation) the commitment
represent(s);
(5) a signature by an official of the
organization legally able to make
commitments on behalf of the
organization with a statement
confirming that the authority remains in
effect for a period stated in the
commitment.
(6) If the contribution is cash, the
applicant, the applicant’s partner(s) or
contributing entity must evidence its
financial capability through a corporate
or personal financial statement or other
appropriate means. If any portion of the
committed activity is to be financed
through a lending institution, the
participant must evidence the
institution’s commitment to fund the
commitment.
(7) Affirm that its investment is
contingent only upon receipt of FY2005
Youthbuild funds and state a
willingness on the part of the signatory
to sign a legally binding commitment
not earlier than the date this NOFA is
published and (conditioned on HUD’s
environmental review and approval of a
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property, where applicable) upon award
of the grant.
d. Policy Priorities: (4 points). Policy
Priorities are further defined in the
General Section. Applicants should
document the extent HUD’s policy
priorities are enhanced by the proposed
activities. Applicants that include
activities that can result in the
achievement of these departmental
policy priorities, as described in the
General Section, will receive higher
rating points in evaluating their
application for funding. Three
departmental policy priorities are listed
below. Policy Priorities include:
(1) Ending chronic homelessness (1
point);
(2) Removal of regulatory barriers to
affordable housing (up to 2 points) (see
the General Section for further
explanation). You must complete Form
HUD–27300, Questionnaire for HUD’s
Initiative on Removal of Regulatory
Barriers and provide the requested
documentation to receive points for this
policy priority. See the General Section
for a discussion of how points are
allocated.
(3) Participation in Energy Star (1
point). See the General Section for
further explanation. Applicants must
state how they incorporate this priority
into their application in order to receive
the one point.
D. Rating Factor 4: Leveraging of Nonhousing Resources (10 Points). This
Factor addresses the ability of the
applicant to secure non-housing
resources from its program partners.
HUD will evaluate the extent to which
firm commitments of resources are
obtained from federal, state, local,
private, and nonprofit sources. The
applicant will receive points based
upon the ratio of committed non-HUD
resources for non-housing activities
compared to the amount of Youthbuild
funds requested in the application.
(Exhibit 4B Non-Housing Program
Resources must be completed and you
must provide letters of firm
commitment from the donor with the
amount of cash or in-kind contribution).
Applicants submitting letters of
commitment without the Exhibit 4
completed, will not receive points for
this Rating Factor. Each commitment
described on Exhibit 4B for this Factor
must have a firm commitment letter. In
addition, the amount of the commitment
in each letter must match the amount
listed on the Form 4B.
In assigning points for this criterion,
HUD will consider the level of resources
obtained for cash or in-kind
contributions to cover the following
kinds of areas:
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• Social services (i.e., counseling and
training);
• Use of existing vocational, adult,
and bilingual educational courses;
• Donation of labor, resource
personnel, supplies, teaching materials,
classroom, and/or meeting space.
1. Firm commitment for non-housing
resources. Each letter of commitment to
cover the costs of the above activities
must include the following:
a. the organization’s name;
b. the applicant’s name;
c. the proposed program;
d. the proposed amount of
commitment and which non-housing
activity(ies) the commitment
represent(s);
e. a signature by an official of the
organization legally able to make
commitments on behalf of the
organization with a statement
confirming that the authority remains in
effect for a period stated in the
commitment;
f. an affirmation that its investment is
contingent only upon receipt of FY2005
Youthbuild funds and a statement of
willingness on the part of the signatory
to sign a legally binding commitment
not earlier than the date this NOFA is
published.
2. Resources from other federal, state,
local governments, or private entities.
HUD encourages use of existing federal,
state, local governments, or private and
nonprofit housing programs as part of
your Youthbuild program. In addition,
HUD encourages use of other nonYouthbuild funds available for
vocational, adult, and bilingual
education programs, or for job training
under the Workforce Investment Act
and the Personal Responsibility and
Work Opportunity Reconciliation Act of
1996 (48 U.S.C. 1601 et seq.).
E. Rating Factor 5: Achieving Results
and Program Evaluation (12 Points).
This factor emphasizes HUD’s
commitment to ensuring that applicants
keep promises made in their application
to rigorously assess their performance
and ensure performance goals are met.
Achieving results means you, the
applicant, have clearly identified the
benefits, or outcomes of your program.
Outcomes are ultimate goals.
Benchmarks or outputs are interim
activities or products that lead to the
ultimate achievement of your goals.
Performance measurement requires that
you, the applicant, identify program
outcomes, interim products or
benchmarks, and performance
indicators that will allow you to assess
your performance. Performance
indicators must be quantified and
measure actual achievements against
anticipated achievements. You should
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identify what you are going to measure,
how you are going to measure it, and the
steps you have in place to make
adjustments to your work plan if
performance targets are not met within
established timeframes. Applicants are
required to address this factor as a
narrative as well as complete the Logic
Model form (see appendix to the
General Section). This rating factor
reflects HUD’s goal to embrace high
standards of ethics, management and
accountability. HUD’s evaluation of this
rating factor will be based upon your
Logic Model performance measures,
results, and timeframes consistent with
your program description, budget,
resources, and program design.
At a minimum, your Logic Model
must include the following program
outcomes:
• Number of participants enrolled in
the program;
• Number of participants that
graduate;
• Number of housing units
constructed;
• Number of housing units
rehabilitated;
• Number and percent of GED’s or
certificates attained by participants (for
percentage calculation, numerator: the
number of participants who attain a
diploma, GED or certificate;
denominator: those who are
participating in the Youthbuild
program).
• Number and percent of graduates
placed in employment or education (for
percentage calculation, numerator: the
number of participants who have
entered employment or enrolled in post
secondary education; denominator: the
number of graduates from the
Youthbuild program); and
• Number and percentage of
graduates who made literacy and
numeracy gains (measures the increase
in literacy and numeracy skills of
participants through a common
assessment tool administered at
program registration and regular
intervals thereafter); for percentage
calculation, numerator: the number of
Youthbuild program participants who
increase one or more education
functioning levels; denominator: the
number of Youthbuild program
participants who have completed a year
in the program).
• Efficiency or annual cost per
participant (numerator: grant amount;
denominator: number of Youthbuild
participants.)
An applicant should agree to
cooperate with any HUD-approved
evaluation by making staff available for
interview, providing lists of participants
and their contact information, and
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making available files under appropriate
assurance of confidentiality of records.
VI. Reviews and Selection Process
A. Rating and Ranking
1. General. To review and rate
applications, HUD may establish panels
including officials from other federal
agencies and outside experts or
consultants to obtain certain expertise
and other outside points of view.
2. Rating. All applications for funding
will be evaluated against the rating
factors described in Section V. of this
NOFA.
3. Ranking. Applications will be
ranked separately within each of the
three funding categories. Applications
will be selected for funding in
accordance with their rank order in each
category.
4. Eligibility for Selection. To be
eligible for funding, an application must
have an overall minimum score of 75
points, including a minimum score of
10 points in Factor 1. If two or more
applications are rated fundable and
have the same score, but there are
insufficient funds to fund all of them,
HUD will select the application(s) with
the highest score for Rating Factor 3
(Soundness of Approach). If two or
more applications still have the same
score, the highest score in the following
factors will be selected sequentially
until one highest score can be
determined: Rating Factor 1 (Capacity of
the Applicant and Relevant
Organization); Rating Factor 4
(Leveraging of Resources) and Rating
Factor 2 (Need/Extent of the Problem).
5. Adjustments to Funding. HUD
reserves the right to utilize this year’s
funding to fund previous years’ errors
prior to rating and ranking this year’s
applications. Any available funds that
remain after all applications within
funding range have been selected or
obligated will be reallocated between
categories 1 and 2 by rank order
between applications at the discretion of
the selecting official or designee.
Category 3 funds are appropriated as a
set-aside, and can not be reallocated.
6. Corrections to Deficient
Applications. The General Section
provides the procedures for corrections
to deficient applications.
B. Anticipated Announcement and
Award Dates. HUD anticipates making
award announcements no later than four
months after the application submission
deadline date.
VII. Award Administration Information
A. Award Notices
1. Notification of Approval or
Disapproval. HUD will notify you
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whether or not you have been selected
for an award. If you are selected, HUD’s
notice to you of the amount of the grant
award based on the approved
application will constitute HUD’s
CONDITIONAL approval, subject to
negotiation and execution of the grant
agreement by HUD.
2. Application Debriefing. Applicants
who wish to have a debriefing of their
application must send a written or email
request (see the General Section) to: Mr.
Mark A. Horwath, Director; Youthbuild
Program; Office of Economic
Development; Office of Community
Planning and Development; 451
Seventh Street, SW., Room 7149;
Washington, DC 20410–7000 or e-mail
address Mark_A._Horwath@hud.gov.
Debriefing information can be found in
the General Section of the SuperNOFA.
B. Administrative and National Policy
Requirements
1. Applicable OMB Circulars. Please
refer to the General Section for
information regarding applicable OMB
Circulars.
2. Applicable Executive Orders and
Statutes. Please note that Executive
Order 13202 may apply to your program
(see the General Section) and Section
6002 of the Solid Waste Disposal Act
covering the procurement of recovered
materials may also be applicable (see
the General Section.)
3. Executive Order 13166, Improving
Access To Services For Persons With
Limited English Proficiency (LEP).
Consistent with Executive Order 13166,
‘‘Improving Access to Services for
Persons with Limited Proficiency
(LEP),’’ issued on August 11, 2000, all
HUD recipients should take reasonable
steps to provide certain materials and
information available in languages other
than English. The determination as to
what materials, languages, and modes of
translation/interpretation services
should be used shall be based upon:
a. The specific needs and capabilities
of the LEP populations among the award
recipient’s program beneficiaries and
potential beneficiaries of assistance (e.g.
tenants, community residents,
counselees, trainees, etc.)
b. The recipient’s primary and major
program purposes;
c. Resources of the recipient and size
of the program; and
d. Local housing, demographic, and
community conditions and needs.
HUD’s LEP recipient Guidance has been
published in the Federal Register on
December 19, 2003 and further guidance
may be found at https://www.lep.gov.
4. Reporting Requirements:
a. Progress reports and Logic Model
reporting. Youthbuild grantees are
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required to submit progress reports to
the appropriate HUD field office in
accordance with 24 CFR Part 585.403,
using HUD Form 40201. Should you
receive a FY 2005 Youthbuild award,
you will be required to update your
Logic Model periodically, addressing
the time schedule, accomplishments to
date and results and submit it to HUD
in conjunction within the timeframes
established for the Youthbuild progress
reports.
b. Racial and Ethnic Data reporting.
HUD requires that funded recipients
collect racial data and ethnic beneficiary
data. It has adopted the Office of
Management and Budget’s Standards for
the Collection of Racial and Ethnic Data.
In view of these requirements, you
should use form HUD–27061, Racial
and Ethnic Data Reporting Form
(instructions for its use), found on
https://www.HUDclips.org., a comparable
program form, or a comparable
electronic data system for this purpose.
number 2506.0142. In accordance with
the Paperwork Reduction Act, HUD may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless the collection
displays a currently valid OMB control
number. Public reporting burden for the
collection of information is estimated to
average 45 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, semi-annual
reports, and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
VIII. Agency Contact(s)
For technical assistance in
downloading an application package
from Grants.gov/Apply, contact the
Grants.gov help desk at 800–518–Grants
or by sending an e-mail to
support@grants.gov.
For programmatic information
concerning the HUD Youthbuild
program, contact Ms. Phyllis Williams,
Community Planning and Development
Specialist; Office of Economic
Development; Office of Community
Planning and Development; U. S.
Department of Housing and Urban
Development; 451 Seventh Street, SW.,
Room 7149; Washington, DC 20410–
7000; telephone (202) 708–2035 (this is
not a toll-free number). Persons with
speech or hearing impairments may
access this number via TTY by calling
the toll-free Federal Information Relay
Service at 800–877–8339. Prior to the
application deadline, HUD’s staff will
be available to provide general guidance
on the application submission process
and location of information, but not
guidance in preparing your application.
A. Satellite Broadcast. HUD will hold
an information broadcast via satellite for
potential applicants to learn more about
the program and preparation of an
application. For more information about
the date and time of this broadcast, you
should consult the HUD Web site at
https://www.hud.gov.
B. Paperwork Reduction Act: The
information collection requirements
contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
(Exhibit 2C(15))
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Appendix A
Instructions for Completion of Youthbuild
Environmental Requirements
A. Instructions to Applicants
1. If you propose to use Youthbuild funds
to cover any costs of the lease, acquisition,
rehabilitation, or new construction or real
property, you shall submit all relevant
environmental information in your
application to support HUD decisionmaking
in accordance with the environmental
procedures and standards described in 24
CFR 585.307. For each proposed Youthbuild
property for which HUD environmental
procedures apply, you are to prepare a
separate Exhibit 2C(15) in which you supply
HUD with environmental threshold
information and letters from qualified data
sources (see definition below) which support
the information. HUD will review your
submission and determine how, if necessary,
HUD will comply with any federal laws and
authorities that may be applicable to your
property proposed for Youthbuild funding. If
environmental procedures apply and Exhibit
2C(15) with supporting documentation is not
included then the application will be deemed
ineligible.
You are to follow these instructions for
preparing Exhibit 2C(15). The instructions
advise you on how to obtain and document
certain information to be supplied to HUD in
this exhibit. Before selecting a property for
Youthbuild funding, you should read these
instructions and be advised that HUD
encourages you to select, to the extent
practicable, properties and locations that are
free of environmental hazards and problems
discussed in these instructions. The
responses to the environmental criteria in
Exhibit 2C(15) will be used to determine
environmental approval or disapproval by
HUD of proposals for physical development
of properties.
2. After selecting a property for proposed
Youthbuild funding, you are to determine the
activities to be undertaken with your
Youthbuild funds. You are to indicate in
Section E whether the Youthbuild funds will
be used for:
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a. Lease or purchase of a property;
b. Minor rehabilitation;
c. Major rehabilitation; or
d. New construction of housing.
The activities proposed for Youthbuild
funding will determine the kind of data that
you will need to obtain from a qualified data
source in order to complete Exhibit 2C(15).
3. Once you have selected a property and
determined the activities for Youthbuild
funding, you are advised to check with your
city or county agency that administers HUD’s
Community Development Block Grant
program and performs environmental
reviews, or the local planning agency. This
course of action is recommended in view of
the fact that most, if not all of the data
needed for preparing Exhibit 2C(15) is
readily available from the local community
development agency and the local planning
agency. You are advised to ask the
environmental staff of those agencies the
following questions:
a. Has the agency ever prepared an
environmental review of the proposed
Youthbuild property or the neighborhood in
which the property is located, and if so,
would it provide a copy to the applicant for
use by HUD;
b. Would the agency assist you in
completing section G; or if the agency is not
able to help complete any item in section G,
would the agency advise you which local or
state agency is the appropriate qualified data
source for obtaining the information.
Also, you should check with the local
planning agency before proceeding elsewhere
for the information.
You are advised that the cost of preparing
information and analyses needed for Exhibit
2C(15) is an eligible cost under the
Youthbuild program and is reimbursable if
you are approved for a grant.
4. Key terms used in these instructions are
defined in the following section. Most of the
other terms are technical and their definition
would be known to qualified data sources.
a. Qualified data source means any federal,
state, or local agency with expertise or
experience in environmental protection (e.g.,
the local community development agency;
the land planning agency; the state
environmental protection agency; the State
Historic Preservation Officer) or any other
source qualified to provide reliable
information on the particular subject. Please
attach a letter supporting the information
from each qualified data source to Exhibit
2C(15).
b. Minor rehabilitation refers to proposed
repairs and renovations to
(1) A building for residential use (with one
to four units):
(a) Where the density is not increased
beyond four units;
(b) Where the land use is not changed; and
(c) Where the footprint of the building is
not increased in a floodplain or in a wetland;
or
(2) A multifamily residential building
(with more than four units):
(a) Where the unit density is not changed
more than 20 percent;
(b) Where the land use is not changed to
non-residential; and
(c) Where the estimated cost of
rehabilitation is less than 75 percent of the
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total estimated cost of replacement after
rehabilitation.
c. Major rehabilitation refers to proposed
repairs and renovations to:
(1) An existing building for residential use
with one to four units:
(a) Where the density is increased beyond
four units;
(b) That involves changes in land use; or
(c) Where the footprint of the building is
increased in a floodplain or in a wetland.
(2) An existing multifamily building (with
five or more units):
(a) Where the estimated cost of the work
is 75 percent or more of the estimated cost
of replacement after completion;
(b) That involves changes in land use from
residential to nonresidential, or from
nonresidential to residential; or
(c) That increases unit density by more
than 20 percent.
d. Multifamily housing means any
residential building that contains five or
more apartments or rooming units.
e. Single family housing means any
residential building that contains one-to-four
dwelling units.
Because each federal environmental law or
authority has compliance requirements that
differ according to the type of proposed
activity to be funded, you are required to
supply information in Exhibit 2C(15) only for
the type of activity for which the Youthbuild
grant will be used.
f. If you propose new construction or major
rehabilitation of multifamily housing or
major rehabilitation of single family housing,
you must supply complete and reliable
environmental threshold information for
items 1 through 13 in section G.
g. If you propose new construction of
single family housing, you must supply
complete and reliable environmental
threshold information for items 1 through 12
in section G.
h. If you propose minor rehabilitation of
multifamily or single family housing, or the
purchase or lease of a property, you must
supply complete and reliable environmental
threshold information for items 1 through 7
in section G.
5. Applicants subject to HUD’s
environmental procedures are to submit
Exhibit 2C(15) and accompanying
documentation to HUD with the applications
for grant assistance. Such applicants are
prohibited from committing or expending
state, local, or other funds in order to
undertake property rehabilitation,
construction (including demolition), or
acquisition (including lease), until HUD and
the grantee execute a grant agreement for the
proposed Youthbuild project.
6. HUD reserves the right to disqualify any
application where one or more
environmental thresholds are exceeded if
HUD determines that the compliance review
cannot be conducted and satisfactorily
completed within the HUD review period for
Youthbuild applications.
B. Environmental Threshold and
Documentation Requirements
The threshold and documentation
requirements for each of the federal
environmental laws and authorities are
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described below, following the same order as
they appear in section G.
1. Site Within Designated Coastal Barrier
Resources
Threshold: Youthbuild applicants are
prohibited by federal law from using federal
financial assistance for properties if the
properties are located within designated
coastal barriers of the Atlantic Ocean, Gulf of
Mexico, and the Great Lakes (Coastal Barrier
Resources Act, 16 U.S.C. 3501).
* Documentation: You are to select either
A or B for the condition that best describes
the property and report the option selected
in item 1 of section G.
A. Your program operates in a community
that does not contain any shores along the
Atlantic Ocean, the Gulf of Mexico, or the
Great Lakes.
B. Your program operates in a community
that does contain shores along the Atlantic
Ocean, the Gulf of Mexico, or the Great
Lakes. You must provide HUD with a finding
made by a qualified data source stating that
the proposed property is not located within
a designated coastal barrier resource by citing
the map panel number of the official maps
issued by the Department of the Interior
(DOI) on the basis of which the finding was
made.
2. Site Contaminated With Toxic Chemicals
and Radioactive Materials
Threshold: Under HUD policy, as
described in 24 CFR 50.3 (i), HUD will not
approve the provision of financial assistance
to residential properties on sites where
contamination could affect the health and
safety of occupants or conflict with the
intended utilization of the property. Sites
known or suspected to be contaminated by
toxic chemicals or radioactive materials
include, but are not limited to, sites: (i) listed
on either an EPA Superfund National
Priorities List (NPL) or CERCLA
(Comprehensive Environmental Response,
Compensation, and Liability Act) List, or
equivalent state list; (ii) located within 3,000
feet of a hazardous or solid waste landfill
site; or (iii) with an underground storage tank
(which is not a residential fuel tank).
* Documentation: You are to select either
A or B for the condition that best describes
property and report the option selected in
item 2 of section G.
A. You are providing HUD with a finding
made by a qualified data source stating that
the proposed Youthbuild property and any
neighboring properties do not contain any
sites known or suspected to be contaminated
with toxic chemicals and radioactive
materials.
B. You are providing any site
contamination data by a qualified data source
in your letter for HUD’s evaluation of
contamination and/or suspicion of any
contamination of a proposed property or any
neighboring properties.
3. Site Affecting a Floodplain
Threshold: A property located within a
floodplain and proposed for funding is
subject to Executive Order 11988, Floodplain
Management. The Executive Order directs
HUD to avoid, where practicable, proposed
financial support for any floodplain property,
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whenever HUD has options to approve
properties in flood-free locations. The Order
does not apply to existing single family
properties proposed for purchase or lease
except for: (a) Property that is located within
a floodway or coastal high hazard area; and
(b) substantial improvement. Substantial
improvement for flood hazard purposes
means any property rehabilitation which: (i)
increases the unit density of the property; or
(ii) equals or exceeds 50 percent of the
market value of the property before
rehabilitation, but excluding the costs for
correcting health, sanitary, and safety code
violations. Note: Proposed funding for
substantial improvement and new
construction are subject to the Executive
Order decisionmaking process. This may
result in a disqualification of your
application (refer above to number 7 under
‘‘Instructions to Applicants’’).
* Documentation: You are to select A or B
for the condition that best describes your
property and report the option selected in
item 3 of section G.
A. You are providing HUD with a finding
made by a qualified data source stating that
the property is not located within the Special
Flood Hazard Area (SFHA).
B. You are providing HUD with a finding
made by a qualified data source that the
property is located within the Special Flood
Hazard Area (SFHA) and indicating if the
property is located within a floodway or
coastal high hazard area.
The information for A and B must provide
HUD with the flood map panel number
obtained either from the official maps issued
for the National Flood Insurance Program or
from the property appraisal report used to
make the finding.
For all proposed rehabilitation of
properties that are located within a SFHA,
you must provide HUD with estimates of: (1)
the property value before rehabilitation, and
(2) the cost of the proposed rehabilitation.
Provide the estimates in section F.
If the property is found to be located
within a SFHA, proceed to item 4 on flood
insurance protection. Otherwise proceed to
item 5.
4. Building Requiring Flood Insurance
Protection
Threshold: HUD will estimate the amount
and period of flood insurance coverage that
is to be made a condition of approval of any
HUD financial assistance for a building
located within a Special Flood Hazard Area
(SFHA). The Flood Disaster Protection Act of
1973 requires owners of HUD-assisted
buildings to purchase and maintain flood
insurance protection as a condition of
approval of any HUD financial assistance for
the proposed purchase, rehabilitation, or new
construction of any SFHA building. The law
prescribes the coverage period and dollar
amount of flood insurance protection.
Proof of Purchase of Flood Insurance
Protection: You must provide HUD with
proof of purchase of flood insurance
protection for any proposed Youthbuild
building located within the SFHA, whenever
HUD funding is being used for property
purchase, rehabilitation, or new construction.
The standard documentation for compliance
is the Policy Declarations form issued by the
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National Flood Insurance Program (NFIP) or
issued by any property insurance company
offering coverage under the NFIP. Whenever
the requirement applies to coverage that
extends to future years, the grant agreement
will require that the insured have its insurer
automatically forward to HUD, in the same
manner as to the insured, an information
copy of the Policy Declarations form, which
is used to verify compliance.
* Documentation: You are to select either
A or B for the condition that best describes
your property and report the option selected
in item 4 of section G.
A. You already own the property and
attach a copy of the Policy Declarations form
confirming that a current flood insurance
policy is in effect and the policy provides
adequate coverage for the building proposed
for the Youthbuild project located within the
Special Flood Hazard Area.
B. After you have purchased (or
constructed, in the case of proposed new
construction) the Youthbuild property, you
must obtain and maintain flood insurance
protection. For the term and amount of
coverage prescribed by law, you must
provide HUD with a copy of the Policy
Declarations form confirming that the flood
insurance policy is in effect and the policy
provides adequate coverage for the
Youthbuild building located within the
Special Flood Hazard Area.
5. Site Within Clear Zones or Accident
Potential Zones of Airports and Airfields
Threshold: HUD policy as described in 24
CFR part 51, subpart D applies to HUD
approval of financial assistance to: (a)
properties located within clear zones; and (b)
in the case of new construction or major
rehabilitation, properties located within
accident potential zones.
(a) Clear zones: New construction and
major rehabilitation of a property that is
located on a clear zone site is prohibited.
HUD financial assistance in a clear zone is
allowed only for the proposed lease,
purchase, or minor rehabilitation of
properties (24 CFR 51.302(a)). For HUD
funding approval for any property in a clear
zone: (a) HUD will give advance written
notice to the prospective property buyer in
accord with 24 CFR 51.303(a)(3); and (b) a
copy of the HUD notice signed by the
prospective property buyer will be placed in
the property file. The written notice informs
the prospective property buyer of: (i) the
potential hazards from airplane accidents,
which studies have shown more likely to
occur within clear zones than in other areas
around the airport/airfield; and (ii) the
potential acquisition by airport or airfield
operators, who may wish to buy the property
at some future date as part of a clear zone
acquisition program.
(b) Accident potential zones: For properties
located within the accident potential zone
(APZ), HUD shall determine whether the use
of the property is generally consistent with
Department of Defense ‘‘Land Use
Compatibility Guidelines for Accident
Potential Zones.’’
* Documentation: You are to select either
A or B for the condition that best describes
your property and report the option selected
in item 5 of section G.
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A. The property is not located within 3,000
feet of a civil airport or military airfield.
B. If your property is located within 3,000
feet of a civil airport or military airfield, you
must provide HUD with a finding from the
airport operator stating whether or not the
property is located within a runway clear
zone at a civil airport, or a clear zone or
accident potential zone at a military airfield.
For properties that are located within a
runway clear zone or a clear zone or accident
potential zone, if you propose to rehabilitate
such a property you must provide HUD with
estimates of: (i) the cost of the proposed
rehabilitation, and (ii) the property value
after completion of the rehabilitation. The
estimates are to be provided in section F.
6. Site Is or Affects an Historic Property
Threshold: Only if a property is proposed
for rehabilitation or new construction must
HUD in consultation with the State Historic
Preservation Officer (SHPO), and following
the Department of the Interior’s Standards
and Guidelines for Evaluation, make a
determination whether the property is:
a. Listed on or formally determined to be
eligible for listing on the National Register of
Historic Places;
b. Located within or directly adjacent to an
historic district; or
c. A property whose area of potential
effects includes an historic district or
property.
Historic properties and districts are subject
by law to special protection and historic
preservation processing, which HUD must
perform to comply with the regulations of the
Advisory Council on Historic Preservation
(ACHP: 36 CFR part 800). Note: If you are
using information from the SHPO as a
qualified data source you need to allow
sufficient time to obtain the information from
the SHPO. You may wish to make special
arrangements with the SHPO for rapid review
of the proposed property where this is
practicable. In addition, for properties
determined to be historic properties, HUD
will require 30 to 90 days in most cases for
HUD to perform historic preservation
compliance with the ACHP regulations. This
may result in a disqualification of the
application (refer above to number 7 under
‘‘Instructions to Applicants’’).
* Documentation: You are to select one of
the following options that best describes the
condition of your property and report the
option selected in item 6 of section G.
A. You propose financial assistance for
rehabilitation or new construction, and are
providing HUD with a SHPO’s finding that
the proposed Youthbuild activity:
1. Is located within an area where there are
no historic properties; or
2. Will have no effect on historic
properties; or
3. Will have an effect on historic properties
not considered adverse
B. You propose financial assistance for
rehabilitation or new construction, and are
providing HUD with a SHPO’s finding that
the proposed Youthbuild activity will have
an adverse effect on historic properties.
C. You are providing HUD with a copy of
a letter from the SHPO stating any reason for
not being able to provide you with the
requested information and finding.
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7. Site Near Hazardous Industrial Operations
Threshold: Properties that are located near
hazardous industrial operations handling
fuels or chemicals of an explosive or
flammable nature are subject to HUD safety
standards (24 CFR 51, subpart C). However,
under the Youthbuild program, these
standards would apply only if you propose:
(a) Construction of a building; (b) conversion
of a non-residential land use to a residential
land use including making habitable a
building condemned for habitation; or (c)
rehabilitation that increases the density of a
residential structure by increasing the
number of dwelling or rooming units. In the
case of tanks containing common liquid
fuels, the requirement for an acceptable
separation distance (ASD) calculation only
applies to storage tanks that have a capacity
of more than 100 gallons.
* Documentation: You are to select one of
the following options that best describes the
condition of the property, and report the
option selected in item 7 of section G.
A. The proposed project does not include:
(1) Construction of a building; (2) conversion
of a non-residential land use to a residential
land use including making habitable a
building condemned for habitation; or (3)
rehabilitation that increases the density of a
residential structure by increasing the
number of dwelling or rooming units.
B. The proposed project includes: (1)
Construction of a building; (2) conversion of
a non-residential land use to a residential
land use including making habitable a
building condemned for habitation; or (3)
rehabilitation that increases the density of a
residential structure by increasing the
number of dwelling or rooming units; and
you are providing HUD with a finding by a
qualified data source that the proposed
property is not located within the immediate
vicinity of hazardous industrial operations
handling fuel or chemicals of an explosive or
flammable nature by citing data used and the
maps used.
C. The applicant proposes: (1) Construction
of a building; (2) conversion of a nonresidential land use to a residential land use
including making habitable a building
condemned for habitation; or (3)
rehabilitation that increases the density of a
residential structure by increasing the
number of dwelling or rooming units. The
grantee provides HUD a finding made by a
qualified data source stating: (1) That the
proposed property is located within the
immediate vicinity of hazardous industrial
operations handling fuel or chemicals of an
explosive or flammable nature; (2) the type
and scale of such hazardous industrial
operations; (3) the distance of such
operations from the proposed property; (4) a
preliminary calculation of the acceptable
separation distance (ASD) between such
operations and the proposed property; and
(5) a recommendation as to whether it is safe
to use the property in accord with 24 CFR
part 51, subpart C.
8. Site Near High Noise Source
Threshold: For new construction that is to
occur in high noise areas (i.e., exceeding 65
decibels), applicants shall incorporate noise
attenuation features to the extent required by
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HUD environmental criteria and standards
contained in subpart B (Noise Abatement and
Control) of 24 CFR part 51. Approvals in a
Normally unacceptable noise zone require a
minimum of 5 decibels additional sound
attenuation for buildings having noisesensitive uses if the day-night average sound
level is greater than 65 decibels but does not
exceed 70 decibels, or a minimum of 10
decibels of additional sound attenuation if
the day-night average sound level is greater
than 70 decibels but does not exceed 75
decibels.
Proposed housing sites with above 75
decibels are unacceptable and the noise
attenuation measures require the approval of
the Assistant Secretary for Community
Planning and Development. In Unacceptable
noise zones, HUD strongly encourages
conversion of noise-exposed sites to nonhousing land uses compatible with the high
noise levels.
For major rehabilitation projects involving
five or more dwelling units located in the
‘‘Normally Unacceptable’’ and
‘‘Unacceptable’’ noise zones, HUD actively
seeks to have project sponsors incorporate
noise attenuation features, given the extent
and nature of the rehabilitation being
undertaken and the level of exterior noise
exposure.
*Documentation: You are to select A or B
for the condition that best describes their
project and report the option selected in item
8 of section G.
A. You are providing HUD with a finding
made by a qualified data source stating that
the property proposed by the applicant for a
major rehabilitation or new construction
project involving five or more dwelling units
is not located within: (1) 1,000 feet of a major
noise source, road, or highway; (2) 3,000 feet
of a railroad; or (3) 1 mile of a civil or 5 miles
of a military airfield.
B. The applicant provides HUD with a
finding made by a qualified data source: (1)
stating that the plans for the property
proposed by the applicant for a major
rehabilitation or new construction project
involving five or more dwelling units will
incorporate noise attenuation features in
accord with HUD environmental criteria and
standards contained in subpart B (Noise
Abatement and Control) of 24 CFR part 51;
(2) stating whether the property is located
within a ‘‘Normally Unacceptable’’ or
‘‘Unacceptable’’ noise zone; and (3)
providing HUD plans and a statement of the
anticipated interior noise levels.
9. Site Affecting Coastal Zone Management
Threshold: Only for proposed activities
involving new construction or major
rehabilitation of multifamily housing does
the Coastal Zone Management (CZM)
authority apply. Projects that can affect the
coastal zone must be carried out in a manner
consistent with the approved state coastal
zone management program under section 307
of the Coastal Zone Management Act of 1972,
as amended.
*Documentation: You are to select either A
or B for the condition that best describes the
project and report the option selected in item
9 of section G.
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A. You state that your project is not located
within a coastal zone, as defined by the
States Coastal Zone Management Plan.
B. If your project is located within a coastal
zone, you are providing HUD with a finding
made by the state coastal zone management
agency that the project proposed by the
applicant is consistent with the approved
state coastal zone management program.
10. Site Affecting a Sole Source Aquifer
Threshold: The sole source aquifer
authority applies primarily to activities
involving proposed new construction or
conversion to housing of non-residential
property. Projects that can affect aquifers
designated by the Environmental Protection
Agency (EPA) must be reviewed for impact
on such designated aquifer sources. The Safe
Drinking Water Act of 1974 requires
protection of drinking water systems that are
the sole or principal drinking water source
for an area and which, if contaminated,
would create a significant hazard to public
health.
*Documentation: You are to select either A
or B for the condition that best describes the
project and report the option selected in item
10 of section G.
A. You are providing HUD with a finding
made by a qualified data source stating that
the proposed property is not located on nor
does it affect a sole source aquifer designated
by EPA.
B. If your project proposes new
construction or conversion activities that are
located on or may affect any sole source
aquifer designated by the EPA, you are
identifying the aquifer and providing HUD
with an explanation of the effect on the
aquifer from a qualified data source, and/or
a copy of any comments on the proposed
project that have been received from the EPA
Regional Office as well as from any state or
local agency with jurisdiction for protecting
the drinking water system.
11. Site Affecting Endangered Species
Threshold: The Endangered Species
Protection (ESP) authority applies primarily
to activities involving proposed new
construction or conversion to housing of a
non-residential property. Projects which can
affect listed or proposed endangered or
threatened species or critical habitats require
consultation with the Department of the
Interior or the Department of Commerce in
compliance with the procedure of section 7
of the Endangered Species Act of 1973, as
amended.
*Documentation: You are to select either A
or B for the condition that best describes the
property and report the option selected in
item 11 of section G.
A. If your project proposes new
construction or conversion activities, you are
providing HUD with a finding made by a
qualified data source that the project is not
likely to affect any listed or proposed
endangered or threatened species or critical
habitat. The finding shall indicate whether
the project is located within a critical habitat,
and if so, explain why the project is not
likely to affect the species or habitat.
B. If your project proposes new
construction or conversion activities that are
likely to affect listed or proposed endangered
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or threatened species or critical habitat, you
are providing HUD with a statement from a
qualified data source explaining the likely
effect, and/or a finding made by the Fish and
Wildlife Service of the Department of the
Interior or the National Marine Fisheries
Service of the Department of Commerce
stating as acceptable the proposed mitigation
that you will provide to protect any affected
endangered or threatened species or critical
habitat.
12. Site Affecting a Designated Wetland
Threshold: New construction or conversion
to housing of a non-residential property
located within a designated wetland is
subject to Executive Order 11990, Protection
of Wetlands. This Executive Order directs
HUD to avoid, where practicable, financial
support for new construction on wetland
property. Note: Proposed funding for new
construction or conversion is subject to the
Executive Order decisionmaking process.
This may result in a disqualification of the
application (refer above to number 7 under
‘‘Instructions to Applicants’’).
*Documentation: You are to select A or B
for the condition that best describes the
property and report the option selected in
item 12 of section G.
A. You are providing HUD with a finding
made by a qualified data source stating that
the property is not located within a
designated wetland where new construction
or conversion is proposed.
B. You are providing HUD with a finding
made by a qualified data source that the
property is located within a designated
wetland, which applies only to property
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where new construction or conversion is
proposed.
The information for A and B must provide
HUD with the wetland panel number
obtained from official maps issued by the
Department of the Interior on the basis of
which the finding was made, or where the
Department of the Interior has not mapped
the area, a letter or other documentation from
the Army Corps of Engineers, or other federal
agency.
13. Significant Impact to the Human
Environment.
Threshold: HUD must perform an
environmental assessment of any property
proposed for either:
a. Major rehabilitation of:
(1) Multifamily residential buildings (with
more than four units) that would: increase
unit density by more than 20 percent, change
the land use, or cost 75 percent or more of
the total estimated cost of replacement after
rehabilitation; or
(2) Buildings for residential use (with one
to four units) that would increase density
beyond four units, change the land use, or
increase the footprint of the building in a
floodplain or in a wetland;
b. New construction except for (A) an
individual action on up to four dwelling
units where there is a maximum of four units
on any one site (The units can be four oneunit buildings or one four-unit building or
any combination in between); and (B) an
individual action on a project of five or more
housing units developed on scattered sites,
when the sites are more than 2,000 feet apart
and there are not more than four housing
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units on any one site. It is the policy of the
Department to reject proposals that have
significant adverse environmental impacts
and to encourage the modification of projects
in order to enhance environmental quality
and minimize environmental harm. This
policy is authorized by the National
Environmental Policy Act (NEPA) and the
implementing regulations of the Council on
Environmental Quality and HUD’s
Environmental regulations at 24 CFR part 50.
*Documentation: You are to provide HUD
with any information on any adverse
environmental impacts that affect the
property or that the project would create.
You are to report these data on a separate
sheet and attach it to Exhibit 2C(15).
Examples of adverse impacts are: soil
instability and erodibility; natural or personmade hazards and nuisances; air pollution;
inadequate infrastructure (e.g., water supply,
waste water treatment, storm water
management, solid waste collection),
inadequate public services (i.e., fire, police,
health care, social services, schools, parks)
and transportation; and encroachment on
prime farmlands and wild and scenic river
areas. You are to identify any significant
impacts to the human environment.
APPENDIX B
The following non-standard forms are
required for your Youthbuild application.
The Youthbuild forms were approved under
OMB Approval No. 2506–0142 (expiration
12/31/06).
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Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 / Notices
Housing Choice Voucher Family SelfSufficiency Program Coordinators
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Public and Indian Housing,
Office of Public Housing and Voucher
Programs.
B. Funding Opportunity Title:
Housing Choice Voucher Family SelfSufficiency (FSS) Program Coordinators.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number for this NOFA
is FR–4950–N–17. The OMB approval
number for this program is 2577–0178.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: 14.871,
Section 8 Housing Choice Vouchers.
F. Dates: Application Deadline: The
application submission date is May 20,
2005. Please see the General Section for
application submission, delivery, and
timely receipt requirements.
G. Optional, Additional Overview
Content Information: The purpose of the
Housing Choice Voucher FSS program
is to promote the development of local
strategies to coordinate the use of
assistance under the Housing Choice
Voucher program with public and
private resources to enable participating
families to achieve economic
independence and self-sufficiency. The
FSS program and this FSS NOFA
support the Department’s strategic goals
of increasing homeownership activities
and helping HUD-assisted renters make
progress toward self-sufficiency. The
FSS program provides critical tools that
can be used by communities to support
welfare reform and help families
develop new skills that will lead to
economic self-sufficiency. As a result of
their participation in the FSS program,
many families have achieved stable,
well-paid employment, which has made
it possible for them to become
homeowners. An FSS program
coordinator assures that program
participants are linked to the supportive
services they need to achieve selfsufficiency.
Full Text of Announcement
I. Funding Opportunity Description
A. Authority and Program
Description. The Consolidated
Appropriations Act, 2005, allows
funding for program coordinators under
the Housing Choice Voucher FSS
program. Through annual NOFAs, HUD
has provided funding to public housing
agencies (PHAs) that are operating
Housing Choice Voucher FSS programs
to enable those PHAs to employ
program coordinators to support their
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Housing Choice Voucher FSS programs.
In the Fiscal Year (FY) 2005 Housing
Choice Voucher FSS Program
Coordinator NOFA, HUD is again
making funding available to PHAs to
employ FSS program coordinators and
FSS homeownership program
coordinators for one year. Funding
priority under this NOFA will be
provided to applicants that demonstrate
that their FSS families have made
progress in moving to homeownership.
HUD will accept applications from both
new and renewal PHAs that have HUD
approval to administer a Housing
Choice Voucher FSS program. PHAs
funded under the Housing Choice
Voucher FSS NOFA in FY2004 are
considered ‘‘renewal’’ PHAs in this
NOFA. These renewal PHAs are invited
to apply for funds to continue
previously funded Housing Choice
Voucher FSS program coordinator and
FSS homeownership coordinator
positions that they have filled. In
addition, any renewal PHA that has
demonstrated significant progress in
expanding FSS homeownership
opportunities may apply for an
additional Housing Choice Voucher FSS
homeownership coordinator to support
Housing Choice Voucher FSS
homeownership activities. For funding
Category 1 of this NOFA only, eligible
renewal PHA applicants include PHAs
that received funding under the FY2003
FSS NOFA.
Because of the importance of the FSS
program in helping families increase
earned income and develop assets, HUD
will also accept applications from
‘‘new’’ PHAs, PHAs that do not qualify
as renewal PHAs under this FSS NOFA.
The maximum number of positions that
a new applicant PHA, including new
PHA joint applicants, may receive is one
full-time FSS program coordinator.
Preference in funding these ‘‘new’’
applicant PHAs will be given to
applicants with documented home
purchases by Housing Choice Voucher
program participants and graduates. A
definition of the Housing Choice
Voucher Home Purchase Percentage that
will be used for this preference is found
in I.C.10 of this FSS NOFA.
To support the Department’s
initiatives on Colonias, a selection
preference is again included in this
NOFA for ‘‘new’’ applicant PHAs that
provide services and support to rural
under-served communities in the
Southwest Border regions of Arizona,
California, New Mexico, and Texas. See
Section III.C.3.c. of this NOFA for
requirements that must be met to qualify
for the Colonias preference.
PHAs are encouraged to outreach to
persons with disabilities who are
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Housing Choice Voucher program
participants and might be interested in
participating in the FSS program and to
include agencies on their FSS Program
Coordinating Committee (PCC) that
work with and provide services for
families with disabilities.
Applicants must administer the FSS
program in accordance with HUD
regulations and requirements in 24 CFR
part 984 which govern the Housing
Choice Voucher FSS Program and must
comply with the existing Housing
Choice Voucher program requirements,
notices and guidebooks.
B. Number of Positions for Which
Eligible PHAs May Apply. Eligible PHAs
may apply for funding for Housing
Choice Voucher FSS program
coordinator positions under this NOFA
as follows:
1. Renewal PHAs. PHAs that qualify
as eligible renewal PHAs under this
NOFA, may apply for:
a. Continuation of each FSS
coordinator position, including
homeownership coordinator positions,
awarded under the Housing Choice
Voucher FSS NOFA in FY2004 that has
been filled by the PHA, and, for funding
Category 1 of this NOFA only,
continuation of eligible positions
funded under the FY2003 FSS NOFA.
b. New Position. Up to one additional
full-time Housing Choice Voucher FSS
homeownership program coordinator
for renewal PHAs with qualifying
homeownership programs.
2. New PHAs. A PHA that meets the
requirements for a new PHA under this
FSS NOFA, may apply for Housing
Choice Voucher FSS program
coordinator positions as follows: a) Up
to one full-time Housing Choice
Voucher FSS coordinator position for a
PHA with HUD approval to administer
a Housing Choice Voucher FSS program
of 25 or more FSS slots. b) Up to one
full-time Housing Choice Voucher FSS
coordinator position per application for
joint PHA applicants that together have
HUD approval to administer a total of at
least 25 Housing Choice Voucher FSS
slots.
C. Definitions. The following
definitions apply to the funding
available under this NOFA.
1. Renewal PHA Applicant. A PHA or
PHAs that received funding under the
Housing Choice Voucher FSS NOFA in
FY2004. For purposes of Category 1
applicants only, eligible renewal PHAs
also include PHAs that received FSS
funding in 2003.
2. New PHA Applicant. PHAs that did
not receive funding under the Housing
Choice Voucher FSS NOFA in FY2004
that have HUD approval to administer a
Housing Choice Voucher FSS program
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of at least 25 slots or that fulfill the 25
slot minimum by applying jointly with
one or more other PHAs.
3. FSS Program Size. The total
number of Housing Choice Voucher FSS
program slots identified in the PHA’s
HUD-approved FSS Action Plan. The
total may include both voluntary and
mandatory Housing Choice Voucher
FSS program slots.
4. Qualifying FSS Homeownership
Program. Qualifying programs include
the Housing Choice Voucher program
homeownership option or other
programs administered by the PHA or
other entities that prepare Housing
Choice Voucher program FSS
participants for making the transition
from renting to homeownership.
5. FSS Homeownership Percentage. A
percentage that will be computed by
HUD for the purpose of establishing the
order of funding of eligible renewal
applicants under this NOFA. It is the
total number of an applicant’s Housing
Choice Voucher FSS homeownership
families as a percentage of the PHA’s
Housing Choice Voucher FSS program
participants.
6. Total Number of FSS
Homeownership Families. The total
number of Housing Choice Voucher FSS
homeownership families enrolled in the
applicant’s Qualifying Homeownership
Programs as of the application due date
of this NOFA, plus the number of its
Housing Choice Voucher FSS graduates
that moved to homeownership between
October 1, 2000, and the application
due date of this NOFA. Homeownership
participation of families is reported to
HUD on the FSS program coordinator
application and on the form HUD–
50058. These numbers are subject to
audit.
7. The Number of Housing Choice
Voucher FSS Program Participants. The
number that is used to calculate the FSS
Homeownership Percentage of the
applicant. It is the total number of
families shown in HUD’s PIC data
system as enrolled in the applicant’s
Housing Choice Voucher FSS program
on the application due date of this
NOFA, plus the number of families that
successfully completed their Housing
Choice Voucher FSS contracts in the
applicant’s program between October 1,
2000, and the application due date of
this NOFA.
8. Percentage of Families with Positive
FSS Escrow Balances. A percentage that
will be computed by HUD and used to
determine funding order under this
NOFA. It is the number of Housing
Choice Voucher FSS families with
positive escrow balances as a percentage
of Housing Choice Voucher FSS families
with FSS progress reports submitted to
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HUD on the Form HUD–50058. The data
source is HUD’s PIC data system records
of Form HUD–50058 Housing Choice
Voucher FSS program progress reports
that were effective between October 1,
2003, and the application due date of
this NOFA.
9. Housing Choice Voucher Program
Size. The number of Housing Choice
Vouchers in a PHA’s voucher program
as determined by HUD using baseline
data.
10. Housing Choice Voucher Program
Home Purchase Percentage. A
percentage calculated for new applicant
PHAs that are eligible for funding under
Category 3 of this FSS NOFA. It is the
number of documented home purchases
by Housing Choice Voucher program
participants and graduates for the
period from October 1, 2000 through the
application due date of this NOFA as a
percentage of the applicant’s Housing
Choice Voucher program size.
II. Award Information
A. Available Funds
This NOFA announces the availability
of approximately $45.6 million in
FY2005 to employ FSS program and
FSS homeownership coordinators for
the Housing Choice Voucher FSS
program. If additional funding becomes
available during FY2005, HUD may
increase the amount available for
Housing Choice Voucher FSS Program
coordinators and Housing Choice
Voucher FSS homeownership
coordinators under this NOFA. A
maximum of $63,000 is available for
each full-time coordinator position
funded. Salaries are to be based on local
comparables. The funding will be
provided as a one-year Housing Choice
Voucher funding increment under the
PHA’s Annual Contributions Contract
(ACC). HUD reserves the right to adjust
funding for renewal positions in order
to ensure a fair and reasonable
distribution of funding.
III. Eligibility Information
A. Eligible Applicants. PHAs eligible
to apply for funding under this NOFA
are:
1. Renewal PHAs. Those PHAs that
received funding under the Housing
Choice Voucher FSS NOFA in FY2004.
To continue to qualify as renewal PHAs,
the FY2005 application of joint
applicants must include at least one
PHA applicant that meets this standard.
Joint applicants can change the lead
PHA in their FY2005 application. A
PHA that was originally funded as part
of a joint application, that wishes to
now apply separately would continue to
be considered a renewal PHA applicant
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for funding purposes, but must be able
to meet the FSS minimum program size
requirement of a HUD-approved
Housing Choice Voucher FSS program
of at least 25 slots that applies to new
applicant PHAs. For purposes of
Category 1 applicants only, eligible
renewal PHAs also include PHAs that
received FSS funding in 2003.
2. New PHAs. PHAs that were not
funded under the Housing Choice
Voucher FSS NOFA in FY2004. The
new applicant PHA must be authorized
through its HUD-approved FSS Action
Plan to administer a Housing Choice
Voucher FSS program of at least 25
slots, or be a PHA with HUD approval
to administer Housing Choice Voucher
FSS programs of fewer than 25 slots that
applies jointly with one or more other
PHAs so that together they have HUD
approval to administer at least 25
Housing Choice Voucher FSS slots. Joint
applicants must specify a lead coapplicant that will receive and
administer the FSS program coordinator
funding.
3. Moving to Work (MTW) PHAs. New
and renewal PHAs that are under the
MTW demonstration may qualify for
funding under this NOFA if the PHA
administers an FSS program. When
determining the size of a MTW PHA’s
HUD-approved FSS program, the PHA
may request that the number of FSS
slots reflected in the PHA’s MTW
agreement be used instead of the
number in the PHA’s FSS Action Plan.
4. Troubled PHAs. a. A PHA that has
been designated by HUD as a troubled
PHA under the Section 8 Management
Assessment Program (SEMAP), or that
has serious program management
findings from Inspector General audits
or serious outstanding HUD
management review or Independent
Public Accountant (IPA) audit findings
for the PHA’s Housing Choice Voucher
or Moderate Rehabilitation programs
that are resolved prior to application
due date is eligible to apply under this
NOFA. Serious program management
findings are those that would cast doubt
on the capacity of the PHA to
administer its Housing Choice Voucher
FSS program in accordance with
applicable HUD regulatory and statutory
requirements.
b. The requirements that apply to a
PHA whose SEMAP troubled
designation has not been removed by
HUD or the major program management
findings or other significant program
compliance problems that have not been
resolved by the due date are stated in
Section III.C.3.e. of this NOFA.
B. Cost Sharing or Matching. None
required.
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C. Other. 1. Eligible Activities. Funds
awarded to PHAs under this FSS NOFA
may only be used to pay salaries and
fringe benefits of Housing Choice
Voucher FSS program staff. Funding
may be used to employ or otherwise
retain for one year the services of
Housing Choice Voucher FSS program
coordinators and Housing Choice
Voucher FSS homeownership
coordinators. FSS coordinator support
positions funded under previous FSS
NOFAs that made funding available for
such FSS positions may be continued. A
part-time program coordinator may be
retained where appropriate.
2. Threshold Requirements. a. All
Applicants.
(1) Each applicant must qualify as an
eligible PHA under Section III.A. of this
NOFA and must have submitted their
FSS application by the application due
date and in the format required in
Section IV. of this NOFA.
(2) All applications must include a
Dun and Bradstreet Universal
Numbering System (DUNS) number.
(See Section III.C. of the General Section
for further information about the DUNS
number requirement.)
(3) Civil Rights Thresholds, Nondiscrimination, Affirmatively Furthering
Fair Housing. All applicants must
comply with these requirements. Please
see Section III.C. of the General Section
for details. Section 3 of the Housing and
Urban Development Act of 1968 does
not apply to this program.
(4) The PHA must have a financial
management system that meets federal
standards. See Section III.C. of the
General Section regarding those
applicants that may be subject to HUD’s
arranging for a pre-award survey of an
applicant’s financial management
system.
(5) Applicants must comply with the
requirements for funding competitions
established by the HUD Reform Act of
1989 (42 U.S.C. 3531 et seq.) and other
requirements as defined in the General
Section.
b. Renewal Applicants. (1) Continued
funding for existing coordinator
positions. In addition to meeting the
requirements of Section III.A.of this FSS
NOFA, renewal PHA applicants must
continue to operate a Housing Choice
Voucher FSS program, have filled
eligible FSS program coordinator
positions for which they are seeking
renewal funding, executed FSS
contracts of participation with Housing
Choice Voucher FSS program families
and submitted reports on participant
families to HUD via the form HUD–
50058.
(2) New position. Renewal PHAs
applying for an additional Housing
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Choice Voucher FSS Homeownership
Coordinator must meet all requirements
in Section III.A. and III.C.2.a and b.
above, and must administer or
participate in a qualifying
homeownership program that serves
Housing Choice Voucher FSS program
participants or graduates. Qualifying
homeownership programs include the
Housing Choice Voucher program
homeownership option and other
programs, which may be administer by
the PHA or another entity, that prepare
Housing Choice Voucher program FSS
participants for making the transition
from rental to homeownership.
c. New Applicants. New applicants
must meet the requirements of Section
III.A. and Section III C.2.a of this FSS
NOFA.
3. Program Requirements. a. Salary
Comparables. For all positions
requested under this NOFA, evidence of
salary comparability to similar positions
in the local jurisdiction must be kept on
file in the PHA office.
b. FSS Action Plan. The requirements
for the FSS Action Plan are stated in 24
CFR 984.201. For a new PHA applicant
to qualify for funding under this NOFA,
the PHA’s initial FSS Action Plan or
amendment to change the number of
Housing Choice Voucher FSS slots in
the PHA’s previously HUD-approved
FSS Action Plan, must be submitted to
and approved by the PHA’s local HUD
field office prior to the application due
date of this FSS NOFA. An FSS Action
Plan can be updated by means of a
simple one-page addendum that reflects
the total number of Housing Choice
Voucher FSS slots (voluntary and /or
mandatory slots) the PHA intends to fill.
New PHA applicants with previously
approved Housing Choice Voucher FSS
Action Plans may wish to confirm the
number of HUD-approved slots their
local HUD field office has on record for
the PHA. A MTW PHA may request that
the number of FSS slots reflected in its
MTW agreement be used instead of the
number of slots in the PHA’s FSS
Action Plan.
c. Colonias Preference. New applicant
PHAs claiming the Colonias preference
must meet the requirements of Section
III.A. and Section III.C.2.a and III.C.2.c.
of this FSS NOFA and must operate in
a Southwest border area that contains
Colonia communities and administer
programs that include outreach to
members of those Colonia communities.
Attachment A of this NOFA provides a
listing of PHAs in Arizona, California,
New Mexico, and Texas that HUD has
identified as operating in areas
containing Colonia communities. PHAs
not listed in Attachment A that are
claiming the Colonias preference will be
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required to include in their application
submission a written request that HUD
determine their eligibility for the
preference.
d. Homeownership Preferences. See
priority funding categories in Section
V.B.2. of this FSS NOFA.
e. Troubled PHAs. A PHA whose
SEMAP troubled designation has not
been removed by HUD or that has major
program management findings or other
significant program compliance
problems that have not been resolved by
the application due date, may apply if
the PHA submits an application that
designates another organization or
entity that is acceptable to HUD that:
(1) Includes an agreement by the other
organization or entity to administer the
FSS program on behalf of the PHA; and
(2) In the instance of a PHA with
unresolved major program management
findings, includes a statement that
outlines the steps the PHA is taking to
resolve the program findings.
Immediately after the publication of
this NOFA, the Office of Public Housing
in the local HUD field office will notify,
in writing, those PHAs that have been
designated by HUD as troubled under
SEMAP, and those PHAs with
unresolved major program management
findings or other significant program
compliance problems that are not
eligible to apply without such an
agreement. Concurrently, the local HUD
field office will provide a copy of each
such written notification to the Director
of the Grants Management Center.
f. Conducting Business in Accordance
with Core Values and Ethical Standards.
To reflect core values, all PHAs shall
develop and maintain a written code of
conduct in the PHA administrative plan
that:
(1) Requires compliance with the
conflict of interest requirements of the
Housing Choice Voucher Program at 24
CFR 982.161; and
(2) Prohibits the solicitation or
acceptance of gifts or gratuities, in
excess of a nominal value, by any officer
or employee of the PHA, or any
contractor, subcontractor, or agent of the
PHA. The PHA’s administrative plan
shall state PHA policies concerning
PHA administrative and disciplinary
remedies for violation of the PHA code
of conduct. The PHA shall inform all
officers, employees, and agents of its
organization of the PHA’s code of
conduct.
IV. Application and Submission
Information
A. Addresses to Request Application
Package
1. Web site. A copy of this funding
announcement for the Housing Choice
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Voucher FSS Program may be
downloaded from the following web
site: https://www.grants.gov.
2. Application Kit. There is no
application kit for this NOFA. This
announcement contains all the
information necessary for the
submission of your application for
Housing Choice Voucher FSS program
coordinator funding.
3. Further Information. You may
request general information, copies of
the General Section and of a Program
NOFA or NOFAs, from the NOFA
Information Center (800–HUD–8929) or
800–HUD–2209 (TTY) between the
hours of 10 a.m. and 6:30 p.m. (Eastern
Time) Monday through Friday, except
on federal holidays. When requesting
information, please refer to the name of
the program you are interested in. The
NOFA Information Center opens for
business simultaneously with the
publication of the SuperNOFA. You can
also obtain information on this NOFA
and download application information
for this NOFA through the web site,
https://www.grants.gov.
4. Technical Assistance. See Section
VII. of this FSS funding announcement.
B. Content and Form of Application
Submission
1. Content of Application. Each new
and renewal PHA must complete the
form SF–424, the SF–LLL, if
appropriate, and the Form HUD–52651,
the new FSS application form. In
addition, the application must include a
completed Logic Model (from HUD
96010) showing proposed performance
measures. See the General Section for
information on, and a copy of, the Logic
Model. A copy of the HUD–52651
follows immediately after Attachment A
of this NOFA. In completing the SF–
424, renewal PHAs should select the
continuation box on question 8, type of
application. Both new and renewal PHA
applicants should enter the proposed
Annual Contributions Contract (ACC)
amendment effective and ending dates
for the FSS coordinator funding in 13 of
the SF–424. In section 15 of SF–424,
estimated funding, complete only 15.a.,
which will be the amount requested
from HUD in the FY2005 FSS
application, and 15.g., Total.
2. Forms, Certifications, and
Assurances. See section IV.B. of the
General Section.
C. Submission Date and Time
Your completed application must be
submitted and received by Grants.gov
no later than 11:59:59 p.m. eastern time
on the application submission date of
May 20, 2005. Applicants should
carefully read the section titled
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‘‘APPLICATION and SUBMISSION
INFORMATION’’ in part IV. of the
General Section regarding HUD’s
procedures pertinent to the submission
of your application as they have
changed significantly this year.
D. Intergovernmental Review
Applicants submitting applications
under this funding announcement are
not subject to intergovernmental review;
i.e., Executive Order (EO) 12372,
Intergovernmental Review of Federal
Program.
E. Funding Restrictions
1. Salary Cap. Awards under this
NOFA are subject to a cap of $63,000
per year per full time coordinator
position funded. Under this NOFA, if
PHAs apply jointly, the $63,000
maximum amount that may be
requested per position applies to up to
one full time coordinator position for
the application as a whole, not to each
PHA separately.
2. Limitation on Renewal Funding
Increases. For renewal coordinator
positions, PHAs will be limited to a one
percent increase above the amount of
the most recent award for the position
unless a higher increase is approved by
the local HUD field office after review
of the PHA’s written justification and at
least three comparables that must be
submitted to the field office by the PHA
at the time they submit their FY2005
Housing Choice Voucher FSS Program
Coordinator application to HUD.
Examples of acceptable reasons for
increases above one percent would be
need for a coordinator with higher level
of skills or to increase the hours of a
part time coordinator to full time. Total
positions funded cannot exceed the
maximum number of positions for
which the PHA is eligible under this
NOFA.
3. Ineligible Activities. a. Funds under
this NOFA may not be used to pay the
salary of an FSS coordinator for a public
housing FSS program. A Housing
Choice Voucher FSS program
coordinator may only serve Housing
Choice Voucher families while the
public housing FSS program serves only
public housing residents. In FY2005,
funding for public housing FSS program
coordinators is being made available
through the Public Housing Resident
Opportunities and Self-Sufficiency
(ROSS) NOFA for Public Housing FSS
Program Coordinators that is included
in the FY2005 SuperNOFA.
b. Funds under this FSS NOFA may
not be used to pay for services for FSS
program participants.
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F. Other Submission Requirements
1. Application Submission and
Receipt Procedures. See IV.F of the
General Section. Electronic application
submission is mandatory unless an
applicant requests, and is granted, a
waiver to the requirement. Procedures
for obtaining a waiver are contained in
Section IV.F of the General Section.
V. Application Review Information
A. Criteria. The funds available under
this NOFA are being awarded based on
demonstrated performance.
Applications are reviewed by the local
HUD field office and GMC to determine
whether or not they are technically
adequate based on the NOFA
requirements. Field offices will provide
to the GMC in a timely manner, as
requested, information needed by the
GMC to make its determination, such as
the HUD-approved Housing Choice
Voucher FSS program size of new PHA
applicants and information on the
administrative capabilities of PHAs.
Categories of applications that will not
be funded are stated in Section V.B.6. of
this FSS NOFA.
B. Reviews and Selection Process. 1.
Technically Acceptable Applications.
All technically adequate applications
will be funded to the extent funds are
available.
2. Funding Priority Categories. If HUD
receives applications for funding greater
than the amount made available under
this NOFA, HUD will divide eligible
applications into priority categories as
follows:
Funding Category 1—Applications
from eligible renewal PHAs with
qualifying homeownership programs for
continuation of previously funded
eligible positions where the PHA has
hired the funded FSS and
homeownership coordinators and the
PHA can demonstrate that a minimum
of five (5) Housing Choice Voucher FSS
program participants or graduates
purchased homes between October 1,
2000 and the application due date of
this FSS NOFA (that can be confirmed
by homeownership information in the
PIC data base from form HUD–50058) or
as otherwise reported for Moving to
Work (MTW) homeownership. For
purposes of Category 1 applicants only,
eligible renewal PHAs also include
PHAs that received FSS funding in FY
2003.
Funding Category 2—Eligible renewal
PHAs with qualifying homeownership
programs for continuation of previously
funded eligible positions where the
PHA has hired funded coordinators and
completed one of the following: (a) As
of the application due date of this FSS
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NOFA, has successfully enrolled a
minimum of twenty-five (25) Housing
Choice Voucher FSS families into
homeownership preparation activities,
including homeownership counseling;
or (b) Between October 1, 2000 and the
application due date of this FSS NOFA,
a minimum of one (1) Housing Choice
Voucher FSS family completed
purchase of a home as reported in the
PIC data base or as otherwise reported
for MTW homeownership closings.
Funding Category 3—Applications
from eligible new applicant PHAs that
wish to initiate an FSS homeownership
program that serves Housing Choice
Voucher families. Those PHAs with
documented home purchases by
Housing Choice Voucher program
participants and graduates and PHAs
qualifying for the Colonias preference
will receive preference.
Funding Category 4—Applications
from eligible renewal PHAs with
qualifying homeownership programs
that request funding for an additional
Housing Choice Voucher FSS
homeownership position to expand
their FSS homeownership programs
provided the applicant can document
that a minimum of ten (10) Housing
Choice Voucher FSS participants or
graduates completed purchases of
homes between October 1, 2000 and the
application due date of this FSS NOFA.
Funding Category 5—Applications
from new applicant PHAs that have an
existing Housing Choice Voucher FSS
program and can demonstrate they have
a minimum of ten (10) Housing Choice
Voucher FSS families with existing
positive escrow balances as of the
application due date of the FSS NOFA
or have had a minimum of 20 families
that have graduated from the Housing
Choice Voucher FSS program between
October 1, 2000 and the application due
date of this FSS NOFA.
3. Order of Funding. Starting with
Funding Category 1, HUD will first
determine whether there are sufficient
monies to fund all eligible positions
requested in the funding category. If
available funding is not sufficient to
fund all positions requested in the
category, HUD will fund applications in
the following order:
(a) Funding Category 1. HUD will
calculate for each eligible applicant, the
PHA’s FSS Homeownership Percentage
and Positive Escrow Percentage and will
use these percentages in making funding
decisions. Definitions and a description
of the calculation of the FSS
Homeownership Percentage and the
Positive Escrow Percentage are included
in Section I.C. of this NOFA.
HUD will begin funding eligible
Funding Category 1 applicants starting
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with the PHAs with the highest FSS
Homeownership Percentage first. If
monies are not sufficient to fund all
applicants with the same FSS
Homeownership Percentage, HUD will
fund eligible applicants in order starting
with those that have the highest Positive
Escrow Percentage first. If funding is not
sufficient to fund all applicants with the
same FSS Homeownership Percentage
and/or Positive Escrow Percentage, HUD
will select among eligible applicants by
Housing Choice Voucher program size
starting with eligible applicants with the
smallest Housing Choice Voucher
program size first.
(b) Funding Category 2. If funding
remains after funding all Funding
Category 1 applications, HUD will then
process eligible Funding Category 2
applications. HUD will calculate the
FSS Homeownership Percentage and
Positive Escrow Percentage for Funding
Category 2 applicants as it did for
Funding Category 1 applicants. If there
are not sufficient monies to fund all
Funding Category 2 applications, HUD
will begin funding Funding Category 2
applications starting with applicants
with the highest FSS Homeownership
Percentage first. If there is not enough
funding for all applicants with the same
FSS Homeownership Percentage, HUD
will use Positive Escrow Percentage to
determine selection order, starting with
applicants with the highest Positive
Escrow Percentage. If monies are not
sufficient to fund all applicants with the
same FSS Homeownership Percentage
and Positive Escrow Percentage, HUD
will select eligible applicants by
Housing Choice Voucher program size
starting with eligible applicants with the
smallest Housing Choice Voucher
program size first.
(c) Funding Category 3. If funding
remains after funding all Funding
Category 1 and 2 applications, HUD will
then process requests of eligible
Funding Category 3 applicant PHAs.
HUD will first calculate the Housing
Choice Voucher Program Home
Purchase Percentage for all eligible
Funding Category 3 applicants. This
percentage is the number of
documented home purchases by
Housing Choice Voucher program
participants and graduates for the
period from October 1, 2000 through the
application due date of this NOFA as a
percentage of the applicant’s Housing
Voucher Program size. If there are not
sufficient monies to fund all eligible
positions requested, HUD will begin
funding positions starting with PHAs
eligible for the Colonias preference,
starting with PHAs with the smallest
Housing Choice Voucher program size
first. If monies are still available, HUD
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14005
will begin funding Category 3
applications from PHAs with the
highest Housing Choice Voucher
Program Home Purchase Percentage
first. If there are not sufficient monies to
fund all applications with the same
percentage of documented home
purchases, HUD will select eligible
applicants in order by Housing Choice
Voucher program size starting with
eligible applicants with the smallest
Housing Choice Voucher program size
first.
(d) Funding Category 4. If funds
remain after funding all Category 1
through 3 applicants have been funded,
HUD will then process applications
from eligible renewal applicants that
have requested funding for an
additional FSS coordinator position to
support Housing Choice Voucher FSS
homeownership activities. If there are
not sufficient monies to fund all eligible
positions requested, HUD will use the
FSS Homeownership Percentage and the
Positive Escrow Percentage that has
been calculated for these PHAs and will
begin funding eligible applications
starting with applicants with the highest
FSS Homeownership Percentage first. If
monies are not sufficient to fund all
applicants with the same FSS
Homeownership Percentage, HUD will
use Positive Escrow Percentage to
determine selection order, starting with
applicants with the highest Positive
Escrow Percentage. If monies are not
sufficient to fund all applicants with the
same FSS Homeownership Percentage
and Positive Escrow Percentage, HUD
will select eligible applicants by
Housing Choice Voucher program size
starting with eligible applicants with the
smallest Housing Choice Voucher
program size first.
(e) Funding Category 5. If funding
remains after funding all Funding
Category 1 through 4 applicants, HUD
will then process applications from
eligible Funding Category 5 applicants
for an initial coordinator position. If
there are not sufficient monies to fund
all eligible Category 5 applicants, HUD
will first fund applications from eligible
Funding Category 5 applicants that
qualify for the Colonias preference
starting with the smallest Housing
Choice Voucher programs first. If
funding remains, HUD will calculate the
Positive Escrow Percentage for all
remaining Category 5 applications and
will begin funding Category 5
applications starting with applicants
with the highest Positive Escrow
Percentage first. If monies are not
sufficient to fund all applicants with the
same Positive Escrow Percentage, HUD
will select eligible applicants by
Housing Choice Voucher program size
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starting with eligible applicants with the
smallest Housing Choice Voucher
program size first.
(f) Remaining Funds. If any funding
remains, HUD will calculate the FSS
Homeownership Percentage and
Positive Escrow Percentage for all
remaining eligible applicants and will
begin funding any remaining eligible
applications starting with those with the
highest FSS Homeownership Percentage
first. If funding remains, HUD will then
begin funding any remaining unfunded
applications starting with those with the
highest positive escrow percentage.
4. Based on the number of
applications submitted, the GMC may
elect not to process applications for a
funding priority category where it is
apparent that there are insufficient
funds available to fund any applications
within the priority category.
5. Corrections to Deficient
Applications. a. The General Section of
the NOFA provides the procedures for
corrections to deficient applications. An
example of a correctable technical
deficiency includes, but is not limited
to: submission of a Form SF–424 or FSS
application Form HUD-52651 with
missing information.
6. Unacceptable Applications. After
the technical deficiency correction
period (as provided in the General
Section), the GMC will disapprove PHA
applications that it determines are not
acceptable for processing. Applications
from PHAs that fall into any of the
following categories are ineligible for
funding under this NOFA and will not
be processed:
a. An application submitted by an
entity that is not an eligible PHA as
defined under Section III.A. and Section
III.C. of this FSS NOFA or an
application that does not comply with
the requirements of Section IV.B. IV.C.
and IV.F. of this FSS NOFA.
b. An application from a PHA that
does not meet the fair housing and civil
rights compliance requirements of the
General Section of the NOFA.
c. An application from a PHA that
does not comply with the prohibition
against lobbying activities of this NOFA.
d. An application from a PHA that as
of the application due date has not
made progress satisfactory to HUD in
resolving serious outstanding Inspector
General audit findings, or serious
outstanding HUD management review
or IPA audit findings for the Housing
Choice Voucher program and/or
Moderate Rehabilitation program or a
‘‘troubled’’ rating under SEMAP, and
has not designated another organization
acceptable to HUD to administer the
FSS program on behalf of the PHA as
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required in Section III.C.3.e. of this FSS
NOFA.
e. An application from a PHA that has
been debarred or otherwise disqualified
from providing assistance under the
program.
f. An application that did not meet the
application due date and timely receipt
requirements as specified in this NOFA
and the General Section.
g. Applications will not be funded
which do not meet the Threshold
requirements identified in this NOFA
and the General Section.
C. Anticipated Announcement and
Award Dates. It is anticipated the
announcement of Housing Choice
Voucher FSS program coordinator
awards will take place during either the
months of July or August 2005.
VI. Award Administration Information
A. Award Notices. Successful
applicants will receive an award letter
from HUD. Funding will be provided to
successful applicants as an amendment
to the Annual Contributions Contract
(ACC) of the applicant PHA. In the case
of awards to joint applicants, the
funding will be provided as an
amendment to the ACC of the lead PHA
that was identified in the application.
Unsuccessful applicants will receive a
notification of rejection letter from that
GMC that will state the basis for the
decision. The applicant may request an
applicant debriefing. Beginning not less
than 30 days after the awards for
assistance are publicly announced in
the Federal Register and for at least 120
days after awards for assistance are
announced publicly, HUD will, upon
receiving a written request, provide a
debriefing to the requesting applicant.
(See Section VI.A. of the General
Section for additional information
regarding a debriefing.) Applicants
requesting to be debriefed must send a
written request to: Iredia Hutchinson,
Director; Grants Management Center; U.
S. Department of Housing and Urban
Development, 501 School Street, SW.,
Suite 800; Washington, DC 20024.
B. Administrative and National Policy
Requirements.
1. Environmental Impact. No
environmental review is required in
connection with the award of assistance
under this NOFA, because the NOFA
only provides funds for employing a
coordinator that provides public and
supportive services, which are
categorically excluded from
environmental review under the
National Environmental Policy Act of
1969 (42 U.S.C. 4321) and not subject to
compliance actions for related
environmental authorities under 24 CFR
50.19(b)(4) and (12).
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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 https://
www.hud.gov/offices/cfo/reports/
cforept.cfm.
3. HUD Policy Priorities. This NOFA
supports the HUD policy priority of
providing increased homeownership
opportunities to program participants.
In this NOFA, funding priority is given
to those PHA applicants that
demonstrate that their FSS families have
participated in homeownership
programs. See Section V.B. of the
General Section for a full discussion of
HUD’s policy priorities.
C. Reporting. Successful applicants
must report activities of their FSS
enrollment, progress and exit activities
of their FSS program participants
through required submissions of the
Form HUD–50058. HUD’s assessment of
the accomplishments of the FSS
programs of PHAs funded under this
NOFA will be based primarily on Public
Housing Information Center (PIC)
system data obtained from the Form
HUD–50058. MTW PHAs that do not
report to HUD on the Form HUD–50058
will be asked to submit an annual report
to HUD with the same information on
FSS program activities that is provided
to HUD by non-MTW PHAs via the
Form HUD–50058. An applicant is also
required to submit a completed Logic
Model showing accomplishments
against proposed outputs and outcomes
as part of their annual reporting
requirement to HUD. In addition, HUD
requires that funded recipients collect
racial and ethnic beneficiary data. It has
adopted the Office of Management and
Budget’s Standards for the Collection of
Racial and Ethnic Data. In view of these
requirements, funded recipients should
use Form HUD–27061, Racial and
Ethnic Data Reporting Form (found on
https://www.HUDclips.org), a
comparable program form, or a
comparable electronic data system for
this purpose.
VII. Agency Contacts
A. For Technical Assistance. For
answers to your questions, you may
contact the Public and Indian Housing
Resource Center at 800–955–2232.
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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
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the Housing Choice Voucher FSS
program and preparation of an
application. For more information about
the date and time of this broadcast, you
should consult the HUD web site at
https://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
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of information unless the collection
displays a currently valid OMB control
number. Public reporting burden for the
collection of information is estimated to
average one hour per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application and other
required reporting. The information will
be used for grantee selection and
monitoring the administration of funds.
Response to this request for information
is required in order to receive the
benefits to be derived.
B. Public Access, Documentation, and
Disclosure. See Section VIII. F. of the
General Section.
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Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 / Notices
Rural Housing and Economic
Development Program Overview
Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Community Planning and Development,
Office of Rural Housing and Economic
Development.
B. Funding Opportunity Title: Rural
Housing and Economic Development
(RHED) program.
C. Announcement Type: Initial
Announcement.
D. Funding Opportunity Number: The
Federal Register number is FR–4950-N–
34. The OMB approval number is 2506–
0169.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: Rural
Housing and Economic Development.
The CDFA number is 14.250.
F. Application Due Date: The
application submission date is May 17,
2005.
G. Optional Additional Overview
Information: 1. The purpose of the Rural
Housing and Economic Development
program is to build capacity at the state
and local level for rural housing and
economic development and to support
innovative housing and economic
development activities in rural areas.
The funds made available under this
program will be awarded competitively
through a selection process conducted
by HUD in accordance with the HUD
Reform Act.
Full Text of Announcement
I. Funding Opportunity Description
A. Background
There has been a growing national
recognition of the need to enhance the
capacity of local rural nonprofit
organizations, community development
corporations, federally recognized
Indian tribes, state housing finance
agencies (HFAs) and state economic
development and community
development agencies to expand the
supply of affordable housing and to
engage in economic development
activities in rural areas. A number of
resources are available from the federal
government to address these problems,
including programs of the United States
Department of Agriculture (USDA), the
Economic Development Administration
(EDA), the Appalachian Regional
Commission (ARC), the Department of
Interior (for Indian tribes), and HUD.
The Rural Housing and Economic
Development program was developed to
supplement these resources and to focus
specifically on capacity building and
promoting innovative approaches to
housing and economic development in
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rural areas. In administering these
funds, HUD encourages you to
coordinate your activities with those
supported by any of the agencies listed
above.
B. Definitions
1. Appalachia’s Distressed Counties
means those counties in Appalachia that
the Appalachian Regional Commission
(ARC) has determined to have
unemployment and poverty rates that
are 150 percent of the respective U.S.
rates and a per capita income that is less
than 67 percent of the U.S. per capita
income, and have counties with 200
percent of the U.S. poverty rate and one
other indicator, such as the percentage
of overcrowded housing. Refer to
www.arc.gov for a list of ARC distressed
counties and more information.
2. Colonia means any identifiable,
rural community that:
a. Is located in the state of Arizona,
California, New Mexico, or Texas;
b. Is within 150 miles of the border
between the U.S. and Mexico; and
c. Is determined to be a Colonia on the
basis of objective need criteria,
including a lack of potable water
supply, lack of adequate sewage
systems, and lack of decent, safe,
sanitary, and accessible housing.
3. Farm Worker means a farm
employee of an owner, tenant, labor
contractor, or other operator raising or
harvesting agricultural or aquacultural
commodities; or a worker in the
employment of a farm operator,
handling, planting, drying, packing,
grading, storing, delivering to storage or
market, or carrying to market
agricultural or aquacultural
commodities produced by the operator.
Seasonal farm workers are those farm
employees who typically do not have a
constant year-round salary.
4. Firm Commitment means a letter of
commitment from a partner by which an
applicant’s partner agrees to perform an
activity specified in the application,
demonstrates the financial capacity to
deliver the resources necessary to carry
out the activity and commits the
resources to the activity, either in cash
or through in-kind contributions. It is
irrevocable, subject only to approval
and receipt of a FY2005 Rural Housing
and Economic Development grant. Each
letter of commitment must include the
organization’s name and applicant’s
name, reference the Rural Housing and
Economic Development program, and
describe the proposed total level of
commitment and responsibilities,
expressed in dollar value for cash or inkind contributions, as they relate to the
proposed program. The commitment
must be written on the letterhead of the
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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 selffinanced, the applicant’s partner must
demonstrate its financial capability
through a corporate or personal
financial statement or other appropriate
means. If any portion of the activity is
to be financed through a lending
institution, the participant must provide
evidence of the institution’s
commitment to fund the loan;
b. Affirm that the firm commitment is
contingent only upon the receipt of
FY2005 Rural Housing and Economic
Development funds and state a
willingness on the part of the signatory
to sign a legally binding agreement
(conditioned upon HUD’s
environmental review and approval of a
property where applicable) upon award
of the grant.
5. Federally Recognized Indian tribe
means any tribal entity eligible to apply
for funding and services from the
Bureau of Indian Affairs by virtue of its
status as an Indian tribe. The list of
federally recognized Indian tribes can be
found in the notice published by the
Department of the Interior on December
5, 2003 (68 FR 68180) and is also
available from HUD.
6. Innovative Housing Activities
means projects, techniques, methods,
combinations of assistance, construction
materials, energy efficiency
improvements, or financing institutions
or sources new to the eligible area or to
its population. The innovative activities
can also build upon and enhance a
model that already exists.
7. Local Rural Nonprofit Organization
or Community Development
Corporation means either of the
following:
a. Any private entity with tax-exempt
status recognized by the Internal
Revenue Service (IRS) which serves the
eligible rural area identified in the
application (including a local affiliate of
a national organization that provides
technical and capacity building
assistance in rural areas); or
b. Any public nonprofit entity such as
a Council of Governments that will
serve specific local nonprofit
organizations in the eligible area.
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8. Lower Mississippi Delta Region
means the eight-state, 240-county/parish
region defined by Congress in the Lower
Mississippi Delta Development Act,
Public Law 100–460. Refer to
www.dra.gov for more information.
9. Eligible Rural Area means one of
the following:
a. A non-urban place having fewer
than 2,500 inhabitants (within or
outside of metropolitan areas).
b. A county or parish with an urban
population of 20,000 inhabitants or less.
c. Territory, including its persons and
housing units, in the rural portions of
‘‘extended cities.’’ The U.S. Census
Bureau identifies the rural portions of
extended cities.
d. Open country that is not part of or
associated with an urban area. The
USDA describes ‘‘open country’’ as a
site separated by open space from any
adjacent densely populated urban area.
Open space includes undeveloped land,
agricultural land, or sparsely settled
areas, but does not include physical
barriers (such as rivers and canals),
public parks, commercial and industrial
developments, small areas reserved for
recreational purposes, or open space set
aside for future development.
e. Any place with a population not in
excess of 20,000 and not located in a
Metropolitan Statistical Area.
10. State Community and/or
Economic Development Agency means
any state agency that has promotion of
economic development statewide or in
a local community as its primary
purpose.
11. State Housing Finance Agency
means any state agency created to assist
local communities and housing
providers with financing assistance for
development of housing in rural areas,
particularly for low- and moderateincome people.
II. Award Information
A. Amount Allocated
1. Available Funds. Approximately
$24 million in Fiscal Year (FY) 2005
funding (plus any additional funds
available through recapture) are being
made available through this NOFA.
2. Funding Categories and Maximum
Award Amounts. HUD will award up to
approximately $24 million on a
competitive basis in the following
funding categories. Applicants must
apply for funds in only one of the two
categories: Category 1—Capacity
Building, or Category 2—Support for
Innovative Housing and Economic
Development Activities.
a. Category 1: Capacity Building. HUD
will award up to approximately $10
million to applicants for capacity
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building activities. This amount will go
directly to local rural nonprofit
organizations or community
development corporations or federally
recognized Indian tribes to increase an
organization’s capacity to support
innovative housing and economic
development activities. The maximum
amount awarded to a successful
applicant in this category will be
$150,000.
b. Category 2: Support for Innovative
Housing and Economic Development
Activities. HUD will award up to
approximately $14 million to federally
recognized Indian tribes, state housing
finance agencies (HFAs), state
community and/or economic
development agencies, local rural
nonprofit organizations or community
development corporations to support
innovative housing and economic
development activities in rural areas
throughout the nation. The maximum
amount awarded to a successful
applicant in this category will be
$400,000.
B. Grant Amount
In the event, you, the applicant, are
awarded a grant that has been reduced
(e.g., the application contained some
activities that were ineligible or budget
information did not support the
request), you will be required to modify
your project plans and application to
conform to the terms of HUD’s approval
before execution of the grant agreement.
HUD reserves the right to reduce or
de-obligate the award if suitable
modifications to the proposed project
are not submitted by the awardee within
90 days of the request. Any
modifications must be within the scope
of the original application. HUD
reserves the right to not make awards
under this NOFA.
C. Grant Period
Recipients will have 36 months from
the date of the executed grant agreement
to complete all project activities.
D. Notification of Approval or
Disapproval
HUD will notify you whether or not
you have been selected for an award. If
you are selected, HUD’s notice to you
concerning the amount of the grant
award (based on the approved
application) will constitute HUD’s
conditional approval, subject to
negotiation and execution of a grant
agreement by HUD.
III. Eligibility Information
A. Eligible Applicants
Eligible applicants for the Rural
Housing and Economic Development
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program are local rural nonprofit
organizations and community
development corporations, federally
recognized Indian tribes, state housing
finance agencies and state community
and/or economic development agencies.
Also, you must meet all of the
applicable eligibility requirements
described in Section III.C of the General
Section. Eligible applicants for each of
the funding categories are as follows:
1. For Capacity Building Funding. If
you are a local rural nonprofit,
including grassroots, faith-based and
other community-based grassroots
organization, community development
corporation, or federally recognized
Indian tribe, you are eligible for capacity
building funding to carry out innovative
housing and economic development
activities that should lead to an
applicant becoming self-sustaining in
the future.
2. For Support for Innovative Housing
and Economic Development Activities
Funding. If you are a local rural
nonprofit organizations, including
grassroots, faith-based and other
community-based grassroots
organization, community development
corporation, federally recognized Indian
tribe, state HFA, or state economic
development or community
development agency, you may apply for
funding to support innovative housing
and economic development activities in
rural areas.
B. Cost Sharing or Matching
There is no match required under the
Rural Housing and Economic
Development program. Applicants that
submit evidence of leveraging dollars
under Rating Factor 4 ‘‘Leveraging
Resources’’ will receive points
according to the scale under that factor.
C. Other
1. Eligible Activities. The following
are examples of eligible activities under
the Rural Housing and Economic
Development program. These examples
are illustrative and are not meant to
limit the activities that you may propose
in your application:
a. For Capacity Building Funding.
Capacity building for innovative Rural
Housing and Economic Development
involves the enhancement of existing
organizations to carry out new functions
or to perform existing functions more
effectively. Permissible activities
include, but are not limited to, the
following:
(1) Enhancement of existing functions
or creation of new functions to provide
affordable housing and economic
development in rural areas;
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(2) Acquisition of additional space
and support facilities;
(3) Salaries for additional staff needed
to conduct the work, including financial
management specialists, and economic
development specialists;
(4) Training of staff in the areas of
financial management, economic
development financing, housing
accessibility and visitability standards,
fair housing issues, and complaint
filing;
(5) Development of business plans to
help the organization become selfsustaining;
(6) Development of Management
Information Systems (MISs) and
software to enable better and more
accurate reporting of information to
HUD and to other entities;
(7) Development of feasibility studies
and market studies;
(8) Training in energy efficiency in
construction for housing and
commercial projects;
(9) Housing counseling services,
including fair housing counseling,
information on budgeting, and
information on credit and available
federal programs;
(10) Conducting conferences or
meetings with other federal or state
agencies to inform residents of
programs, rights, and responsibilities
associated with homebuying
opportunities; and
(11) Arranging for technical assistance
to conduct needs assessments, conduct
asset inventories, and develop strategic
plans.
b. For Support of Innovative Housing
and Economic Development Activities.
This category is intended to support
other costs for innovative housing and
economic development activities.
Permissible activities may include, but
are not limited to the following:
(1) Cost of using new or innovative
construction, energy efficiency, or other
techniques that will result in the design
or construction of innovative housing
and economic development projects;
(2) Preparation of plans or of
architectural or engineering drawings;
(3) Preparation of legal documents,
government paperwork, and
applications necessary for construction
of housing and economic development
activities to occur in the jurisdiction;
(4) Acquisition of land and buildings;
(5) Demolition of property to permit
construction or rehabilitation activities
to occur;
(6) Development of infrastructure to
support the housing or economic
development activities;
(7) Purchase of construction materials;
(8) Job training to support the
activities of the organization;
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(9) Homeownership counseling,
including fair housing counseling,
credit counseling, budgeting, access to
credit, and other federal assistance
available;
(10) Conducting conferences or
meetings with other federal or state
agencies tribes, tribally designated
housing entities (TDHE) or national or
regional housing organizations, to
inform residents of programs, rights,
and responsibilities associated with
homebuying opportunities;
(11) Development of feasibility
studies and market studies;
(12) Development of Management
Information Systems (MISs) and
software to enable better and more
accurate reporting of information to
HUD and to other entities;
(13) Establishing Community
Development Financial Institutions
(CDFIs), lines of credit, revolving loan
funds, microenterprises, and small
business incubators; and
(14) Provision of direct financial
assistance to homeowners/businesses/
developers, etc. This can be in the form
of default reserves, pooling/
securitization mechanisms, loans,
grants, funding existing individual
development accounts or similar
activities.
2. Statutory and Regulatory
Requirements. To be eligible for funding
under HUD NOFAs issued during
FY2005, you, the applicant, must meet
all statutory and regulatory
requirements applicable to this NOFA
as described in the General Section.
HUD may also eliminate ineligible
activities from funding consideration
and reduce funding amounts
accordingly.
3. General HUD Threshold
Requirements. You must meet all
threshold requirements described in the
General Section.
a. Ineligible Applicants. HUD will not
consider an application from an
ineligible applicant.
b. Economic Opportunities for Lowand Very Low-Income Persons (Section
3). Recipients of assistance under this
NOFA must comply with Section 3 of
the Housing and Urban Development
Act of 1968, 12 U.S.C. 1701u (Economic
Opportunities for Low- and Very LowIncome Persons in Connection with
Assisted Projects) and the HUD
regulations at 24 CFR part 135,
including the reporting requirements at
subpart E. Section 3 requires recipients
to ensure that, to the greatest extent
feasible, training, employment, and
other economic opportunities will be
directed to low- and very-low income
persons, particularly those who are
recipients of government assistance for
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housing, and business concerns that
provide economic opportunities to lowand very low-income persons.
4. Program-Specific Threshold
Requirements.
a. The application must receive a
minimum rating score of 75 points to be
considered for funding.
b. HUD will only fund eligible
applicants as defined in this NOFA
under Section III.A.
c. Applicants must serve an eligible
rural area as defined in I. of this NOFA.
d. Proposed activities must meet the
objectives of the Rural Housing and
Economic Development program.
e. Applicants must demonstrate that
their activities will continue to serve
populations that are in need and that
beneficiaries will have a choice of
innovative housing and economic
development opportunities as a result of
the activities.
IV. Application and Submission
Information
A. Address to Request Application
Package
This section describes how you may
obtain application forms. Copies of the
published Rural Housing and Economic
Development NOFA and application
forms may be downloaded from the
Grants.gov Web site at https://
www.grants.gov/Apply. The web site
contains the electronic forms and the
NOFA which includes forms and other
attachments. The NOFA and forms is a
zip file found under instructions. You
may call the Grants.gov support desk at
800–518–GRANTS, or email the support
desk at Support@Grants.gov for
assistance in downloading the
application.
You may request general information
and paper copies of this NOFA from the
NOFA Information Center (800–HUD–
8929 or 800–HUD–2209 (TTY)) between
the hours of 10 a.m. and 6:30 p.m.
(Eastern Time) Monday through Friday,
except on federal holidays. When
requesting information, please refer to
the name of the program you are
interested in. Be sure to provide your
name, address (including zip code), and
telephone number (including area code).
B. Content and Form of Application
Submission
1. Application Submission
Requirements. Be sure to read and
follow the application submission
requirements carefully.
a. Page Numbering. All pages of the
application must be numbered
sequentially if you are submitting a
paper copy application. For electronic
application submission you should
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follow the directions in the General
Section.
b. Application Items. Your
application must contain the items
listed below.
(1) An abstract that must include the
category under which you are applying,
the dollar amount requested, the
category under which you qualify for
demographics of distress special factor
under Rating Factor 2 ‘‘Need and Extent
of the Problem,’’ which of the five
definitions of the term ‘‘rural area’’ set
forth in Section I B.9 of this NOFA
applies to the proposed service area,
and accompanying documentation as
indicated on the form.
(2) Table of Contents.
(3) A signed SF–424 (application
form).
(4) SF–424 Supplement Survey on
Equal Opportunity for Applicants
(optional submission).
(5) Facsimile Transmittal (HUD–
96011).
(6) Disclosure of Lobbying Activities
(SF–LLL).
(7) Applicant/Recipient Disclosure/
Update Report (HUD–2880).
(8) Client Comments and Suggestions
(HUD–2994) (Optional)
(9) Program Outcome Logic Model
(HUD–96010).
(10) A budget for all funds (federal
and non-federal including HUD–424CB
and HUD 424–CBW).
(11) Certification of Consistency with
RC/EZ/EC–II Strategic Plan (HUD–
2990), if applicable.
(12) Certification of Consistency with
the Consolidated Plan (HUD–2991), if
applicable.
(13) Documentation of funds pledged
in support of Rating Factor 4—
‘‘Leveraging Resources’’ (which will not
be counted in the 15-page limitation).
Documentation must be in the form of
a ‘‘firm commitment’’ as defined in
Section I.B.4. of this NOFA.
(14) If you are a private nonprofit
organization, a copy of your
organization’s IRS ruling providing taxexempt status under section 501 of the
Internal Revenue Code of 1986, as
amended.
(15) Narrative response to Factors for
Award (not to exceed 15 pages).
(a) A description of your organization
and assignment of responsibilities for
the work to be carried out under the
grant (Rating Factor 1).
(b) A description of the need and
extent of the problem and populations
to be served (Rating Factor 2).
(c) A workplan that demonstrates
your soundness of approach and the
clear linkage between rural housing and
economic development (Rating Factor
3). In addressing this submission
requirement, you must:
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(i) Describe the activities you propose
to undertake that address the needs,
which have been identified, the linkage
between rural housing and economic
development, as well as the specific
outcomes you expect to achieve.
(ii) Include a management plan that
identifies the specific actions you will
take to complete the proposed activities
on time and a budget in the format
provided that explains the uses of both
federal and non-federal funds and the
period of performance under the grant.
(iii) Include a discussion of the
process by which the work
accomplished with the grant will be
evaluated to determine if the objectives
of the grant were met.
(d) Identify the resources that will be
leveraged by the amount of this grant’s
funding that you are requesting (Rating
Factor 4). To receive the maximum
number of points under Rating Factor 4
you must provide evidence of firm
commitments.
(e) You must describe the extent to
which your program reflects a
coordinated, community-based process
of identifying needs and building a
system to address these needs,
providing program beneficiaries with
outcomes that result in increased
independence and empowerment, and
the potential for your organization to
become financially self-sustaining. You
must also describe how your activities
will achieve the program outcomes, as
described in Rating Factor 5 (Achieving
Results and Program Evaluation),
namely, where applicable, the number
of housing units constructed, the
number of housing units rehabilitated,
the number of jobs created, the number
of jobs retained, the number of
participants trained, the number of new
businesses created and the number of
existing businesses assisted, number of
housing units rehabilitated that will be
made available to low-to-moderate
income participants, percentage change
in earnings as a result of employment
for those participants, the percent of
trained participants who find a job, and
annual estimated savings for lowincome families as a result of energy
efficiency improvements entered into
the HUD Program Outcome Logic Model
(form 96010) (Rating Factor 5).
(f) The total narrative response to all
factors should not exceed 15 pages and
be submitted in a format that equals to
8.5 x 11-inch single sided paper, with
12 point font and double lined spacing.
Please note that although submitting
pages in excess of the page limit will not
disqualify your application, HUD will
not consider or review the information
on any excess pages, which may result
in a lower score or failure to meet a
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threshold requirement. In addition,
applicants should be aware that
additional pages increase the size of the
application and the length of time it will
take to electronically submit the
document and have it electronically
received by Grants.gov. Large files result
in slower delivery to Grants.gov.
(16) Questionnaire for HUD’s
Initiative on Removal of Regulatory
Barriers (HUD 27300). To get the points
for this policy priority, you must
include the documentation or references
to URLs where the information can be
found.
C. Submission Dates and Times
1. Electronic Application Submission.
Applications for the Rural Housing and
Economic Development program must
be submitted and received by Grants.gov
no later than 11:59:59 p.m. Eastern Time
of the application submission date.
Applicants are advised to allow time for
transmitting their application to
Grants.gov. You will receive an
acknowledgement of receipt from
Grants.gov when your application has
been successfully received. Please see
the General Section for more detailed
information.
2. Paper Copy Application
Submission. Applicants receiving a
waiver of the mandatory electronic
applications submission requirement
must submit the original and required
number of paper copies of the
application to the United States Postal
Service no later than 11:59:59 p.m. on
the application submission date. No
hand delivery or services other than the
United States Post Office will be
accepted.
Applicants should be aware that large
packages must be taken to a Post Office
for delivery. The United States Postal
Service in many areas of the country no
longer will deliver large packages that
are dropped in a mailbox for delivery.
Applicants are advised to carefully read
the application submission and timely
receipt requirements in the General
Section as they have changed from
previous years.
3. Only one application will be
accepted from any given organization. If
more than one application is submitted
electronically, the last application
submitted prior to the due date and time
will be the one reviewed by HUD. HUD
will not accept application addendums
after the deadline unless HUD has
specifically asked the applicant for a
correction to a technical deficiency in
the application. Responses to technical
deficiencies must be received by HUD
within the time allocated to cure the
deficiency. Corrections to technical
deficiencies are submitted directly to
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HUD in accordance with the
information provided by the program
office in their cure notification.
What to submit
Required content
Application:
Abstract ..............................................................................
Application Form ................................................................
Budget information .............................................................
Rating Factors: Narrative ...................................................
D. Intergovernmental Agency Review
Intergovernmental agency review is
not required for this program.
E. Funding Restrictions
1. Administrative Costs.
Administrative costs for assistance
under the Rural Housing and Economic
Development program may not exceed
15 percent of the total HUD Rural
Housing and Economic Development
grant award.
2. Multiple Capacity Building Grants.
If you have received two or more Rural
Housing and Economic Development
grants for capacity building since 1999,
you are not eligible to apply under
Category 1: Capacity Building.
3. Ineligible Activities. RHED funds
cannot be used for the following
activities:
a. Income payments to subsidize
individuals or families;
b. Political activities;
c. General governmental expenses
other than expenses related to the
administrative cost of the grant; or
d. Projects or activities intended for
personal gain or private use.
HUD reserves the right to reduce or
deobligate the award if suitable
modifications to the proposed project
are not submitted by the awardee within
90 days of the request. Any modification
must be within the scope of the original
application. HUD reserves the right not
to make awards under this NOFA.
F. Other Submission Requirements.
Carefully review the procedures
presented in Section IV of the General
Section. During FY 2005, HUD will only
accept electronic applications submitted
through www.grants.gov unless the
applicant has received a waiver from the
Department. Please see the General
Section for detailed instructions and
timelines for requesting a waiver of this
20:01 Mar 18, 2005
Jkt 205001
(Per required form) .................
Described in Section V. of this
announcement.
V. Application Review Information
A. Criteria. Carefully review all the
Application Review procedures in
Section V of the General Section. In
addition, the following Rating Factors
will be used to review, evaluate, and
rate your application.
1. Rating Factor 1—Capacity of the
Applicant and Relevant Organizational
Experience (25 points). This rating
factor addresses the extent to which you
have the organizational resources
necessary to successfully implement
your proposed work plan, as further
described in Rating Factor 3, within the
36-month award period.
a. Rating standards applicable to
individual funding categories. The two
funding categories have different
objectives. Accordingly, in addition to
the generally applicable rating standard
discussed above, the different standards
discussed below will be used to judge
the experience and qualifications of the
applicants for each of the two funding
categories. HUD fully supports emerging
organizations that desire to develop
internal capacity. Therefore, the
following categories will be evaluated:
(1) For Capacity Building applications
(25 points). Team members,
composition, experience, organizational
structure, and management capacity.
Your response to this sub-factor should
clearly state the need that your
Frm 00043
When to submit it
SF–424, SF 424 Supplement.
HUD–CB, HUD–CBW.
HUD–2880.
SF–LLL.
HUD–96011.
HUD–2990.
HUD 2991.
HUD–2994.
HUD–96010.
HUD–27300.
requirement. Applicants receiving a
waiver of the electronic submission
requirement should send an original
and two copies of the application to
Department of Housing and Urban
Development, Office of Community
Planning and Development, Attn: Office
of Rural Housing and Economic
Development, Processing and Control
Unit (Room 7251), 451 Seventh Street,
SW., Washington, DC 20410–7000.
PO 00000
Required form or format
May 20, 2005.
Disclosure Update ..............................................................
Disclosure of Lobby ............................................................
Facsimile Transmittal .........................................................
Certification of RC/EZ/EC–II ..............................................
Certification of Consistency with Consolidated Plan .........
Comments and Suggestions ..............................................
Program Outcome Logic Model .........................................
Questionnaire for HUD’s Initiative on Removal of Regulatory
Barriers.
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organization will address with the
requested assistance. In addition, you
should describe how the enhanced
capacity realized through the assistance
will fulfill that need. HUD will evaluate
the experience (including its recentness
and relevancy) of your project director,
core staff, and any outside consultant,
contractor, subrecipient, or project
partner as it relates to innovative
housing and economic development and
to the implementation of the activities
in your workplan. HUD also will assess
the services that consultants or other
parties will provide to fill gaps in your
staffing structure to enable you to carry
out the proposed workplan; the
experience of your project director in
managing projects of similar size, scope,
and dollar amount; the lines of authority
and procedures that you have in place
for ensuring that workplan goals and
objectives are being met, that
consultants and other project partners
are performing as planned, and that
beneficiaries are being adequately
served. In responding to this sub-factor,
please indicate how the capacity
building assistance will strengthen or
otherwise affect your organization’s
current housing or economic
development program portfolio or, if
you are a new grantee, how the capacity
assistance will ensure that you can carry
out your proposed activities. In judging
your response to this factor, HUD will
only consider work experience gained
within the last three years. When
responding, please be sure to provide
the dates, job titles and relevancy of the
past experience to work to be
undertaken by the employee or
contractor under your Rural Housing
and Economic Development program
application. Failure to provide dates
results in HUD assuming that the
experience is earlier than the last three
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years, and could result in a lower rating
for the response. The more recent,
relevant, and successful the experience
of your team members is in relationship
to the workplan activities, the greater
the number of points you will receive.
(2) For Support for Innovative Rural
Housing and Economic Development
Activities applications:
(a) Team members, composition, and
experience (10 points). HUD will
evaluate the experience (including its
recentness and relevancy) of your
project director, core staff, and any
outside consultant, contractor,
subrecipient, or project partner as it
relates to innovative housing and
economic development and to the
implementation of the activities in your
workplan. HUD also will assess the
services that consultants or other parties
will provide to fill gaps in your staffing
structure to enable you to carry out the
proposed workplan; the experience of
your project director in managing
projects of similar size, scope, and
dollar amount; the lines of authority and
procedures that you have in place for
ensuring that workplan goals and
objectives are being met, that
consultants and other project partners
are performing as planned, and that
beneficiaries are being adequately
served. In judging your response to this
factor, HUD will only consider work
experience gained within the last seven
years. When responding, please be sure
to provide the dates, job titles and
relevancy of the past experience to work
to be undertaken by the employee or
contractor under your proposed Rural
Housing and Economic Development
award. The more recent, relevant, and
successful the experience of your team
members are in relationship to the
workplan activities, the greater the
number of points that you will receive.
(b) Organizational structure and
management capacity (5 points). HUD
will evaluate the extent to which you
can demonstrate your organization’s
ability to manage a workforce composed
of full-time or part-time staff, as well as
any consultant staff, and your ability to
work with community-based groups or
organizations in resolving issues related
to affordable housing and economic
development. In evaluating this
subfactor, HUD will take into account
your experience in working with
community-based organizations to
design and implement programs that
address the identified housing and
economic development issues. The
more recent, relevant, and successful
the experience of your organization and
any participating entity, the greater the
number of points you will receive.
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(c) Experience with performance
based funding requirements (10 points).
HUD will evaluate your performance in
any previous grant program undertaken
with HUD funds or other federal, state,
local, or nonprofit or for-profit
organization funds. In assessing points
for this sub-factor, HUD reserves the
right to take into account your past
performance in meeting performance
and reporting goals for any previous
HUD award, in particular whether the
program achieved its outcomes. HUD
will deduct one point for each of the
following activities related to previous
HUD grant programs for which
unsatisfactory performance has been
verified: (1) mismanagement of funds,
including the inability to account for
funds appropriately; (2) untimely use of
funds received either from HUD or other
federal, state, or local programs; and (3)
significant and consistent failure to
measure performance outcomes. Among
the specific outcomes to be measured
are the increases in program
accomplishments as a result of capacity
building assistance and the increase in
organizational resources as a result of
assistance.
(d) Past Rural Housing and Economic
Development program performance. The
past performance of previously awarded
Rural Housing and Economic
Development grantees will be taken into
consideration when evaluating Rating
Factor 1 ‘‘Capacity of the Applicant and
Relevant Organizational Experience.’’
Applicants who have been awarded
Rural Housing and Economic
Development program funds prior to
FY2005 should indicate fiscal year and
funding amount. HUD local field offices
may be consulted to verify information
submitted by the applicant as a part of
the review of applications.
2. Rating Factor 2—Need and Extent
of the Problem (20 points). The Rural
Housing and Economic Development
program is designed to address the
problems of rural poverty, inadequate
housing and lack of economic
opportunity. This factor addresses the
extent to which there is a need for
funding the proposed activities based on
levels of distress and the urgency of
meeting the need/distress in the
applicant’s target area. In responding to
this factor, applications will be
evaluated on the extent to which the
level of need for the proposed activity
and the urgency in meeting the need are
documented and compared to target
area and national data.
a. In applying this factor, HUD will
compare the current levels of need in
the area (i.e., Census Tract(s) or Block
Group(s) immediately surrounding the
project site or the target area to be
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served by the proposed project and the
national levels of need. This means that
an application that provides data that
show levels of need in the project area
expressed as a percent greater than the
national average will be rated higher
under this factor. Applicants should
provide data that address indicators of
need as follows:
(1) Poverty Rate (5 points)—Data
should be provided in both absolute and
percentage form (i.e., whole numbers
and percents) for the target area(s). An
application that compares the local
poverty rate in the following manner to
the national average at the time of
submission will receive points under
this section as follows:
(a) Less than the national average = 0
points;
(b) Equal to but less than twice the
national average = 1 points;
(c) Twice but less than three times the
national average = 3 points;
(d) Three or more times the national
average = 5 points.
(2) Unemployment (5 points)—for the
target area:
(a) Less than the national average = 0
points;
(b) Equal to but less than twice the
national average = 1 points;
(c) Twice but less than three times the
national average = 2 points;
(d) Three but less than four times the
national average = 3 points;
(e) Four but less than five times the
national average = 4 points;
(f) Five or more times the national
average = 5 points.
(3) Other indicators of social or
economic decline that best capture the
applicant’s local situation (5 points).
(a) Data that could be provided under
this section are information on the
community’s stagnant or falling tax
base, including recent commercial or
industrial closings; housing conditions,
such as the number and percentage of
substandard or overcrowded units; rent
burden (defined as average housing cost
divided by average income) for the
target area; local crime statistics, falling
property values, etc. To the extent that
the applicant’s statewide or local
Consolidated Plan, its Analysis of
Impediments to Fair Housing Choice
(AI), its Indian housing plan or its antipoverty 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
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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 https://www.ffiec.gov/ or https://
www.ffiec.gov/webcensus/ffieccensus.
for census data. A source for all
information along with the publication
or origination date must also be
provided.
(d) Updated Census data are available
for the following indicators:
(i) Unemployment rate—estimated
monthly for counties, with a two-month
lag;
(ii) Population—estimated for
incorporated places and counties,
through 2000;
(iii) Poverty rate—through 2000.
(4) Demographics of Distress—Special
Factors (5 points). Because HUD is
concerned with meeting the needs of
certain underserved areas, you will be
awarded a total of five points if you are
located in or propose to serve one or
more of the following populations, or if
your application demonstrates that 100
percent of the beneficiaries supported
by Rural Housing and Economic
Development funds are in one or more
of the following populations. You must
also specifically identify how each
population will be served and that the
proposed service area meets the
definition of ‘‘eligible rural area’’ in
Section I of this NOFA:
(a) Areas with very small populations
in non-urban areas (2,500 population or
less);
(b) Seasonal farm workers;
(c) Federally recognized Indian tribes;
(d) Colonias;
(e) Appalachia’s Distressed Counties;
or
(f) The Lower Mississippi Delta
Region (8 states and 240 counties/
parishes).
For these underserved areas, you
should ensure that the populations that
you serve and the documentation that
you provide are consistent with the
information described in the above
paragraph under this rating factor.
3. Rating Factor 3—Soundness of
Approach (20 points). This factor
addresses the overall quality of your
proposed workplan, taking into account
the project and the activities proposed
to be undertaken; the cost-effectiveness
of your proposed program; and the
linkages between identified needs, the
purposes of this program, and your
proposed activities and tasks. In
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addition, this factor addresses your
ability to ensure that a clear linkage
exists between innovative rural housing
and economic development. In
assessing cost-effectiveness, HUD will
take into account your staffing levels;
beneficiaries to be served; and your
timetable for the achievement of
program outcomes, the delivery of
products and reports, and any
anticipated outcome or product. You
will receive a greater number of points
if your workplan is consistent with the
purpose of the Rural Housing and
Economic Development program, your
program goals, and the resources
provided.
a. Management Plan (13 points). A
clearly defined management plan
should be submitted that identifies each
of the projects and activities you will
carry out to further the objectives of this
program; describes the linkage between
rural housing and economic
development activities; and addresses
the needs identified in Factor 2,
including needs that previously were
identified in a statewide or local
Analysis of Impediments to Fair
Housing Choice (AI) or Consolidated
Plan. The populations that were
described in Rating Factor 2 for the
purpose of documenting need should be
the same populations that will receive
the primary benefit of the activities,
both immediately and over the long
term. The benefits should be
affirmatively marketed to those
populations least likely to apply for and
receive these benefits without such
marketing. Your timetable should
address the measurable goals and
objectives to be achieved through the
proposed activities; the method you will
use for evaluating and monitoring
program progress with respect to those
activities; and the method you will use
to ensure that the activities will be
completed on time and within your
proposed budget estimates. Your
management plan should also include
the budget for your program, broken out
by line item. Documented projected cost
estimates from outside sources are also
required. Applicants should submit
their workplan on a spreadsheet
showing each project to be undertaken
and the tasks (to the extent necessary or
appropriate) in your workplan to
implement the project with your
associated budget estimate for each
activity/task. Your workplan should
provide the rationale for your proposed
activities and assumptions used in
determining your project timeline and
budget estimates. Failure to provide
your rationale may result in your
application receiving fewer points for
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lack of clarity in the proposed
management plan.
This subfactor should include
information that indicates the extent to
which you have coordinated your
activities with other known
organizations (e.g., through letters of
participation or coordination) that are
not directly participating in your
proposed work activities, but with
which you share common goals and
objectives and that are working toward
meeting these objectives in a holistic
and comprehensive manner. The goal of
this coordination is to ensure that
programs do not operate in isolation.
Additionally, your application should
demonstrate the extent to which your
program has the potential to be
financially self-sustaining by decreasing
dependence on Rural Housing and
Economic Development funding and
relying more on state, local, and private
funding. The goal of sustainability is to
ensure that the activities proposed in
your application can be continued after
your grant award is complete.
b. Policy Priorities (7 Points). Policy
priorities are outlined in detail in the
General Section. You should document
the extent to which HUD’s policy
priorities are furthered by the proposed
activities. Applicants that include
activities that can result in the
achievement of these departmental
policy priorities will receive higher
rating points in evaluating their
application for funding. Seven
departmental policy priorities are listed
below. When policy priorities are
included, describe in brief detail how
those activities will be carried out.
The point values for policy priorities
are as follows:
(1) Providing increased
homeownership and rental
opportunities for low- and moderateincome persons, persons with
disabilities, the elderly, minorities, and
families with limited English
proficiency=1 point;
(2) Improving our Nation’s
communities=1 point;
(3) Encouraging accessible design
features=1 point;
(4) Providing full and equal access to
grassroots faith-based and other
community-based organizations in HUD
program implementation=1 point;
(5) Ending chronic homelessness
within ten years=1 point;
(6) Removal of barriers to affordable
housing= 2 points and;
(7) Promoting Energy Efficiency and
Adopting Energy Star = 1 point.
4. Rating Factor 4—Leveraging
Resources (10 points). This factor
addresses the extent to which applicants
for either of the two funding categories
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have obtained firm commitments of
financial or in-kind resources from other
federal, state, local, and private sources.
For every Rural Housing and Economic
Development program dollar
anticipated, you should provide the
specific amount of dollars leveraged. In
assigning points for this criterion, HUD
will consider the level of outside
resources obtained in the form of cash
or in-kind goods or services that support
activities proposed in your application.
HUD will award a greater number of
points based upon a comparison of the
extent of leveraged funds with the
requested Rural Housing and Economic
Development award. This criterion is
applicable to both funding categories
under this NOFA. The level of outside
resources for which commitments are
obtained will be evaluated based on
their importance to the total program.
Your application must provide evidence
of leveraging in the form of letters of
firm commitment from any entity,
including your own organization, which
will be providing matching funds to the
project. Each commitment described in
the narrative of this factor must be in
accordance with the definition of ‘‘firm
commitment,’’ as defined in this NOFA.
The commitment letter must be on
letterhead of the participating
organization, must be signed by an
official of the organization legally able
to make commitments on behalf of the
organization, and must not be dated
earlier than the date this NOFA is
published.
Points for this factor will be awarded
based on the satisfactory provisions of
evidence of leveraging and financial
sustainability, as described above, and
the ratio of leveraged funds to requested
HUD Rural Housing and Economic
Development funds as follows:
a. 50% or more of requested HUD
Rural Housing and Economic
Development funds=10 points;
b. 49–40% of requested HUD Rural
Housing and Economic Development
funds=8 points;
c. 39–30% of requested HUD Rural
Housing and Economic Development
funds=6 points;
d. 29–20% of requested HUD Rural
Housing and Economic Development
funds=4 points;
e. 19–9% of requested HUD Rural
Housing and Economic Development
funds=2 points;
f. Less than 9% of HUD requested
Rural Housing and Economic
Development funds =0 points.
See the General Section for
instructions for submitting third party
letters and other documents with your
electronic application.
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5. Rating Factor 5—Achieving Results
and Program Evaluation (25 points).
This factor emphasizes HUD’s
commitment to ensure that applicants
keep promises made in their
application. This factor assesses their
performance to ensure that rigorous and
useful performance measures are used
and goals are met. Achieving results
means you, the applicant, have clearly
identified the benefits or outcomes of
your program. Outcomes are ultimate
project end goals. Benchmarks or
outputs are interim activities or
products that lead to the ultimate
achievement of your goals. Program
evaluation requires that you, the
applicant, identify program outcomes,
interim products or benchmarks, and
performance indicators that will allow
you to measure your performance.
Performance indicators should be
objectively quantifiable and measure
actual achievements against anticipated
achievements. Your evaluation plan
should identify what you are going to
measure, how you are going to measure
it, and the steps you have in place to
make adjustments to your work plan if
performance targets are not met within
established time frames.
Applicants must also complete the
‘‘Logic Model’’ HUD Form (HUD–96010)
included in the appendix to this NOFA
and submit the completed form with
their application. This rating factor
reflects HUD’s goal to embrace high
standards of ethics, management, and
accountability. HUD will hold a training
broadcast via satellite for potential
applicants to learn more about Rating
Factor 5. For more information about
the date and time of the broadcast,
consult the HUD web site at
www.hud.gov/grants/index.cfm.
Program outcomes for the Rural
Housing and Economic Development
program must include where applicable:
a. Number of housing units
constructed;
b. Number of housing units
rehabilitated that will be made available
to low-to-moderate-income participants;
c. Number of jobs created;
d. Percentage change in earnings as a
result of employment for those
participants;
e. Number of participants trained;
f. Percent of participants trained who
find a job;
g. Number of new businesses created;
h. Number of existing businesses
assisted; and
i. Annual estimated savings for lowincome families as a result of energy
efficiency improvements.
j. Increase in program
accomplishments as a result of capacity
building assistance (e.g. number of
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employees hired or retained, efficiency
or effectiveness of services provided);
and
k. Increase in organizational resources
as a result of assistance (e.g., dollars
leveraged). If you receive an award of
funds, you will be required to use the
logic model to report progress against
the proposed outcomes in your
approved application and award
agreement.
Applicant must provide a breakdown
of estimated dollar amount of the Rural
Housing and Economic Development
grant to be expended on each of the
performance measures included on the
HUD–96010 ‘‘Logic Model’’ and under
the Rating Factor 5 section of your
application.
6. RC/EZ/EC–II bonus points (2
points). HUD will award two bonus
points to all applications that include
documentation stating that the proposed
eligible activities/projects will be
located in and serve federally
designated RC/EZ/EC–II. A listing of
federally designated RC/EZ/EC-II is
available on the Internet at
www.hud.gov/grants/index.cfm.
This notice contains a certification
(HUD–2990) that must be completed for
the applicant to be considered for Rural
EZ/Round II EC bonus points.
B. Review and Selection Process
1. Application Selection Process
a. Rating and Ranking
(1) General. To review and rate
applications, HUD may establish panels
which may include outside experts or
consultants to obtain certain expertise
and outside points of view, including
views from other federal agencies.
(2) Rating. All applicants for funding
will be evaluated against applicable
criteria. In evaluating applications for
funding, HUD will take into account an
applicant’s past performance in
managing funds, including the ability to
account for funds appropriately; its
timely use of funds received either from
HUD or other federal, state or local
programs; its success in meeting
performance targets for completion of
activities; and the number of persons to
be served or targeted for assistance.
HUD may use information relating to
these items based on information at
hand or available from public sources
such as newspapers, Inspector General
or Government Accounting Office
reports or findings, hotline complaints
that have been found to have merit, or
other such sources of information. In
evaluating past performance, HUD will
deduct points from rating scores as
specified under Rating Factor 1,
Capacity of the Applicant and Relevant
Organizational Experience.
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(3) Ranking. Applicants will be
ranked separately within each of the
two funding categories. Applicants will
be selected for funding in accordance
with their rank order in each category.
An application must receive a minimum
score of 75 points to be eligible for
funding. If two or more applications are
rated fundable and have the same score,
but there are insufficient funds to fund
all of them, the application(s) with the
highest score for Rating Factor 2 (Need
and Extent of the Problem) will be
selected. If applications still have the
same score, the highest score in the
following factors will be selected
sequentially until one highest score can
be determined: Rating Factor 3
(Soundness of Approach), Rating Factor
1 (Capacity and Experience), Rating
Factor 5 (Achieving Results and
Program Evaluation), and Rating Factor
4 (Leveraging Resources).
a. Initial screening. During the period
immediately following the application
deadline, HUD will screen each
application to determine eligibility.
Applications will be rejected if they:
(1) Are submitted by ineligible
applicants;
(2) Do not serve an eligible rural area
as defined in Section III of this NOFA;
(3) Do not meet the objectives of the
Rural Housing and Economic
Development program; or
(4) Propose a project for which the
majority of the activities are ineligible.
b. Rating Factors for Award Used to
Evaluate and Rate Applications. The
factors for rating and ranking applicants
and the maximum points for each factor
are provided above. The maximum
number of points for this program is
102. This includes 100 points for all five
rating factors and two RC/EZ/EC–II
bonus points, as described above.
c. Environmental Review. Each
application constitutes an assurance
that the applicant agrees to assist HUD
in complying with the provisions set
forth in 24 CFR part 50. Selection for
award does not constitute approval of
any proposed site. Following selection
for award, HUD will perform an
environmental review of activities
proposed for assistance under this part,
in accordance with 24 CFR part 50. The
results of the environmental review may
require that proposed activities be
modified or that proposed sites be
rejected. Applicants are particularly
cautioned not to undertake or commit
HUD funds for acquisition or
development of proposed properties
(including establishing lines of credit
that permit financing of such activities
or making commitments for loans that
would finance such activities from a
revolving loan fund capitalized by funds
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under this NOFA) prior to HUD
approval of specific properties or areas.
Each application constitutes an
assurance that you, the applicant, will
assist HUD in complying with part 50;
will supply HUD with all available
relevant information to perform an
environmental review for each proposed
property; will carry out mitigating
measures required by HUD or select
alternate property; and will not acquire,
rehabilitate, convert, demolish, lease,
repair, or construct property, or commit
or expend HUD or local funds for these
program activities with respect to any
eligible property until HUD approval of
the property is received. In supplying
HUD with environmental information,
grantees must use the guidance
provided in Notice CPD–99–01, entitled
‘‘Field Environmental Processing for
HUD Colonias Initiative (HCI) grants,’’
issued January 27, 1999. HUD’s funding
commitment is contingent upon HUD’s
site approval following an
environmental review.
d. Adjustments to Funding.
(1) HUD will not fund any portion of
your application that is ineligible for
funding and does not meet the
requirements of this NOFA, or is
duplicative of other funded programs or
activities from prior year awards or
other selected applicants. Only the
eligible non-duplicative portions of your
application may be funded.
(2) HUD reserves the right to
reallocate funds between categories to
achieve the maximum allocation of
funds in both categories.
(3) If after all eligible applicants have
been selected for funding in Category 1
and funds remain, the remaining funds
will be allocated to Category 2 to fund
additional eligible applications in that
category. If a balance of funds remains,
HUD reserves the right to utilize those
funds toward the following year’s
awards.
(4) Please see the Section VI.A.3 of the
General Section for more information
about funding.
(5) Performance and Compliance
Actions of Funding Recipients. HUD
will measure and address the
performance and compliance actions of
funding recipients in accordance with
the applicable standards and sanctions
of the Rural Housing and Economic
Development program.
e. Corrections to Deficient
Applications. After the application due
date, HUD may not, consistent with its
regulations in 24 CFR part 4, subpart B,
consider any unsolicited information
you, the applicant, may want to provide.
HUD may contact you to clarify an item
in your application or to correct
technical deficiencies. HUD may not
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14021
seek clarification of items or responses
that improve the substantive quality of
your response to any rating factors. In
order not to unreasonably exclude
applications from being rated and
ranked, HUD may contact applicants to
ensure proper completion of the
application and will do so on a uniform
basis for all applicants.
Examples of curable (correctable)
technical deficiencies include
inconsistencies in the funding request, a
failure to submit the proper
certifications or failure to submit an
application that contains a signature by
an official able to make a legally biding
commitment on behalf of the applicant.
In the case of an applicant who received
a waiver, the technical deficiency may
include a failure to submit an
application that contains an original
signature. If HUD finds a curable
deficiency in the application, HUD will
notify you in writing by describing the
clarification or technical deficiency.
HUD will notify applicants by facsimile
or by USPS, return receipt requested.
Clarifications or corrections of technical
deficiencies in accordance with the
information provided by HUD must be
submitted within 14 calendar days of
the date of receipt of the HUD
notification. (If the due date falls on a
Saturday, Sunday or federal holiday,
your correction must be received by
HUD on the next day that is not a
Saturday, Sunday or federal holiday.) If
the deficiency is not corrected within
this time period, HUD will reject the
application as incomplete and it will
not be considered for funding. In order
to meet statutory deadlines for the
obligation of funds or for timely
completion of the review process,
Program NOFAs may reduce the number
of days for submitting a response to a
HUD clarification or correction to a
technical deficiency. Please be sure to
carefully read each Program NOFA for
any additional information and
instructions. An applicant’s response to
a HUD notification of a curable
deficiency should be submitted directly
to HUD in accordance with the
instructions provided with request to
cure the deficiency.
VI. Award Administration Information:
A. Award Notice. Successful Rural
Housing and Economic Development
program applicants will be notified of
grant award and will receive post-award
instructions by mail.
B. Administrative and National Policy
Requirements. In addition to the
requirements listed below, please
review all requirements in Section III of
the General Section.
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1. Lead-Based Paint Hazard Control.
All property assisted under the Rural
Housing and Economic Development
program is covered by the Lead-Based
Paint Poisoning Prevention Act (42
U.S.C. 4821–4846) and HUD’s
implementing regulations at 24 CFR part
35.
2. Audit Requirements. Any grantee
that expends $500,000 or more in
federal financial assistance in a single
year (this can be program year or fiscal
year) must meet the audit requirements
established in 24 CFR parts 84 and 85
in accordance with OMB A–133.
3. Accounting System Requirements.
The Rural Housing and Economic
Development program requires that
successful applicants have in place an
accounting system that meets the
policies, guidance, and requirements
described in the following applicable
OMB Circulars and Code of Federal
Regulations:
a. OMB Circular A–87 (Cost
Principles for State, Local and Indian
Tribal Governments);
b. OMB Circular A–122 (Cost
Principles for Non-Profit Organizations);
c. OMB Circular A–133 (Audits of
States, Local Governments, and NonProfit Organizations);
d. 24 CFR part 84 (Grants and
Agreements with Institutions of Higher
Education, Hospitals, and other NonProfit Organizations); and
e. 24 CFR part 85 (Administrative
Requirements for Grants and
Cooperative Agreements to State, Local,
and Federally recognized Indian tribal
governments).
C. Reporting: Reporting documents
apply to the award, acceptance and use
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of assistance under the Rural Housing
and Economic Development program
and to the remedies for noncompliance,
except when inconsistent with HUD’s
Appropriation Act, or other federal
statutes or the provisions of this NOFA.
For each reporting period, as part of
your required report to HUD, you must
include a completed Logic Model (Form
HUD 96010), which identifies output
and outcome achievements. If you are
reporting race and ethnic data, you must
use Form HUD–27061, Race and Ethnic
Data Reporting Form.
D. Debriefing. See the General Section
for information on how to obtain a
debriefing on your application review
and evaluation.
VII. Agency Contact(s)
Further Information and Technical
Assistance: For information concerning
the HUD Rural Housing and Economic
Development program, contact Mr.
Thann Young, Program Specialist, or
Ms. Linda L. Streets, Community
Development Specialist, Office of Rural
Housing and Economic Development,
Office of Community Planning and
Development, Department of Housing
and Urban Development, 451 Seventh
Street, SW., Room 7137, Washington,
DC 20410–7000; telephone 202–708–
2290 (this is not a toll-free number).
Persons with speech or hearing
impairments may access this number
via TTY by calling the toll-free Federal
Information Relay Service at 800–877–
8339.
Prior to the application deadline, Mr.
Young or Ms. Streets will be available
at the number above to provide general
guidance and clarification of the NOFA,
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but not guidance in actually preparing
your application. Following selection,
but prior to award, HUD staff will be
available to assist in clarifying or
confirming information that is a
prerequisite to the offer of an award by
HUD.
VIII. Other Information
1. Satellite Broadcast. HUD will hold
an information webcast via satellite for
potential applicants to learn more about
the program and preparation of an
application. For more information about
the date and time of this webcast,
consult the HUD web site at
www.hud.gov.
2. The Paperwork Reduction Act. The
information collection requirements
contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
number 2506–0169. In accordance with
the Paperwork Reduction Act, HUD may
not conduct or sponsor and a person is
not required to respond to a collection
of information, unless it displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 100 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing and reporting
the data for the application, semi-annual
reports, and final report. The
information will be used for grantee
selection and monitoring the
administration of funds.
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EN21MR05.183</GPH>
Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 / Notices
14024
Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 / Notices
Public Housing Neighborhood
Networks Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Public and Indian Housing.
B. Funding Opportunity Title: Public
Housing Neighborhood Networks
program.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number for this NOFA
is: FR–4950–N–24. The OMB approval
number for this program is 2577–0229.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): 14.870.
F. Dates: The application submission
date is June 3, 2005. Please see the
General Section of the SuperNOFA for
application submission and timely
receipt requirements.
G. Optional, Additional Overview
Content Information: 1. Purpose of
Program: The purpose of the Public
Housing Neighborhood Networks (NN)
program is to provide grants to public
housing authorities (PHAs) to: a) update
and expand existing NN /community
technology centers; or b) establish new
NN centers. These centers offer
comprehensive services designed to
help public housing residents achieve
long-term economic self-sufficiency.
2. Funding Available: The Department
plans to award approximately
$23,888,000 ($13,888,000 in new
appropriations plus $10,000,000 in
Grant program
Total funding
Eligible applicants
Neighborhood Networks .......
$23.8 Million ..........
PHAs—existing centers ........
carryover) under the Neighborhood
Networks program in Fiscal Year 2005.
3. Award Amounts: Awards will range
from $150,000 to $6000,000.
4. Eligible Applicants. Eligible
applicants are PHAs only.
Tribes and tribally designated housing
entities (TDHEs), nonprofit
organizations, and resident associations
are not eligible to apply for funding
under the Public Housing Neighborhood
Networks program.
5. Cost Sharing/Match Requirement:
PHAs are required to match at least 25
percent of the requested grant amount.
6. Grant term. The grant term is three
years from the execution date of the
grant agreement.
Maximum grant amount
PHAs—new centers .............
Full Text of Announcement
I. Funding Opportunity Description
A. Definition of Terms
1. Contract Administrator is a grant
administrator or financial management
agent that oversees the implementation
of the grant and/or the financial aspects
of the grant. See the ‘‘Program
Requirements’’ and ‘‘Threshold
Requirements’’ sections for more
information.
2. An existing computer center is: (1)
A computer lab, or technology center
owned and operated by a PHA which
serves residents of public housing and
has not received prior NN funding and
therefore is not officially designated a
HUD Public and Indian Housing (PIH)
NN center; (2) a computer lab
designated as a HUD PIH NN center,
which seeks to expand its services; or
(3) a computer lab which needs funding
under this program to become
operational and serve residents of
public housing.
3. A new NN center is one that will
be established (i.e. there is no
infrastructure, space, or equipment
currently in use for this purpose) with
NN grant funds. NOTE: An applicant
previously funded under Neighborhood
Networks may apply under the ‘‘New
Computer Center’’ category only if it
will develop a new center in a
development which cannot be served by
the applicant’s existing NN center(s).
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$150,000
$200,000
$250,000
$300,000
$300,000
$400,000
$500,000
$600,000
for
for
for
for
for
for
for
for
4. Past Performance is a threshold
requirement. Using Rating Factor 1,
HUD’s field offices will evaluate
applicants for past performance to
determine whether an applicant has the
capacity to manage the grant they are
applying for. Field offices will evaluate
the past performance of contract
administrators for applicants that
required one.
5. Person with disabilities means a
person who:
a. Has a condition defined as a
disability in section 223 of the Social
Security Act;
b. Has a developmental disability as
defined in section 102 of the
Developmental Disabilities Assistance
Bill of Rights Act; or
c. Is determined to have a physical,
mental, or emotional impairment which:
(1) Is expected to be of long-continued
and indefinite duration;
(2) Substantially impedes his or her
ability to live independently; and
(3) Is of such a nature that such ability
could be improved by more suitable
housing conditions.
The term ‘‘person with disabilities’’
includes persons who have acquired
immunodeficiency syndrome (HIV/
AIDS) or any conditions arising from the
etiologic agent for AIDS. In addition, no
individual shall be considered a person
with disabilities solely based on drug or
alcohol dependence.
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PHAs
PHAs
PHAs
PHAs
PHAs
PHAs
PHAs
PHAs
with
with
with
with
with
with
with
with
1–780 units.
781–2,500 units.
2,501–7,300 units.
7,301 units or more.
1–780 units.
781–2,500 units.
2,501–7,300 units.
7,301 units or more.
The definition provided above for
persons with disabilities is the proper
definition for determining program
qualifications. However, the definition
of a person with disabilities contained
in section 504 of the Rehabilitation Act
of 1973 and its implementing
regulations must be used for purposes of
reasonable accommodations.
6. Project Coordinator is responsible
for coordinating the grantee’s approved
activities to ensure that grant goals and
objectives are met. A qualified Project
Coordinator is someone with at least
two years of experience working on
supportive services designed
specifically for underserved
populations. The Project Coordinator
and grantee are both responsible for
ensuring that all federal requirements
are followed.
7. Secretary means the Secretary of
Housing and Urban Development.
8. Senior person means a person who
is at least 62 years of age.
B. Program Description
1. The Public Housing Neighborhood
Networks program provides grants to
PHAs to (1) update and expand existing
NN/community technology centers; or
(2) establish new (NN) centers.
2. NN centers must be located within
a public housing development, on PHA
land, or within reasonable walking
distance to the PHA development(s).
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3. HUD is looking for applications
that implement comprehensive
programs within the three year grant
term which will result in improved
economic self-sufficiency for public
housing residents. HUD is looking for
proposals that involve partnerships with
organizations that will supplement and
enhance the services offered to
residents.
4. NN centers provide computer and
Internet access to public housing
residents and offer a full range of
computer and job training services.
Applicants should submit proposals
that will incorporate computer and
Internet use to: provide job training for
youths, adults and seniors; expand
educational opportunities for residents;
promote economic self-sufficiency and
help residents transition from welfare to
work; assist children with homework;
provide guidance to high school
students (or other interested residents)
for post-secondary education (college or
trade schools); and provide other
services deemed necessary from
resident input.
5. All applicants must complete a
business plan (see sample HUD–52766
provided in the Appendix) covering the
three-year grant term. Applicants’
business plan and narrative must
indicate how the centers will become
self-sustaining after the grant term
expires. Proposed grant activities should
build on the foundation created by
previous NN grants such as Resident
Opportunities and Self-Sufficiency
(ROSS) grants, or other federal, state and
local self-sufficiency efforts.
C. Eligible Activities
1. Hiring a Qualified Project
Coordinator To Administer the Grant
Program. A qualified Project
Coordinator must have project
management and information
technology experience. The Project
Coordinator should be hired for the
entire term of your grant. The Project
Coordinator is responsible for ensuring
that the center achieves its proposed
goals and objectives. In addition, the
Project Coordinator is responsible for
the following activities:
a. Marketing the program to residents;
b. Assessing residents’ needs,
interests, skills, and job-readiness;
c. Assessing residents’ needs for
supportive services, e.g. childcare,
transportation;
d. Designing and coordinating grant
activities based on residents’ needs and
interests; and
e. Monitoring the progress of program
participants and evaluating the overall
success of the program. For more
information on how to measure
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performance, please see Rating Factor 5
in the ‘‘Application Review
Information’’ section of this NOFA.
2. Literacy training and GED
preparation;
3. Computer training, from basic to
advanced;
4. College preparatory courses and
information;
5. Job Training: Some examples of the
job training skills encouraged are: oral
and written communication skills; work
ethic; interpersonal and teamwork
skills; resume writing; interviewing
techniques, creating job training and
placement programs with local
employers and employment agencies;
and post-employment follow-up to
assist residents who are new to the
workplace.
6. Physical improvements. Physical
improvements must relate to providing
space for a Neighborhood Networks
center. Renovation, conversion, wiring,
and repair costs may be essential
elements of physical improvements. In
addition, architectural, engineering, and
related professional services required to
prepare plans or drawings, write-ups,
specifications or inspections may also
be part of the cost of implementing
physical improvements.
a. Creating an accessible space for
persons with disabilities is an eligible
use of funds. Refer to Office of
Management and Budget (OMB)
Circular A–87, ‘‘Cost Principles for
State, Local and Indian Tribal
Governments.’’
b. The renovation, conversion, or
joining of vacant units in a PHA
development to create space for the
equipment and activities of a NN center
(computers, printers, and office space)
are eligible activities for physical
improvement.
c. The renovation or conversion of
existing common areas in a PHA
development to accommodate a NN
center is eligible.
d. If renovation, conversion, or repair
is done off-site, the PHA must provide
documentation with its application that
it has control of the proposed property
for at least five years. Control can be
demonstrated through a lease
agreement, ownership documentation,
or other appropriate documentation.
7. Maintenance and insurance costs.
Includes installing and maintaining the
hardware and software as well as
insurance coverage for the space and
equipment.
8. Purchase of computers, printers,
software and other peripheral
equipment are eligible expenses. In
addition, costs of computer hardware
and software for the needs of persons
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14025
with disabilities are an eligible cost for
this funding category;
9. Distance Learning Equipment.
Distance learning equipment (including
the costs for video casting and
purchase/lease/rental of distance
learning equipment) is an eligible use of
funds. The proposal must indicate that
the center will be working in a virtual
setting with a college, university or
other educational organization. Distance
learning equipment can also be used to
link one or more centers so that
residents can benefit from courses being
offered at only one site.
10. Security and related costs.
Includes space and minor refitting,
locks, and other equipment for
safeguarding the center.
11. Hiring Residents. Grantees may
hire residents to help with the
implementation of this grant program.
12. Administrative costs.
Administrative costs may include, but
are not limited to, purchase of furniture,
office equipment and supplies, local
travel, and utilities. Administrative
costs may not be used to pay for salaries
of any kind. For both new and existing
NN centers, administrative costs must
not exceed 10 percent of the total grant
amount requested from HUD.
Administrative costs must adhere to
OMB Circular A–87. Please use HUD–
424–CBW to itemize your
administrative costs. You may attach an
additional sheet of paper to the HUD–
424–CBW form if necessary in order to
fully itemize your administrative costs.
D. Regulations Governing the
Neighborhood Networks Grant
The Neighborhood Networks program
is governed by regulations in 24 CFR
parts 905 and 968.
II. Award Information
A. Total Funding. The Department
expects to award approximately a total
of $23,888,000 ($13,888,000 in new
appropriations plus $10,000,000 in
carryover) under the Neighborhood
Networks program in Fiscal Year 2005.
Awards will be made as follows:
1. Forty percent of available funding
for Neighborhood Networks will be used
for updating and expanding existing
computer technology centers. The other
60 percent will provide grants to
establish and operate new
Neighborhood Networks centers.
2. PHAs must use the number of
occupied public housing units as of
September 30, 2004 per their budget.
This is required so the PHA can
determine the maximum grant amount
they are eligible for in accordance with
the categories listed below. PHAs
should clearly indicate on the Fact
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thoroughly by following the instructions
below. If your application fails one
threshold requirement (regardless of the
type of threshold) it will be considered
Maxa failed application. Applicants and
Number of conventional units
imum
grantees must also meet the threshold
funding
requirements contained in Section III.C.
1–780 units .................................... $150,000 of the General Section of the
SuperNOFA.
781–2,500 units ............................. 200,000
a. Match. All applicants are required
2,501–7,300 units .......................... 250,000
to commit a 25 percent match in cash
7,301 or more units ....................... 300,000
or in-kind donations that are defined in
b. Funding Levels for New Centers:
this paragraph. Joint applicants must
together have at least a 25 percent
Maxmatch. Applicants who do not
Number of conventional units
imum
demonstrate the minimum 25 percent
funding
match will fail this threshold
1–780 units .................................... $300,000 requirement and will not receive further
consideration for funding. If you are
781–2,500 units ............................. 400,000
also applying for funding under the
2,501–7,300 units .......................... 500,000
7,301 or more units ....................... 600,000
ROSS grant program, you must use
different sources of match donations for
B. Grant Period: Three years. The
each grant application and you must
grant period shall begin the day the
indicate which ROSS grant(s) you are
grant agreement and the form HUD–
applying for by attaching a narrative to
1044, ‘‘Assistance Award/Amendment’’ your application. This narrative must
are signed by the grantee and HUD.
state the sources and amounts of each of
C. Grant Extensions. Requests to
your match contributions for this
extend the grant term must be submitted application as well as any other HUD
in writing by the grantee to the local
grant program to which you are
HUD field office. Such requests must be applying.
done prior to grant termination and with
Match donations must be firmly
at least 30 days notice to give the field
committed. Firmly committed means
office a reasonable amount of time to
that the amount of match resources and
their dedication to Neighborhood
fully evaluate the request. Requests
Networks-funded activities must be
must explain why the extension is
explicit, in writing and signed by a
necessary, what work remains to be
completed, and what work and progress person authorized to make the
commitment. Letters of commitment
was accomplished to date. Extensions
and memoranda of understanding
may be granted one time only by the
field office for no more than six months. (MOU) must be on organization
letterhead, and signed by a person
D. Type of Award: Grant agreement.
E. Subcontracting: Subcontracting is
authorized to make the commitment.
permitted. Grantees must follow the
The letters of commitment/MOUs must
HUD federal procurement regulations
indicate the total dollar value of the
found at 24 CFR 85.36.
commitment, be dated within two
months of the application deadline, and
III. Eligibility Information
indicate how the commitment will
A. Eligible Applicants: Public Housing relate to the proposed program. The
Authorities are eligible to apply for this
commitment should be available at time
funding category. Tribes/TDHEs,
of award. Applicants proposing to use
nonprofit organizations, and resident
their own, non-HUD grant funds to meet
associations are not eligible to apply for the match requirement, must also
this funding category.
include a letter of commitment
B. Cost Sharing or Matching: All
indicating the type of match (cash or inapplicants are required to obtain a 25
kind) and how the match will be used.
percent cash or in-kind match. The
Grant awards shall be contingent upon
match is a threshold requirement.
letters of commitment being submitted
Applicants who do not demonstrate the with your application. Please see the
minimum 25 percent match will fail the General Section of the SuperNOFA for
threshold requirement and will not
instructions for submitting the required
receive further consideration for
letters with your electronic application.
funding. Please see the section below on
(1) Volunteer time and services shall
threshold requirements for more
be computed using the professional rate
information on what is required for the
for the local area or the national
match.
minimum wage rate of $5.15 per hour
C. Other: 1. Threshold Requirements:
(Note: applicants may not count their
Applicants must respond to each
staff time towards the match.) If grantees
threshold requirement clearly and
propose to use volunteers for
Sheet (HUD–52751) the number of units
under management.
a. Funding Levels for Existing Centers:
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development or operations work that
would otherwise be subject to payment
of Davis-Bacon or HUD-determined
prevailing wage rates (including
construction, rehabilitation or
maintenance) their services must be
computed using the appropriate
methodology. Additional information
on these wage rates can be found at:
www.hud.gov/, by contacting HUD Field
Office Labor Relations staff, or from the
PHA. Such volunteers must also meet
the requirements of section 12(b) of the
United States Housing Act of 1937 and
24 CFR part 70;
(2) In order for HUD to determine the
value of any donated material,
equipment, staff time, building, or lease,
your application must provide a letter
from the organization making the
donation. The letter must state the value
of the contribution.
(3) Other resources/services that can
be committed include: in-kind services
such as administrative assistance
provided to the applicant; funds from
federal sources that are allowed by
statute, for example Community
Development Block Grant (CDBG);
funds from any state or local
government sources; and funds from
private contributions. Applicants may
also partner with other program funding
recipients to coordinate the use of
resources in the target area.
b. Past Performance. HUD’s field
offices will evaluate data provided by
applicants as well as their past
performance to determine whether
applicants have the capacity to manage
the grant they are applying for. Field
offices will evaluate the contract
administrators’ past performance for
applicants required to have a contract
administrator. Using Rating Factor 1, the
field office will evaluate applicants’ past
performance. Applicants should
carefully review Rating Factor 1 to
ensure their application addresses all of
the criteria requested. If applicants fail
to address what is requested in Rating
Factor 1, their application will not
receive further consideration.
c. Contract Administrator Partnership
Agreement. PHAs that are troubled at
time of application are required to
submit a signed Contract Administrator
Partnership Agreement. The agreement
must be for the entire grant term. Grant
awards must have a signed Contract
Administrator Partnership Agreement
included in the application. Applicants
required to have a Contract
Administrator Partnership Agreement
that fail to submit one will fail this
threshold requirement and will not
receive further consideration for
funding.
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Troubled PHAs are not eligible to be
contract administrators. Grant writers
who assist in the preparation of their
Neighborhood Networks applications
are also ineligible to be contract
administrators.
For more information on contract
administrators, see the section ‘‘Program
Requirements.’’
d. Minimum Score for All Fundable
Applications. Applications that pass all
threshold requirements and go through
the ranking and rating process, must
receive a minimum score of 75 in order
to be considered for funding.
e. The Dun and Bradstreet Universal
Numbering System (DUNS) Number
Requirement. Refer to the General
Section of the SuperNOFA for
information regarding the DUNS
requirement. You will need to obtain a
DUNS number to receive an award from
HUD. You will need a DUNS number to
complete your Grants.gov registration.
Registration is required for electronic
submission. See the General Section of
the SuperNOFA for a discussion of the
Grants.gov registration process.
f. Applicants will not be considered
for funding if their request exceeds the
maximum amount they are eligible for.
2. Program Requirements:
a. Program Evaluations. A portion of
grant funds should be reserved to ensure
that evaluations can be completed for all
participants who received training
through this program. For example,
applicants may propose to reserve one
percent of grant funds for every 10
students they train for the purpose of
evaluating students’ success in the
program.
b. Physical Improvements. All
renovations must meet appropriate
accessibility requirements, including
the requirements of Section 504 of the
Rehabilitation Act of 1973 at 24 CFR
part 8, Architectural Barriers Act at 24
CFR part 40, the Americans with
Disabilities Act and the Fair Housing
Act. Compliance with the Uniform
Federal Accessibility Standards must
comply with the requirements of 24 CFR
8.21, 8.22, 8.232, and 8.25 with respect
to buildings.
c. Contract Administrator. The
contract administrator must assure that
the financial management system and
procurement procedures that will be
implemented during the grant term
comply with 24 CFR part 85. CAs are
expressly forbidden from accessing
HUD’s Line of Credit Control System
(LOCCS) and submitting vouchers on
behalf of grantees. Contract
administrators must assist PHAs in
meeting HUD’s reporting requirements,
see Section VI.C. ‘‘Reporting’’ for more
information. Contract administrators
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may be: local housing agencies;
community-based organizations such as
community development corporations
(CDCs), churches, temples, synagogues,
mosques; nonprofit organizations; state/
regional associations and organizations.
Troubled PHAs are not eligible to be
contract administrators. Grant writers
who assist applicants in preparing their
Neighborhood Networks applications
are also ineligible to be contract
administrators. Organizations that the
applicant proposes to use as the contract
administrator must not violate the
conflict of interest standards as defined
in 24 CFR part 84 and 24 CFR part 85.
d. Other Requirements Applicable to
All Programs. All applicants, lead and
non-lead, should refer to ‘‘Other
Requirements and Procedures
Applicable to All Programs’’ of the
General Section of the SuperNOFA for
other requirements to which they may
be subject.
3. Number of Applications Permitted:
a. General. Applicants may submit
only one application for a NN grant.
b. Joint applications. Two or more
applicants may join together to submit
a joint application for proposed grant
activities. Joint applications must
designate a lead applicant. Only the
lead applicant is subject to the threshold
requirements outlined in this NOFA.
However, both lead and non-lead
applicants are subject to threshold
requirements outlined in Section III. C.
of the General Section of the
SuperNOFA. The lead applicant must
be registered with Grants.gov and
submit the application using the
Grants.gov portal. Applicants who
submit joint applications cannot submit
separate applications as sole applicants
under this NOFA. NOTE: The lead
applicant will determine the maximum
funding amount the applicants are
eligible to receive.
4. Eligible Participants: All program
participants must be residents of public
housing or residents of other housing
assisted with funding made available
under the 2005 Appropriations Act (e.g.,
residents receiving tenant-based or
project-based voucher assistance, as
well as elderly and disabled residents).
5. Compliance with Program
Requirements. In addition to the
specific NN program requirement, all
applicants and grantees must also
comply with the program requirements
contained in Section III. C. of the
General Section of the SuperNOFA.
IV. Application and Submission
Information
A. Address to Obtain an Application
Package. There is no application kit this
year. Please refer to the General Section
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14027
for information on how to submit your
application electronically. Copies of this
published NOFA and application forms
for this program may be downloaded
from the grants.gov Web site at https://
www.grants.gov/APPLY. If you have
difficulty accessing the information you
may call the Grants.gov help desk tollfree at (800) 518–GRANTS or sending an
e-mail to Support@Grants.gov. The
operators will assist you in accessing
the information.
B. Content and Form of Application
Submission: 1. Application Preparation:
Before preparing an application for
Neighborhood Networks funding,
applicants should carefully review the
program description, program
requirements, ineligible activities,
threshold requirements contained in
this NOFA, and the General Section.
Applicants should also review each
rating factor found in the ‘‘Application
Review Information’’ section before
writing a narrative response.
Applicants’ narratives must be
descriptive in order to ensure that every
requested item is addressed. Applicants
should make sure to include all
requested information, according to the
instructions found in this NOFA and the
General Section. This will help ensure
a fair and accurate review of your
application.
2. Content and Format for
Submission: In order to be funded,
applicants must propose programs
which meet all the requirements and
objectives of the Neighborhood
Networks program described in this
NOFA and follow the submission
instructions for electronic filing and
submitting third party letters and other
documentation found in the General
Section.
3. Content of Application: Applicants
must write narrative responses to each
of the rating factors described in the
section below. Their responses must
demonstrate that they have the
necessary capacity to successfully
manage this grant program. Applicants
should ensure that their narratives are
written clearly and concisely so that
HUD reviewers, who may not be
familiar with the Neighborhood
Networks program, fully understand the
proposal. HUD encourages applicants to
carefully review each rating factor, the
regulations governing the Neighborhood
Networks program, at 24 CFR parts 905
and 968, and the General Section prior
to responding to the rating factors.
4. Format of Application: (1)
Applications may not exceed 35
narrative pages. Narrative pages must be
submitted as separate electronic files,
formatted as double-spaced, singlesided documents. Each file should have
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the pages numbered consecutively. Use
Times New Roman font style and font
size 12. Supporting documentation,
required forms, and certifications will
not be counted toward the 35 narrative
page limit. See the General Section for
information on how to submit
documents that are not in electronic
format. Applicants should make every
effort to submit only what is necessary
in terms of supporting documentation.
Please see the General Section for
instructions on how to submit
supporting documentation with your
electronic application.
(2) The following checklist has been
provided to guarantee that the
applicants submit all of the required
forms and information. Electronic
application filers should make sure the
file names for their narratives reflect the
labels in the checklist. Each narrative
must be in a separate file with all the
files zipped together and sent as an
attachment in the application submittal.
(Note: Applicants who receive a waiver to
submit paper applications, must submit their
applications in a three-ring binder, with
TABS dividing the sections as indicated
below):
TAB 1: Required Forms
1. Acknowledgment of Application
Receipt (HUD–2993), for paper
application submissions only (you must
have an approved waiver to submit a
paper application);
2. Application for Federal Assistance
(SF–424);
3. SF–424 Supplement—Survey on
Ensuring Equal Opportunity for
Applicants;
4. Questionnaire for HUD’s Initiative
on Removal of Regulatory Barriers
(HUD–27300);
5. ROSS Fact Sheet (HUD–52751);
6. Grant Application Detailed Budget
(HUD–424–CB);
7. Grant Application Detailed Budget
Worksheet (HUD–424–CBW);
8. Applicant/Recipient Disclosure/
Update Report (HUD–2880);
9. Certification of Consistency with
RC/EZ/EC–II Strategic Plan (HUD–2990)
if applicable;
10. Certification of Consistency with
the Consolidated Plan (HUD–2991) if
applicable;
11. Disclosure of Lobbying Activities
(HUD–SF–LLL)—if applicable;
12. Disclosure of Lobbying Activities
Continuation Sheet (HUD–SF–LLL–A)—
if applicable; and
13. Client Comments and Suggestions
(HUD–2994). (Optional)
14. Facsimile Transmittal (HUD–
96011)
TAB 2: Threshold Requirements
1. Letters from Partners attesting to
match;
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2. Letter from Applicant’s
organization attesting to match (if
applicant is contributing to match); and
3. Contract Administrator Partnership
Agreement (required for troubled PHAs)
(HUD–52755).
TAB 3: Rating Factor 1
1. Narrative
2. Chart A: Program Staffing (HUD–
52756)
3. Chart B: Applicant/Administrator
Track Record (HUD–52757)
4. Resumes/Position Descriptions
TAB 4: Narrative for Rating Factor 2
TAB 5: Rating Factor 3
1. Narrative
2. Business Plan (see sample) (HUD–
52766)
TAB 6: Narrative for Rating Factor 4
TAB 7: Narrative for Rating Factor 5
and NN Program Forms
1. Narrative
2. Logic Model (HUD–96010);
3. Sample Performance measures/
outcomes are attached for applicants’
information
C. Submission Dates and Times: 1.
Due Dates: Electronic applications must
be submitted and received by Grants.gov
no later than 11:59:59 p.m. eastern time
on June 3, 2005. For applicants
receiving a waiver to the electronic
filing requirement, please see the
General Section for waiver and mailing
requirements.
2. Proof of Timely Submission. Please
see Section IV.F of the General Section
for application submission, and timely
receipt requirements. Applicants that
fail to meet the deadline for application
receipt will not receive funding
consideration.
D. Intergovernmental Review: Not
applicable.
E. Funding Restrictions: 1.
Reimbursement for Grant Application
Costs: Applicants who receive a NN
award are prohibited from using these
grant funds to reimburse any costs
incurred while preparing their
applications.
2. Covered Salaries:
a. Project Coordinator: The
Neighborhood Networks program will
fund up to $65,000 in combined annual
salary and fringe benefits for a full-time
Project Coordinator. The Project
Coordinator’s salary and fringe benefits
may not exceed 30 percent of the total
grant amount. For audit purposes,
applicants must have documentation on
file demonstrating that the salary paid to
the Project Coordinator is comparable to
similar professions in their local area.
b. Hiring Residents: Grantees may hire
residents to help with the
implementation of this grant program.
No more than five percent of grant funds
can be used for this purpose.
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c. NN funds may only be used for the
types of salaries described in this
section according to the restrictions
described herein. NN funds may not be
used to pay for salaries of any other
kind.
d. Neighborhood Networks grant
funds cannot be used to hire or pay the
services of a Contract Administrator.
3. Administrative Costs.
Administrative costs may include, but
are not limited to, purchase of furniture,
office equipment, supplies, local travel,
and utilities. Administrative costs may
not be used to pay for salaries.
Administrative costs must not exceed 10
percent of the total grant amount
requested from HUD. Administrative
costs must adhere to OMB Circular A–
87. Please use HUD–424–CBW to
itemize your administrative costs.
4. Ineligible Activities/Costs. Grant
funds may not be used for ineligible
activities:
a. Payment of wages and/or salaries to
participants for receiving supportive
services and/or training programs;
b. Purchase, lease, or rental of land;
c. Purchase, lease, or rental of
vehicles;
d. Entertainment costs;
e. Purchasing food;
f. Service Coordinator salary and
fringe benefits;
g. Stipends;
h. Cost of application preparation;
i. Costs which exceed limits identified
in the NOFA for the following: Project
Coordinator, resident salaries, physical
improvements (see below) and
administrative expenses; and
j. Any other costs not eligible under
section 9(d)(1)(E) of the U.S. Housing
Act of 1937. A copy of the regulation
can be found at www.hud.gov/
fundsavailable.
k. NN funds cannot be used to hire or
pay for the services of a Contract
Administrator
5. Physical Improvements. For new
centers, expenses for physical
improvements may not exceed 20
percent of the total grant amount
requested from HUD. For existing
centers, expenses for physical
improvements may not exceed 10
percent of the total grant amount.
F. Other Submission Requirements: a.
Electronic Delivery. Beginning in
FY2005, HUD requires applicants to
submit applications electronically
through www.grants.gov/Apply.
Applicants interested in applying for
funding must submit their applications
electronically via the web site https://
www.grants.gov/Apply. This site has
simple instructions that will enable you
to apply for HUD assistance. The
www.grants.gov/Apply feature includes
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a simple, unified application process to
enable applicants to apply for grants
online.
b. Waivers to the Electronic
Submission Process: Applicants may
request a waiver to the electronic
submission process (see Section IV.F of
the General Section for more
information). Applicants who are
granted a waiver must submit their
applications to: HUD Grants
Management Center (GMC), Mail Stop:
Neighborhood Networks, 501 School
Street, SW., 8th floor, Washington, DC
20024. Please see the General Section
for detailed mailing and delivery
instructions as the procedures have
changed significantly for this year.
c. Number of Copies. Only applicants
receiving a waiver to the electronic
submission requirement may submit an
original and two paper copies of the
application. One paper copy must be
sent to the area field office. See the chart
in the General Section if you have
received a waiver of the electronic
submission requirement.
V. Application Review Information
A. Criteria
1. Factors for Award Used To
Evaluate and Rate Applications to the
Neighborhood Networks Program: The
factors for rating and ranking applicants
and maximum points for each factor are
provided below. The maximum number
of points available for this program is
102. This includes two RC/EZ/EC bonus
points. The SuperNOFA contains a
certification that must be completed in
order for the applicant to be considered
for RC/EZ/EC–II bonus points. A listing
of federally designated RC/EZ/EC–II is
available on HUD’s web site at:
www.hud.gov/fundsdsavailable. The
agency certifying to RC/EZ/EC–II status
must be included in the listing on
HUD’s web site. Please see the General
Section for details concerning RDC/EZ/
EC–II bonus points. NOTE: Applicants
should carefully review each rating
factor before writing a response.
Applicants’ narratives must be
descriptive and detailed in order to
ensure every requested item is
addressed. Applicants should make sure
their narratives thoroughly address the
Rating Factors below and include all
requested information, according to the
instructions found in this NOFA. This
will help ensure a fair and accurate
application review.
a. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Staff (35 Points)
This factor addresses whether the
applicant has the organizational
resources necessary to successfully
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implement the proposed activities
within the grant period. In rating this
factor, HUD will consider whether the
proposal demonstrates that the
applicant will have qualified and
experienced staff. HUD will also bear in
mind whether or not the proposed staff
will be dedicated to administering the
program.
(1) Proposed Program Staffing (12
Points).
(a) Staff Experience (4 Points). HUD is
requesting details about the knowledge
and experience of the proposed Project
Coordinator, staff, and partners in
planning and managing programs.
Experience will be judged in terms of
recent, relevant and successful
experience of proposed staff to
undertake program activities. In rating
this factor, HUD will consider
experience within the last 5 years to be
recent; experience pertaining to the
specific activities being proposed to be
relevant; and experience producing
specific accomplishments to be
successful. Applicants will receive a
greater amount of points if the proposed
staff has recent and applicable
experience. HUD is looking for staff to
possess experience working with and
successfully implementing similar
projects. If proposed staff has
experience in providing community
technology services and in delivering
social service programs to underserved
populations, applicants will receive a
maximum score of four points. If
proposed staff has experience in only
one area, applicants will receive two
points. If proposed staff has experience
in neither area, applicants will receive
a score of 0 for this subfactor.
The following information should be
included in the application in order to
provide HUD an understanding of the
proposed staff’s experience and
capacity:
(i) The number of staff years (one staff
year = 2080 hours) to be allocated to the
program by each employee as well as
each of their roles in the program;
(ii) The staff’s relevant educational
background and/or work experience;
(iii) Relevant and successful
experience running programs whose
activities include social services and
computer programs that are similar to
the eligible program activities described
in this NOFA;
(b) Hiring Residents (3 points). Three
points will be awarded if applicants
commit to hiring one to three residents.
Small PHAs should hire one person,
medium PHAs should hire one to two
people, and large PHAs should hire
three people in order to get the
maximum score. In order to receive
points for this subfactor, applicants
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must explain in their narrative that they
will hire residents and indicate the
number of residents to be hired, and
work they will be assigned.
(c) Organizational Capacity (5 Points).
Applicants will be evaluated based on
whether they have, and/or whether their
partners have sufficient qualified
personnel to deliver the proposed
activities in a timely and effective
fashion. In order to enhance or
supplement capacity, applicants should
provide evidence of partnerships with
nonprofit organizations or other
organizations that have experience
providing community technology
services to typically underserved
populations. Applicants’ narrative must
describe their ability to immediately
begin the proposed work program.
Applicants may scan resumes or
position descriptions (where staff is not
yet hired) for all key personnel so they
become an electronic attachment to your
Grants.gov application. Please see the
General Section for instructions on how
to submit the required information with
your electronic application. (Resumes/
position descriptions do not count
toward the 35-page limit.)
(2) Past Performance of Applicant/
Contract Administrator (6 Points).
Applicants’ narrative must describe how
they (or their Contract Administrator)
successfully implemented grant
programs (including those listed below)
designed to promote resident selfsufficiency or moving from welfare to
work. Applicants’ past experience may
include, but is not limited to, running
programs aimed at assisting residents of
low-income housing achieve economic
self-sufficiency; e.g., ROSS grants and
Youthbuild. Applicants’ narrative must
indicate the grants they received and
managed, the grant amounts, and grant
terms (years) of the grants that they are
counting towards past experience.
Applicants will be evaluated according
to the following criteria:
(a) Benefits gained by participating
residents. These must be measurable.
Applicants should describe results their
programs have obtained, (e.g., higher
incomes, improved grades, higher rates
of employment, increased savings,
improved literacy, etc.);
(b) Description of timely grant
expenditure throughout the term of past
grants. Timely means regular
drawdowns throughout the life of the
grant, i.e., quarterly drawdowns, with
all funds expended by the end of the
grant term;
(c) Description of past leveraging.
Applicants must describe how they
have leveraged funding or in-kind
services beyond what was originally
proposed for past projects;
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(3) Program Administration and
Fiscal Management (17 Points).
(a) Program Administration (10
Points). Applicants should describe how
they will manage the program; how
HUD can be sure that there is program
accountability; and provide a
description of proposed staff’s roles and
responsibilities. Applicants should also
describe how grant staff, and partners
will report to the Project Coordinator
and other senior staff.
(b) Fiscal Management (7 Points) In
rating this factor, applicants’ skills and
experience in fiscal management will be
evaluated. If applicants have had any
audit or material weakness findings in
the past five years, they will be
evaluated on how well they have
addressed them. Applicants must
provide the following:
(i) A complete description of their
fiscal management structure, including
fiscal controls currently in place, which
includes those of a Contract
Administrator for applicants who
required one. (i.e., troubled PHAs);
(ii) Applicants must list any audit
findings in the past five years (HUD
Inspector General, management review,
fiscal, etc.), material weaknesses and
what has been done to address them;
(iii) For applicants who are required
to have a Contract Administrator,
describe the skills and experience the
Contract Administrator has in managing
Federal funds.
b. Rating Factor 2: Need (10 Points)
This factor addresses the need for
funding an applicant’s proposed
program. In responding to this factor,
applicants will be evaluated on the
extent to which they describe and
document the level of need for their
proposed activities.
In responding to this factor,
applicants must include:
(1) Demonstrated Link Between
Proposed Activities and Local Need. (10
points). Applicants’ narrative must
demonstrate a clear relationship
between proposed activities, community
needs and the purpose of the program’s
funding in order for points to be
awarded for this factor.
c. Rating Factor 3: Soundness of
Approach (25 Points)
This factor addresses both the quality
and cost-effectiveness of applicants’
proposed business plan. The business
plan must indicate a clear relationship
between proposed activities, the
targeted population’s needs, and the
purpose of the program funding.
Applicants’ activities must address
HUD’s policy priorities outlined in this
Rating Factor.
In rating this factor HUD will
consider:
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(1) Quality of the Business Plan (20
points). This factor evaluates both the
applicants’ business plan and budget
which will be evaluated based on the
following criteria:
(a) Specific Services and/or Activities
(9 points). Applicants’ narrative must
describe the specific services, course
curriculum, and activities they plan to
offer and who will be responsible for
each. In addition to the narrative,
applicants must also provide a business
listing the specific services, activities,
and outcomes they expect. The business
plan must show a logical order of
activities and progress and must tie to
the outcomes and outputs applicants
identify in the Logic Model (see Rating
Factor 5). Please see a sample business
plan in the Appendix (HUD–52766).
Applicants’ narrative must explain how
their proposed activities will:
(i) Involve community partners in the
delivery of services (4 points); and
(ii) Offer comprehensive services
versus a small range of services geared
toward enhancing economic
opportunities for residents. (5 points).
(b) Feasibility and Demonstrable
Benefits (4 points). This factor examines
whether applicants’ business plan is
logical, feasible and likely to achieve its
stated purpose during the term of the
grant. HUD’s desire is to fund
applications that will quickly produce
demonstrable results and advance the
purposes of the Neighborhood Networks
program.
(i) Timeliness. This subfactor
evaluates whether applicants’ business
plan demonstrates that their project is
ready to be implemented shortly after
grant award. In addition, the timing of
the application should not exceed three
months following the execution of the
grant agreement. The business plan
must indicate timeframes and deadlines
for accomplishing major activities.
(ii) Description of the problem and
solution. The business plan will be
evaluated based on how well applicants’
proposed activities address the needs
described in Rating Factor 2.
(c) Budget Appropriateness/Efficient
Use of Grant (7 Points). The score in this
factor will be based on the following:
(i) Justification of expenses (4 Points).
Applicants will be evaluated based on
whether their expenses are reasonable,
well explained, and support the
objectives of their proposal.
(ii) Budget Efficiency (3 Points).
Applicants will be evaluated based on
whether their application requests funds
commensurate with the level of effort
necessary to accomplish their goals and
anticipated results.
(d) Ineligible Activities. Two points
will be deducted for each ineligible
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activity proposed in the application, as
identified in Section IV(E). For example,
you will lose 2 points if you propose
costs that exceed the limits identified in
the NOFA for a Project Coordinator.
(2) Addressing HUD’s Policy Priorities
(5 points). HUD wants to improve the
quality of life for those living in
distressed communities. HUD’s grant
programs are a vehicle for long-term,
positive change that can be achieved at
the community level. Applicants’
narrative and business plan will be
evaluated based on how well they meet
the following HUD policy priorities:
(a) Improving the Quality of Life in
Our Nation’s Communities. (1 points).
In order to receive points in this
category, applicants’ narrative and
business plan must indicate the types of
activities, services, and training
programs that will be offered. These
programs should help residents
successfully transition from welfare to
work and earn higher wages, or for
elderly/disabled residents, to continue
to live independently.
(b) Providing Full and Equal Access to
Grassroots Faith-Based and Other
Community-Based Organizations in
HUD Program Implementation (1 point).
HUD encourages applicants to partner
with grassroots organizations, e.g., civic
organizations, grassroots faith-based and
other community-based organizations.
These grassroots organizations have a
strong history of providing vital
community services such as developing
first-time homeownership programs,
creating economic development
programs, providing job training and
other supportive services. In order to
receive points under this factor,
applicants’ narrative and business plan
must describe how applicants will work
with these organizations and what types
of services they will provide.
(c) Policy Priority for Increasing the
Supply of Affordable Housing Through
the Removal of Regulatory Barriers to
Affordable Housing (up to 2
points).Under this policy priority,
higher rating points are available to (1)
governmental applicants that are able to
demonstrate successful efforts in
removing regulatory barriers to
affordable housing, and (2)
nongovernmental applicants
undertaking activities in jurisdictions
that have undertaken successful efforts
in removing barriers. For applicants to
obtain the policy priority points for
efforts to successfully remove regulatory
barriers, applicants should complete
form HUD 27300, ‘‘Questionnaire for
HUD’s Initiative on Removal of
Regulatory Barriers.’’ A copy of HUD’s
Notice entitled America’s Affordable
Communities Initiative, HUD’s Initiative
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on Removal of Regulatory Barriers:
Announcement of Incentive Criteria on
Barrier Removal in HUD’s 2004
Competitive Funding Allocations’’ can
be found on HUD’s Web site at https://
www.hud.gov/grants/index.cfm. The
information and requirements contained
in HUD’s regulatory barriers policy
priority apply to this FY 2005 NOFA. A
description of the policy priority and a
copy of form HUD 27300 can be found
in the General Section. Applicants are
encouraged to read the Notice as well as
the General Section to obtain an
understanding of this policy priority
and how it can impact their score. A
number of questions expressly request
the applicant to provide brief
documentation with their response.
Other questions require that for each
affirmative statement made, the
applicant must supply a reference, URL,
or a brief statement indicating where the
back-up information may be found, and
a point of contact, including a telephone
number or email address. The electronic
copy of the HUD 27300 has space to
identify a URL or reference that the
material is being scanned and attached
to the application as part of the
submission or faxed to HUD following
the facsimile submission instructions.
(d) Energy Star (1 point). HUD has
adopted a wide-ranging energy action
plan for improving energy efficiency in
all program areas. As a first step toward
implementing the energy plan, HUD, the
Environmental Protection Agency (EPA)
and the Department of Energy (DoE)
have signed a joint partnership to
promote energy efficiency in HUD’s
affordable housing efforts and programs.
The purpose of the Energy Star
partnership is to promote energy
efficiency of the affordable housing
stock, but also to help protect the
environment. Applicants constructing,
rehabilitating, or maintaining housing or
community facilities are encouraged to
promote energy efficiency in design and
operations. They are urged especially to
purchase and use Energy Star labeled
products. Applicants providing housing
assistance or counseling services are
encouraged to promote Energy Star
building by homebuyers and renters.
Program activities can include
developing Energy Star promotional and
information materials, outreach to lowand moderate-income renters and
buyers on the benefits and savings when
using Energy Star products and
appliances, and promoting the
designation of community buildings and
homes as Energy Star compliant. For
further information about Energy Star,
see https://www.energystar.gov or call 1–
888–STAR–YES (1–888–782–7937) or
for the hearing-impaired, 1–888–588–
9920 TTY. Applicants demonstrating
that they will meet one or more
provisions of this policy priority will
receive one point.
d. Rating Factor 4: Leveraging
Resources (20 Points)
(1) This factor addresses the
applicant’s ability to secure community
resources that can be combined with
HUD’s grant resources in order to
achieve program purposes. Applicants
are required to create partnerships with
organizations that can help achieve their
program’s goals. PHAs are required by
section 12(d)(7) of the U.S. Housing Act
of 1937 (entitled ‘‘Cooperation
Agreements for Economic SelfSufficiency Activities’’) to make best
efforts to enter into such agreements
with relevant state or local agencies. In
rating this factor, HUD will look at the
Percentage of match
e. Rating Factor 5: Achieving Results
and Program Evaluation (10 Points)
(1) An important element in this
year’s NOFA is the development and
reporting of performance measures and
outcomes. This factor emphasizes
HUD’s determination to ensure that
applicants meet commitments made in
their applications and grant agreements.
They are also required to assess their
performance so they can measure
performance goals. Applicants must
demonstrate how they propose to
measure their success and outcomes
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extent to which applicants partner,
coordinate and leverage their services
and resources with other organizations
serving the same or similar populations.
(2) Additionally, applicants must
have at least a 25 percent cash or inkind match. The match is a threshold
requirement. Joint applicants must have
at least a 25 percent match. Applicants
who do not demonstrate the minimum
25 percent match will fail the threshold
requirement and will not receive further
consideration for funding. Leveraging in
excess of the 25 percent of the requested
grant amount will receive a higher point
value. In evaluating this factor HUD will
consider the extent to which applicants
have partnered with other entities to
secure additional resources. This will
increase the effectiveness of the
proposed program activities. The
additional resources and services must
be firmly committed, must support the
proposed grant activities and must, in
combined amount (including in-kind
contributions of personnel, space and/or
equipment, and monetary contributions)
equal at least 25 percent of the grant
amount requested in this application.
‘‘Firmly committed’’ means that the
amount of resources and their
dedication to Neighborhood Networksfunded activities must be explicit, in
writing, and signed by a person
authorized to make the commitment.
Please see the section on Threshold
Requirements for more information.
(3) Points for this factor will be
awarded based on the documented
evidence of partnerships and firm
commitments and the ratio of requested
Neighborhood Networks funds to the
total proposed grant budget.
Points will be assigned based on the
following scale:
Points awarded
25 ...............................................................................................
26–50 .........................................................................................
51–75 .........................................................................................
76 or above ...............................................................................
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5 points (with partnerships) 3 points (without partnerships).
10 points (with partnerships) 8 points (without partnerships).
15 points (with partnerships) 13 points (without partnerships).
20 points (with partnerships) 18 points (without partnerships).
relating to the Department’s Strategic
Plan. HUD requires NN applicants to
develop an effective, quantifiable,
outcome-oriented plan for measuring
performance and determining that goals
have been met. Applicants must use the
Logic Model form (HUD–96010) for this
purpose.
(2) Applicants must establish interim
benchmarks, or outputs, for their
proposed program that lead to the
ultimate achievement of outcomes.
‘‘Outputs’’ are the direct products of a
program’s activities. Examples of
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outputs are: the number of eligible
families that participate in supportive
services, the number of new services
provided, the number of residents, or
the number of households using a
technology center. Outputs should
produce outcomes for your program.
‘‘Outcomes’’ are benefits accruing to the
residents, families and/or communities
during or after participation in the NN
program. Applicants must clearly
identify the outcomes to be achieved
and measured. Examples of outcomes
are: increasing academic achievement in
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youth, increasing residents’ financial
stability (e.g. increasing assets of a
household through savings), or
increasing employment stability (e.g.,
whether persons assisted obtain or
retain employment for one or two years
after job training completion). Outcomes
are not the actual development or
delivery of services or program
activities.
(3) This rating factor requires that
applicants identify program outputs,
outcomes, and performance indicators
that will allow applicants to measure
their performance. Performance
indicators should be objectively
quantifiable and measure actual
achievements against anticipated
achievements. Applicants’ narrative,
business plan, and Logic Model should
identify what applicants are going to
measure, how they are going to measure
it, and the steps they have in place to
make adjustments if performance targets
begin to fall short of established
benchmarks and timeframes.
Applicants’ proposals must also show
how they will measure the performance
of partners and affiliates. Applicants
must include the standards, data
sources, and measurement methods they
will use to measure performance.
In order to respond to this factor,
applicants should use the sample
performance measures located in the
Appendix (HUD–52758) as a guide.
Applicants will be evaluated based on
how comprehensively they propose to
measure their program’s outcomes; e.g.
whether the Logic Model tracks
activities and outcomes resulting from
the proposed activities, whether the
Logic Model identifies evaluation tools
and sources, and whether the Logic
Model provides output and outcome
information for the short, medium and
long-term.
B. Review and Selection Process: 1.
Review Process. Four types of reviews
will be conducted: a screening to
determine if you are eligible to apply for
funding under the Neighborhood
Networks category; whether your
application submission is complete, on
time and meets threshold; a review by
the field office to evaluate past
performance; and a technical review to
rate your application based on the five
rating factors provided in this NOFA.
2. Selection Process: The selection
process is designed to achieve
geographic diversity of grant awards
throughout the country. HUD will first
select the highest ranked application
from each of the ten federal regions.
After this ‘‘round,’’ HUD will select the
second highest ranked application in
each of the ten federal regions for
funding (the second round). HUD will
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continue this process with the third,
fourth, and so on, highest ranked
applications in each federal region until
the last complete round is selected for
funding. If available funds exist to fund
some but not all eligible applications in
the next round, HUD will make awards
to those remaining applications in rank
order (by score). In this round,
selections will be made regardless of
region and will fully fund as many as
possible with remaining funds. If
remaining funds are too small to make
an award, they will be applied to
funding the fiscal year 2006
Neighborhood Networks program,
assuming new funding is made
available.
3. Tie Scores. In the event of a tie
between two applications, HUD will
select the application that was received
first.
4. Deficiency Period. Applicants will
have fourteen calendar days in which to
provide missing information requested
from HUD. For other information on
correcting deficient applications, please
see the General Section.
VI. Award Administration Information:
A. Award Notices: HUD will make
announcements of grant awards after the
rating and ranking process is completed.
Grantees will be notified by letter. The
letter will contain instructions and the
steps they must take to access funding
and begin implementing grant activities.
Applicants who are not funded will also
receive letters via U.S. postal mail.
B. Debriefings: Applicants who are
not funded may request a debriefing.
Applicants requesting to be debriefed
must send a written request to: Iredia
Hutchinson, Director, Grants
Management Center, 501 School Street,
SW., Suite 800, Washington, DC 20024.
Please refer to the General Section for
additional information on debriefings.
C. Administrative and National Policy
Requirements:
1. Applicable Requirements. Grantees
are subject to regulations and other
requirements found in:
a. 24 CFR 85 ‘‘Administrative
Requirements for Grants and
Cooperative Agreements to State, Local,
and Federally Recognized Indian Tribal
Governments’’;
b. 24 CFR Part 905 ‘‘The Public
Housing Capital Fund Program’’;
c. 24 CFR Part 968 ‘‘Public Housing
Modernization’’;
d. OMB Circular A–87 ‘‘Cost
Principles for State, Local, and Indian
Tribal Governments’’; and
e. OMB Circular A–133 ‘‘Audits of
States, Local Governments, and NonProfit Organizations’’.
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2. Economic Opportunities for Lowand Very Low-Income Persons (Section
3).
Applicants and grantees must also
comply with Section 3 of the Housing
and Urban Development Act of 1968, 12
U.S.C. 1701u and ensure that training,
employment, and other economic
opportunities shall, to the greatest
extent feasible, be directed toward low
and very low-income persons,
particularly those who are recipients of
government assistance for housing and
to business concerns which provide
economic opportunities to low and very
low-income persons.
3. Executive Order 13202,
Preservation of Open Competition and
Government Neutrality Towards
Government Contractors’ Labor
Relations on Federal and Federally
Funded Construction Projects. For
further information see the General
Section.
4. Fair Housing and Civil Rights Laws.
Applicants and their subrecipients must
comply with all Fair Housing and Civil
Rights laws, statutes, regulations, and
Executive Orders as enumerated in 24
CFR 5.105(a), as applicable. Please see
the General Section for more
information.
5. Environmental Impact. Some
activities under this Neighborhood
Networks program section will be
excluded and not subject to
environmental review under 24 CFR
58.34(a)(3), (a)(8) or (a)(9), 58.35(b)(2) or
(b)(3), 50.19(b)(3), (b)(8), (b)(9), (b)(12),
or (b)(13). Some will be subject to
environmental review. Any applicant
proposing any long-term leasing or
physical development activities, and its
partners, are prohibited from
constructing, rehabilitating, converting,
leasing, repairing or constructing
property, or committing or expending
HUD or non-HUD funds for these types
of program activities, until the following
has occurred:
HUD has approved the grantee’s
Request for Release of Funds (HUD
Form 7015.15) following a Responsible
Entity’s completion of an environmental
review under 24 CFR part 58, where
required, or if HUD has determined in
accordance with 24 CFR 58.11 to
perform the environmental review itself
under 24 CFR part 50, HUD has
completed the environmental review.
6. Wage Rates. Laborers and
mechanics employed in the
development and operation of
Neighborhood Networks facilities must
be paid Davis-Bacon or HUDdetermined prevailing wage rates,
respectively, unless they meet the
qualifications of a volunteer (see Section
III.C.1.a of this program section).
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7. Provision of Services to Individuals
with Limited English Proficiency (LEP).
Successful applicants and grantees must
seek to provide access to program
benefits and information to LEP
individuals through translation and
interpretive services in accordance with
HUD’s LEP Recipient Guidance 68 FR
70968.
8. Communications. Successful
applicants should ensure that notices of
and communications during all training
sessions and meetings be effective for
persons who have hearing and/or visual
disabilities consistent with Section 504,
see 24 CFR 8.6.
9. Procurement of Recovered
Materials. State agencies or a political
subdivision of a state that are using
assistance under a HUD program NOFA,
must comply with the requirements of
Section 6002 of the Solid Waste
Disposal Act, as amended by the
Resource Conservation and Recovery
Act. In addition, any person contracting
with such an agency with respect to
work performed under an assisted
contract, must comply with the
requirements of Section 6002 of the
Solid Waste Disposal Act, as amended
by the Resource Conservation and
Recovery Act. Please see the General
Section for more information.
D. Reporting:
1. Semi-Annual Performance Reports.
Grantees shall submit semi-annual
performance reports to the local HUD
field office. These progress reports shall
include financial reports (SF–269A) and
a narrative describing milestones,
business plan progress, problems
encountered and methods used to
address these problems. HUD
anticipates that some of the reporting of
financial status and grant performance
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will be through electronic or Internetbased submissions. Grantees shall use
quantifiable data to measure
performance against goals and
objectives outlined in their business
plan. Applicants that receive awards
from HUD should be prepared to report
on additional measures that HUD may
designate at time of award. Performance
reports are due to the field office on July
30 and January 31 of each year. If
reports are not received by the due date,
grant funds will not be advanced until
reports are received.
2. Final Report. All grantees shall
submit a final report to their local field
office. This reports must include a
financial report (SF–269A) and a
narrative evaluating overall performance
against their business plan. Grantees
shall use quantifiable data to measure
performance against goals and
objectives outlined in their business
plan. The financial report shall contain
a summary of all expenditures made
from the beginning of the grant
agreement to the end of the grant
agreement and shall include any
unexpended balances. The final
narrative and financial report shall be
due to the field office 90 days after the
termination of the grant agreement
3. Logic Model. For each semi-annual
reporting period, you must include a
completed Logic Model (Form HUD
96010), which identifies output and
outcome achievements. These semiannual reporting periods are required. A
completed Logic Model must also be
provided with the final report showing
cumulative outputs and outcomes for
the entire award period.
VII. Agency Contact(s)
For questions and technical
assistance, applicants may call the
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Public and Indian Housing Information
and Resource Center at 800–955–2232.
For the hearing or speech impaired,
please call the Federal Relay Service at
800–877–8339.
VIII. Other Information
A. Code of Conduct: See the General
Section of the SuperNOFA for more
information.
B. Transfer of Funds: HUD does not
have the discretion to transfer funds for
the Neighborhood Networks category to
or from any other grant program.
C. Paperwork Reduction Act: The
information collection requirements
contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
number 2577–0229. In accordance with
the Paperwork Reduction Act, HUD may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless the collection
displays a currently valid OMB control
number. Public reporting burden for the
collection of information is estimated to
average ten hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, semi-annual
reports and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
D. Appendix of Forms: The forms
specific to the Neighborhood Networks
Program follow.
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14054
Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 / Notices
Resident Service Delivery ModelsFamily, Resident Service Delivery
Models-Elderly/Persons with
Disabilities, and Homeownership
Supportive Services Under the Resident
Opportunity and Self-Sufficiency
(ROSS) Program
Overview Information
A. Federal Agency Name: U.S.
Department of Housing and Urban
Development, Office of Public and
Indian Housing.
B. Funding Opportunity Title:
Resident Service Delivery ModelsFamily, Resident Service Delivery
Models-Elderly/Persons with
Disabilities, and Homeownership
Supportive Services under the Resident
Opportunity and Self-Sufficiency
(ROSS) program.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number for this NOFA
is: FR–4950–N–22. The OMB approval
number is: 2577–0229.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): Resident
Opportunity and Self Sufficiency,
14.870.
F. Dates: Resident Service Delivery
Models-Elderly/Persons with
Disabilities: The application submission
date is July 6, 2005. Please see the
General Section of the SuperNOFA for
application submission and timely
receipt requirements.
Resident Service Delivery ModelsFamily: The application submission
date is July 25, 2005. Please see the
General Section of the SuperNOFA for
application submission and timely
receipt requirements.
Homeownership Supportive Services:
The application submission date is May
26, 2005. Please see the General Section
of the SuperNOFA for application
submission and timely receipt
requirements.
G. Optional, Additional Overview
Content Information:
1. Purpose of Program: The purpose of
the Public and Indian Housing Resident
Opportunity and Self Sufficiency
(ROSS) program is to provide grants to
public housing agencies (PHAs), tribes/
tribally designated housing entities
(TDHEs), Resident Associations (RAs),
and nonprofit organizations, including
grassroots, faith-based and other
community-based organizations for the
delivery and coordination of supportive
services and other activities designed to
help public and Indian housing
residents attain economic selfsufficiency and elderly residents and
residents with disabilities continue to
live independently.
2. Funding Available: A total of
approximately $58.1 million is available
for ROSS in fiscal year 2005.
3. Award Amounts: Awards,
depending on the grant category, unit
count and type of grantee, will range
from $125,000 to $1,000,000. Please see
each program description for more
specific information about funding
amounts.
14055
4. Eligible Applicants: Eligible
applicants are PHAs; tribes/TDHEs;
nonprofit organizations including
grassroots faith-based and other
community-based organizations that
have resident support or the support of
tribes; RAs; resident councils (RCs);
resident organizations (ROs); City-Wide
Resident Organizations (CWROs);
Intermediary Resident Organizations
(IROs); Jurisdiction-Wide Resident
Organizations; Regional Resident
Organizations; Resident Management
Corporations (RMCs); Site-Based
Resident Organizations; Statewide
Resident Organizations (SRO); and
Tribal/TDHE resident groups. The term
‘‘resident association’’ or ‘‘RA’’ will be
used to refer to all types of eligible
resident organizations. Please see the
section on ‘‘Definition of Terms’’ for a
complete definition of each type of
eligible resident organization.
Resident Associations are not eligible
for the Homeownership Supportive
Services program.
See each program for more specific
eligibility information.
5. Cost Sharing/Match Requirement:
At least 25 percent of the requested
grant amount is required as a match.
The match may be in cash and/or inkind donations. The match is a
threshold requirement.
6. Grant term: The grant term for each
funding category is three years from the
execution date of the grant agreement.
Grant program
Total funding
Eligible applicants
Maximum grant amount
Resident Service Delivery Models—Family .....
$22.9 million ...............
PHAs ..........................
................................
................................
Resident Associations
Non-profit entities .......
................................
Tribes/TDHEs .............
$16.27 million .............
PHAs ..........................
................................
................................
Resident Associations
Non-profit entities .......
................................
Tribes/TDHEs .............
$18.9 million ...............
PHAs ..........................
$250,000 for PHAs with 1–780 units.
$350,000 for PHAs with 781–2,500 units.
$500,000 for PHAs with 2,501–7,300 units.
$1,000,000 for PHAs with 7,301 or more
units.
$125,000.
$125,000 per RA; Maximum award is
$375,000.
$250,000 for Tribes with 1–780 units.
$350,000 for Tribes with 781–2,500 units.
$500,000 for Tribes with 2,501–7,300 units.
$1,000,000 for Tribes with 7,301 or more
units.
$250,000 for PHAs with 1–217 units.
$350,000 for PHAs with 218–1,155 units.
$450,000 for PHAs with 1,156 or more
units.
$125,000.
$125,000 per RA; Maximum award is
$375,000.
$250,000 for Tribes with 1–217 units.
$350,000 for Tribes with 218–1,155 units.
$450,000 for Tribes with 1,156 or more
units.
$250,000 for PHAs with 1–780 units.
$350,000 for PHAs with 781–2,500 units.
$500,000 for PHAs with 2,501–7,300 units.
$1,000,000 for PHAs with 7,301 or more
units.
Resident Service Delivery Models—Elderly
and Persons with Disabilities.
Homeownership Supportive Services ..............
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Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 / Notices
Grant program
Total funding
A. Resident Services Delivery ModelsFamily (RSDM-Family): The purpose is
to provide funding to assist PHAs,
tribes/TDHEs, RAs, nonprofit
organizations which include grassroots
community based organizations,
inclusive of faith-based organizations,
create programs which will help
residents achieve economic selfsufficiency. Applicants must submit
proposals that will link residents with
services such as job training and
educational opportunities that facilitate
self-sufficiency.
B. Resident Services Delivery ModelsElderly/Persons with Disabilities
(RSDM-Elderly): This category is
intended to provide PHAs, Indian
tribes/TDHEs, RAs, and nonprofit
organizations with the resources to
provide and coordinate supportive
services that will help elderly and/or
disabled Public and Indian Housing
residents continue to live
independently.
C. Homeownership Supportive
Services (HSS): The HSS category
provides funds for PHAs, tribes/TDHEs,
and qualified nonprofit organizations to
deliver homeownership training,
counseling and supportive services for
residents of Public and Indian housing
who are participating or have
participated in self-sufficiency
programs, such as ROSS, Public
Housing Family Self-Sufficiency (FSS)
or other federal, state, or local selfsufficiency programs. HSS is designed
to enhance other self-sufficiency efforts
by providing public housing residents
with the necessary preparation and
supportive services they need in order
to move from subsidized rental housing
to homeownership. PHAs, tribes/
TDHEs, and nonprofit organizations
specializing in homeownership training
and counseling are eligible to apply.
D. Definition of Terms:
1. City-Wide Resident Organization
consists of members from Resident
Councils, Resident Management
Corporations, and Resident
Organizations who reside in public
housing developments that are owned
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Non-profit entities .......
................................
I. Funding Opportunity Description
Maximum grant amount
................................
Full Text of Announcement
Eligible applicants
Tribes/TDHEs .............
$125,000 per RA; Maximum award is
$375,000.
$250,000 for Tribes with 1–780 units.
$350,000 for Tribes with 781–2,500 units.
$500,000 for Tribes with 2,501–7,300 units
$1,000,000 for Tribes with 7,301 or more
units.
and operated by the same PHA within
a city.
2. Community Facility means a nondwelling structure that provides space
for multiple supportive services for the
benefit of public or Indian housing
residents and others eligible for the
services provided. Supportive services
may include but are not limited to:
a. Job-training;
b. After-school activities for youth;
c. Neighborhood Networks (formerly
Twenty/20 Education Communities
(TECs), Campus of Learners activities);
d. English as a Second Language (ESL)
classes; and
e. Child care.
3. Contract Administrator means an
overall grant administrator or a financial
management agent (or both) that
oversees the implementation of the
grant and/or the financial aspects of the
grant. (See the ‘‘Program Requirements’’
and ‘‘Threshold Requirements’’ sections
for more information.)
4. Elderly person means a person who
is at least 62 years of age.
5. Jurisdiction-Wide Resident
Organization means an incorporated
nonprofit organization or association
that meets the following requirements:
a. Most of its activities are conducted
within the jurisdiction of a single
housing authority;
b. There are no incorporated resident
councils or resident management
corporations within the jurisdiction of
the single housing authority;
c. It has experience in providing startup and capacity-building training to
residents and resident organizations;
and
d. Public housing residents
representing unincorporated resident
councils within the jurisdiction of the
single housing authority must comprise
a majority of the board of directors.
6. Tribally Designated Housing Entity
(TDHE) is an entity authorized or
established by one or more Indian tribe
to act on behalf of each such tribe
authorizing or establishing the housing
entity.
7. Indian Tribe means any tribe, band,
nation, or other organized group of a
community of Indians, including any
Alaska native village, regional, or village
corporation as defined in or established
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pursuant to the Alaska Native Claims
Settlement Act, and that is recognized
as eligible for the special programs and
services provided by the United States
to Indians because of their status as
Indians pursuant to the Indian Self
Determination and Education Act of
1975.
8. Intermediary Resident
Organizations means jurisdiction-wide
resident organizations, citywide
resident organizations, statewide
resident organizations, regional resident
organizations, and national resident
organizations.
9. NAHASDA-assisted resident means
a resident of a tribe (as defined above)
who has been assisted by the Native
American Housing Assistance and SelfDetermination Act (NAHASDA) of 1996
.
10. National Resident Organization
(NRO) is an incorporated nonprofit
organization or association for public
housing that meets each of the following
requirements:
a. It is national (i.e., conducts
activities or provides services in at least
two HUD areas or two states);
b. It has the capacity to provide startup and capacity-building training to
residents and resident organizations;
and
c. Public housing residents
representing different geographical
locations in the country are members of
the board of directors.
11. Nonprofit organization is an
organization that is exempt from federal
taxation. A nonprofit organization can
be organized for the following purposes:
charitable, religious, educational,
scientific, or other similar purposes in
the public interest. In order to qualify,
an organization must be a corporation,
community chest, fund, or foundation.
An individual or partnership will not
qualify. To obtain nonprofit status,
qualified organizations must file an
application with the Internal Revenue
Service (IRS) and receive designation as
such by the IRS. For more information,
go to www.irs.gov. Applicants who are
in the process of applying for nonprofit
status, but have not yet received
nonprofit designation from the IRS, will
not be considered nonprofit
organizations. All nonprofit applicants
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must submit their IRS determination
letter to prove their nonprofit (e.g.,
501(c)(3)) status. Please see the section
on ‘‘Threshold Requirements’’ for more
information. Nonprofit applicants must
also provide letters of support as
described in the ‘‘Threshold
Requirements’’ section.
12. National nonprofit organizations
work on a national basis and have the
capacity to mobilize resources on both
a national and local level. All nonprofit
applicants must submit their IRS
determination letter to prove their
nonprofit (e.g., 501(c)(3)) status.
National nonprofit applicants must also
provide letters of support as outlined in
the ‘‘Threshold Requirements’’ section.
13. Past Performance is a threshold
requirement. Using Rating Factor 1,
HUD’s field offices will evaluate
applicants for past performance to
determine whether an applicant has the
capacity to manage the grant for which
they are applying. The area Office of
Native American Programs (ONAP) will
review past performance for tribal/
TDHE submissions. Field offices will
evaluate the past performance of
contract administrators for applicants
required to have a contract
administrator.
14. Person with disabilities means a
person who:
a. Has a condition defined as a
disability in section 223 of the Social
Security Act; or
b. Has a developmental disability as
defined in section 102 of the
Developmental Disabilities Assistance
Bill of Rights Act.
The term ‘‘person with disabilities’’
does not exclude persons who have
acquired immunodeficiency syndrome
(HIV/AIDS) or any conditions arising
from the etiologic agent for AIDS. In
addition, no individual shall be
considered a person with disabilities,
for purposes of eligibility for lowincome housing, solely on the basis of
any drug or alcohol dependence.
The definition of a person with
disabilities contained in section 504 of
the Rehabilitation Act of 1973 and its
implementing regulations must be used
for purposes of reasonable
accommodations.
15. Project Coordinator is responsible
for coordinating the grantee’s approved
activities to ensure that grant goals and
objectives are met. A qualified project
coordinator is someone with experience
managing projects and preferably has
experience working with supportive
services. The project coordinator and
grantees are responsible for ensuring
that all federal requirements are
followed.
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16. Resident Association (RA) means
any or all of the forms of resident
organizations as they are defined
elsewhere in this Definitions section
and includes Resident Councils (RC),
Resident Management Corporations
(RMC), Regional Resident Organizations
(RRO), Statewide Resident
Organizations (SRO), Jurisdiction-Wide
Resident Organizations, and National
Resident Organizations (NRO). The
NOFA will use ‘‘Resident Association’’
or ‘‘RA’’ to refer to all eligible types of
resident organizations. See 24 CFR
964.115 for more information.
17. Regional Resident Organization
(RRO) means an incorporated nonprofit
organization or association for public
housing that meets each of the following
requirements:
a. The RRO is regional (i.e., not
limited by HUD Areas);
b. The RRO has experience in
providing start-up and capacity-building
training to residents and resident
organizations; and
c. Public housing residents
representing different geographical
locations in the region must comprise
the majority of the board of directors.
18. Resident Management
Corporation (RMC) means an entity that
proposes to enter into, or enters into a
contract to conduct one or more
management activities of a PHA and
meets the requirements of 24 CFR
964.120.
19. Resident Organization (RO) for
tribal entities means an incorporated or
unincorporated nonprofit tribal
organization or association that meets
each of the following criteria:
a. It shall consist of residents only,
and only residents may vote;
b. If it represents residents in more
than one development or in all of the
developments of the tribal/TDHE
community, it shall fairly represent
residents from each development that it
represents;
c. It shall adopt written procedures
providing for the election of specific
officers on a regular basis; and
d. It shall have an elected governing
board.
20. Secretary means the Secretary of
Housing and Urban Development.
21. Site-Based Resident Associations
means resident councils or resident
management corporations representing a
specific public housing development.
22. Statewide Resident Organization
(SRO) is an incorporated nonprofit
organization or association for public
housing that meets the following
requirements:
a. The SRO is statewide;
b. The SRO has experience in
providing start-up and capacity-building
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14057
training to residents and resident
organizations; and
c. Public housing residents
representing different geographical
locations in the state must comprise the
majority of the Board of Directors.
23. Tribal/TDHE Resident Group
means tribal/TDHE resident groups that
are democratically elected groups such
as IHA-wide resident groups, area-wide
resident groups, single development
groups, or resident management
corporations (RMCs).
E. Regulations Governing the ROSS
Grant: Resident Service Delivery
Models-Family, Resident Service
Delivery Models-Elderly/Persons with
Disabilities, and Homeownership
Supportive Services are governed by 24
CFR Part 964.
II. Award Information
A. Information for All Grant Categories
and All Applicants
1. Grant Period. Three years. The
grant period shall begin the day the
grant agreement and the form HUD–
1044, ‘‘Assistance Award/Amendment’’
are signed by both the grantee and HUD.
2. Grant Extensions. Requests to
extend the grant term beyond the
originally established grant term must
be submitted in writing by the grantee
to the local HUD field office or area
ONAP at least 90 days prior to the
expiration of the grant term. Requests
must explain why the extension is
necessary, what work remains to be
completed, and what work and progress
was accomplished to date. Extensions
may be granted only once by the field
office for a period not to exceed six
months.
3. Type of Award. Grant agreement.
4. Subcontracting. Subcontracting is
permitted. Grantees must follow federal
procurement regulations found in HUD
regulations at 24 CFR 84.40–84.48 and
24 CFR 85.36.
B. Resident Services Delivery Models—
Family
1. Total Funding. The Department
expects to award $22,950,000
($15,000,000 appropriated and
$7,950,000 of carryover) under this
category. Awards will be made as
follows:
a. PHAs must use the number of
occupied conventional family public
housing units as of September 30, 2004,
per their budget to determine the
maximum grant amount they are eligible
for in accordance with the categories
listed below. PHAs should clearly
indicate on the Fact Sheet the number
of units under their Annual
Contributions Contract.
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Number of conventional units
1–780 units ...........................
781–2,500 units ....................
2501–7,300 units ..................
7,301 or more units ..............
Maximum
funding
$250,000
350,000
500,000
1,000,000
b. The maximum grant award is
$125,000 for each RA.
c. Nonprofit organizations that have
resident support or the support of tribes
or RAs are limited to $125,000 for each
RA. A nonprofit organization may
submit a single application for no more
than three different RAs from the same
PHA for a maximum grant award of
$375,000. Nonprofit organizations may
submit more than one application
provided they target residents of distinct
PHAs or tribes/TDHEs. In cases where
nonprofit applicants are not able to
obtain support from RAs, they must
obtain letters of support from PHAs,
tribes/TDHEs and they may also submit
letters from one or more of the
following: Resident Advisory Boards
(RABs), local civic organizations, or
units of local government. NOTE: All
nonprofit applicants that do not include
letters of support from RAs must
include a letter of support from PHAs or
tribes/TDHEs (please see Threshold
Requirements for more information).
Funding for nonprofit applicants that
do not receive letters of support from
RAs will be determined as follows
(support letters from PHAs must
indicate the developments to be served
by the nonprofit organization as well as
the number of occupied conventional
family public housing units in those
developments):
Tribes should clearly indicate the
number of units under management on
the Fact Sheet.
C. Resident Services Delivery Models—
Elderly/Persons with Disabilities
1. Total Funding. The Department
expects to award $16,272,000
(10,672,000 appropriated and 5,600,000
of carryover funds) under this category.
Awards will be made as follows:
a. PHAs must use the number of
occupied elderly and disabled
conventional public housing units as of
September 30, 2004, per their budget to
determine the maximum grant amount
they are eligible for in accordance with
the categories listed below. PHAs
should clearly indicate the number of
units under their Annual Contributions
Contract on the Fact Sheet.
Number of conventional units
1–217 units ...........................
218–1,155 units ....................
1,156 or more units ..............
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1,156 or more units ..............
Maximum
funding
375,000
Applicants should see the General
Section of the SuperNOFA for
instructions on submitting support
letters and other documentation with
their electronic application.
d. Tribes/TDHEs should use the
number of units counted as Formula
Current Assisted Stock for Fiscal Year
2004 as defined in 24 CFR 1000.316.
Tribes/TDHEs are eligible for the same
amounts as PHAs within each category
in (a) above. Tribes that have not
previously received funds from the
Department under the 1937 Housing Act
should count housing units under
management that are owned and
operated by the Tribe and are identified
in their housing inventory as of
Maximum
funding
September 30, 2004, for elderly/disabled
units. Tribes should clearly indicate the
$250,000 number of units under management on
350,000
the Fact Sheet.
450,000
b. The maximum grant award is
$125,000 for each RA.
c. Nonprofit organizations that have
resident support or the support of tribes
or RAs are limited to $125,000 for each
RA. A nonprofit organization may
submit a single application for no more
than three different RAs from the same
PHA for a maximum grant award of
$375,000. Nonprofit organizations may
submit more than one application
provided they target residents of distinct
PHAs or tribes/TDHEs. In cases where
nonprofit applicants are not able to
obtain support from RAs, they must
obtain letters of support from PHAs,
Maximum
Number of conventional units
funding
tribes/TDHEs and they may also submit
letters of support from one or more of
1–2,500 units ........................
$125,000 the following: Resident Advisory Boards
2501–7,300 units ..................
250,000
(RABs), local civic organizations, or
7,301 or more units ..............
375,000
units of local government. Note: All
nonprofit applicants that do not include
Applicants should see the General
letters of support from RAs must
Section of the SuperNOFA for
include a letter of support from PHAs or
instructions on submitting support
tribes/TDHEs (please see Threshold
letters and other documentation with
Requirements for more information).
their electronic application.
Funding for nonprofit applicants that
d. Tribes/TDHEs should use the
do not receive letters of support from
number of units counted as Formula
RAs will be determined as follows
Current Assisted Stock for Fiscal Year
(support letters from PHAs must
2004 as defined in 24 CFR 1000.316.
indicate the developments to be served
Tribes/TDHEs are eligible for the same
by the nonprofit organization as well as
amounts as PHAs within each category
the number of occupied conventional
in (a) above. Tribes that have not
elderly/disabled public housing units in
previously received funds from the
Department under the U.S. Housing Act those developments):
of 1937 should count housing units
Maximum
Number of conventional units
under management that are owned and
funding
operated by the Tribe and are identified
in their housing inventory as of
1–217 units ...........................
$125,000
September 30, 2004, for family units.
218–1,155 units ....................
250,000
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Number of conventional units
D. Homeownership Supportive Services
1. Total Funding. The Department
expects to award $18,900,000
($12,400,000 appropriated and
$6,500,000 of carryover funds) under
this category. Awards will be made as
follows:
a. PHAs must use the number of
occupied conventional family public
housing units as of September 30, 2004,
per their budget to determine the
maximum grant amount they are eligible
for in accordance with the categories
listed below. PHAs should clearly
indicate the number of units under their
Annual Contributions Contract on the
Fact Sheet.
Number of conventional units
1–780 units ...........................
781–2,500 units ....................
2501–7,300 units ..................
7,301 or more units ..............
Maximum
funding
$250,000
350,000
500,000
1,000,000
b. Nonprofit organizations that have
resident support or the support of tribes
or RAs are limited to $125,000 for each
RA. A nonprofit organization may
submit a single application for no more
than three different RAs from the same
PHA for a maximum grant award of
$375,000. Nonprofit organizations may
submit more than one application
provided they target residents of distinct
PHAs or tribes/TDHEs. In cases where
nonprofit applicants are not able to
obtain support from RAs, they must
obtain letters of support from PHAs,
tribes/TDHEs and they may also submit
letters of support from one or more of
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the following: Resident Advisory Boards
(RABs), local civic organizations, or
units of local government. Note: All
nonprofit applicants that do not include
letters of support from RAs must
include a letter of support from PHAs or
tribes/TDHEs (please see Threshold
Requirements for more information).
Funding for nonprofit applicants that
do not receive letters of support from
RAs will be determined as follows
(support letters from PHAs must
indicate the developments to be served
by the nonprofit as well as the number
of occupied conventional family public
housing units in those developments):
Number of conventional units
1–2,500 units ........................
2501–7,300 units ..................
7,301 or more units ..............
B. Cost Sharing or Matching
Information for All Grant Categories
and All Applicants: The match is a
threshold requirement. Applicants who
do not demonstrate the minimum 25
percent match will fail the threshold
requirement and will not receive further
Maximum
funding
consideration for funding. Please see the
section below on threshold
$125,000 requirements for more information on
250,000 what is required for the match.
375,000
RAs are not eligible to apply for funding
under the HSS category.
Applicants should see the General
Section of the SuperNOFA for
instructions on submitting support
letters and other documentation with
their electronic application.
c. Tribes/TDHEs should use the
number of units counted as Formula
Current Assisted Stock for Fiscal Year
2004 as defined in 24 CFR 1000.316.
Tribes/TDHEs are eligible for the same
amounts as PHAs within each category
in (a) above. Tribes that have not
previously received funds from the
Department under the U.S. Housing Act
of 1937 should count housing units
under management that are owned and
operated by the Tribe and are identified
in their housing inventory as of
September 30, 2004, for family units.
Tribes should clearly indicate the
number of units under management on
the Fact Sheet.
III. Eligibility Information
A. Eligible Applicants
1. RSDM—Family. This funding
category provides grants to PHAs,
tribes/TDHEs, RAs, and nonprofit
organizations supported by resident
organizations or PHAs, tribes/TDHEs,
and RABs, local civic organizations or
units of local government.
2. RSDM—Elderly/Persons with
Disabilities. This funding category
provides grants to PHAs, tribes/TDHEs,
RAs, and nonprofit organizations
supported by resident organizations or
PHAs, tribes/TDHEs and RABs, local
civic organizations or units of local
government. PHAs that are recipients of
the Elderly/Disabled renewal Service
Coordinator grant are not eligible to
apply for this ROSS funding category.
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16:51 Mar 18, 2005
3. Homeownership Supportive
Services. This funding category provides
grants to PHAs, tribes/TDHEs and
qualified nonprofit organizations that
have the support of resident
organizations or PHAs, tribes/TDHEs
and RABs, local civic organizations or
units of local government. Resident
Associations are not eligible to apply for
funding under this category.
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C. Other
1. Eligible Activities
a. RSDM—Family. HUD is looking for
applications that implement
comprehensive programs within the
three year grant term which will result
in improved economic self-sufficiency
for Public and Indian housing residents.
HUD is looking for proposals that
involve partnerships with organizations
that will enhance grantees’ ability to
provide educational programs, housing
counseling, including fair housing
counseling, job training and other
supportive services for residents. All
applicants must complete a work plan
(see sample work plans on HUD’s Web
site at https://www.hud.gov/offices/adm/
grants/fundsavail.cfm) covering the
three-year grant term.
The eligible activities are listed in
four categories, from basic to advanced:
Life-Skills Training; Job Training, Job
Search and Placement Assistance; Post
Employment Follow-up; and finally,
Activities to Support Career
Advancement and Long-term Economic
Self-Sufficiency. Applicants are not
limited to choosing one category of
activity, but rather should design their
programs to address the specific needs
of the population they are targeting.
Applicants are encouraged to pull from
all categories and activities listed.
Funds may be used for the activities
described below.
(1) Hiring of a qualified project
coordinator to run the grant program. A
qualified project coordinator must have
at least two years of experience
managing programs and should have
experience working on supportive
services programs. The project
coordinator should be hired for the
entire three-year term of the grant. The
project coordinator is responsible for:
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14059
(a) Marketing the program to
residents;
(b) Assessing participating residents’
skills and job-readiness;
(c) Assessing participating residents’
needs for supportive services, e.g., child
care, transportation costs, etc.
(d) Assisting a tribe or TDHE to create
a resident group to promote selfsufficiency efforts on the reservation;
(e) Designing and coordinating grant
activities based on residents’ needs and
the local labor market; and
(f) Monitoring the progress of program
participants and evaluating the overall
success of the program. A portion of
grant funds should be reserved to ensure
that evaluations can be completed for all
participants who received training
through this program. For more
information on how to measure
performance, please see Rating Factor 5
in the ‘‘Application Review
Information’’ section of this NOFA.
(2) Life-skills Training (for Youth and
Adults). Applicants’ proposals can
cover the following types of activities:
(a) Credit. The importance of having
good credit and how to maintain good
credit.
(b) Banking and Money Management.
How to open a bank account; balance a
checkbook; create a weekly spending
budget and establish contingency plans
for child care and transportation, etc.
(c) Real Life Issues. Information on tax
forms; voter registration; leases; car
insurance; health insurance; long-term
care insurance; etc.
(d) Literacy training and GED
preparation.
(e) College preparatory courses and
information.
(f) Goal setting.
(g) Mentoring.
(h) Hiring residents to help with the
implementation of this grant program.
NOTE: Stipends and salaries serve
different purposes. Resident salaries can
only be used to hire residents to help
grant program staff with the
implementation of grant activities.
(3) Job Training, Job Search and
Placement Assistance. Eligible activities
include:
(a) Skills Assessment of participating
residents.
(b) Applying for a job. How to
complete employment forms;
highlighting skills employers are
looking for; researching job
opportunities in the area; calculating net
wages.
(c) Soft skills training including
problem solving and other cognitive
skills; oral and written communication
skills; workplace norms (appropriate
dress, punctuality, respectful
communication, etc.), work ethic;
interpersonal and teamwork skills.
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(d) Creating job training and
placement programs.
(e) Resume writing.
(f) Interviewing techniques.
(g) Employer linkage and job
placement. Working with local
employers and job placement providers
to design and offer training that
addresses local employers’ needs, create
a job placement program that refers
trained residents to participating
employers and other local area
employers.
(h) Career advancement and planning
programs. Such programs should be
designed to:
(i) Career goal setting;
(ii) Provide strategies such as finding
a strong professional mentor within an
organization residents may be working
for and focusing on the organization’s
priorities.
(iii) Reinforce welfare-to-work
programs and focus efforts on increasing
residents’ earning capacity. Activities
can include job counseling, helping
residents secure better paying jobs or
jobs in better work environments,
preparing for work in a new job
category, obtaining additional job skills
and other job-related or educational
training.
(iv) Working with local employers, to
create opportunities that combine
education and skills training with jobs.
Strategies that promote work-based
learning can offer the most effective
method for giving new workers the tools
they need to move on to a career ladder
and achieve upward mobility.
(4) Post-employment follow-up. After
placing residents in jobs, providing
follow-up and ongoing support to newly
hired residents can have a significant
positive impact on long-term job
retention.
(5) Activities To Support Career
Advancement and Long-term Economic
Self-Sufficiency.
(a) Individual Savings Accounts
(ISAs). Applicants may create programs
that encourage residents to save and
contribute to match savings accounts
such as Individual Development
Accounts (IDAs). The programs should
include financial counseling and
education activities. ISAs may only be
used for three purposes: (1) To purchase
a first home that is existing or under
construction when the purchase
contract is signed; (2) to receive postsecondary education or training; or (3)
to start a local business (other than
acquiring, leasing, constructing, or
rehabilitating real property in
connection with the business).
Applicants are encouraged to leverage
RSDM funds by working with local
financial organizations, which can also
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16:51 Mar 18, 2005
Jkt 205001
contribute to residents’ ISAs. FSS
escrow accounts may not be used as a
match for RSDM-funded ISAs. Grantees
shall consult the Internal Revenue
Service regarding possible tax
consequences of the ISAs to
participating residents.
(b) Housing Counseling. This can
include information to help residents
move to market rate rental housing and/
or ‘‘pre-purchase’’ homeownership
counseling and training. This may
include training on such subjects as
credit and financial management; credit
repair; housing search; how to finance
the purchase of a home; fair housing;
Individual Savings Accounts, Real
Estate Settlement Procedures Act
(RESPA); and home maintenance.
(6) Stipends. Stipends are an eligible
use of grant funds. Stipends may be
used for reasonable out-of-pocket costs.
Stipends may be used to reimburse such
things as local transportation to and
from job training and job interviews,
supplemental educational materials,
and child care expenses. Stipends must
be tied to residents’ successful
performance and regular attendance.
(7) Hiring of Residents. Grant funds
may also be used to hire a resident(s) as
program staff.
(8) Supportive Services.
(a) After school programs for schoolage children to include tutoring,
remedial training, educational
programming using computers.
(b) Provision of information on the
Earned Income Tax Credit Program,
Food Stamps, Child Tax Credit Program,
Medicaid, the State Child Health
Insurance Program (S–CHIP), Student
Loan Interest Deduction, tribal welfare
programs, and other benefit programs
that can assist individuals and families
make a successful transition from
welfare to work.
(c) Transportation costs as necessary
to enable participating families to
receive services or commute to training
or employment.
(d) Child-care provision for ROSS–
RSDM—Family program participants.
(e) Parenting courses.
(f) Nutrition courses.
(g) Health care information and
services including referrals to mental
health providers, alcohol and other drug
abuse treatment programs.
(h) English as a second language (ESL)
classes.
(i) Creating and maintaining linkages
to local social service agencies, such as
employment agencies, health
departments, transportation agencies,
economic/community development
agencies, community colleges,
recreational and cultural services, and
other community organizations such as
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Boys & Girls Clubs, 4H–Clubs, Boy
Scouts, Girl Scouts, etc.
b. RSDM—Elderly/Persons with
Disabilities HUD is looking for
applications that implement
comprehensive programs within the
three-year grant term, which will result
in improved living conditions for the
elderly/persons with disabilities
population. HUD is also looking for
proposals that involve partnerships with
organizations that will help grantees
provide enhanced services to the
elderly/persons with disabilities they
will serve. All applicants must complete
a work plan covering the three-year
grant term.
Proposed grant activities should build
on the foundation created by previous
ROSS grants or other federal, state, and
local efforts to assist this population.
Eligible activities include the
following: (1) Hiring of a qualified
project coordinator to run the grant
program. A qualified project coordinator
should have at least two years of
experience managing programs and
have experience working with
supportive services. The project
coordinator is responsible for:
(a) Assessing participating residents’
needs for supportive services (e.g.,
Medicaid, Medicare, physician care,
food stamps, rehabilitation services,
veterans disability, state-funded
programs such as nurse case
management, housekeeping, Meals-onWheels; transportation etc.);
(b) Designing and coordinating grant
activities based on residents’ needs;
(c) Monitoring the progress of
program participants and evaluating the
overall success of the program. A
portion of grant funds should be
reserved to ensure that evaluations can
be completed for all participants who
received assistance through this
program. For more information on how
to measure performance, please see
Rating Factor 5 in the ‘‘Application
Review Information’’ section of this
NOFA.
(2) Coordination and set up of meal
services;
(3) Coordination and set-up of
transportation services;
(4) Wellness programs including,
health and nutrition programs,
preventive health education, referral to
rehabilitation services, and services for
the disabled and other community
resources;
(5) Personal emergency response;
(6) Congregate services—includes
supportive services that are provided in
a congregate setting at a conventional
public housing development; and
(7) Case management.
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c. Homeownership Supportive
Services
HUD is looking for applications that
implement comprehensive programs
within the three year grant term which
will result in increased rates of
homeownership for residents of Public
and Indian housing. Applicants should
create linkages with HUD
homeownership programs such as: the
Housing Choice Voucher
Homeownership Program, the PHA
Homeownership Program also known as
Section 32 (formerly the Section 5(h)
Homeownership Program) and
homeownership programs and resources
offered by other organizations or state or
local homeownership programs.
Tribes/TDHEs should create linkages
with programs such as the Mutual Help
Homeownership Opportunity Program,
the Section 184 Program, and
homeownership programs developed
under the Indian Housing Block Grant
Program such as mortgage assistance.
All applicants must complete a work
plan (see sample work plans on HUD’s
web site at https://www.hud.gov/offices/
adm/grants/fundsavail.cfm) covering
the three-year grant term.
HUD is also looking for proposals that
involve partnerships with organizations
that will enhance the services grantees
will offer. Applicants are strongly
encouraged to partner with HUD–
approved housing counseling agencies.
For a list of HUD–approved housing
counseling agencies, go to: https://
www.hud.gov/offices/hsg/sfh/hcc/
hccprof14.cfm. Applicants’ programs
should build on the foundation created
by previous ROSS grants, or other state
and local self-sufficiency efforts in
which their target population may have
participated.
Under this funding category,
applicants must develop
homeownership training programs for
the residents they intend to serve.
Eligible activities include the following:
(1) Hiring of a qualified project
coordinator to run the grant program. A
qualified project coordinator must have
experience working on homeownership
programs designed for typically
underserved populations. The project
coordinator is responsible for:
(a) Assessing participating residents’
needs;
(b) Designing and coordinating grant
activities based on residents’ needs;
(c) Monitoring the progress of
program participants and evaluating the
overall success of the program. A
portion of grant funds should be
reserved to ensure that evaluations can
be completed for all participants who
received assistance through this
program. For more information on how
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to measure performance, please see
Rating Factor 5 in the ‘‘Application
Review Information’’ section of this
NOFA.
(2) Training to include:
(a) Asset building;
(b) Credit counseling and credit
scoring;
(c) Financial literacy and
management;
(d) Selecting a real estate broker;
(e) Choosing a lender;
(f) Appraisals;
(g) Home inspections;
(h) Avoiding delinquency and
predatory lending;
(i) Foreclosure prevention;
(j) Home maintenance and financial
management for first-time homeowners;
(k) Real Estate Settlement Procedures
Act (RESPA); and
(l) Fair Housing Counseling.
(3) Individual Savings Accounts
(ISAs). You may create programs that
encourage residents to save and
contribute to match savings accounts
such as Individual Development
Accounts (IDAs). ISAs may be used only
for (a) Escrow accounts, (b) down
payment assistance and (c) closing costs
to assist the resident to purchase an
existing dwelling unit or a dwelling unit
under construction. You are encouraged
to leverage HSS funds by working with
local financial organizations, which can
also contribute to residents’ ISAs. FSS
escrow accounts may not be used as a
match for HSS–funded ISAs. FSS
residents are not eligible to participate
in the ISA provision.
2. Threshold Requirements. The
criteria below apply to all grant
categories and all applicants unless
otherwise indicated:
Applicants must respond to each
threshold requirement clearly and
thoroughly by following the instructions
below. If your application fails one
threshold requirement (regardless of the
type of threshold) it will be considered
a failed application and will not receive
consideration for funding.
a. Match. All applicants are required
to have in place a firmly committed 25
percent match in cash or in-kind
donations as defined in this NOFA.
Joint applicants must together have at
least a 25 percent match. Applicants
who do not demonstrate the minimum
25 percent match will fail this threshold
requirement and will not receive further
consideration for funding. If you are
applying for more than one ROSS grant,
you must use different sources of match
donations for each grant application and
you must indicate which additional
ROSS grant(s) you are applying for by
attaching an additional page to HUD
budget form 424–CBW stating the
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sources and amounts of each of your
match contributions for this application
as well as any other HUD programs to
which you are applying. Match
donations must be firmly committed
which means that the amount of match
resources and their dedication to ROSS–
funded activities must be explicit, in
writing, and signed by a person
authorized to make the commitment.
Letters of commitment, memoranda of
understanding (MOU), or tribal
resolution must be on organization
letterhead, and signed by a person
authorized to make the stated
commitment whether it be in cash or inkind services. The letters of
commitment/MOUs/tribal resolutions
must indicate the total dollar value of
the commitment and be dated within
two months of the application deadline,
and indicate how the commitment will
relate to the proposed program. The
commitment should be available at time
of award. Applicants proposing to use
their own, non-ROSS grant funds to
meet the match requirement in whole or
in part, must also include a letter of
commitment indicating the type of
match (cash or in-kind) and how the
match will be used. Please see the
General Section of the SuperNOFA for
instructions for submitting the required
letters with your electronic application.
Leveraging in excess of the 25 percent
of the grant amount will receive a higher
point value.
(1) Volunteer time and services shall
be computed by using the normal
professional rate for the local area or the
national minimum wage rate of $5.15
per hour (Note: applicants may not
count their staff time toward the match);
(2) In order for HUD to determine the
value of any donated material,
equipment, staff time, building, or lease,
your application must provide a letter
from the organization making the
donation stating the value of the
contribution.
(3) Other resources/services that can
be committed include: in-kind services
such as contributions of administrative
services provided to the applicant;
funds from federal sources (not
including ROSS funds) as allowed by
statute, including for example
Community Development Block Grant
(CDBG); funds from any state or local
government sources; and funds from
private contributions. Applicants may
also partner with other program funding
recipients to coordinate the use of
resources in the target area.
b. Past Performance. HUD’s field
offices will evaluate data provided by
applicants as well as applicants’ past
performance to determine whether
applicants have the capacity to manage
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the grant for which they are applying.
The area Offices of Native American
Programs (ONAP) will review past
performance for tribal and TDHE
submissions. Field offices will evaluate
the contract administrators’ past
performance for applicants required to
have a contract administrator. In
evaluating past performance HUD will
look at the applicant’s record of
completing grant activities on time,
within budget and the results achieved.
Using Rating Factor 1, the field office/
area ONAP will evaluate applicants’
past performance. Applicants should
carefully review Rating Factor 1 to
ensure their application addresses each
of the criteria requested therein. If
applicants fail to address what is
requested in Rating Factor 1, their
application will fail this threshold and
will not receive further consideration.
c. Contract Administrator Partnership
Agreement. All nonprofit applicants, all
resident organizations, and PHAs that
are troubled at time of application are
required to submit a signed Contract
Administrator Partnership Agreement.
The agreement must be for the entire
grant term. Grant awards shall be
contingent upon having a signed
partnership agreement included in your
application. Applicants required to have
a Contract Administrator Partnership
Agreement that fail to submit one will
fail this threshold requirement and will
not receive further consideration for
funding. Please see the General Section
of the SuperNOFA for instructions for
submitting the required information
with your electronic application.
Troubled PHAs are not eligible to be
contract administrators. Grant writers
who assist applicants with preparing
their ROSS applications are also
ineligible to be contract administrators.
For more information on contract
administrators, see the section ‘‘Program
Requirements.’’
d. Letters of Support for Nonprofit
Applicants.
(1) All nonprofit applicants must
include letters of support from resident
associations (RAs), Resident Advisory
Boards (RABs), local civic organizations,
or units of local government. In the
event that RAs are inactive, or that
applicants submit letters of support
from other organizations such as RABs,
nonprofit applicants must also submit
letters from PHAs or tribes/TDHEs
indicating support for their application.
All letters of support must be signed by
an authorized representative of the
supporting organization and dated
within two months of the application
deadline.
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(2) Nonprofit applicants that do
receive support from resident
associations must submit form HUD–
52754 ‘‘List of Resident Associations
Supporting Nonprofit Applicants.’’
Submitting this form is not applicable
where RAs are inactive or where
applicants do not submit letters of
support from RAs.
(3) In cases where nonprofit
organizations are applying to serve
tribes/TDHEs, nonprofit applicants must
submit letters of support from tribes/
TDHEs. Nonprofit organizations must
also use form HUD–52754 to list which
tribes/TDHEs support their application.
(4) Letters of support from RAs must
describe to what extent they are familiar
with the nonprofit applicant and
indicate their support and
understanding of the nonprofit
organization’s proposal/application.
Letters from RAs must include contact
information and the name and title of
the person authorized to sign for the
organization and should, whenever
possible, be on RA letterhead.
(5) Letters of support from RABs must
describe to what extent the RAB is
familiar with the nonprofit applicant
and indicate its support and
understanding of the nonprofit
organization’s proposal/application.
Letters from RABs must include contact
information and the name and title of
the person authorized to sign for the
organization, and should be on RAB or
PHA letterhead.
(6) Letters of support from civic
organizations or units of local
government must describe to what
extent they are familiar with the
nonprofit applicant and which programs
the nonprofit applicant has operated or
managed in the community that are
similar to the applicant’s proposal. Such
letters of support must include contact
information and the name and title of
the person authorized to sign for the
organization. The letter should be on
organization letterhead.
(7) All nonprofit applicants that do
not provide letters of support from
resident associations must provide
letters of support from PHAs or tribes/
TDHEs with jurisdiction over the
developments the applicant proposes to
serve. Letters from PHAs or tribes/
TDHEs must describe the extent to
which the nonprofit applicant is
familiar with the needs of the
community to be served, which
programs the nonprofit applicant has
operated or managed in the community
that are similar to the applicant’s
proposal, and whether the nonprofit
organization has the capacity to
implement its proposed program.
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Letters from PHAs or tribes/TDHEs must
also list the names of the developments
to be served, the number of occupied
conventional family or elderly/disabled
public housing units (depending on the
grant category) in those developments,
certify that the units are conventional
public housing, and identify the ROSS
grant category to which the nonprofit
organization is applying. PHA or tribe/
TDHE letters of support must be signed
by the Executive Director, tribal leader,
or authorized designee and must be on
PHA or tribe/TDHE letterhead. Please
see the General Section of the
SuperNOFA for instructions for
submitting the required letters with
your electronic application.
(8) Applications from nonprofit
organizations, which do not submit the
information requested in this section
will fail this threshold requirement and
will not be considered for funding.
e. Nonprofit status. All nonprofit
applicants must submit their IRS
determination letter to prove their
nonprofit (e.g., 501(c)(3)) status.
Applicants that fail to submit this letter
will fail this threshold requirement and
will not be considered for funding.
Please see the General Section of the
SuperNOFA for instructions for
submitting the required documentation
with your electronic application.
f. Minimum Score for All Fundable
Applications. Applications that pass all
threshold requirements and go through
the ranking and rating process, must
receive a minimum score of 75 in order
to be considered for funding.
g. Funding Requests in Excess of
Maximum Grant Amount. Applicants
that request funding in excess of the
maximum grant amount which they are
eligible to receive will not receive
funding consideration.
h. Performance Standards for PHA
Applicants to the Homeownership
Supportive Services Program
(applicable only to PHAs). PHA
applicants to the Homeownership
Supportive Services program that
administer a Homeownership Voucher
Program will be required to provide
Homeownership Vouchers per year,
according to the minimum amounts
listed in the table below, to eligible
families who successfully complete
training under the Homeownership
Supportive Services grant program.
Additionally, applicants must commit
to enrolling public housing residents in
their homeownership supportive
services program in accordance with the
amounts listed in the table printed
immediately below.
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Maximum
funding
Number of conventional units
1–780 units ..............................................................................................................................................
781–2,500 units .......................................................................................................................................
2501–7,300 units .....................................................................................................................................
7,301 or more units .................................................................................................................................
Those PHAs which administer a
Housing Choice Voucher program but
have not elected to provide assistance
under the Homeownership Voucher
option and receive funding under this
category, will be required to implement
the Homeownership Voucher Program
and make Homeownership Vouchers
available, in the amounts listed above,
on an annual basis to eligible families
who successfully complete training
under this ROSS activity. PHA
applicants as described in this section
must provide a letter certifying that they
will comply with this requirement.
i. Tribal/TDHE applicants. Tribal/
TDHE applicants to the HSS program
must have a Low-income
Homeownership Program outlined in
their current Indian Housing Plan.
Tribes/TDHEs will also be required to
provide homeownership assistance to a
minimum of 10 eligible families.
j. The Dun and Bradstreet Universal
Numbering System (DUNS) Number
Requirement. Refer to the General
Section of the SuperNOFA for
information regarding the DUNS
requirement. You will need to obtain a
DUNS number to receive an award from
HUD. You will need a DUNS number to
complete your Grants.gov registration.
Registration is required for electronic
submission. See the General Section of
the SuperNOFA for a discussion of the
Grants.gov registration process.
3. Program Requirements
a. Contract Administrator. The
contract administrator must assure that
the financial management system and
procurement procedures that will be in
place during the grant term will fully
comply with either 24 CFR part 84 or
85, as appropriate. CAs are expressly
forbidden from accessing HUD’s Line of
Credit Control System (LOCCS) and
submitting vouchers on behalf of
grantees. Contract administrators must
also assist PHAs meet HUD’s reporting
requirements, see Section VI (C)
‘‘Reporting’’ for more information.
Contract administrators may be: Local
housing agencies; community-based
organizations such as community
development corporations (CDCs),
churches, temples, synagogues,
mosques; nonprofit organizations; state/
regional associations and organizations.
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Troubled PHAs are not eligible to be
contract administrators. Grant writers
who assist applicants prepare their
applications are also ineligible to be
contract administrators. Organizations
that the applicant proposes to use as the
contract administrator must not violate
or be in violation of other conflicts of
interest as defined in 24 CFR part 84
and 24 CFR part 85.
c. Requirements Applicable to All
Programs. All applicants, lead and nonlead, should refer to ‘‘Other
Requirements and Procedures
Applicable to All Programs’’ of the
General Section of the SuperNOFA for
requirements pertaining specifically to
procurement of recovered materials and
for information regarding other
requirements to which they may be
subject.
4. Number of Applications Permitted.
Except as otherwise noted, the criteria
below apply to all grant categories and
all applicants.
a. General. Applicants including
PHAs, tribes/TDHEs, RAs, and nonprofit
organizations that have support from the
resident associations they propose to
serve or the support of tribes/TDHEs
may submit one application for each
ROSS funding category, however
applicants must submit separate
applications for each funding category.
Nonprofit organizations may submit
more than one application per funding
category provided that they will be
serving residents of distinct PHAs or
Tribes/TDHEs.
b. More than one application per
development. Applications from PHAs,
tribes/TDHEs, RAs, and nonprofit
organizations targeting the same public
housing development/population will
not all be funded. HUD suggests that in
these cases, applicants work together to
submit one application. Otherwise, the
highest scoring application will be
funded.
c. Joint applications. Two or more
applicants may join together to submit
a joint application for proposed grant
activities. Joint applications must
designate a lead applicant. The lead
applicant must be registered with
Grants.gov and submit the application
using the Grants.gov portal. Lead
applicants are subject to all threshold
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$250,000
350,000
500,000
1,000,000
Minimum
vouchers
(annual)
10
12
14
16
Minimum
enrollments
(over 3 year
term)
50
70
100
200
requirements. Non-lead applicants are
subject to the following threshold
requirements as applicable:
(1) Letters of support for nonprofit
applicants;
(2) Evidence of nonprofit status as
outlined under the section covering
threshold requirements; and
(3) Threshold requirements outlined
in Section III. C. of the General Section
of the SuperNOFA.
Joint applications may include PHAs,
RAs, Tribes/TDHEs, and nonprofit
organizations on behalf of resident
organizations. Joint applications
involving nonprofit organizations must
also provide evidence of resident
support or support from local civic
organizations or from units of local
government. PHAs, tribes/TDHEs, and
resident organizations that are part of a
joint application may not also submit
separate applications as sole applicants
under this NOFA.
Note: The lead applicant will
determine the maximum funding
amount the applicants are eligible to
receive.
5. Eligible Participants. All program
participants must be residents of
conventional public housing or
NAHASDA-assisted housing.
Participants in the Public Housing
Family Self-Sufficiency (FSS) program
(non-Housing Choice Voucher FSS
Program) are also eligible to participate
in activities funded under ROSS.
6. Eligible Developments. Only
conventional Public and Indian housing
developments may be served by ROSS
grant funds. Other housing/
developments, including, but not
limited to private housing, federally
insured housing, federally subsidized or
assisted (i.e., assisted under Section 8,
Section 202, Section 811, Section 236),
and others are not eligible to participate
in ROSS.
7. Energy Star. HUD has adopted a
wide-ranging energy action plan for
improving energy efficiency in all
program areas. As a first step toward
implementing the energy plan, HUD, the
Environmental Protection Agency (EPA)
and the Department of Energy (DoE)
have signed a joint partnership to
promote energy efficiency in HUD’s
affordable housing efforts and programs.
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The purpose of the Energy Star
partnership is to promote energy
efficiency of the affordable housing
stock, but also to help protect the
environment. Applicants constructing,
rehabilitating, or maintaining housing or
community facilities are encouraged to
promote energy efficiency in design and
operations. They are urged especially to
purchase and use Energy Star labeled
products. Applicants providing housing
assistance or counseling services are
encouraged to promote Energy Star
building by homebuyers and renters.
Program activities can include
developing Energy Star promotional and
information materials, outreach to lowand moderate-income renters and
buyers on the benefits and savings when
using Energy Star products and
appliances, and promoting the
designation of community buildings and
homes as Energy Star compliant. For
further information about Energy Star,
see https://www.energystar.gov or call
888–STAR–YES (888–782–7937) or for
the hearing-impaired, 888–588–9920
(TTY).
IV. Application and Submission
Information
A. Address to Obtain an Application
Package. There is no application kit this
year. Please refer to the General Section
of the SuperNOFA for information on
how to submit your application
electronically. You may also visit
www.Grants.gov/Apply to obtain
application information.
B. Content and Form of Application
Submission.
1. Application Format Information for
All Grant Categories and All Applicants.
Before preparing an application to any
ROSS funding program, applicants
should carefully review the program
description, ineligible activities,
program and threshold requirements,
and the General Section of the
SuperNOFA. Applicants should also
review each rating factor found in the
‘‘Application Review Information’’
section before writing a narrative
response. Applicants’ narratives should
be as descriptive as possible, ensuring
that every requested item is addressed.
Applicants should make sure to include
all requested information, according to
the instructions found in this NOFA and
where applicable, in the General Section
of the SuperNOFA. This will help
ensure a fair and accurate review of
your application.
2. Content and Format for
Submission.
a. Content of Application. Applicants
must write narrative responses to each
of the rating factors, which follow this
section. Applicants will be evaluated on
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whether their responses demonstrate
that they have the necessary capacity to
successfully manage this grant program.
Applicants should ensure that their
narratives are written clearly and
concisely so that HUD reviewers, who
may not be familiar with the ROSS
program, may fully understand your
proposal.
b. Format of Application. (1)
Applications may not exceed 35
narrative pages. Narrative pages must be
typed, double-spaced, numbered, use
Times New Roman font style, and font
size 12. Supporting documentation,
required forms, and certificates will not
be counted toward the 35 narrative page
limit. However, applicants should make
every effort to submit only what is
necessary in terms of supporting
documentation. Please see the General
Section of the SuperNOFA for
instructions on how to submit
supporting documentation with your
electronic application.
(2) The following checklist has been
provided to assist applicants ensure
they submit all required forms and
information. (Note: Applicants who
receive a waiver to submit paper
applications, must submit their
applications in a three-ring binder, with
TABS dividing the sections as indicated
below):
TAB 1: Required Forms from the
General Section of the SuperNOFA and
other ROSS forms:
1. Acknowledgement of Application
Receipt (HUD–2993), for paper
application submissions only (you must
have an approved waiver to submit a
paper application);
2. Application for Federal Financial
Assistance (SF–24);
3. SF–424 Supplement, Survey on
Ensuring Equal Opportunity for
Applicants;
4. Questionnaire for HUD’s Initiative
on Removal of Regulatory Barriers
(HUD–27300);
5. ROSS Fact Sheet (HUD–52751);
6. Grant Application Detailed Budget
(HUD–424–CB);
7. Grant Application Detailed Budget
Worksheet (HUD–424–CBW);
8. Applicant/Recipient Disclosure/
Update Report (HUD–2880);
9. Certification of Consistency with
RC/EZ/EC–II Strategic Plan (HUD–2990)
if applicable;
10. Certification of Consistency with
the Consolidated Plan (HUD–2991) if
applicable;
11. Certification of Consistency with
the Indian Housing Plan if applicable
(HUD–52752);
12. Certification of Resident Council
Board of Election (not required for
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tribes/nonprofit organizations working
on behalf of tribes) (HUD–52753);
13. Disclosure of Lobbying Activities
(SF–LLL), if applicable;
14. Disclosure of Lobbying Activities
Continuation Sheet (SF–LLL–A), if
applicable;
15. Client Comments and Suggestions
(HUD–2994); (Optional)
16. Facsimile Transmittal Sheet
(HUD–96011).
TAB 2: Threshold Requirements:
1. Letters from Partners attesting to
match;
2. Letter from Applicant’s
organization attesting to match (if
applicant is contributing to match);
3. Letters of Support from Resident
Associations/ PHAs/tribes/TDHEs/
Resident Advisory Boards/local civic
organizations and/or units of local
government Threshold requirement for
all nonprofit applicants);
4. Chart of Resident Associations
Participating (required for nonprofit
applicants but not applicable to
applications from tribes/TDHEs.) (HUD–
52754);
5. IRS nonprofit determination letter
proving 501(c)(3) status (Threshold
requirement for all nonprofit
applicants); and
6. Contract Administrator Partnership
Agreement (required for nonprofit
organizations, resident associations, and
troubled PHAs) (HUD–52755).
TAB 3: Narrative for Rating Factor 1
and ROSS Program Forms
1. Narrative;
2. Chart A: Program Staffing (HUD–
52756);
3. Chart B: Applicant/Administrator
Track Record (HUD–52757);
4. Resumes/Position Descriptions.
TAB 4: Narrative for Rating Factor 2
TAB 5: Rating Factor 3
1. Narrative;
2. Work plan (see relevant sample
ROSS work plan HUD–52764).
TAB 6: Narrative for Rating Factor 4
TAB 7: Narrative for Rating Factor 5
and ROSS Program Forms
1. Narrative;
2. Logic Model (HUD–96010);
3. Sample Performance measures/
outcomes are attached for applicants’
information.
C. Submission Dates and Times: 1.
Due Dates. a. Resident Service Delivery
Models—Elderly/Persons with
Disabilities: The application must be
submitted and received by Grant.gov no
later than 11:59:59 p.m. eastern time on
July 6, 2005. For applicants receiving a
waiver to the electronic filing
requirement, please see the General
Section for waiver and mailing
requirements. Please carefully read the
General Section of the SuperNOFA for
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application submission, and timely
receipt requirements.
b. Resident Service Delivery ModelsFamily. The application must be
submitted and received by Grant.gov no
later than 11:59:59 p.m. eastern time on
July 25, 2005. For applicants receiving
a waiver to the electronic filing
requirement, please see the General
Section for waiver and mailing
requirements. Please carefully read the
General Section of the SuperNOFA for
application submission, and timely
receipt requirements.
c. Homeownership Supportive
Services. The application must be
submitted and received by Grant.gov no
later than 11:59:59 p.m. eastern time on
May 26, 2005. For applicants receiving
a waiver to the electronic filing
requirement, please see the General
Section for waiver and mailing
requirements. Please carefully read the
General Section of the SuperNOFA for
application submission, and timely
receipt requirements.
2. Proof of Timely Submission. Please
see the General Section of the
SuperNOFA this information.
Applicants that fail to meet the deadline
for application receipt will not receive
funding consideration.
3. For Waivers Only. Applicants who
have received waivers to submit paper
applications (see the General Section of
the SuperNOFA for more information),
must submit their applications to: HUD
Grants Management Center, Mail Stop:
Name of ROSS Grant Category, 501
School Street, SW., 8th floor,
Washington DC 20024. Please see the
General Section of the SuperNOFA for
detailed mailing and delivery
instructions.
4. Number of Copies. Only applicants
receiving a waiver to the electronic
submission requirement may submit a
paper copy application. Paper
applications must be submitted in
triplicate (one original and two identical
copies). For all applicants (including
tribal and TDHE applicants), the
original and one identical copy must be
sent to the Grants Management Center
and an identical copy must be sent to
your local field office in accordance
with the submission and timely receipt
requirements described in the General
Section of this SuperNOFA.
D. Intergovernmental Review: Not
applicable.
E. Funding Restrictions: 1.
Reimbursement for Grant Application
Costs. Applicants who receive an award
under any ROSS funding category are
prohibited from using ROSS grant funds
to reimburse any costs incurred in
conjunction with preparation of their
ROSS grant application.
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2. Covered Salaries. Applicable to all
grant categories and all applicants:
a. Project Coordinator. All applicants
may propose to hire a qualified project
coordinator to run the grant program.
The ROSS program will fund up to
$65,000 in combined annual salary and
fringe benefits for a full-time project
coordinator. The project coordinator’s
salary and fringe benefits may not
exceed 30 percent of the total grant
amount. For audit purposes, applicants
must have documentation on file
demonstrating that the salary of the
project coordinator is comparable to
similar professions in their local area.
b. Resident Salaries. Only the
RSDM—Family category permits
grantees to use grant funds for this
purpose. No more than five percent of
RSDM—Family funds may be used to
pay for resident salaries.
c. Types of Salaries. ROSS funds may
only be used for the types of salaries
described in this section according to
the restrictions described herein. ROSS
funds may only be used to pay for
salaries of staff that provide direct
services to residents. Direct services
staff, for purposes of this NOFA, are
defined as housing authority personnel
who, as their primary responsibility,
provide services directly to residents
that participate in the activities
described in this application e.g., case
managers, van drivers, job trainers,
childcare providers, among other
positions. ROSS funds may not be used
to pay for salaries for any other kind of
staff.
3. Administrative Costs.
Administrative costs may include, but
are not limited to, purchase of furniture,
office equipment and supplies, local
travel, and utilities. Administrative
costs may not be used to pay for salaries
of any kind. Nonprofit organizations
only may use administrative funds to
pay for rental of space. Administrative
costs must not exceed 10 percent of the
total grant amount requested from HUD.
Administrative costs must adhere to
OMB Circular A–87 or A–122 as
appropriate. Please use HUD–424–CBW
to itemize your administrative costs.
4. Individual Savings Accounts
(ISAs). ROSS RSDM—Family and
Homeownership Supportive Services
funds can be used as matching funds for
ISAs but no more than 20 percent of
total grant funds may be used for this
purpose.
5. Stipends. This applies to RSDM—
Family only. No more than $200 of the
grant award may be used per participant
per month for stipends for active
trainees and program participants.
Stipends may only be used to reimburse
reasonable out-of-pocket expenses
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related to participation in training and
other program-related activities.
Receipts for such expenses must be
provided by the resident in order to
obtain reimbursement. Stipends are not
considered an administrative expense
and therefore are not subject to the 10
percent limitation on administrative
costs.
6. Ineligible Activities/Costs. Grant
funds may not be used for ineligible
activities. The following are ineligible
activities/costs:
a. Payment of wages and/or salaries to
participants for receiving supportive
services and/or training programs;
b. Purchase, lease, or rental of land;
c. New construction, costs for
construction materials;
d. Rehabilitation or physical
improvements;
e. Purchase, lease, or rental of
vehicles;
f. Entertainment costs; g. Purchasing
food;
h. Elderly/Disabled Service
Coordinator salary and fringe benefits;
i. Payment of wages and/or salaries to
doctors, nurses or other staff (including
health aids or companions) in relation
to medical services provided to
residents;
j. Purchase of non-prescription or
prescription medications;
k. Stipends (Stipends are only
allowed under RSDM—Family);
l. Down payment assistance (Note:
Participants may use their ISAs under
the RSDM—Family and
Homeownership Supportive Services
program for this purpose);
m. Revolving loan funds;
n. Costs, which exceed limits,
identified in the NOFA for the
following: Project Coordinator, resident
salaries, ISAs, stipends, administrative
expenses, and long distance travel; and
o. Cost of application preparation.
p. For RSDM Elderly grant
applicants—transportation costs of
residents (grant funds may be used to
pay for coordination and set-up of
transportation services).
q. Salaries for staff that are not direct
services staff. Direct services staff, for
purposes of this NOFA, are defined as
housing authority personnel who, as
their primary responsibility, provide
services directly to residents that
participate in the activities described in
this application e.g., case managers, van
drivers, job trainers, childcare
providers, among other positions. ROSS
funds cannot be used to hire or pay for
the services of a Contract Administrator.
7. ROSS funds cannot be used to hire
or pay for the services of a Contract
Administrator.
8. Other Budgetary Restrictions. Some
long distance travel may be necessary
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during the term of the grant in order for
professional grant staff to attend HUDsponsored training conferences for
ROSS grantees. Long distance travel
costs for grant program staff may not
exceed $5,000 for the life of the grant
and must receive prior approval from
the grantee’s local HUD field office or
area ONAP.
V. Application Review Information
A. Criteria
1. Factors for Award Used To
Evaluate and Rate Applications to the
ROSS program. The factors for rating
and ranking applicants and maximum
points for each factor are provided
below. The maximum number of points
available for this program is 102. This
includes two RC/EZ/EC–II bonus points.
The SuperNOFA contains a certification
that must be completed in order for the
applicant to be considered for the RC/
EZ/EC–II bonus points. A listing of
federally designated RCs, EZs, and EC–
IIs, is available at https://www.hud.gov/
offices/adm/grants/fundsavail.cfm. The
agency certifying to RC/EZ/EC–II status
must be contained in the listing of RC/
EZ/EC–II organizations on HUD’s Web
site at: https://www.hud.gov/offices/adm/
grants/fundsavail.cfm.
Note: Applicants should carefully
review each rating factor before writing
a response. Applicants’ narratives
should be as descriptive as possible,
ensuring that every requested item is
addressed. Applicants should make sure
their narratives thoroughly address the
Rating Factors below. Applicants should
include all requested information,
according to the instructions found in
this NOFA. This will help ensure a fair
and accurate application review.
a. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Staff (25 Points).
This factor addresses whether the
applicant has the organizational
resources necessary to successfully
implement the proposed activities
within the grant period. In rating this
factor HUD will consider the extent to
which the proposal demonstrates that
the applicant will have qualified and
experienced staff dedicated to
administering the program.
(1) Proposed Program Staffing (7
Points).
(a) Staff Experience (4 Points). The
knowledge and experience of the
proposed project coordinator, staff, and
partners in planning and managing
programs for which funding is being
requested. Experience will be judged in
terms of recent, relevant and successful
experience of proposed staff to
undertake eligible program activities. In
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rating this factor, HUD will consider
experience within the last 5 years to be
recent; experience pertaining to the
specific activities being proposed to be
relevant; and experience producing
specific accomplishments to be
successful. The more recent the
experience and the more experience
proposed staff members who work on
the project have in successfully
conducting and completing similar
activities, the greater the number of
points applicants will receive for this
rating factor. The following information
should be provided in order to provide
HUD an understanding of proposed
staff’s experience and capacity:
(i) The number of staff years (one staff
year = 2080 hours) to be allocated to the
proposed program by each employee or
expert as well as each of their roles in
the program;
(ii) The staff’s relevant educational
background and/or work experience;
and
(iii) Relevant and successful
experience running programs whose
activities are similar to the eligible
program activities described in the grant
category to which you are applying.
(b) Organizational Capacity (3 Points).
Applicants will be evaluated based on
whether they have, or their partners
have sufficient qualified personnel to
deliver the proposed activities in a
timely and effective fashion. In order to
enhance or supplement capacity,
applicants should provide evidence of
partnerships with nonprofit
organizations or other organizations that
have experience providing supportive
services to typically underserved
populations. Applicants’ narrative must
describe their ability to immediately
begin the proposed work program.
Provide resumes and position
descriptions (where staff is not yet
hired) for all key personnel. (Resumes/
position descriptions do not count
toward the 35-page limit.)
(2) Past Performance of Applicant/
Contract Administrator (6 Points).
(a) Applicants’ past experience may
include, but is not limited to, running
and managing programs aimed at:
(i) RSDM—Family: assisting residents
of low-income housing achieve
economic self-sufficiency;
(ii) RSDM—Elderly: assisting elderly/
persons with disabilities who reside in
low-income housing to live
independently;
(iii) Homeownership: assisting
residents of low-income housing
achieve economic self-sufficiency and
homeownership.
(b) Applicants’ narrative must
indicate past grants they received and
managed, the grant amounts, and grant
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terms (years) of the grants, which they
are counting toward past experience.
(c) Applicants’ narrative must
describe how they (or their Contract
Administrator) successfully
implemented past grant programs
designed to:
(i) RSDM—Family—promote resident
self-sufficiency, moving from welfare to
work, and/or helping residents move to
market rate rental housing;
(ii) RSDM—Elderly—assist elderly/
persons with disabilities meet their
daily living needs and enhance their
access to needed services so they can
continue to reside comfortably and
productively in their current living
environment;
(iii) Homeownership—promote
moving from subsidized housing to
homeownership.
(d) Applicants will be evaluated
according to the following criteria:
(i) Achievement of specific
measurable outcomes and objectives in
terms of benefits gained by participating
residents. Applicants should describe
results their programs have obtained,
such as:
(A) RSDM—Family: reduced welfare
dependency, higher incomes, higher
rates of employment, increased savings,
moving from subsidized housing to
market rate rental housing;
(B) RSDM—Elderly: less emergency
care, improved health conditions of
assisted population, access to greater
number of social services;
(C) Homeownership: number of
families in homeownership counseling
pipeline, rates of homeownership
achieved through training programs.
(ii) Description of success in attracting
and keeping residents involved in past
grant-funded training programs. HUD
wants to see that applicants’ grantfunded programs benefited a significant
numbers of residents;
(iii) Description of timely expenditure
of program funding throughout the term
of past grants. Timely means regular
drawdowns throughout the life of the
grant, i.e., quarterly drawdowns, with
all funds expended by the end of the
grant term;
(iv) Description of Past Leveraging.
Applicants must describe how they
have leveraged funding or in-kind
services beyond amounts that were
originally proposed for past projects;
(3) Program Administration and
Fiscal Management (12 Points).
(a) Program Administration and
Accountability (6 Points). Applicants
should describe how they will manage
the program; how HUD can be sure that
there is program accountability; and
provide a description of proposed staff’s
roles and responsibilities. Applicants
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should also describe how grant staff and
partners shall report to the project
coordinator and other senior staff.
(b) Fiscal Management (6 Points). In
rating this factor, applicants’ skills and
experience in fiscal management will be
evaluated. If applicants have had any
audit or material weakness findings in
the past five years, they will be
evaluated on how well they have
addressed them. Applicants must
provide the following:
(i) A complete description of their
fiscal management structure, including
fiscal controls currently in place
including those of a Contract
Administrator for applicants required to
have a Contract Administrator, (i.e.,
troubled PHAs, resident associations,
and nonprofit applicants);
(ii) Applicants must list any audit
findings in the past five years (HUD
Inspector General, management review,
fiscal, etc.), material weaknesses, and
what has been done to address them;
(iii) For applicants who are required
to have a Contract Administrator,
describe the skills and experience the
Contract Administrator has in managing
federal funds.
b. Rating Factor 2: Need/Extent of the
Problem (10 Points).
This factor addresses the extent to
which there is a need for funding the
proposed program. In responding to this
factor, applicants will be evaluated on
the extent to which they describe and
document the level of need for their
proposed activities and the urgency for
meeting the need.
In responding to this factor,
applicants must include:
(1) Socioeconomic Profile (5 points).
A thorough socioeconomic profile of the
eligible residents to be served by the
program, including education levels,
income levels, the number of singleparent families, economic statistics for
the local area, etc.
(2) Demonstrated Link Between
Proposed Activities and Local Need (5
points). Applicants’ narrative must
demonstrate a clear relationship
between proposed activities, community
needs and the purpose of the program
funding in order for points to be
awarded for this factor.
c. Rating Factor 3: Soundness of
Approach (30 Points) This factor
addresses both the quality and costeffectiveness of applicants’ proposed
work plan. The work plan must indicate
a clear relationship between proposed
activities, the targeted population’s
needs, and the purpose of the program
funding. Applicants’ activities must
address HUD’s policy priorities outlined
in this Rating Factor.
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In rating this factor HUD will
consider:
(1) Quality of the Work Plan (18
points). This factor evaluates both the
applicant’s work plan and budget,
which will be evaluated based on the
following criteria:
(a) Specific Services and/or Activities
(8 points). Applicants’ narrative must
describe the specific services, course
curriculum, and activities they plan to
offer and who will be responsible for
each. In addition to the narrative,
applicants must also provide a work
plan, which must list the specific
services, activities, and outcomes they
expect. The work plan must show a
logical order of activities and progress
and must tie to the outcomes and
outputs applicants identify in the Logic
Model (see Rating Factor 5). Please see
a sample work plan in the Appendix.
Applicants’ narrative must explain how
their proposed activities will:
(i) Involve community partners in the
delivery of services (4 points);
(ii) Offer comprehensive services
versus a small range of services geared
toward achieving the following (2
points):
RSDM—Family: enhancing economic
opportunities for residents;
RSDM—Elderly: enhancing residents’
quality of life;
Homeownership: enhancing
homeownership opportunities for
residents; and
(iii) Link to other ROSS-funded selfsufficiency programs (2 points).
(b) Feasibility and Demonstrable
Benefits (4 points). This factor examines
whether applicants’ work plan is
logical, feasible and likely to achieve its
stated purpose during the term of the
grant. HUD’s desire is to fund
applications that will quickly produce
demonstrable results and advance the
purposes of the ROSS program.
(i) Timeliness. This subfactor
evaluates whether applicants’ work plan
demonstrates that their project is ready
to be implemented shortly after grant
award, but not to exceed three months
following the execution of the grant
agreement. The work plan must indicate
timeframes and deadlines for
accomplishing major activities.
(ii) Description of the problem and
solution. The work plan will be
evaluated based on how well applicants’
proposed activities address the needs
described in Rating Factor 2.
(c) Budget Appropriateness/Efficient
Use of Grant (6 Points) The score in this
factor will be based on the following:
(i) Justification of expenses.
Applicants will be evaluated based on
whether their expenses are reasonable
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and thoroughly explained, and support
the objectives of their proposal.
(ii) Budget Efficiency. Applicants will
be evaluated based on whether their
application requests funds
commensurate with the level of effort
necessary to accomplish their goals and
anticipated results.
(d) Ineligible Activities. Two points
will be deducted for each ineligible
activity proposed in the application, as
identified in Section IV(E). For example,
you will lose 2 points if you propose
costs that exceed the limits identified in
the NOFA for a Project Coordinator; or
you will lose 2 points if you propose
paying for salaries for staff that are not
direct services staff.
(2) Addressing HUD’s Policy Priorities
(12 points). HUD wants to improve the
quality of life for those living in
distressed communities. HUD’s grant
programs are a vehicle through which
long-term, positive change can be
achieved at the community level.
Applicants’ narrative and work plan
will be evaluated based on how well
they meet the following HUD policy
priorities:
(a) Applicants will respond to either
(i) or (ii) below depending on what type
of applicant they are, for a maximum of
5 points.
(i) Improving the Quality of Life in
Our Nation’s Communities (For RSDM–
Family and RSDM–Elderly Applicants
only)(5 points). In order to receive
points in this category, applicants’
narrative and work plan must indicate
the types of activities, service, and
training programs applicants will offer
which can help residents successfully
transition from welfare to work and earn
higher wages, or for elderly/disabled
residents, to continue to live
independently.
(ii) Providing Increased
Homeownership and Rental
Opportunities for Low- and ModerateIncome Persons, Persons with
Disabilities, the Elderly, Minorities, and
Families With Limited English
Proficiency (For Homeownership
Applicants only) (5 points). In order to
receive points in this category,
applicants’ narrative and work plan
must indicate the types of activities and
training programs they will offer which
can help residents successfully
transition from subsidized housing to
market-rate rental housing or
homeownership.
(b) Providing Full and Equal Access to
Grassroots Faith-Based and Other
Community-Based Organizations in
HUD Program Implementation (For all
applicants) (5 points). HUD encourages
applicants to partner with grassroots
organizations, e.g., civic organizations,
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grassroots faith-based and other
community-based organizations that are
not usually effectively utilized. These
grassroots organizations have a strong
history of providing vital community
services such as developing first-time
homeownership programs, creating
economic development programs,
providing job training and other
supportive services. In order to receive
points under this factor, applicants’
narrative and work plan must describe
how applicants will work with these
organizations and what types of services
they will provide.
(c) Policy Priority for Increasing the
Supply of Affordable Housing Through
the Removal of Regulatory Barriers to
Affordable Housing. (up to 2 points).
Under this policy priority, higher
rating points are available to: (1)
Governmental applicants that are able to
demonstrate successful efforts in
removing regulatory barriers to
affordable housing, and (2)
nongovernmental applicants that are
associated with jurisdictions that have
undertaken successful efforts in
removing barriers. For applicants to
obtain the policy priority points for
efforts to successfully remove regulatory
barriers, applicants would have to
complete form HUD 27300,
‘‘Questionnaire for HUD’s Initiative on
Removal of Regulatory Barriers.’’ A copy
of HUD’s Notice entitled America’s
Affordable Communities Initiative,
HUD’s Initiative on Removal of
Regulatory Barriers: Announcement of
Incentive Criteria on Barrier Removal in
HUD’s 2004 Competitive Funding
Allocations’’ can be found on HUD’s
Web site at https://www.hud.gov/grants/
index.cfm. The information and
requirements contained in HUD’s
regulatory barriers policy priority apply
to this FY 2005 NOFA. A description of
the policy priority and a copy of form
HUD–27300 can be found in the
application package posted to
www.Grants.gov. Applicants are
encouraged to read the Notice as well as
the General Section of the SuperNOFA
to obtain an understanding of this
policy priority and how it can impact
their score. A limited number of
questions expressly request the
applicant to provide brief
documentation with their response.
Other questions require that for each
affirmative statement made, the
applicant must supply a reference, URL,
or a brief statement indicating where the
back-up information may be found, and
a point of contact, including a telephone
number and/or email address. The
electronic copy of the HUD 27300 has
space to identify a URL or reference that
the material is being scanned and
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attached to the application as part of the
submission or faxed to HUD following
the facsimile submission instructions.
d. Rating Factor 4: Leveraging
Resources (20 Points).
This factor addresses the applicant’s
ability to secure community resources
that can be combined with HUD’s grant
resources to achieve program purposes.
Applicants are required to create
partnerships with organizations that can
help achieve their program’s goals.
PHAs are required by section 12(d)(7) of
the U.S. Housing Act of 1937 entitled
‘‘Cooperation Agreements for Economic
Self-Sufficiency Activities’’) to make
best efforts to enter into such
agreements with relevant state or local
agencies. In rating this factor, HUD will
look at the extent to which applicants
partner, coordinate and leverage their
services with other organizations
serving the same or similar populations.
Additionally, applicants must have at
least a 25 percent cash or in-kind match.
The match is a threshold requirement.
Joint applicants must together have at
least a 25 percent match. Applicants
who do not demonstrate the minimum
25 percent match will fail the threshold
requirement and will not receive further
consideration for funding. Leveraging in
excess of the 25 percent of the grant
amount will receive a higher point
value. In evaluating this factor HUD will
consider the extent to which applicants
have partnered with other entities to
secure additional resources, which will
increase the effectiveness of the
proposed program activities. The
additional resources and services must
be firmly committed, must support the
proposed grant activities and must, in
combined amount (including in-kind
contributions of personnel, space and/or
equipment, and monetary contributions)
equal at least 25 percent of the grant
amount requested in this application.
‘‘Firmly committed’’ means that the
amount of resources and their
dedication to ROSS-funded activities
must be explicit, in writing and signed
by a person authorized to make the
commitment. Please see the section on
Threshold Requirements for more
information.
Points for this factor will be awarded
based on the documented evidence of
partnerships and firm commitments and
the ratio of requested ROSS funds to the
total proposed grant budget.
Points will be assigned based on the
following scale:
Percentage of Match Points Awarded
25 ...................
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5 points (with partnerships) 3
points (without partnerships);
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Percentage of Match Points
Awarded—Continued
26–50 .............
51–75 .............
76 or above ....
10 points (with partnerships)
8 points (without partnerships);
15 points (with partnerships)
13 points (without partnerships);
20 points (with partnerships)
18 points (without partnerships).
e. Rating Factor 5: Achieving Results
and Program Evaluation (15 Points)
(1) An important element in this
year’s NOFA is the development and
reporting of performance measures and
outcomes. This factor emphasizes
HUD’s determination to ensure that
applicants meet commitments made in
their applications and grant agreements
and that they assess their performance
so that they realize performance goals.
Applicants must demonstrate how they
propose to measure their success and
outcomes as they relate to the
Department’s Strategic Plan.
(2) HUD requires ROSS applicants to
develop an effective, quantifiable,
outcome-oriented plan for measuring
performance and determining that goals
have been met. Applicants must use the
Logic Model form HUD–96010 for this
purpose.
(3) Applicants must establish interim
benchmarks, or outputs, for their
proposed program that lead to the
ultimate achievement of outcomes.
‘‘Outputs’’ are the direct products of a
program’s activities. Examples of
outputs are: the number of eligible
families that participate in supportive
services, the number of new services
provided, the number of residents
receiving counseling, or the number of
households using a technology center.
Outputs should produce outcomes for
your program. ‘‘Outcomes’’ are benefits
accruing to the residents, families and/
or communities during or after
participation in the ROSS program.
Applicants must clearly identify the
outcomes to be achieved and measured.
Examples of outcomes are: increasing
the homeownership rates among
residents of a development or from a
particular housing authority, increasing
residents’ financial stability (e.g.,
increasing assets of a household through
savings), or increasing employment
stability (e.g., whether persons assisted
obtain or retain employment for one or
two years after job training completion).
Outcomes are not the actual
development or delivery of services or
program activities.
(4) This rating factor requires that
applicants identify program outputs,
outcomes, and performance indicators
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that will allow applicants to measure
their performance. Performance
indicators should be objectively
quantifiable and measure actual
achievements against anticipated
achievements. Applicants’ narrative,
work plan, and Logic Model should
identify what applicants are going to
measure, how they are going to measure
it, and the steps they have in place to
make adjustments to their work plan
and management practices if
performance targets begin to fall short of
established benchmarks and time
frames. Applicants’ proposal must also
show how they will measure the
performance of partners and affiliates.
Applicants must include the standards,
data sources, and measurement methods
they will use to measure performance.
(5) In order to respond to this factor,
applicants can use the sample
performance measures found at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm. Applicants will be
evaluated based on how
comprehensively they propose to
measure their program’s outcomes.
B. Review and Selection Process
1. Review Process for All Grant
Categories and All Applicants. Four
types of reviews will be conducted: a
screening to determine if you are
eligible to apply for funding under the
ROSS grant category to which you are
applying; whether your application
submission is complete, on time and
meets threshold; a review by the field
office (or area ONAP office) to evaluate
past performance; and a technical
review to rate your application based on
the five rating factors provided in this
NOFA.
2. Selection Process for All Grant
Categories and All Applicants. The
selection process is designed to achieve
geographic diversity of grant awards
throughout the country. For each grant
category, HUD will first select the
highest ranked application from each of
the ten federal regions and DPONAP for
funding. After this ‘‘round,’’ HUD will
select the second highest ranked
application in each of the ten federal
regions and DPONAP for funding (the
second round). HUD will continue this
process with the third, fourth, and so
on, highest ranked applications in each
federal region and DPONAP until the
last complete round is selected for
funding. If available funds exist to fund
some but not all eligible applications in
the next round, HUD will make awards
to those remaining applications in rank
order (by score) regardless of region and
DPONAP and will fully fund as many as
possible with remaining funds. If
remaining funds in one grant category
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are too small to make an award, they
may be transferred to another category
under the ROSS program.
3. Tie Scores. In the event of a tie
between two applications in the same
category which target the same
developments, HUD will select the
application that was received first.
4. Deficiency Period. Applicants will
have 14 calendar days in which to
provide missing information requested
from HUD. For other information on
correcting deficient applications, please
see the General Section of the
SuperNOFA.
VI. Award Administration Information
A. Award Notices. HUD will make
announcements of grant awards after the
rating and ranking process is completed.
Grantees will be notified by letter and
will receive instructions for what steps
they must take in order to access
funding and begin implementing grant
activities. Applicants who are not
funded will also receive letters via U.S.
postal mail.
B. Debriefings. Applicants who are
not funded may request a debriefing.
Applicants requesting to be debriefed
must send a written request to: Iredia
Hutchinson, Director, Grants
Management Center, 501 School Street,
SW., Suite 800, Washington, DC 20024.
C. Administrative and National Policy
Requirements. 1. Environmental Impact.
In accordance with 24 CFR 58.34 (a)(3)
or (a)(9), 58.35(b)(2), (b)(4) or (b)(5),
50.19(b)(3), (b)(9), (b)(12), (b)(14), or
(b)(15) activities under this ROSS
program are categorically excluded from
the requirements of the National
Environmental Policy Act of 1969 and
are not subject to environmental review
under related laws and authorities.
2. Applicable Requirements. Unless
specifically enumerated in this NOFA,
all applicants, lead and non-lead
applicants, are subject to the
requirements specified in Section III.C.
of the General Section of the
SuperNOFA. Grantees are subject to
regulations and other requirements
found in:
a. 24 CFR 84 ‘‘Uniform
Administrative Requirements for Grants
and Agreements with Institutions of
Higher Education, Hospitals, and Other
Nonprofit Organizations’’;
b. 24 CFR 85 ‘‘Administrative
Requirements for Grants and
Cooperative Agreements to State, Local,
and Federally Recognized Indian Tribal
Governments’’;
c. 24 CFR 964 ‘‘Tenant Participation
and Tenant Opportunities in Public
Housing’’;
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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 NonProfit Organizations’’.
3. Economic Opportunities for Lowand Very Low-Income Persons (Section
3). Applicants and grantees must also
comply with Section 3 of the Housing
and Urban Development Act of 1968, 12
U.S.C. 1701u and ensure that training,
employment, and other economic
opportunities shall, to the greatest
extent feasible, be directed toward low
and very low-income persons,
particularly those who are recipients of
government assistance for housing and
to business concerns which provide
economic opportunities to low and very
low-income persons.
4. Fair Housing and Civil Rights Laws.
Applicants and their subrecipients must
comply with all Fair Housing and Civil
Rights laws, statutes, regulations, and
Executive Orders as enumerated in 24
CFR 5.105(a), as applicable. Please see
the General Section of the SuperNOFA
for more information.
D. Reporting. 1. Semi-Annual
Performance Reports. Grantees shall
submit semi-annual performance reports
to the field office or area ONAP. These
progress reports shall include financial
reports (SF–269A), a Logic Model
(HUD–96010) showing achievements to
date against outputs and outcomes
proposed in the application and
approved by HUD, and a narrative
describing milestones, work plan
progress, and problems encountered and
methods used to address these
problems. HUD anticipates that some of
the reporting of financial status and
grant performance will be through
electronic or Internet-based
submissions. Grantees shall use
quantifiable data to measure
performance against goals and
objectives outlined in their work plan.
Applicants that receive awards from
HUD should be prepared to report on
additional measures that HUD may
designate at time of award. Performance
reports are due to the field office on July
30 and January 31 of each year. If
reports are not received by the due date,
grant funds will be suspended until
reports are received.
2. Final Report. All grantees shall
submit a final report to their local field
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office or area ONAP that will include a
financial report (SF–269A), a final Logic
Model, and a narrative evaluating
overall results achieved against their
work plan. Grantees shall use
quantifiable data to measure
performance against goals and
objectives outlined in their work plan.
The financial report shall contain a
summary of all expenditures made from
the beginning of the grant agreement to
the end of the grant agreement and shall
include any unexpended balances. The
final narrative, Logic Model, and
financial report shall be due to the field
office 90 days after the termination of
the grant agreement.
3. Final Audit. Grantees are required
to obtain a complete final close-out
audit of the grant’s financial statements
by a Certified Public Accountant (CPA),
in accordance with generally accepted
government audit standards. A written
report of the audit must be forwarded to
HUD within 60 days of issuance. Grant
recipients must comply with the
requirements of 24 CFR 84 or 24 CFR 85
as stated in OMB Circulars A–87, A–
110, and A–122, as applicable.
4. Logic Model. For each reporting
period, as part of your required report
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to HUD, you must include a completed
Logic Model (Form 96010), which
identifies output and outcome
achievements.
VII. Agency Contact(s)
For questions and technical
assistance, you may call the Public and
Indian Housing Information and
Resource Center at 800–955–2232. For
persons with hearing or speech
impairments, please call the toll-free
Federal Relay Service at 800–877–8339.
In the case of tribes/TDHEs, please
contact DPONAP at 800–561–5913 or
(303) 675–1600 (this is not a toll-free
number).
VIII. Other Information
A. Code of Conduct. Please see the
General Section of the SuperNOFA for
more information.
B. Transfer of Funds. If transfer of
funds from any of the ROSS programs
does become necessary, HUD will give
first priority to Homeownership
Supportive Services, second priority to
Family Self-Sufficiency, third priority to
RSDM—Family, and fourth priority to
RSDM—Elderly/Persons with
Disabilities.
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C. Paperwork Reduction Act. The
information collection requirements
contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
number 2577–0229. In accordance with
the Paperwork Reduction Act, HUD may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless the collection
displays a currently valid OMB control
number. Public reporting burden for the
collection of information is estimated to
average ten hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, semi-annual
reports and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
Appendix of Forms. The forms
specific to the ROSS Program follow.
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Public and Indian Housing Family SelfSufficiency Program Under the
Resident Opportunities and SelfSufficiency (ROSS) Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Public and Indian Housing.
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B. Funding Opportunity Title: This
NOFA is for the Public and Indian
Housing Family Self-Sufficiency
program under the Resident
Opportunities and Self-Sufficiency
(ROSS) program.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number for this NOFA
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14087
is: FR–4950–N–23. The OMB approval
number is: 2577–0229.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): Resident
Opportunity and Self Sufficiency,
14.870.
F. Dates: The application submission
date is June 20, 2005. Please see the
General Section for application
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submission and timely receipt
requirements.
G. Optional, Additional Overview
Content Information: 1. Purpose of
Program: The purpose of the Family
Self-Sufficiency (FSS) program for
Public Housing is to link participating
families to the supportive services they
need to achieve self-sufficiency and no
longer need public assistance.
2. Funding Available: The Department
expects to award a total of
approximately $22,950,000 ($15,000,000
of appropriations and $7,950,000 of
carryover) under the FSS program in
Fiscal Year 2005.
3. Award Amounts: Award amounts
will be based on locality pay rates for
professions similar to that of an FSS
program coordinator. Individual award
amounts will not exceed $65,000 to pay
for the annual salary and fringe benefits
of the program coordinator.
4. Eligible Applicants: Eligible
applicants are PHAs and tribes/TDHEs
that administer public housing
programs. Renewal applicants and new
applicants to the program must have an
approved FSS Action Plan on file with
their local HUD field office prior to this
NOFA’s application deadline. Please see
the Threshold Requirements section for
more information.
Nonprofit organizations and resident
associations are not eligible for funding
under this program.
5. Cost Sharing/Match Requirement:
There is no match requirement under
this funding program.
6. Grant term: The grant term for FSS
is one year from the execution date of
the grant agreement.
Grant program
Total funding
Eligible applicants
Public Housing Family Self-Sufficiency ....
$22,950,000
PHAs, tribes/TDHEs only .........................
Full Text of Announcement
I. Funding Opportunity Description
A. Definition of Terms
1. Action Plan describes the policies
and procedures of the PHA or tribe/
TDHE for operation of a local FSS
program, and contains the following
information (for a full description of the
minimum amount of information the
Action Plan must contain, please see 24
CFR 984.201):
a. Family demographics. A
description of the number, size,
characteristics, and other demographics
(including racial and ethnic data), and
the supportive services needs of the
families expected to participate in the
FSS program;
b. Estimate of participating families.
A description of the number of eligible
FSS families who can reasonably be
expected to receive supportive services
under the FSS program, based on
available and anticipated federal, tribal,
state, local, and private resources;
c. Eligible families from other selfsufficiency programs. The number of
families participating in other federal,
state, or local self-sufficiency programs
(provide program name and sponsoring
organization) that are expected to
participate in the FSS program.
d. FSS Family selection procedures. A
statement indicating the procedures to
be utilized by select families
participating in the FSS program.
e. Incentives to encourage
participation. Description of the FSS
account and other incentives the PHA
will offer participating families.
f. Outreach efforts. The Action Plan
must describe the efforts the PHA or
tribe/TDHE will make to recruit FSS
participants.
g. FSS activities and supportive
services consist of a description of the
activities and supportive services that
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will be provided by public and private
sources.
h. Additional requirements.
Additional requirements are contained
in 24 CFR Part 984.
2. Contract Administrator means an
overall grant administrator and/or a
financial management agent used by a
troubled PHA to oversee the
implementation of the grant and/or the
financial aspects of the grant.
3. Indian Tribe (‘‘tribe’’) means any
tribe, band, nation, or other organized
group or a community of Indians,
including any Alaska native village,
regional, or village corporation as
defined in or established pursuant to the
Alaska Native Claims Settlement Act,
and that is recognized as eligible for the
special programs and services provided
by the United States to Indians because
of their status as Indians pursuant to the
Indian Self Determination and
Education Act of 1975, or any staterecognized tribe eligible for assistance
under section 4 (12)(C) of NAHASDA.
4. NAHASDA-assisted resident means
a tribal member living in housing
assisted by the Native American
Housing Assistance and SelfDetermination Act (NAHASDA) of 1996.
5. Past Performance is a threshold
requirement. HUD’s field offices will
evaluate data provided by applicants
and their past performance to determine
whether an applicant has the capacity to
manage the FSS grant program. The area
Office of Native American Programs
(ONAP) will review past performance
for tribal/TDHE submissions. PHAs or
tribes/TDHEs that have managed a
HUD-funded FSS program for more than
five years must be able to demonstrate
that families who have participated in
the FSS program for five years are
actually achieving self-sufficiency and/
or have significantly increased their
earned income. Please see the section on
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Maximum grant amount
$65,000 maximum salary amount
Threshold Requirements for more
information.
6. Person with disabilities means a
person who:
(1) Has a condition defined as a
disability in section 223 of the Social
Security Act;
(2) Has a developmental disability as
defined in section 102 of the
Developmental Disabilities Assistance
Bill of Rights Act; or
(3) Is determined to have a physical,
mental, or emotional impairment which:
(i) Is expected to be of long-continued
and indefinite duration;
(ii) Substantially impedes his or her
ability to live independently; and
(iii) Is of such a nature that such
ability could be improved by more
suitable housing conditions.
The term ‘‘person with disabilities’’
does not exclude persons who have
immunodeficiency syndrome (HIV/
AIDS) or any conditions arising from the
etiologic agent for AIDS. In addition, no
individual shall be considered a person
with disabilities, for purposes of
eligibility for low-income housing,
solely on the basis of any drug or
alcohol dependence.
The definition provided above for
persons with disabilities is the proper
definition for determining program
qualifications. However, the definition
of a person with disabilities contained
in section 504 of the Rehabilitation Act
of 1973 and its implementing
regulations must be used for purposes of
reasonable accommodations.
7. Program Coordinator under the
Family Self-Sufficiency (FSS) program
is someone responsible for linking FSS
program participants to supportive
services. Program Coordinators will
work with the Program Coordinating
Committee and local service providers
to ensure that the necessary services and
linkages to community resources are
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being made; ensuring that the services
included in participants’ contracts of
participation are provided on a regular,
ongoing and satisfactory basis; making
sure that participants are fulfilling their
responsibilities under the contracts and
that FSS escrow accounts are
established and properly maintained for
eligible families. FSS coordinators may
also perform job development functions
for the FSS program.
8. Project is the same as ‘‘low-income
housing project’’ as defined in section
3(b)(1) of the United States Housing Act
of 1937 (42 U.S.C. 1437 a (b)(1)) (1937
Act).
9. Secretary means the Secretary of
Housing and Urban Development.
10. Tribally Designated Housing
Entity (TDHE) is an entity authorized or
established by one or more Indian tribe
to act on behalf of each such tribe
authorizing or establishing the housing
entity.
contingent upon HUD field office
approval.
B. Grant Period: One year. The grant
period shall begin the day the grant
agreement and the form HUD–1044,
‘‘Assistance Award/Amendment’’ are
signed.
C. Grant Extensions. Requests to
extend the grant term beyond the
originally established term must be
submitted in writing by the grantee to
the local HUD field office. Such requests
must be done prior to grant termination
and with at least 60 days notice to give
the field office a reasonable amount of
time to fully evaluate the request.
Requests must explain why the
extension is necessary, what work
remains to be completed, and what was
accomplished to date. Extensions may
be granted one time only by the field
office for a period not to exceed six
months.
D. Type of Award: Grant agreement.
III. Eligibility Information
A. Eligible Applicants: Eligible
1. The FSS program provides funding applicants are public housing agencies
for PHAs to pay for the salary and fringe (PHAs), which administer public
benefits of a program coordinator who
housing programs and tribes/TDHEs.
will link families to the supportive
New and renewal applicants to the
services they need to achieve selfprogram must have an approved FSS
sufficiency.
Action Plan on file with their local HUD
2. A PHA administering the FSS
field office prior to this NOFA’s
program must use a Program
application deadline.
Coordinating Committee (PCC) to secure
Nonprofit organizations and resident
the necessary resources to implement
associations are not eligible for funding
the FSS program. A PCC is made up of
under this program.
representatives of businesses, local
B. Cost Sharing or Matching: There is
government, job training and
no match requirement under this
employment agencies, local welfare
funding program.
agencies, educational institutions,
C. Other: 1. Threshold Requirements.
childcare providers, and nonprofit
Applicants must respond to each
service providers, including faith-based threshold requirement clearly and
and other community organizations. See thoroughly by following the instructions
24 CFR 984.202 for more information.
below. If your application fails one
threshold requirement (regardless of the
3. HUD is looking for applications
type) it will be considered a failed
that either build on existing FSS
application. The following are threshold
programs or propose to implement a
requirements that are applicable to this
new Public Housing FSS program.
Applicants who propose to link to other ROSS component:
a. Past Performance. HUD’s field
ROSS-funded self-sufficiency programs
offices will evaluate data provided by
will receive five additional points (see
applicants and their past performance to
Rating Factor 3 at Section V.A.1.c.
determine whether an applicant has the
(1)(a)(i)).
capacity to manage the FSS program.
C. Regulations Governing the FSS
The area Office of Native American
Program
Programs (ONAP) will review past
performance for tribal/TDHE
The FSS program is governed by 24
submissions. For applicants required to
CFR Part 984.
have a contract administrator, field
II. Award Information
offices will evaluate the contract
administrator’s past performance. Using
A. Total Funding: The Department
Rating Factor 1, the field office will
expects to award a total of
approximately $22,950,000 ($15,000,000 evaluate applicants’ past performance. If
applicants fail to address what is
of appropriations and $7,950,000 of
requested in Rating Factor 1, their
carryover) under the PH Family Selfapplication will fail this threshold and
Sufficiency program. Funding amounts
will not receive further consideration.
for individual grantees will be
B. Program Description
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b. Contract Administrator Partnership
Agreement. PHAs that are troubled at
the time of application are required to
submit a signed Contract Administrator
Partnership Agreement. The agreement
must be for the entire grant term. The
grant award shall be contingent upon
having a signed Partnership Agreement
included in the application. Troubled
PHAs are not eligible to be contract
administrators. Grant writers who assist
applicants prepare their FSS
applications are ineligible to be contract
administrators. For more information on
contract administrators, please see the
section on Program Requirements
below. Please see the General Section
for instructions on how to submit the
required information with your
electronic application.
c. FSS Action Plan. New applicants to
the program must have a HUD approved
FSS Action Plan on file with their local
HUD field (or ONAP) office prior to this
NOFA’s application deadline. PHAs
with previously approved Housing
Choice Voucher (HCV) FSS Action
Plans may either amend their HCV FSS
Action Plan to include the FSS program
or may submit a separate FSS Action
Plan for HUD field office (ONAP)
approval. New PH FSS Action Plans and
amendments to existing Action Plans
must be submitted to applicants’ local
HUD field office well enough in
advance to ensure sufficient time for
field office approval of the FSS Action
Plan prior to the NOFA deadline. FSS
Action Plans must comply with 24 CFR
984.201.
d. Minimum Score for All Fundable
Applications. Applications that pass all
threshold requirements and go through
the ranking and rating process, must
receive a minimum score of 75 in order
to be considered for funding.
e. The Dun and Bradstreet Universal
Numbering System (DUNS) Number
Requirement. Refer to the General
Section for information regarding the
DUNS requirement. You will need to
obtain a DUNS number to receive an
award from HUD. You will need a
DUNS number to complete your
Grants.gov registration. Registration is
required for electronic submission. See
the General Section for a discussion of
the Grants.gov registration process.
2. Program Requirements:
a. Hiring a FSS program coordinator.
Funds awarded to PHAs under this
NOFA may only be used to employ or
retain the services of a FSS program
coordinator for the one year grant term.
A part-time program coordinator may be
retained where appropriate. The FSS
program coordinator must:
(1) Work with the PCC and with local
service providers to ensure that FSS
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program participants are linked to the
supportive services they need to achieve
self-sufficiency.
(2) Ensure that the services included
in participants’ contracts of
participation are provided on a regular,
ongoing and satisfactory basis, that
participants are fulfilling their
responsibilities under the contracts and
that FSS escrow accounts are
established and properly maintained for
eligible families. All of these tasks
should be ensured through case
management. FSS coordinators may also
perform job development functions for
the FSS program.
(3) Under normal circumstances, a
full-time FSS program coordinator
should be able to serve approximately
50 FSS program participants, depending
on the coordinator’s case management
functions.
(4) Monitor the progress of program
participants and evaluate the overall
success of the program. For more
information on how to measure
performance, please see Rating Factor 4
in the ‘‘Application Review
Information’’ section of this NOFA.
b. Outreach. Applicants are
encouraged to reach out to persons with
disabilities who are public/Indian
Housing residents and might be
interested in participating in the FSS
program. Applicants should include
agencies on their FSS PCC that work
with and provide services for families
with disabilities.
c. Eligible families. Current residents
of public/Indian housing are eligible.
Eligible families who are currently
enrolled or participating in local public/
Indian housing self-sufficiency
programs are also eligible.
d. Contract of participation. Each
family that is selected to participate in
an FSS program must enter into a
contract of participation with the PHA
or tribe/TDHE that operates the FSS
program. The contract shall be signed by
the head of the FSS family.
e. Contract term. The contract with
participating families shall be for five
years. During this time each family will
be required to fulfill its contractual
obligations. PHAs or tribes/TDHEs may
extend contracts for no more than two
years for any family that requests an
extension of its contract provided the
PHA or tribe/TDHE finds that good
cause exists to provide an extension.
This extension request must be in
writing. See 24 CFR 984.303 for more
information on contracts of
participation.
f. Escrow accounts for very low or low
income participating families. Such
accounts shall be computed using the
guidelines set forth in 24 CFR 984.305.
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Note: FSS families who are not lowincome are not entitled to an escrow/
credit.
g. Number of Program Coordinators.
(1) Renewal Applicants.
(a) Maintaining Program Size.
Applicants that received funding from
the Operating Fund or the 2004 FSS
NOFA may apply for renewal of each
FSS coordinator position(s) that has
been filled by the applicant in either of
the past two years under the Operating
Fund or the 2004 FSS NOFA.
Funding for more than one program
coordinator position is contingent upon
HUD field office approval. For renewal
applicants, HUD will fund a one percent
increase over the amount most recently
funded but not to exceed $65,000 for the
FSS program coordinator(s) salary and
fringe benefits.
(b) Expanding Program Size.
Applicants wishing to expand their FSS
program may in addition to requesting
funds for their current FSS program
coordinator(s), also request funds for
one additional FSS coordinator. Note:
Funding priority will be given to
renewing existing staff positions for
renewal applicants and to applicants
wishing to implement a new program
(see new applicants below). If sufficient
funding is available to fund expanding
applicant’s existing programs, HUD will
do so in accordance with the selection
process under Section V(B).
(2) New Applicants. A PHA or tribe/
TDHE that has not received funding
under the Operating Fund for a FSS
Program Coordinator may apply for only
one program coordinator position as
follows:
(a) Up to one full-time FSS
coordinator position for a PHA or tribe/
TDHE with HUD approval to administer
an FSS program of 25 or more FSS slots.
(b) Up to one full-time position per
application for joint PHA/tribe/TDHE
applicants that have HUD approval to
administer a total of at least 25 FSS slots
between or among them.
h. Contract Administrator. The
Contract Administrator must assure that
the financial management system and
procurement procedures that will be in
place during the grant term will fully
comply with 24 CFR part 85. CAs are
expressly forbidden from accessing
HUD’s Line of Credit Control System
(LOCCS) and submitting vouchers on
behalf of grantees. Contract
administrators must also assist PHAs/
tribes/TDHEs to meet HUD’s reporting
requirements, see Section VI.C.
‘‘Reporting’’ for more information.
Contract administrators may be: Local
Housing Agencies; community-based
organizations such as Community
Development Corporations (CDCs),
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churches, temples, synagogues,
mosques; nonprofit organizations; State/
Regional associations and organizations.
Troubled PHAs are not eligible to be
contract administrators. Grant writers
who assist applicants in preparing their
FSS applications are also ineligible to be
contract administrators. Organizations
that the applicant proposes to use as the
contract administrator must not violate
any conflicts of interest as defined in 24
CFR Part 84 or 24 CFR Part 85.
3. Number of Applications Permitted:
a. General. Applicants may submit
only one application under this
category. Applicants may submit one
application for each of the other funding
categories under ROSS (Resident
Service Delivery Models-Family,
Resident Service Delivery ModelsElderly/Persons with Disabilities and
Homeownership Supportive Services)
and one application under the Public
Housing Neighborhood Networks grant
program (tribes/TDHEs are not eligible
applicants for the Public Housing
Neighborhood Networks grant program);
however, applicants must submit
separate applications for each funding
category.
b. Joint applications. Two or more
PHAs or tribes/TDHEs may join together
to submit an application under this
NOFA. Joint applications must
designate a lead applicant. Only the
lead applicant is subject to threshold
requirements as outlined in this NOFA,
however both lead and non-lead
applicants are subject to the Threshold
requirements outlined in Section III. C.
of the General Section. The lead
applicant must be registered with
Grants.gov and submit the application
using the Grants.gov portal. The lead
applicant must be registered with
Grants.gov and submit the application
using the Grants.gov portal. Applicants
who submit joint applications may not
also submit separate applications as sole
applicants under this NOFA.
4. Eligible Participants: All program
participants must be residents of public/
Indian housing or residents of other
housing assisted with funding made
available under the 2005 Appropriations
Act (e.g., residents receiving tenantbased or project-based voucher
assistance, as well as elderly and
disabled residents).
5. Compliance with Program
Requirements. In addition to the
program requirements specific to the
FSS program, all applicants and
grantees must comply with the program
requirements contained in Section III.C.
of the General Section.
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IV. Application and Submission
Information
A. Obtaining an Application Package:
There is no application kit this year.
Please refer to the General Section for
information on how to submit your
application electronically. Copies of this
published NOFA and application forms
for this program may be downloaded
from the grants.gov web site at https://
www.grants.gov/APPLY. If you have
difficulty accessing the information you
may call the Grants.gov help desk tollfree at (800) 518-GRANTS or sending an
email to Support@Grants.gov. The
operators will assist you in accessing
the information.
B. Content and Form of Application
Submission: 1. Application Format:
Before preparing an application to the
FSS program, applicants should
carefully review the program
description, ineligible activities,
threshold requirements, and the General
Section. Applicants should also review
each rating factor found in the
‘‘Application Review Information’’
section before writing a narrative
response. Applicants’ narratives should
be as descriptive as possible, ensuring
that every requested item is addressed.
Applicants should make sure to include
all requested information, according to
the instructions found in this NOFA and
where applicable, in the General
Section. This will help ensure a fair and
accurate review of your application.
2. Content and Format for
Submission:
a. Content of Application: Applicants
must write narrative responses to each
of the rating factors described in this
section. Applicants responses must
demonstrate that they have the
necessary capacity to successfully
manage this grant program. Applicants
should ensure that their narratives are
written clearly and concisely so that
HUD reviewers, who may not be
familiar with the FSS program, may
fully understand your proposal. HUD
encourages applicants to carefully
review each rating factor, the
regulations governing the FSS program,
24 CFR part 984, and the General
Section prior to responding to each
rating factor.
b. Format of Application: (1)
Applications may not exceed 35
narrative pages. Narrative pages must be
submitted as separate electronic files,
formatted as double-spaced, singlesided documents. Each file should have
the pages numbered consecutively. Use
Times New Roman font style, and font
size 12. Supporting documentation,
required forms, and certifications will
not be counted toward the 35 narrative
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page limit. See the General Section for
information on how to submit
documents that are not in electronic
format. Applicants should make every
effort to submit only what is necessary
in terms of supporting documentation.
Please see the General Section for
instructions on how to submit
supporting documentation with your
electronic application.
(2) The following checklist has been
provided to assist applicants ensure
they submit all required forms and
information. Electronic application
filers should make sure the file names
for their narratives reflect the labels in
the checklist. Each narrative must be in
a separate file with all the files zipped
together and sent as an attachment in
the application submittal. (Note:
Applicants who receive a waiver to
submit paper applications, must submit
their applications in a three-ring binder,
with TABS dividing the sections as
indicated below):
TAB 1: Required Forms:
1. Acknowledgement of Application
Receipt (HUD–2993), for paper
application submissions only (you must
have an approval waiver to submit a
paper application);
2. SF–424 Application for Federal
Assistance;
3. SF–424 Supplement, Survey on
Ensuring Equal Opportunity for
Applicants;
4. Questionnaire for HUD’s Initiative
on Removal of Regulatory Barriers
(HUD–27300);
5. HUD–52751ROSS Fact Sheet
6. HUD–424 CB Grant Application
Detailed Budget;
7. Grant Application Detailed Budget
Worksheet (HUD–424–CBW);
8. HUD–2880 Applicant Disclosure/
Update Report;
9. HUD–2990 Certification of
Consistency with RC/EZ/EC–II Strategic
Plan (if applicable);
10. HUD–2991 Certification of
Consistency with the Consolidated Plan
(if applicable);
11. Certification of Consistency with
the Indian Housing Plan if applicable
(HUD–52752);
12. SF–LLL Disclosure of Lobbying
Activities (if applicable);
13. SF–LLL–A Disclosure of Lobbying
Activities Continuation Sheet (if
applicable);
14. HUD–2994 Client Comments and
Suggestions (optional); and
15. Facsimile Transmittal (HUD–
96011).
TAB 2: Threshold Requirements:
• Contract Administrator Partnership
Agreement (required for troubled PHAs)
(HUD–52755)
TAB 3: Rating Factor 1 and ROSS
Program Forms
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1. Narrative.
2. Chart A: HUD 52756 Program
Staffing.
3. Chart B: HUD 52757 Applicant/
Administrator Track Record.
4. Resume(s)/Position Description(s).
TAB 4: Narrative for Rating Factor 2.
TAB 5: Rating Factor 3.
1. Narrative.
2. HUD 52767 Family Self-Sufficiency
Funding Request Form.
TAB 6: Rating Factor 4 and ROSS
Program Forms.
1. Narrative.
2. HUD 96010 Logic Model.
C. Submission Dates and Times: 1.
Due Dates: The application submission
date is June 20, 2005. Please see the
General Section for application
submission and timely receipt
requirements.
2. Proof of Timely Submission. Please
see the General Section for this
information. Applicants that fail to meet
the deadline for application receipt will
not receive funding consideration.
D. Intergovernmental Review: Not
applicable.
E. Funding Restrictions: 1.
Reimbursement for Grant Application
Costs: Applicants who receive an award
under this program cannot use FSS
grant funds to pay for any costs incurred
with the preparation of their FSS grant
application.
2. Covered Salaries: a. Program
Coordinator: All applicants may hire a
qualified program coordinator to run the
grant program. The FSS program will
fund up to $65,000 in combined annual
salary and fringe benefits for a full-time
program coordinator. For audit
purposes, applicants must have
documentation on file demonstrating
that the salary they pay the program
coordinator is comparable to similar
professions in their local area.
b. Contract Administrator: FSS funds
cannot be used to hire or pay for the
services of a Contract Administrator.
c. Eligible Salaries. FSS funds may
only be used for the types of salaries
described in this section according to
the restrictions described herein. FSS
funds may not be used to pay for
salaries of any other kind.
3. Administrative Costs. FSS funds
cannot be used to pay for administrative
costs.
4. Ineligible Activities. Grant funds
may not be used for ineligible activities.
Ineligible activities include:
a. The salary of an FSS coordinator for
the Housing Choice Voucher FSS
program;
b. Services for FSS program
participants;
c. Elderly/Disabled Service
Coordinator salary and fringe benefits;
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d. Wages and/or salaries to
participants for receiving supportive
services and/or training programs;
e. The purchase of food;
f. The purchase, lease, or rental of
land;
g. New construction, materials costs;
h. Rehab or physical improvements;
i. Entertainment costs; j. Purchase,
lease, or rental of vehicles;
k. Stipends;
l. Cost of application preparation; and
m. Costs that exceed limits identified
in the NOFA for the following: Program
Coordinator.
n. FSS funds cannot be used to hire
or pay for the services of a Contract
Administrator.
F. Other Submission Requirements: a.
Electronic Delivery. Beginning in
FY2005, HUD requires applicants to
submit applications electronically
through www.grants.gov/Apply.
Applicants interested in applying for
funding must submit their applications
electronically via the Web site https://
www.grants.gov/Apply. This site has
easy to follow step-by-step instructions
that will enable you to apply for HUD
assistance. The www.grants.gov/Apply
feature includes a simple, unified
application process to enable applicants
to apply for grants online.
b. Waivers to the Electronic
Submission Process: Applicants may
request a waiver to the electronic
submission process (see Section IV.F of
the General Section for more
information). Applicants who are
granted a waiver must submit their
applications to: HUD Grants
Management Center (GMC), Mail Stop:
Public Housing FSS Program, 501
School Street, SW., 8th floor,
Washington, DC 20024. Please see the
General Section for detailed mailing and
delivery instructions as the procedures
have changed significantly for this year.
c. Number of Copies. Only applicants
receiving a waiver to the electronic
submission requirement must submit an
original and two paper copies of the
application. One of the copies must be
sent to the area field office. See Section
IV and Appendix C of the General
Section for requirements for waiver and
paper copy application submission
requirements.
V. Application Review Information
A. Criteria
1. Factors for Award Used To
Evaluate and Rate Applications to the
FSS program: The factors for rating and
ranking applicants and maximum points
for each factor are provided below. The
maximum number of points available
for this program is 102. This includes
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two RC/EZ/EC–II bonus points. The
SuperNOFA contains a certification that
must be completed in order for the
applicant to be considered for RC/EZ/
EC–II bonus points. A listing of
federally designated Empowerment
Zones (EZs), Renewal Communities
(RCs), or Enterprise Communities,
designated by USDA in round II (EC–
IIs), is available on HUD’s Web site at
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm. The agency certifying to
RC/EZ/EC–II status must be identified
in the listing on HUD’s Web site.
Note: Applicants should carefully review
each rating factor before writing a response.
Applicants should make sure their narratives
thoroughly address the Rating Factors below
and to include all requested information,
according to the instructions found in this
NOFA. This will help ensure a fair and
accurate application review.
a. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Staff (45 Points)
In rating this factor, HUD will
consider the extent to which the
proposal demonstrates that the
applicant will have qualified and
experienced program coordinator(s)
dedicated to administering the program.
(1) Proposed Program Staffing (10
Points).
(a) Staff Experience (5 Points). The
knowledge and experience of the
proposed program coordinator(s) in
planning and managing programs for
which funding is being requested.
Experience will be judged in terms of
recent, relevant and successful
experience of the program
coordinator(s) to undertake eligible
program activities. In rating this factor,
HUD will consider experience within
the last 5 years to be recent; experience
similar to the functions of an FSS
program coordinator to be relevant; and
experience producing specific
accomplishments to be successful. A
greater amount of points will be
received based on recent and related
experience proposed staff have in
successfully completing similar tasks.
The following information should be
provided in order to provide HUD an
understanding of proposed staff’s
experience and capacity:
(i) The staff’s relevant educational
background and/or work experience;
and
(ii) Relevant and successful
experience running programs whose
activities are similar to the FSS
Program.
(b) Staff Capacity (5 Points).
Applicants will be evaluated based on
whether they have staff in place or will
be able to quickly access qualified
professional(s), to administer the FSS
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program in a timely and effective
fashion. Applicants’ requesting to
implement a new FSS program or to
expand their existing program must
describe their ability to immediately
begin implementing an FSS program.
Applicants may scan resumes (or
position descriptions where staff is not
yet hired) for the program coordinator
position so they become an electronic
attachment to your Grants.gov
application. Please see the General
Section for instructions on how to
submit the required information with
your electronic application. (Resume(s)/
position description(s) do not count
toward the 35-page limit.)
(2) Past Performance of Applicant/
Contract Administrator (25 Points).
Applicants’ narrative must describe how
they (or their contract administrator)
achieved actual results in assisting lowincome families and individuals in
achieving economic self-sufficiency or
moving from welfare to gainful
employment. Renewal applicants
should include facts and statistics in
their narrative from past annual
performance reports and/or the FSS
addendum to HUD Form 50058.
Applicants that have managed a HUDfunded FSS program for more than five
years must be able to demonstrate that
families who have participated in the
FSS program for five years are actually
achieving self-sufficiency and/or have
significantly increased their earned
income.
Applicants will be evaluated
according to the following criteria:
(a) Achievement of specific,
measurable participant outcomes in
terms of benefits gained by participating
residents. (15 Points). Applicants
should describe and clearly demonstrate
results their participants have achieved
through the FSS program, for example:
Higher incomes, higher rates of
employment, increased savings; and
moving out of subsidized housing to
market-rate housing.
(b) Describe success in attracting and
keeping residents involved in past
grant-funded training programs (5
Points). HUD wants to see that
applicants’ grant-funded programs
benefited significant numbers of
participating residents/families;
(c) Description of timely fund
expenditure throughout the term of past
grants (5 Points). Timely means regular
drawdowns throughout the life of the
grant, i.e. quarterly drawdowns, with all
funds expended by the end of the grant
term;
(3) Program Administration and
Fiscal Management (10 Points).
(a) Program Administration and
Accountability (5 Points). Applicants
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should describe how they will manage
the program and how HUD can be sure
that there is program accountability.
(b) Fiscal Management (5 Points). In
rating this factor, applicants’ skills and
experience in fiscal management will be
evaluated. If applicants have had any
audit or material weakness findings in
the past five years, they will be
evaluated on how well they have
addressed them. Applicants must
provide the following:
(i) A complete description of their
fiscal management structure, including
fiscal controls currently in place
including those of a contract
administrator for applicants required to
have a contract administrator, (troubled
PHAs);
(ii) Applicants must list any audit
findings in the past five years (HUD
Inspector General, management review,
fiscal, etc.), material weaknesses and
what has been done to address them;
(iii) Applicants who are required to
have a contract administrator, must
describe the skills and experience the
contract administrator has in managing
federal funds.
b. Rating Factor 2: Need (10 Points)
In responding to this factor, you will
be evaluated on the extent to which you
describe and document the level of need
for an FSS program coordinator in the
communities you serve.
In responding to this factor, you must
include:
(1) Socioeconomic Profile (5 points).
A socioeconomic profile of the eligible
residents to be served by your program,
including education levels, income
levels, the number of single-parent
families, etc.
(2) Number of People to Be Served (5
points). Renewal applicants must
provide the number of people being
served and whether they will fill slots
left by graduating participants. New
applicants must provide the number of
slots they will fill. Applicants applying
to expand their FSS program, must
provide the number of slots they will
add to their program.
c. Rating Factor 3: Soundness of
Approach (30 Points)
In rating this factor HUD will
consider:
(1) Quality of Your Proposal (26
points). This factor evaluates your
application based on the following
criteria:
(a) Scope of Services (12 points). Your
narrative should refer to the FSS Action
Plan submitted to your local HUD field
office and it must describe how many
people you plan to serve, whether you
will expand your program over time,
and how your program will:
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(i) Link with other ROSS-funded selfsufficiency programs; (5 points)
(ii) Involve community partners in the
delivery of services; (4 points) and
(iii) Link to comprehensive services
versus a small range of services geared
toward enhancing economic
opportunities for residents (3 points).
(b) Feasibility and Demonstrable
Benefits (10 points). This factor
examines whether your proposal is
logical, feasible and likely to achieve its
stated purpose during the term of the
grant. HUD’s desire is to fund
applications that will quickly produce
results and advance the purposes of the
FSS program.
(i) Timeliness (5 Points). This
subfactor evaluates whether your
proposal is ready to be implemented
shortly after grant award, but not to
exceed three months following the
execution of the grant agreement. Your
proposal must indicate timeframes and
deadlines for accomplishing major
activities.
(ii) Description of the problem and
solution (5 Points). Your proposal will
be evaluated based on how well your
proposal and approach to case
management address the needs
described in Rating Factor 2.
(c) Salary Appropriateness/Efficient
Use of Grant (4 Points). You will be
evaluated based on whether the salary
you propose for the program coordinator
is comparable to similar professions in
your local area. In addition, your
narrative must justify the salary you
propose to pay the program coordinator
by using local pay rates for comparable
professions.
(d) Ineligible Activities. Two points
will be deducted for each ineligible
activity proposed in the application, as
identified in Section IV (E). For
example, you will lose 2 points if you
propose costs that exceed the limits
identified in the NOFA for a Project
Coordinator.
(2) Addressing HUD’s Policy Priorities
(4 points). HUD wants to improve the
quality of life for those living in
distressed communities. HUD’s grant
programs are a vehicle through which
long-term, positive change can be
achieved at the community level. Your
proposal will be evaluated based on
how well it meets the following HUD
policy priorities:
(a) Improving the Quality of Life in
Our Nation’s Communities (1 point). In
order to receive points in this category,
your narrative must indicate how your
FSS program will help residents
successfully transition from welfare to
work and earn higher wages.
(b) Providing Full and Equal Access to
Grassroots Faith-Based and Other
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Community-Based Organizations in
HUD Program Implementation (1 point).
HUD encourages applicants to partner
with grassroots organizations, e.g., civic
organizations, grassroots faith-based and
other community-based organizations.
These grassroots organizations have a
strong history of providing community
services such as developing first-time
homeownership programs, creating
economic development programs,
providing job training and other
supportive services. In order to receive
points under this factor, your narrative
must describe how you will work with
these organizations and what types of
services they will provide.
(c) Policy Priority for Increasing the
Supply of Affordable Housing Through
the Removal of Regulatory Barriers to
Affordable Housing (up to 2 points).
Under this policy priority, higher rating
points are available to: (1) Governmental
applicants that demonstrate successful
efforts in removing regulatory barriers to
affordable housing, and (2)
nongovernmental applicants
undertaking activities in jurisdictions
that have carried out successful efforts
in removing barriers. For applicants to
obtain the policy priority points for
efforts to successfully remove regulatory
barriers, applicants would have to
complete form HUD 27300,
‘‘Questionnaire for HUD’s Initiative on
Removal of Regulatory Barriers.’’ A copy
of HUD’s Notice entitled America’s
Affordable Communities Initiative,
HUD’s Initiative on Removal of
Regulatory Barriers: Announcement of
Incentive Criteria on Barrier Removal in
HUD’s 2004 Competitive Funding
Allocations’’ can be found on HUD’s
Web site at https://www.hud.gov/grants/
index.cfm. The information and
requirements contained in HUD’s
regulatory barriers policy apply to this
FY 2005 NOFA. A description of the
policy priority and a copy of form HUD
27300 can be found in the General
Section Applicants are encouraged to
read the Notice as well as the General
Section to obtain an understanding of
this policy priority and how it can
impact their score. A number of
questions expressly request the
applicant to provide brief
documentation with their response.
Other questions require that for each
affirmative statement made, the
applicant must supply a reference, URL,
or a brief statement indicating where the
back-up information may be found, and
a point of contact, including a telephone
number and/or e mail address. The
electronic copy of the HUD 27300 has
space to identify a URL or reference that
the material is being scanned and
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attached to the application as part of the
submission or faxed to HUD following
the facsimile submission instructions.
d. Rating Factor 4: Achieving Results
and Program Evaluation (15 Points)
(1) An important element in this
year’s NOFA is the development and
reporting of performance measures and
outcomes. This factor emphasizes
HUD’s determination to ensure that
applicants meet commitments made in
their applications to help families
achieve true self-sufficiency. Applicants
must demonstrate how they propose to
measure their success and outcomes as
they relate to the Department’s Strategic
Plan.
(2) HUD requires FSS applicants to
develop an effective, quantifiable,
outcome-oriented plan for measuring
performance and determining that goals
have been met. Applicants must use the
Logic Model form (HUD–96010) for this
purpose.
(3) Applicants must establish interim
benchmarks, or outputs, for their
proposed program that lead to the
ultimate achievement of outcomes.
‘‘Outputs’’ are the direct products of a
program’s activities. Examples of
outputs are: the number of eligible
families that participate in supportive
services, the number of families
enrolled, the number of families with
increased earned income, the number of
families who have left assisted housing
altogether, or the number of households
that develop an escrow account.
‘‘Outcomes’’ are benefits that the
residents, families and/or communities
have accrued during or after
participation in the FSS program.
Applicants must clearly identify the
outcomes to be achieved and measured.
Examples of outcomes are: increasing
residents’ financial stability (e.g.,
increasing assets of a household through
savings or escrow), increasing the
number of FSS graduates, or increasing
employment stability (e.g., whether
persons assisted obtain or retain
employment for one or two years after
job training completion). Outcomes are
not the actual development or delivery
of services or program activities.
(4) This rating factor requires that
applicants identify program outputs,
outcomes, and performance indicators
that will allow HUD and applicants to
measure performance and
accountability. Performance indicators
should be objectively quantifiable and
measure actual achievements against
anticipated achievements. Applicants’
narrative and Logic Model should
identify what applicants are going to
measure, how they are going to measure
it, and the steps they have in place to
make adjustments to their work or
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management practices if performance
targets begin to fall short of established
benchmarks and timeframes. Applicants
must include the standards, data
sources, and measurement methods they
will use to measure performance.
(5) In order to respond to this factor,
applicants should use the sample
performance measures (HUD–52758)
located in the Appendix as a guide.
Applicants will be evaluated based on
how they propose to measure their
program’s outcomes, e.g. whether the
Logic Model tracks activities and
outcomes resulting from the proposed
activities, whether the Logic Model
identifies evaluation tools and sources,
and whether the Logic Model provides
output and outcome information for the
short, medium and long-term.
B. Review and Selection Process
1. Review Process: Four types of
reviews will be conducted: a screening
to determine if you are eligible to apply
for funding under the FSS grant
category; whether your application
submission is complete, on time and
meets the threshold requirements; a
review by the field office (or ONAP) to
evaluate past performance and whether
there is an approved FSS Action Plan on
file with the field office; and a technical
review to rate your application based on
the four rating factors provided in this
NOFA.
2. Selection Process: The selection
process is designed to achieve
geographic diversity of grant awards
throughout the country. HUD will first
select the highest ranked application
from each of the ten federal regions and
DPONAP for funding. After this
‘‘round,’’ HUD will select the second
highest ranked application in each of
the ten federal regions (the second
round). HUD will continue this process
with the third, fourth, and so on, highest
ranked applications in each federal
region and DPONAP until the last
complete round is selected for funding.
If available funds exist to fund some but
not all eligible applications in the next
round, HUD will make awards to those
remaining applications in rank order (by
score) regardless of region and DPONAP
and will fully fund as many as possible
with remaining funds. If remaining
funds are too small to make an award,
they may be transferred to another
ROSS funding category.
3. Tie Scores. In the event of a tie
between two applications from the same
region, HUD will select the application
that was received first.
4. Deficiency Period. Applicants will
have fourteen calendar days to provide
missing information requested from
HUD. For other information on
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correcting deficient applications, please
see the General Section.
VI. Award Administration Information
A. Award Notices: HUD will make
announcements of grant awards after the
rating and ranking process is completed.
Grantees will be notified by letter and
will receive instructions for the steps
they must take to access funding and
begin implementing grant activities.
Applicants who are not funded will also
receive letters via U.S. postal mail.
B. Debriefings: Applicants who are
not funded may request a debriefing.
Applicants requesting to be debriefed
must send a written request to: Iredia
Hutchinson, Director, Grants
Management Center, 501 School Street,
SW., Suite 800, Washington, DC 20024.
See the General Section for additional
information on debriefings.
C. Administrative and National Policy
Requirements: 1. Environmental Impact.
No environmental review is required in
connection with the award of assistance
under this NOFA. The reason being the
NOFA only provides funds for
employing a coordinator who provides
public and supportive services and/or a
contract administrator who provides
administrative and management
services. Theses services listed above
are categorically excluded from
environmental review under the
National Environmental Policy Act of
1969 (42 U.S.C. 4321) and not subject to
compliance actions for related
environmental authorities under 24 CFR
50.19(b)(3), (4) and (12).
2. Applicable Requirements. Grantees
are subject to regulations and other
requirements found in:
a. OMB Circular A–87 ‘‘Cost
principles for State, Local, and Indian
Tribal Governments’’;
b. OMB Circular A–133 ‘‘Audits of
States, Local Governments, and NonProfit 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 Lowand Very Low-Income Persons (Section
3). Applicants and grantees must also
comply with Section 3 of the Housing
and Urban Development Act of 1968, 12
U.S.C. 1701u and ensure that training,
employment, and other economic
opportunities shall, to the greatest
extent feasible, be directed toward low
and very low-income persons,
particularly those who are recipients of
government assistance for housing and
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to business concerns which provide
economic opportunities to low and very
low-income persons.
4. Fair Housing and Civil Rights Laws.
Applicants and their subrecipients must
comply with all Fair Housing and Civil
Rights laws, statutes, regulations, and
Executive Orders as enumerated in 24
CFR 5.105(a), as applicable. Please see
the General Section for more
information.
5. Provision of Services to Individuals
with Limited English Proficiency (LEP).
Successful applicants and grantees must
seek to provide access to program
benefits and information to LEP
individuals through translation and
interpretive services in accordance with
HUD’s LEP Recipient Guidance 68 FR
70968.
6. Communications. Successful
applicants should ensure that notices of
and communications during all training
sessions and meetings be effective for
persons who have hearing and/or visual
disabilities consistent with Section 504,
see 24 CFR Part 8.6.
D. Reporting: 1. Semi-Annual
Performance Reports. Grantees shall
submit semi-annual performance reports
to the field office. These progress
reports shall include financial reports
(SF–269A or its successor), the Logic
Model showing achievements to date
against proposed outputs and outcomes,
and your evaluation procedures and
activities undertaken to ensure that the
project remains on schedule, within
budget and that you are achieving the
goals established. A narrative describing
milestones, work plan progress, and
problems encountered and methods
used to address these problems must
also be included. HUD anticipates that
some of the reporting of financial status
and grant performance will be through
electronic or Internet-based
submissions. Grantees shall use
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quantifiable data to measure
performance against goals and
objectives outlined in their Logic Model.
Applicants that receive awards from
HUD should be prepared to report on
additional measures that HUD may
designate at time of award. Performance
reports are due to the field office on July
30 and January 31 of each year. If
reports are not received by the due date,
grant funds will be suspended until
reports are received.
2. Reporting Using HUD–50058
Addendum. Grantees must also report
on PH FSS program participants to PIC
using the HUD–50058 addendum to
report on the enrollment, progress, and
exit of individual families. Failure to
report to PIC is a violation of the
program and may result in grant
termination.
3. Final Report. All grantees shall
submit a final report to their local field
office. This will include a financial
report (SF–269A or its successor) and a
narrative evaluating overall performance
against goals. Grantees shall use
quantifiable data to measure
performance against goals and use the
Logic Model as part of their final report
submission. The financial report shall
contain a summary of salary
expenditures made from the beginning
of the grant agreement to the end of the
grant agreement and shall include any
unexpended balances. The final
narrative, Logic Model, and financial
report shall be due to the field office 90
days after the termination of the grant
agreement.
VII. Agency Contact(s)
For questions and technical
assistance, you may call the Public and
Indian Housing Information and
Resource Center at 800–955–2232. For
persons with hearing or speech
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impairments, please call the toll-free
Federal Relay Service at 800–877–8339.
VIII. Other Information
A. Code of Conduct: See the General
Section for more information.
B. Transfer of Funds. If transfer of
funds from any of the ROSS programs
does become necessary, HUD will give
first priority to Homeownership
Supportive Services, second priority to
Family Self-Sufficiency, third priority to
RSDM—Family, and fourth priority to
RSDM—Elderly/Disabled. HUD does not
have the discretion to transfer funds for
the Neighborhood Networks program to
any other funding category under ROSS.
C. Paperwork Reduction Act: The
information collection requirements
contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
number 2577–0229. In accordance with
the Paperwork Reduction Act, HUD may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless the collection
displays a currently valid OMB control
number. Public reporting burden for the
collection of information is estimated to
average eight hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, semi-annual
reports and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
D. Appendix of Forms. The forms
specific to the FSS under the ROSS
Program follow.
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14108
Housing Opportunities for Persons With
AIDS (HOPWA) Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
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Office of Community Planning and
Development (CPD), Office of HIV/AIDS
Housing.
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14109
B. Funding Opportunity Title:
Housing Opportunities for Persons With
AIDS (HOPWA).
C. Announcement Type: Initial
Announcement
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D. Funding Opportunity Number: The
Federal Register number for this NOFA
is: FR–4900–N–14. The OMB approval
number for this program is 2506–0133.
E. Catalog of Federal Domestic
Assistance (CFDA) Numbers: 14.241
Housing Opportunities for Persons With
AIDS Program.
F. Dates: The application submission
date is on May 27, 2005 for the Renewal
of expiring HOPWA permanent
supportive housing projects and for
New and Continuing HOPWA
applications. Refer to the General
Section for application submission and
timely receipt requirements.
G. Additional Overview Information:
1. Purpose of the Program: To provide
States and localities with the resources
and incentives to devise Long-term
comprehensive strategies for meeting
the housing and related supportive
service needs of low-income persons
with Human Immunodeficiency Virus/
Acquired Immunodeficiency Syndrome
(HIV/AIDS) and their families. Grant
recipients will measure client outcomes
to assess how housing assistance results
in creating or maintaining stable
housing, reduces risks of homelessness,
and improves access to healthcare and
other needed support. States, units of
general local government, and nonprofit
organizations interested in applying for
funding under this grant program
should carefully review the General
Section and detailed information listed
in this Program NOFA. There is no
separate Application Kit for this
Program NOFA.
2. Available Funds. Approximately
$27,925,000 in FY2005 funding is made
available along with approximately
$9,052,000 in remaining FY2004 funds.
These amounts may be adjusted based
on the approved appropriations for the
Department’s HOPWA program for
Fiscal Year 2005. The Department’s
2004 SuperNOFA, published on May
14, 2004, stated that HUD would issue
a Notice at a later date to award any
remaining 2004 HOPWA competitive
funds for new and continuing projects.
The selection of the 2004 Renewals for
permanent supportive housing projects
was made on October 25, 2004 for the
award of $20,175,475 to 22 eligible
projects. The remaining amount of
approximately $9,052,000 is being made
available through this Notice.
This Notice makes available funding
for three types of HOPWA competitive
grants: (1) Renewals of expiring
HOPWA projects that conduct
permanent supportive housing activities
(Renewals); (2) new awards for
permanent supportive housing activities
to be conducted by States and units of
general local government that are not
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eligible to receive HOPWA formula
allocations (Long-term projects); and (3)
awards for new and continuing Special
Projects of National Significance (SPNS)
demonstration projects that will
undertake new housing service delivery
models or housing project activities that
include plans to provide HOPWA
clients with permanent housing
assistance by the end of the operating
period.
Remaining FY2004 funds will be
made available for new long-term
projects and, if funds remain, for new
and continuing SPNS demonstration
projects, in the order of their ranking in
their category of grants.
FY2005 funds will be made available
in the following priority order: (1)
Renewal of expiring HOPWA grants
providing permanent supportive
housing as described in Renewal of
Permanent Supportive Housing Grants;
(2) and if FY2005 funds remain, new
awards for long-term projects; and (3)
then awards for new and continuing
Special Projects of National Significance
(SPNS) demonstration projects.
3. Eligible Applicants. States, units of
general local government, and nonprofit
organizations may apply for HOPWA
competitive funding under this Program
NOFA. Eligibility requirements are
contained below.
4. Match. There are no cost sharing or
matching requirements for applications
under this program NOFA. However,
requests to fund projects under this
Program NOFA will be reviewed for
leveraging, see Section IV.B.
5. Authorities. If you are interested in
applying for funding under this
program, please review carefully the
General Section and the following
sections of this Program NOFA. For
more information on eligible activities
under the HOPWA Program, see the
HOPWA program regulations at 24 CFR
part 574 and the AIDS Housing
Opportunity Act (42 U.S.C. 12901–
12912), which govern the program.
Full Text of Announcement
Funding Opportunity Description
A. Program Description
1. Renewal of Permanent Supportive
Housing Grants. Under the
Department’s Appropriations Act, the
Secretary is required to renew
qualifying expiring contracts for
permanent supportive housing. HUD
will renew previously funded
competitive grants that meet the
eligibility requirements below and all
program requirements. Applications
will be reviewed on a pass/fail
threshold review system and are not
required to address the Department
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policy priorities described in the
General Section.
2. New Long-Term Projects for
Permanent Supportive Housing. HUD
will award funds for permanent
supportive housing activities through a
competitive selection process for new
Long-term projects that provide housing
and related supportive services to lowincome persons living with HIV/AIDS
and their families in areas that are not
eligible for HOPWA formula allocations.
3. New and Continuing SPNS
Demonstration Grants. HUD will award
new and continuing Special Projects of
National Significance (SPNS)
demonstration grants through a
competitive selection process. SPNS
demonstration projects will undertake
new housing service delivery models or
housing project activities that include
plans to provide HOPWA clients with
permanent housing assistance by the
end of the operating period under the
award. Consistent with the selection
considerations established at 42 U.S.C.
12903(c)(3)(C), demonstration projects
will help show program successes or
lessons learned in planning, operating
and evaluating an innovative type of
service delivery model for the purposes
of demonstrating potential replicability
in the HOPWA program, in addition to
other housing programs throughout the
nation.
For purposes of this Program NOFA,
‘‘New and Continuing projects’’ refers to
new Long-term projects and new and
continuing SPNS demonstration
projects collectively.
4. Definitions for all HOPWA grants.
a. Chronically Homeless Person. A
chronically homeless person is defined
as an unaccompanied homeless
individual with a disabling condition
who has either been continuously
homeless for a year or more OR has had
at least 4 episodes of homelessness in
the past 3 years. A disabling condition
is defined as a diagnosable substance
abuse disorder, serious mental illness,
developmental disability, or chronic
physical illness or disability, including
the co-occurrence of two or more of
these conditions.
b. Long-term Project. The term ‘‘Longterm Project’’ refers to projects
established by State or local government
applicants that are part of Long-term
Comprehensive Strategies (Long-term)
which provide housing and related
supportive services for low-income
persons living with HIV/AIDS and their
families in areas that are not eligible for
HOPWA formula allocations.
c. SPNS Demonstration Grant or
Project. The term SPNS demonstration
grant refers to Special Projects of
National Significance (SPNS) awards for
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new housing project activities or service
delivery models for providing housing
assistance to eligible persons. In
conjunction with these activities, SPNS
demonstration projects must include
specific plans to provide HOPWA
clients with permanent housing
assistance by the end of the operating
period under the award. SPNS
demonstration grants will only be
awarded to transitional, short-term and
emergency housing projects. Funding
for SPNS demonstration projects is
provided on a one-time only basis.
These projects do not provide
permanent supportive housing and,
therefore, will not be eligible for
renewal under the current criteria for
permanent supportive housing projects.
HOPWA support for participants is
expected to terminate as they become
more self-sufficient, move to or benefit
from permanent housing programs, or
establish stable permanent housing
through other means.
d. Expiring Grant is defined by the
end date in the grant agreement signed
with HUD on the existing project
(including any amendment or extension
approved by HUD) which results in an
existing agreement expiring in Federal
Fiscal Year 2005 (i.e., from October 1,
2004 to September 30, 2005), or will
expire within 18 months after the date
of the publication of this Program
NOFA.
e. Lease or Occupancy Agreement. In
establishing that an eligible person has
obtained permanent supportive housing
and a legal right to continue in that
housing unit, the lease or occupancy
agreement must be for a term of at least
one year. The lease or occupancy
agreement must also be automatically
renewable upon expiration, except on
reasonable prior notice by either the
tenant or the landlord.
f. Nonprofit Organization. Non-profit
organization means any non-profit
organization (including a State or
locally chartered, nonprofit
organization) that: (1) Is organized
under State or local laws; (2) Has no
part of its earnings inuring to the benefit
of any member, founder, contributor or
individual; (3) Has a functioning
accounting system that is operated in
accordance with generally accepted
accounting principles, or has designated
an entity that will maintain such an
accounting system; and (4) Has among
its purposes significant activities related
to providing services or housing to
persons with acquired
immunodeficiency syndrome or related
diseases, as clarified to include
infection with the human
immunodeficiency virus (HIV).
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g. Permanent Supportive Housing.
Permanent supportive housing is
defined as housing in which the eligible
person has a continuous legal right to
remain in the unit and which provides
the eligible person ongoing supportive
services through qualified providers.
HUD will consider a grant to provide
permanent supportive housing if 51
percent or more of HOPWA program
activity funds are used: (1) To provide
for the development or operation of
permanent housing or rental assistance
for permanent housing units where
ongoing supportive services are made
available through other leveraged
resources; and (2) to provide for
supportive services for residents in
permanent housing; or (3) in some
combination of these.
As provided in Section III.C.2.(i),
‘‘Grant Purpose and Agreements to
Operate Eligible Permanent Supportive
Housing Grants’’, you must include in
your grant files a copy of the standard
lease form or occupancy agreement used
for residents of the project. The lease or
occupancy agreement must meet the
definition for such agreements provided
above. Failure to maintain this project
documentation of the client’s lease or
occupancy agreement will constitute a
grant default. The requirements
governing termination of housing are
located in 24 CFR 574.310(e).
h. Transitional Housing. For purposes
of this notice, the term ‘‘transitional
housing’’ means housing, the purpose of
which is to facilitate the movement of
eligible person(s) to permanent housing
within 24 months. The eligible person(s)
may remain in transitional housing for
a longer period if permanent housing for
the eligible person(s) has not been
located or the eligible person(s) requires
additional time to prepare for
independent living. However, no more
than half of the eligible persons may
remain in that project longer than 24
months. Failure to observe this
requirement may constitute a grant
default, which could result in grant
sanctions (including deobligation).
B. Statutory and Regulatory
Requirements
If you are interested in applying for
funding under this program, please
review carefully the General Section
and this Program NOFA. For more
information on the HOPWA program,
including eligible uses of funds, see the
HOPWA program regulations at 24 CFR
part 574 and the AIDS Housing
Opportunity Act (42 U.S.C. 12901–
12913), which govern the program.
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C. Availability of Other HOPWA
Resources
1. Formula Allocations. Applicants
are advised to also consider seeking
funds from the formula component of
the HOPWA program and from other
resources. Ninety percent of the
HOPWA program is allocated by
formula to eligible States and qualifying
cities. In FY2005, HUD expects that the
approximately $251 million in HOPWA
funds will be distributed by formula to
the qualifying cities for 83 eligible
metropolitan statistical areas (EMSAs)
and to 39 eligible States for areas
outside of EMSAs. The formula amounts
are subject to the amounts approved by
Congress for Fiscal Year 2005.
Recipients of formula funds must follow
HUD’s Consolidated Plan process.
Information on consolidated planning,
including HOPWA formula programs
and descriptions of previously awarded
competitive grants, is available on the
HUD Web site at www.hud.gov/grants.
2. National HOPWA Technical
Assistance. To apply for funding to
serve as a provider of HOPWA technical
assistance, you must submit an
application for funds under the
Community Development Technical
Assistance (CDTA) part of the
SuperNOFA. The CDTA notice makes
HOPWA funds available to
organizations qualified to provide
technical assistance support to HOPWA
grantees and project sponsors.
Organizations seeking help in managing
their HOPWA project, such as advice or
other help needed in planning,
operating, reporting to HUD and
evaluating HOPWA programs, can
request technical assistance by
contacting their State or area CPD office.
II. Award Information
A. Total. Approximately $27,925,000
in FY2005 funding along with
approximately $9,052,000 in carry-over
FY2004 funds will be awarded under
this HOPWA Program NOFA.
B. Number and Timing of Awards.
HUD anticipates that projects awarded
under this Notice will be announced by
August 30, 2005. It is expected that
selected Renewal Projects will continue
program activities under a new grant
agreement for an additional three years.
The start date for the new agreement
shall be immediately following the end
date of the existing agreement so there
is continuity of service. The period of
performance for new Long-term projects
is three years, with the potential for
HUD approval of a one-time extension
of up to 12 months. These grants may
be eligible for Renewal as expiring
permanent supportive housing projects.
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The period of performance for new and
continuing SPNS demonstration
projects is three years, with the
potential for HUD approval of a onetime extension of up to 12 months.
These grants do not provide permanent
supportive housing and, therefore, will
not be eligible for Renewal under the
current criteria for permanent
supportive housing projects.
C. Maximum Grant Award. In order to
fairly distribute available funding, the
maximum grant award that you may
receive is:
1. For program activities: $1,300,000
(e.g., activities that directly benefit
eligible persons);
2. For grant administrative costs of the
grantee: 3 percent of the awarded grant
amount (e.g., an additional $39,000 if
the maximum grant is awarded);
3. For grant administrative costs for
project sponsors: 7 percent of the
amounts received by the project sponsor
under the grant (e.g., an additional
$91,000 if the maximum grant is
awarded);
4. Total maximum grant amount for
all categories of grant awards under this
NOFA is: $1,430,000.
D. Average Grant Award. Based on the
results of the 2004 HOPWA
competition, the average grant award for
the 22 grants selected was $916,600.
III. Eligibility Information
A. Eligible Applicants
1. Eligibility for Funding to Nonprofit
Organizations. If you are a nonprofit
organization, you must also satisfy the
nonprofit requirements established in
the definition for eligible nonprofit
organization found in 24 CFR 574.3 and
in the definitions section of this
Program NOFA. In the case that a
nonprofit organization is being added to
your Renewal project in your
application, or a sponsor’s legal status
has changed due to merger or other
action, you will also need to submit the
related required information described
in Section IV.B of this Program NOFA.
2. General Eligibility for Renewal of
Expiring Grants for Permanent
Supportive Housing. Eligible applicants
are States, units of general local
government, and nonprofit
organizations that have been awarded
funds under a previous HOPWA
national competition and operated their
projects under a signed grant agreement
with HUD. To be eligible, your project
must provide permanent supportive
housing to eligible persons under an
expiring grant and meet the threshold
requirements established under this
Program NOFA to continue to receive
funding for your project.
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3. Additional Eligibility for Renewal
and Continuing Projects. To be eligible
for a Renewal or continuing grant, you
must be operating your existing
HOPWA competitive project in a
manner that meets program
requirements. This is evidenced by not
having a record of poor performance or
unresolved grants management issues
with your existing project. HUD will
consider any evidence of poor
performance taking place up to the date
of the public announcement of awards
under this NOFA. Unresolved problems
may include: HUD knowledge that
planned activities remain significantly
delayed in their implementation; a
significant number of planned housing
units are vacant; required annual
progress reports are not timely filed
with HUD; unresolved actions pending
under a HUD notice of default on your
current grant or significant citizen
complaints are unresolved or not
responded to with justified reasons.
Weak performance may also be evident
if more than 50 percent of grant funds
remain recorded as unexpended as of
the application due date for Renewals
under this Program NOFA, as measured
by reimbursements filed with HUD’s
financial system.
4. General Eligibility on New and
Continuing Applicants and Sponsors.
States, units of general local
government, and nonprofit
organizations may apply under the
Special Projects of National Significance
(SPNS) demonstration grants category to
propose new or continuing projects
which will provide residents with
permanent housing assistance by the
end of their operating period.
However, States and units of general
local government are encouraged to
apply under the ‘‘Long-term’’ category,
if the project entails new permanent
supportive housing activities in areas
that did not receive HOPWA formula
allocations in FY2004 or are not
designated to receive allocations in
FY2005. Applicants under the Longterm category of grants will be reviewed,
rated, and ranked with other
applications under this funding
category. Nonprofit organizations are
not eligible to apply directly for Longterm grants, but may serve as a project
sponsor for an eligible State or local
government applicant.
B. Cost Sharing or Matching
There are no cost sharing or matching
requirements for applications under this
program NOFA. However, requests to
fund projects under this Program NOFA
will be reviewed for leveraging, see
Section IV.B. paragraphs 3.e. for
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renewals and 4.f. for new and
continuing projects.
C. Other Eligibility Requirements
1. Threshold Requirements for All
Applications. Applicants must meet the
Threshold requirement identified in the
General Section. HUD will also review
your application to determine that you
are eligible for funding, as follows:
a. Eligible Applicant. (1) Your
application is consistent with the
requirements of Section III of this
Program NOFA for eligibility based on
applicant requirements, project sponsor
requirements and the lack of any
unresolved management issues for
Renewal and continuing grants; and
(2) Your application complies with
the Dun and Bradstreet Data Universal
Numbering System (DUNS) Number
Requirement. Beginning in Federal
Fiscal Year 2004, any applicant seeking
funding directly from HUD must obtain
a DUNS number and include it in their
SF–424 Application for Federal
Assistance submission. Failure to
provide a DUNS number can prevent
you from obtaining an award. This
policy is pursuant to OMB Policy issued
in the Federal Register on June 27, 2003
(68 FR 38402). The Grants.gov
registration process for applying on line
requires the applicant have a DUNS
number to be authenticated. More
information on the requirement of the
DUNS Number can be found in the
General Section.
b. Expiring Grants. For a Renewal or
continuing grant, your application is
consistent with the definition for a
HOPWA expiring grant in Section I.A.
of this Program NOFA.
c. Permanent Supportive Housing
Projects. For a Renewal or new Longterm project, your application is
consistent with the definition for a
HOPWA permanent supportive housing
grant in Section I.A of this Program
NOFA.
d. Eligible Project Sponsors. Your
application is consistent with the
requirements for eligibility of project
sponsors, as follows:
If the project sponsor is a nonprofit
organization, that organization must
also satisfy the nonprofit requirements
established in the definition of eligible
nonprofit organization found in 24 CFR
574.3 and in the definition section of
this Program NOFA. In the case that the
organization’s nonprofit status has
changed since the time of your original
application to HUD under the prior
competition, or a nonprofit organization
is being added to your Renewal or New
and Continuing project, you will need to
submit the required information
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described in Section IV.B. of this
Program NOFA.
To the maximum extent possible, the
Renewal project should continue with
the same project sponsors, as
documented in the prior HOPWA award
or amendments to that award as
approved by HUD. HUD will consider
the merits for changing a project
sponsor as sufficient if the new sponsor
evidences the capacity to enhance
project operations or improve
responsiveness to eligible persons. Such
examples for changing a project sponsor
may be that a new project sponsor has
greater management, financial, or
program service delivery capacity to
conduct program activities or a prior
project sponsor is no longer in
operation, had evidence of inefficient or
unresponsive behavior under their prior
service, or has merged with another
entity.
2. Program Requirements. All grant
recipients must also meet the following
program requirements, including
performance goals and operational
benchmarks and conduct project
activities in a consistent and ongoing
manner over the approved grant
operating period. If a selected project
does not meet the appropriate
requirement, HUD reserves the right to
cancel or withdraw the grant funds.
a. General Provisions. The provisions
outlined within the General Section
apply to the HOPWA program unless
otherwise stated within this Program
NOFA. Specifically, you are encouraged
to review, Section III.C., Other:
Requirements and Procedures
Applicable to All Programs.
b. Environmental Requirements. All
HOPWA assistance is subject to the
National Environmental Policy Act and
applicable related Federal
environmental authorities. While some
eligible activities, such as tenant-based
rental assistance, supportive services,
operating costs, and administrative
costs, are excluded from environmental
review because of the lack of
environmental impact, other activities
require environmental review. All new
facility-based projects must undergo an
environmental review. In accordance
with Section 856(h) of the AIDS
Housing Opportunities Act and the
HOPWA regulations at 24 CFR 574.510,
environmental reviews for HOPWA
activities are to be completed by
responsible entities (including units of
general local government, States, Indian
tribes, and Alaska Native villages) in
accordance with 24 CFR part 58.
Applicants or grantees that are not a
responsible entity must request the unit
of general local government to perform
the environmental review. HOPWA
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grantees and project sponsors may not
commit or expend any grant or nonfederal funds on project activities until
HUD has approved a ‘‘Request for
Release of Funds and Certification’’
(RROF), form HUD–7015.15, on
compliance with the National
Environmental Policy Act and
implementing regulations at 24 CFR part
58 (Environmental Review Procedures
for Entities Assuming HUD
Environmental Responsibilities) and the
environmental certification from the
responsible entity (other than those
listed in 24 CFR 58.22(f), 58.34 or 58.35
(b) for which the responsible entity
documents its findings of exemption or
exclusion for the environmental review
record (24 CFR 58.34 (b) or 24 CFR
58.35 (d)). The recipient, its project
partners and their contractors may not
acquire, rehabilitate, convert, lease,
repair, dispose of, demolish, or
construct property for a project, or
commit or expend HUD or local funds
for such eligible activities, until the
responsible entity (as defined in 58.2)
has completed the environmental
review procedures required by 24 CFR
part 58 and the environmental
certification and RROF have been
approved. HUD will not release grant
funds if the recipient or any other party
commits grant funds (i.e., incurs any
costs or expenditures to be paid or
reimbursed with such funds) before the
recipient submits and HUD approves its
RROF (where such submission is
required). The recipient shall supply all
available, relevant information
necessary for the responsible entity to
perform, for each property, any
environmental review required.
c. Required HOPWA Performance
Goals. Grant recipients must conduct
activities consistent with their planned
annual housing assistance performance
output goals, objectively measure actual
achievements against anticipated
achievements, and report on their actual
performance housing outputs and client
outcomes. Applicants are requested to
use the HOPWA Budget Form found in
the appendices in this Program NOFA
for recording the funding for housing
assistance activities that are associated
with these performance outputs,
including any funding request for
HOPWA funds and/or your commitment
to use other funds for this purpose.
Applicants must establish a reasonable
client outcome goal on achieving
housing stability to be quantified after
each year of operation to demonstrate
client outcomes. HUD expects that each
HOPWA grantee will show that at least
half of the beneficiaries achieve stable
housing in their program during the
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14113
operating year, as shown by stable
housing arrangements for the household
at the end of each operating year. The
grantee will assist in establishing a
baseline on annual performance to help
measure how future efforts lead to the
achievement of higher levels of housing
stability. On a national basis, HUD has
established the goal that over 80 percent
of clients will be shown to be in stable
housing situations by 2008.
(1) Required Output. The projected
number of low-income households with
persons living with HIV/AIDS expected
to benefit from HOPWA assistance by
the type of housing support to be
provided through your project during
each operating year.
(2) Required Outcome. Through the
use of HOPWA housing assistance and
related supportive services, the number
of eligible persons shown annually to
have established or maintained housing
stability, along with reduced risks of
homelessness, and improved access to
healthcare, and other support for
eligible persons.
d. Optional Program Performance
Goals. (1) Optional Outputs. In addition
to required performance goals described
in the paragraph above, you may
include other measures or annual
indicators, such as the projected
numbers of persons, client contacts by
service, the number of permanent
housing client plans established by case
managers, the number of jobs created
through a job training or skills
development program or other measures
of the numbers to be served through
each activity during each project
operating year.
(2) Optional Outcomes. In addition,
you may establish other outcome goals,
such as: increase the access to
permanent housing for eligible persons
to enable these households to become
more self-sufficient as evidenced by
increase in income or reduced need for
housing or other Federal or non-federal
subsidies and support. In addition,
outcomes should also address the
challenge of homelessness for persons
living with HIV/AIDS and their families,
including persons who are chronically
homeless, by enabling them to move
from transitional housing to permanent
housing with appropriate supportive
services assistance.
e. HUD Logic Model. To illustrate the
planning for the use of resources,
project activities, required outputs and
outcomes, and other grantee identified
goals, and for reporting on annual
accomplishments, you must use the
Logic Model (Form HUD–96010) in the
General Section to meet these
application requirements. Applicants
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must make use of the required elements
in paragraph (a) in this form.
f. HOPWA Facility Use Period
Requirement. Any building or structure
assisted with amounts under this part
will be maintained as a facility to
provide assistance for eligible persons:
(1) For not less than 10 years in the case
of assistance involving new
construction, substantial rehabilitation
or acquisition of a building or structure;
and (2) for not less than three years in
cases involving substantial
rehabilitation or repair of a building
structure.
g. Grant Purpose and Agreements to
Provide Permanent Supportive Housing.
As a requirement for the receipt of these
Federal funds, the grant applicant agrees
to maintain project eligibility and
related documentation on the following:
(1) Agreement to Continue the
Provision of Permanent Housing. For
projects providing permanent housing,
your application constitutes an
agreement that you will continue to
provide permanent supportive housing
support to HOPWA eligible persons
over the operating period of this grant.
This agreement must insure that at least
51 percent of the HOPWA program
activity funds awarded to your project
are used for this purpose and any new
funds and related commitment of other
funds will continue to provide
permanent supportive housing to
eligible persons for the planned annual
outputs.
(2) Agreement to Continue the Use of
Other Resources. If your project will
rely on other State, local, Federal, or
private resources to provide the
permanent housing or supportive
services portion of your project as
documented and approved by HUD in
commitment letters for leveraging, you
must ensure that the other resources
will continue to be available for that
purpose for project beneficiaries
throughout their commitment periods
under the term of the grant. Failure to
use committed resources as documented
and approved by HUD for leveraging
will constitute a grant default which
could result in grant sanctions,
including the reduction in amounts
awarded for supportive services for
which the commitment is not evidenced
in grant operations.
(3) Agreement on Permanent Client
Occupancy. For projects providing
permanent housing, excluding shortterm mortgage, rent, and utility
payments projects, you must agree to
maintain evidence that the client has a
continuous legal right to remain in the
unit or property and has access to
ongoing supportive services provided
through qualified providers. You must
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include in your grant files a copy of the
standard lease form or occupancy
agreement used for residents of the
project. The lease or occupancy
agreement must be for a term of at least
one-year. The lease or occupancy
agreement must also be automatically
renewable upon expiration, except on
reasonable prior notice by either the
tenant or the landlord. The
requirements governing termination of
housing are located in 24 CFR
574.310(e). Failure to maintain this
project documentation of the client’s
lease or occupancy agreement will
constitute a grant default.
h. Execution of Grant Agreement and
Obligation of Awards. HOPWA grants
are obligated upon execution of the
grant agreement Applicants selected for
receiving FY2005 funding must execute
grant agreements, as soon as practicable
but no later than six months after the
notice of selection. For applicants
selected for receiving FY2004 funding
under this competition, the grant
agreement must be executed as soon as
practicable, but by no later than
September 15, 2005, consistent with a
statutory requirement for the obligation
of the FY2004 funds.
i. Disbursement of Funds. Under this
Program NOFA, grant recipients must
fully expend their grant in a consistent
and ongoing manner, and complete the
use of the funds by no later than three
years following the effective date or the
operation start date in the grant
agreement, unless HUD has approved a
one-time extension of the grant
agreement term of an additional 12
months or less. A time limit on grant
expenditures, that is established in the
National Defense Authorization Act for
Fiscal Year 1991, requires the
expenditure of all HOPWA funds
awarded under the FY2004
Appropriations Act by September 30,
2010, and HOPWA funds awarded
under the FY2005 Appropriations Act
by September 30, 2011. After September
30, 2010 (for FY04 funds) and
September 30, 2011 (for FY05 funds),
any unexpended funds shall be
canceled and, thereafter, shall not be
available for obligation or expenditure
for any purpose.
j. Site Control through Acquisition or
Lease. If you acquire or lease a site for
housing activities, you are required to
gain site control within one year from
the date of your notice of selection by
HUD.
k. Rehabilitation or New Construction.
If you propose to use HOPWA funds for
rehabilitation or new construction
activities for housing projects, you must
agree to begin the rehabilitation or
construction within 18 months, and all
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rehabilitation or construction work must
be complete within the terms of your
grant agreement with HUD.
l. Project Operations. If funds are used
for operating costs of existing housing
facilities, you must agree to begin to use
these funds within six months,
consistent with the terms of your grant
agreement with HUD. If funds for a New
and Continuing project, are to be used
for operating costs, in connection with
the new construction or substantial
rehabilitation of housing facilities, the
amount of funds designated for
operating costs must be limited to the
amount to be used during the portion of
the planned three-year period for your
grant agreement for which the facility
will be operational and assisting eligible
persons. Delays in the project’s
development activities, such as the
planned completion of the construction
or rehabilitation activities, could result
in the loss of funds designated for
operating costs, if such funds remain in
excess after the authorized use period
for this award. For example, if you
expect to take two years to complete the
rehabilitation of the facility, any
operating costs could only be requested
for use in the remaining one-year of the
planned three-year operating period for
this award.
3. Eligible Activities. a. Renewal
Project Guidelines.
(1) The activities to be renewed must
be ongoing forms of support over three
years.(2) The Renewal application may
also establish a reasonable level of
operating costs for a permanent
supportive housing facility that
involved the use of HOPWA funding for
its acquisition, new construction,
leasing or rehabilitation in the prior or
original grant. Subject to standards set
forth in applicable OMB Circulars, you
may establish your request for operating
costs based on current costs for
operating your project (or a housing
project of a similar type and size) as the
reasonable and necessary operating
costs for maintaining the investment in
these permanent housing projects over
the term of the Renewal grant.
(3) Administrative costs for grantees
and project sponsors, which must
include the use of funds for data
collection on project outcomes, are
available as part of your Renewal budget
request. HUD expects that the use of
administrative funds for data collection
will help to ensure strong program
management and result in accurate
reporting of outputs and outcomes.
b. General Guidelines on Eligible
Activities Applying to All Projects
(1) Proposed Project Activities. In
your application, you must specify the
activities and budget amounts for which
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HOPWA funds are being requested,
consistent with the eligible activities
found in the HOPWA regulations at 24
CFR 574.300–340. For SPNS
demonstration grants, activities are
limited to those entailing transitional,
short-term and emergency housing
assistance. A copy of the regulations
may be downloaded from www.hud.gov/
offices/cpd/aidshousing/lawsregs/
index.cfm. You are encouraged to
review the HOPWA regulations before
seeking funding. HUD will not approve
proposals that depend on a prospective
determination as to how program funds
will be used. For example, a proposal to
establish a local request-for-proposal
process to select either activities, or to
select project sponsors, and other
similar proposals that have the effect of
delaying the obligation of funds due to
the unplanned use of HOPWA funds,
will not be approved.
(2) Additional Guidance on Use of
Program Funds.
(a) Housing Assistance.
(i) HOPWA projects must demonstrate
that housing assistance is the main
focus of their project. Please indicate if
you propose to use HOPWA funds to
provide permanent supportive housing
(as defined in Section I.A.1.a). If you are
proposing emergency or transitional
housing assistance, your plan must
include linkages to permanent
supportive housing. As found at 24 CFR
574.300(b)(8), operating costs for
housing include the day-to-day
operating costs for the housing project,
including costs for maintenance,
security, operations, insurance, utilities,
furnishings, equipment, supplies, and
other incidental costs for the housing
activities, such as costs for staff
involved in the housing functions of
this project.
(ii) As addressed in the rating criteria
for New and Continuing projects, to
receive the maximum points under the
rating criteria, your project must clearly
address the housing needs of eligible
persons through the direct use of
HOPWA funds for eligible housing
costs.
(b) Supportive Services. Many of the
eligible persons who will be served by
HOPWA may need other support in
addition to housing. It is important that
you design programs that enhance
access to those existing mainstream
resources through community wide
strategies to coordinate assistance to
eligible persons. These mainstream
programs include: healthcare; AIDS
drug assistance, and other services
funded through the Ryan White CARE
Act; other Federal programs such as
Medicaid, Children’s Health Insurance
Program, Temporary Assistance for
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Needy Families, Food Stamps, Mental
Health Block Grant, Substance Abuse
Block Grant, Workforce Investment Act,
and the Welfare-to-Work grant program;
and other State, local and private
sources. Further, to help ensure that
selected projects address housing
related purposes, no more than 35
percent of the proposed budget for
program activities undertaken by New
and Continuing project recipients, and
no more than 35 percent of the
maximum grant amount for program
activities for a Renewal grant, can be
designated for supportive services costs.
Applications will be reviewed for
leveraging resources, including
commitments to provide additional
supportive services in an amount equal
to or greater than the total amount
requested for supportive services, as
described in Section IV.B.5. In addition,
HUD will not award funds for the
acquisition, lease, rehabilitation, or new
construction of a supportive servicesonly facility. Additional restrictions and
limitations that apply to supportive
services such as healthcare costs can be
found at 24 CFR 574.300. HUD will not
provide funds for medications. Costs for
staff engaged in delivering the
supportive service is part of the
supportive service activity cost, and
should not be listed as operating costs
or ‘‘other’’ costs in the application’s
proposed budget.
(c) Permanent Housing Placement
Assistance. Permanent housing
placement services at 574.300(b)(7) may
also be used in connection with the
provision of housing support provided
under these awards. Permanent housing
placement costs may involve costs
associated with helping eligible persons
establish a new residence where
ongoing occupancy is expected to
continue, including rental application
fees, related credit checks and
reasonable security deposits necessary
to move persons to permanent housing,
provided such deposits do not exceed
two months of rent. Leveraged resources
could involve other forms of move-in
support, such as essential housing
supplies, smoke alarms, standard
furnishings, minor repairs to the unit
associated with move-in, and other
incidental costs for occupancy of the
housing unit. While these items are not
eligible as permanent housing
placement costs, grantees may make use
of other leveraged funds for these costs.
Applicants should note that permanent
housing placement is a type of
supportive service and, therefore, the
leveraging guidelines described in
Section IV.B.5, will apply to requests for
such assistance.
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(d) Other HUD-Approved Activities.
You may propose other activities not
already authorized at 24 CFR
574.300(b), subject to HUD’s approval.
Your proposal should address the
expected beneficial impact of this
alternative activity in addressing
housing needs of eligible persons by
describing the project impact and the
identified performance output and
client outcome measures for this
activity.
IV. Application and Submission
Information
A. Addresses To Request Application
Package
Copies of the published NOFAs and
application forms for HUD programs
announced through NOFA may be
downloaded from the Grants.gov Web
site at https://www.grants.gov/Apply or,
if you have difficulty accessing the
information, you may receive customer
support from Grants.gov by calling their
Support Desk at (800) 518–GRANTS or
sending an e-mail to
support@grants.gov. The operators will
assist you in accessing the information.
If you do not have internet access and
need to obtain a copy of the NOFA, you
can contact HUD’s NOFA Information
Center toll-free at (800) HUD–8929.
Persons with hearing or speech
impairments may also call toll-free at
(800) HUD–2209.
B. Content and Form of Application
Submission
HOPWA applicants are not required
to provide the forms, certifications, and
assurances listed in the General Section
unless stated below. The following
certifications must be included with
your application. All certifications and
forms, except those found in the General
Section, are included in the appendices
in this Program NOFA.
1. Required and Optional Forms:
Applicants are requested to submit the
following information:
a. Application for Federal Assistance
(SF–424).
b. Survey on Ensuring Equal
Opportunity for Applicants (SF–424
Supplement).
c. Program Outcome Logic Model
(HUD–96010).
d. Certification of Consistency with
the Consolidated Plan (HUD–2991).
e. Certification of Consistency with
the RC/EZ/EC–II Strategic Plan (HUD–
2990)—if applicable to the service area
of your project.
f. Applicant/Recipient Disclosure/
Update Report (HUD–2880).
g. Disclosure of Lobbying Activities
(SF–LLL), if applicable.
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h. HOPWA Application Budget
Summary, including HOPWA Applicant
Certifications (form HUD–40110–B).
i. Acknowledgement of Application
Receipt (HUD–2993), if applicable due
to an approved waiver of the electronic
submission requirement.
j. Client Comments and Suggestions
(HUD–2994) (Optional).
2. Additional HOPWA guidance on
forms.
a. Application for Federal Assistance
(SF–424). In completing the SF–424, a
number of items in other required forms
may be completed or automatically
populated though the use of the
electronic Grants.gov application. In
applying for HOPWA grant funds, the
applicant’s signature on the SF–424 will
also show agreement for following the
Program Requirements found at III.C.2.,
including all of the items under
paragraph f. HOPWA Facility Use
Period Requirement. For the HOPWA
program, the following items on the SF–
424 would be completed as follows:
—Item 7—The applicable letters are ‘‘A’’
for State; ‘‘B, C, or D’’ for a unit of
local government; or ‘‘O’’ for
Nonprofit;
—Item 9—Grants.gov will enter U.S.
Department of Housing and Urban
Development or HUD;
—Item 10—Grants.gov will enter 14.241
and the title ‘‘Housing Opportunities
for Persons With AIDS Program’’ or
‘‘HOPWA’’ for the Catalog of Federal
Domestic Assistance;
—Item 15—You must complete the
budget on page 1 along with more
detailed information on the HOPWA
Application Budget Summary form
described below. Please make sure
that both the Total Amount on page
1 and the ‘‘Total Budget’’ section on
the Budget form are the same. In the
event that the total budgets are in
conflict, HUD will refer to the
HOPWA Application Budget
Summary form.
—Item 16—Check ‘‘No’’.
b. HOPWA Application Budget
Summary (form HUD–40110–B). Please
complete the HOPWA Application
Budget Summary (form HUD–40110–B)
that will provide a summary of the total
budget for this project, the annual
HOPWA amounts to be used in each of
the three years of operation and
description budget by project sponsor of
the HOPWA funds to be used by each
sponsor. On this form, you must provide
a short narrative which outlines each of
your requested budget line items and
how the funds will be used, including
the amount of requested funding by line
item for you and your project sponsors.
The summary items will be more fully
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described in the applicable narrative
sections of your application.
c. Certification of Consistency with
the Consolidated Plan (HUD–2991).
Except as stated below, you must
include a Consolidated Plan
certification from the applicable State or
local government official for submitting
the appropriate plan for the areas in
which activities are targeted to be
carried out. The authorizing official
from the State or local government must
sign this certification. If your project
will be carried out on a national basis
or will be located on a reservation of an
Indian tribe, or in one of the U.S.
Territories of Guam, the Virgin Islands,
American Samoa, or the Northern
Mariana Islands, you are not required to
include a Consolidated Plan
certification from these areas with your
application.
3. Application Content for Renewal
Applications. The following provides
the applicant with an overview of the
information required for Renewal
Applications. The criteria that the
Renewal Application will be reviewed
and rated on can be found in Section
V.A.1, of this Program NOFA. For your
narrative responses, please number the
pages and include a header and a footer
that provides the name of the applicant,
the program name, and type of
application (i.e., Renewal).
a. Executive Summary and Synopsis.
On no more than five double-spaced
pages, please provide an Executive
Summary of the proposed Renewal
project, beginning with a two or three
sentence synopsis of the focus or special
purposes of your project. The summary
should provide an overview of the main
components of your planned HOPWA
project, including any updated elements
from the original project application and
your annual housing output for your
next operating year. In the Executive
Summary, please provide the name of
the grantee and any project sponsors,
along with contact names, phone
numbers, and e-mail addresses.
b. Organizational Capacity Narrative.
If a new project sponsor(s) is added to
the Renewal proposal, please describe
the capacity of the project sponsor(s) to
conduct program activities. Follow the
procedures in the General Section for
submitting this documentation. You
must submit documentation of the
organization’s nonprofit status and HIV/
AIDS purposes, as described in Section
III.A. on eligibility with your HOPWA
application and maintain a copy in your
project files in order to able to produce
them upon request. In your statement,
please address the extent to which the
project sponsor(s) have the past
organizational experience and
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knowledge: in serving persons with
HIV/AIDS and their families; in
programs similar to those proposed in
your application; in monitoring and
evaluating program performance and
disseminating information on project
outcomes; and, in achieving the purpose
for which funds were provided, as
measured by expenditures and
measurable progress in operating the
project. Please provide this narrative
information on no more than two
double-spaced typed pages. If you are
adding more than one project sponsor,
you may include up to two additional
pages per project sponsor.
c. Provision of Current Permanent
Supportive Housing Narrative. On no
more than four double-spaced pages,
demonstrate how your project provides
permanent supportive housing through
HOPWA and/or other resources, and
report on how the project has been
meeting housing assistance outputs
compared to planned and approved
number of households or units of
housing under the current grant. Include
the type of assistance and number of
housing units being provided and a
description of the supportive services
provided. Additionally, your
description should outline how
HOPWA and other funding, if
applicable, work together to provide
permanent supportive housing,
including any efforts that have helped
clients achieve greater self-sufficiency
through access to other ongoing housing
options, which do not depend on
HOPWA funds. Describe how your
project has been meeting planned
performance benchmarks, as
appropriate, in program development
and operation; in meeting project
performance goals, such as, that the
number of persons assisted is
comparable to the number that was
planned at the time of the application;
and is expending funds consistent with
the existing agreement with HUD. Also
describe how you evaluated project data
on performance, adjusted program
activities and shared information that
you have gained from your lessons
learned on these past activities.
d. Achieving New Results and
Program Evaluation Narrative. On no
more than three double-spaced pages
identify the housing benefits or
outcomes of your Renewal program
including your activities, related project
benchmarks, and performance output
indicators over the next three grant
operating years. Your application
should address your evaluation plan or
method for collecting data on HUD
program measures to evidence
achievement of your project’s goals and
objectives and to establish a baseline for
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client outcomes. You must also
complete and submit as part of your
application the Logic Model Form
(HUD–96010) to illustrate your plans for
the use of resources, project activities,
outputs, outcomes, and goals.
e. Documentation of Leveraging for
Supportive Services for Renewal
Projects. If your Renewal project
requests funding for supportive services,
your application will be reviewed for
leverage. As described in paragraph 5 of
this section, you must demonstrate
evidence of commitments from other
State, local, Federal, or private resources
to provide additional supportive
services for project beneficiaries of an
equal or at a greater value in order to
qualify for an increase in any budget
line item (BLI) above 100 percent of the
approved BLI for your existing grant up
to the 120 percent limit. You must
follow instructions for documenting
leveraging as established in paragraph 5
of this section. The total of all leveraged
resources to provide supportive services
must at least equal the requested totals
for HOPWA supportive service funds in
Line 10 and Line 11 of the Application
Budget Summary in order to qualify the
application for an increase in any
budget line item (BLI) above 100 percent
of the approved BLI for the existing
grant up to the 120 percent limit.
Attempts to falsify or failure to maintain
and produce these letters of
commitment upon request could lead to
the termination of the awarded grant.
Note that if your Renewal application
does not request funds for supportive
services and this is a change to your
existing grant, you must continue to
utilize other sources to provide a
reasonable level of supportive services
that is similar to that previously
provided.
f. Proof of Nonprofit Status and AIDS
Purpose. In the case that a project
sponsor is being added, or a sponsor’s
legal status has changed due to merger
or other action, you will also need to
submit the related required information
described in Section IV.B.4.b of this
Program NOFA.
4. Application Content for New Longterm, and New and Continuing SPNS
Demonstration Project Applications.
The following is an overview of the
information required for applications for
new Long-term projects, and for new
and continuing Special Projects of
National Significance (SPNS)
demonstration grants. Long-term
projects provide permanent housing and
related supportive services to lowincome persons living with HIV/AIDS
and their families in areas that are not
eligible for HOPWA formula allocations.
New and continuing SPNS
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demonstration projects will undertake
new housing service delivery models or
housing project activities that include
plans to provide HOPWA clients with
permanent housing assistance by the
end of the operating period under the
award. The review criteria for Longterm, and new and continuing SPNS
demonstration applications can be
found in Section V.A.2 of this Program
NOFA. For your narrative responses,
please number the pages and include a
header and a footer that provides the
name of the applicant, the program
name and type of application (i.e. Longterm or SPNS demonstration project).
a. Executive Summary and Synopsis.
On no more than five double-spaced
pages, please provide an Executive
Summary of the proposed project,
beginning with a two to three sentence
synopsis of the focus or special
purposes of your project. The summary
should provide an overview of the main
components of your planned HOPWA
project and the annual housing output
for the first year or operations. In the
Executive Summary, please provide the
name of the grantee and any project
sponsors, along with contact names,
phone numbers, and e-mail address. For
projects involving sites, for example, a
structure where HOPWA funds will be
used for construction, acquisition,
rehabilitation, leasing, operating costs,
and/or project-based rental assistance,
please provide the address of the site
and describe any other resources that
are needed to complete the development
of this housing facility. Please identify
if the site is a Confidential Site (HUD
will not release the address of the site)
or is a Public Site (HUD may release the
address to inform clients and the
public).
Please indicate which of the following
special populations your project will
serve by operating a project that
intentionally targets assistance, such as
the provision of housing and related
supportive services, client outreach and
assessment of the needs, and any project
evaluation activities on the assistance
provided to this population of persons
with special needs. Please indicate the
number of special population
households likely to be assisted through
the housing assistance planned in your
project (note: your responses will be
used by HUD to respond to public
inquiries):
• Chronically Homeless and/or other
homeless persons
• Veterans
b. Proof of Nonprofit Status and AIDS
Purpose. Excluding situations where
nonprofit documentation was submitted
to HUD under prior SPNS applications
and there has been no change in project
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14117
sponsor(s), all applicants must provide
a copy of the nonprofit documentation
for each sponsor that is a non-profit
organization consistent with the
standards under paragraph (1).
Applicants must also provide
documentation consistent with
paragraph (2) below to demonstrate that
each sponsor’s organizational
documents include a purpose of
significant activities related to providing
housing or services to persons with
HIV/AIDS. For submission of the
documentation in paragraphs (1) and (2)
on paper forms, you should follow the
directions in the General Section.
(1) HUD will accept as evidence of
your nonprofit status:
(a) A copy of the Internal Revenue
Service (IRS) ruling providing taxexempt status under Section 501(c) (3),
(4), (6), (7), (9) or (19) of the IRS code;
or
(b) A ruling from the Treasury
Department of the Commonwealth of
Puerto Rico granting income tax
exemption under section 101 of the
Income Tax Act of 1954, as amended (13
LPRA 3101); or
(c) Documentation that the applicant
is a certified United Way agency; or
(d) Copy of your most recent
completed tax statement, Form IRS–990
or Form 990–EZ; or
(e) All of these:
(i) a certification by the appropriate
official of the jurisdiction where the
nonprofit was organized that your
organization was so organized and is in
good standing;
(ii) a certification from a designated
official of the organization that no part
of the net earnings of the organization
inures to the benefit of any member,
founder, contributor, or individual; that
the organization has a voluntary board;
and that the organization practices
nondiscrimination in the provision of
assistance in accordance with
applicable program requirements; and
(iii) an opinion letter from an
independent public accounting (IPA)
firm that the nonprofit has a functioning
accounting system that provides for
each of these (the letter must mention
all of them).
(A) Accurate, current, and complete
disclosure of the financial results of
each federally funded project;
(B) Records that identify adequately
the source and application of funds for
federally funded activities;
(C) Effective control over and
accountability for all funds, property
and other assets;
(D) Comparison of outlays with
budget amounts;
(E) Written procedures to minimize
the time elapsing between the transfer of
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funds to the recipient from the U.S.
Treasury and the use of funds for
program purposes;
(F) Written procedures for
determining reasonableness, allocable,
and allowable costs; and
(G) Accounting records including cost
accounting records that are supported
by source documentation.
(2) We will accept as evidence of your
organization’s HIV/AIDS-related
purpose, a copy of the organization’s
articles of incorporation and by-laws,
mission statement, program
management plan, or other
organizational policy document which
evidences the organization’s activities or
objectives related to providing services
or housing to persons with HIV/AIDS.
c. Capacity of Applicant and Project
Sponsors and Relevant Organizational
Experience Narrative. On no more than
five double-spaced typed pages for the
Applicant, and no more than two
double-spaced pages per additional
sponsor, demonstrate the extent to
which you and any project sponsors
have the organizational resources
necessary to successfully implement
your proposed activities in a timely
manner.
d. Need/Extent of the Problem
Narrative. On no more than five doublespaced typed pages define your planned
service area and demonstrate the need
for funding eligible activities in the area
to be served.
e. Soundness of Approach: Model
Qualities and Responsiveness/
Coordination Narrative. On no more
than twenty double-spaced typed pages
address the method by which your plan
meets your identified needs.
Demonstrate how your project will
provide its planned activities through
HOPWA and other resources, and how
it will serve as a model with exemplary
qualities to address the ongoing housing
and supportive service needs of eligible
persons within a replicable operational
framework.
f. Documentation of Leveraged
Resources. As described in paragraph 5
of this section, to receive a leverage
score for your project, please provide
evidence of commitments that
demonstrate your ability to secure
community resources for housing,
supportive services and other programrelated activities that can be combined
with HUD’s funds to achieve program
purposes and assist eligible persons in
addressing their supportive housing
needs. To receive a maximum score for
leverage, you must: (1) Demonstrate
leveraged resources of equal or greater
value to the total amount being
requested for program activities
(excluding administrative costs); and (2)
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if the project requests funds for
supportive services, demonstrate
leveraged resources that include
commitments to provide additional
supportive services that are of equal or
greater value to the total amount
requested for supportive services. To
meet leveraging criterion (2), the total of
all leveraged resources for additional
supportive services must at least equal
the requested totals for HOPWA
supportive service funds in Line 10 and
Line 11 of the Application Budget
Summary. If you do not request funding
for supportive services, your application
will be reviewed and rated based on
leveraging criterion (1). If you request
funding for supportive services, you
must meet both leveraging criteria to
receive the maximum leveraging score.
You must follow instructions for
documenting leveraging as established
in paragraph 5 of this section. Attempts
to falsify or failure to maintain and
produce these letters of commitment
upon request could lead to the
termination of the awarded grant.
g. Achieving Results and Program
Evaluation Narrative. On no more than
five double-spaced typed pages
demonstrate your commitment to
ensuring that the goals that you set forth
and your performance will be assessed
in a clear and effective manner. Address
how you will implement the HOPWA
program goals and identify the benefits
or outcomes of your program including
your activities, benchmarks, and interim
activities or performance indicators.
Provide an evaluation plan that will
objectively measure actual
achievements against anticipated
achievements.
5. Application Content on Leveraging
for All Types of Applications. To receive
consideration for leveraged resources as
noted in paragraphs 3.e. and 4.f. of this
section, all types of applications must
be supported by evidence of
commitments from other State, local,
Federal, or private entities to provide
additional support to project
beneficiaries. To receive maximum
scores for leveraging, any New and
Continuing project must: (1)
Demonstrate leveraged resources that
are of equal or greater value to the total
amount being requested for program
activities (excluding administrative
costs); and (2) if the project requests
funds for supportive services,
demonstrate leveraged resources that
include commitments to provide
additional supportive services that are
of equal or greater value to the amount
requested for supportive services. For
any Renewal project requesting funds
for supportive services, in order to
receive any budget line increases for the
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project, the Renewal must show
leveraged resources that include
commitments to provide additional
supportive services that are of equal or
greater to the amount requested for
supportive services.
Applicants must document the
commitment of leveraged resources as
provided in this section. This section
requests that the applicant provide a list
or chart for the commitments and
include: (1) The name of the
organization or entity that will
contribute leveraged resources for the
activities to be undertaken to support
project beneficiaries and note if the
organization will serve as a project
sponsor; (2) a description of the work to
be accomplished, such as the type of
housing assistance or supportive service
activities to be undertaken to support
the project; and (3) a statement of the
value of the leveraged contribution; (4)
the submission of an electronic copy or
facsimile transmittal of these letters of
commitment with your HOPWA
application; and (5) retention of a copy
in your project files in order to enable
you to produce them upon request. The
letter of commitment must evidence that
the use of any leveraged funds will be
used during the operating period for the
award, identify the value of the
commitment, and be signed by an
authorized representative of the
organization making the commitment of
the resource. Other HOPWA funds, such
as formula allocations, may not be used
for this purpose in determining
leveraging.
The commitment of resources must be
evidenced by use the appropriate
language as described below:
(i) Applicant or Third Party Cash
Resources. If this proposal is funded,
(applicant name or third party name)
commits $(amount) (of its own funds, if
applicant, or to applicant name, if third
party) for (type of activity) to be made
available to the HOPWA program. These
funds will be available from (date) to
(date). (Signature and Title of
authorized representative and date).
(ii) Non-Cash Resources. If this
proposal is funded, (organization’s
name) commits to make available (type
of resource) valued at $(amount) to the
HOPWA program proposed by
(applicant name). These resources will
be made available to the HOPWA
program from (date) to (date). (Signature
and Title of authorized representative
and date) The donation of a third party
professional service should be valued at
the professional’s customary charge.
The value of materials to be contributed
to the project by a third party or by the
applicant may also be counted as
leveraging.
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(iii) Volunteer Time. If this proposal
is funded, (name of the organization or
of self), commits to provide (number of
hours) of volunteer time from (date) to
(date) to provide (type of activity) to the
HOPWA program proposed by
(applicant name). The total value of
these services, based on $10.00 per
hour, is $(amount). (Signature and Title,
and date) Time to be contributed to the
project by volunteers should be valued
at $10.00 per hour. In the case of
individuals volunteering their time
directly to the applicant, the applicant
should list itself as the organization.
(iv) Contribution of a Building. If this
proposal is funded, (applicant name)
pledges the building at (site address) to
the HOPWA program. The building has
a fair market value of $(amount). A
licensed independent real estate
appraiser made this appraisal, which is
based on comparable properties in the
area. (Signature of applicants authorized
representative and date) Ownership of a
building or portion of a building to be
used in the project may be counted as
leveraging. The fair market value of the
building or portion of the building being
contributed may be counted. Do not
send an appraisal to HUD, but keep
documentation of fair market value on
file. The contribution of land (as a
leveraged resource for new
construction) should be treated the same
as contribution of a building. You will
need to keep documentation of the fair
market value on file, particularly if it is
improved land and you wish to include
the value of the improvements in the
contribution.
(v) Contribution of a Building to be
Acquired with HOPWA Funds. If this
proposal is funded, (applicant name)
commits the building at (site address)
for the HOPWA program. The building
has a fair market value of $(amount). A
licensed independent real estate
appraiser made this appraisal, which is
based on comparable properties in the
area. The HOPWA request for the
building is $(amount). Therefore, the
contribution is the difference between
the fair market value and the HOPWA
request, or $(amount). (Signature of
applicants authorized representative
and date) The difference between the
documented fair market value and the
portion paid for with HOPWA funds
may be counted as leveraging. Maintain
documentation of fair rental value on
file.
(vi) Contribution of Leasehold
Interest. If this proposal is funded,
(applicant name) commits the leasehold
interest at (site address) for the HOPWA
program. The fair rental value of this
site is $(amount) annually, and at
constant value will amount to
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$(amount) over (term of the lease, up to
three years). An appropriate
independent third party made this
appraisal, which is based on comparable
properties in the area. The total leasing
cost over the term of the lease to be paid
with HOPWA funds is $(amount).
Therefore, the contribution is the
difference between the HOPWA leasing
cost and the fair rental value, or
$(amount). (Signature of applicants
authorized representative and date) The
difference between the fair rental value
(for a term up to three years) and the
cost of the lease to be paid for with
HOPWA funds may be counted as
leveraging.
The Department will periodically
monitor the use of your commitments
by requiring the collection of
information in annual progress reports
to establish that the leveraged resources
are being used, as committed, in
undertaking the project. Failure to
provide evidence of these additional
resources could result in a notice of
default and affect the project’s
continued access to federal funds
awarded under this Program NOFA.
C. Submission Dates
Application Submission Date. Your
completed application must be
submitted and received electronically
by Grants.gov no later than 11:59:59
p.m. Eastern time on May 27, 2005.
Failure to meet the appropriate
submission and receipt date
requirements will result in the
application being ineligible for funding
under this NOFA. Please follow the
application submission and timely
receipt requirements for the electronic
submission of your application that are
established in the General Section. All
documentation submitted as part of the
application must be received by the
application submission date. All parts of
an electronic application must be
submitted via the Grants.gov portal with
additional documentation as called for
in this NOFA provided via electronic
facsimile transmittal in accordance with
the requirements stated in the General
Section. For electronic applications,
HUD will not accept parts of an
application submitted through the mail.
For applications receiving a waiver of
the electronic application submission
requirements, the entire application
must be submitted in hard paper copy
format with the required number of
copies.
D. Intergovernmental Review
The HOPWA program is not subject to
Executive Order (EO) 12372,
Intergovernmental Review of Federal
Programs.
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E. Funding Restrictions
1. Limitations on Maximum Grant
Amounts. Your request for Renewal
funding or for New and Continuing
funding must be consistent with the
following limitations on maximum grant
amounts:
a. For program activities (e.g.,
activities that directly benefit eligible
persons): A maximum of no more than
$1,300,000, subject to the limitations in
this section;
b. For grant administrative costs of
the grantee: A maximum of no more
than an additional $39,000, subject to
the limit on administrative costs of three
percent of the amount requested for
project activities in your application for
grantees.
c. For grant administrative costs for
project sponsors: A maximum of no
more than an additional $91,000,
subject to the limit on administrative
costs of seven percent of the amount
requested for project activities to be
conducted by project sponsors in your
application.
d. Total for maximum grant amount:
$1,430,000, subject to applicable
limitations in this section and if funds
are requested for a term of less than
three years, HUD reserves the right to
reduce these amounts in a proportionate
manner.
2. Limitation on Supportive Services.
Your request for the supportive services
line item in program activities must be
consistent with the program limits of
not more than 35 percent of the
proposed budget for program activities
undertaken by New and Continuing
project recipients, and not more than 35
percent of the maximum grant amount
for program activities for a Renewal
grant program activity costs for a
Renewal grant (i.e., not more than
$455,000 over a three-year period).
Consistent with the standards described
in Section IV.B.5, on Leveraging, of this
Program NOFA, requests for supportive
services must be leveraged with
commitments to provide supportive
services in order to: (1) Qualify a
Renewal grant applicant for an increase
in any budget line item (BLI) above 100
percent of the approved BLI for their
existing grant up to the 120 percent
limit; or (2) qualify a New and
Continuing applicant for the maximum
leveraging score.
3. Limitation on Prospective
Determinations. HUD will not approve
proposals that depend on a prospective
determination as to how program funds
will be used. More specifically,
proposals to establish a local requestfor-proposal process to select either
activities or project sponsors, and other
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similar proposals that have the effect of
delaying the obligation of funds due to
the unplanned use of HOPWA funds,
will not be approved.
4. Additional Limitation on Renewal
Grants. If applying for a Renewal project
the following funding restrictions apply:
a. Your request for program activity
costs may not include a request for
funds for acquisition, new construction,
or for rehabilitation costs, or costs
involving new housing facility sites,
such as operating costs or leasing.
b. Your request for program activity
costs must request amounts for
continuing a previously approved
project at about the same level of
housing provided in the previous grant.
If your Renewal application does not
request funds for supportive services
and this is a change to your existing
grant, you must continue to utilize other
sources to provide a reasonable level of
supportive services that is similar to
that previously provided. If the
application is consistent with the
leveraging guidelines, the amounts may
exceed 100 percent but must not be
more than 120 percent of the amount
awarded or approved by HUD in the
current grant for an activity, including
any amendments affecting this amount
that were approved by HUD, prior to the
publication of this Program NOFA,
except as provided in the following
paragraph. If an application fails to
provide leverage for supportive services
in an amount at least equal to the
amount of the request for supportive
services, the funding by BLI for all
activities will be restricted to 100
percent of the BLI for the approved
existing project.
c. In the case of a permanent
supportive housing project in which
acquisition, new construction, or
rehabilitation was a major component of
the original project, a reasonable
amount of operating funds may be
requested for a housing project which
exceed the 120 percent budget line item
limit of the previous paragraph. The
amount requested must be based on
information for the current cost of
operating the housing project (or a
housing project of a similar type and
size) but the request may not exceed the
limit on maximum for program
activities established in paragraph (1)(a)
above. HUD reserves the right to adjust
requests under this paragraph to the
scale of projects of similar size and
purpose.
d. Funds for acquisition, new
construction or for rehabilitation costs
will not be renewed. These capital
development activities are not ongoing
or available for additional sites. If you
wish to undertake additional capital
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development activities, significantly
expand your activities (beyond the
allowance in this notice for requests up
to 120 percent of the existing budget
line item), continue a project that is not
eligible as a permanent supportive
housing project, or to add funding for
new activities, you must apply and
compete for funding as a New and
Continuing project.
5. Limitation on Ineligible Activities.
HUD will not provide funds under this
notice for the purposes of conducting
resource identification activities to
establish, coordinate and develop
housing assistance resources, and/or
technical assistance for community
residence activities, since these types of
activities are funded through the
national HOPWA technical assistance
funds being made available under the
Community Development Technical
Assistance (CDTA) NOFA. HUD will not
provide additional funds for data
collection on project outcomes, as such
activities in collecting performance data
and reporting to HUD are required as a
central grants management function,
which is already covered under
administrative costs. Further, eligible
HOPWA costs do not involve costs for
personal items, such as grooming,
clothing, pets, financial assistance,
consumer credit payments,
entertainment activities, personal
vehicle maintenance and repairs,
property taxes, condominium fees and
other non-housing-related costs. Eligible
costs are also subject to additional
HOPWA standards at 24 CFR part 574.
F. Other Submission Requirements
1. Electronic Delivery. Beginning in
FY2005, HUD requires applicants to
submit applications electronically
through www.grants.gov. Applicants
interested in applying for funding must
submit their applications electronically
via the web site https://www.grants.gov.
This site has easy to follow step-by-step
instructions that will enable you to
apply for HUD assistance. The
www.grants.gov/Apply feature includes
a simple, unified application process to
enable applicants to apply for grants
online. Please see Section IV.F. of the
General Section for instructions for
submitting leveraging documentation,
certifications, and other required forms.
2. Waivers to the Electronic
Submission Process: Applicants may
request a waiver to the electronic
submission process (see Section IV.F of
the General Section for more
information). Applicants who are
granted a waiver must submit their
applications to the address identified in
Appendix C of the General Section.
Please see the General Section for
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detailed mailing and delivery
instructions as the procedures have
changed significantly for this year.
3. Number of Copies. Only applicants
receiving a waiver to the electronic
submission requirement may submit a
paper copy application. See the General
Section for more information about
waiver of the electronic submission
requirement.
V. Application Review Information
A. Criteria
1. Renewal Project Applications
a. General. HUD will conduct a
threshold review of all Renewal
applications based on the requirements
found under Section III.C. to determine
eligibility for the Renewal of HOPWA
grants that provide permanent
supportive housing under an expiring
grant.
b. Criteria on New Sponsors. In the
case that a project sponsor is being
added, or a sponsor’s legal status has
changed due to merger or other action,
HUD will conduct a substantive review
of the project sponsor’s ability to
develop and operate your proposed
program and a pass/fail review based on
the requirements for an eligible project
sponsor established in Section III.
(1) With regards to new project
sponsor(s), HUD will consider the
organization’s past experience and
knowledge: in serving persons with
HIV/AIDS and their families; in
programs similar to those proposed in
your application; in monitoring and
evaluating program performance and
disseminating information on project
outcomes; and in achieving the purpose
for which funds were provided, as
measured by expenditures and
measurable progress in operating the
project. A proposed sponsor that fails to
meet the conditions established for
adding a sponsor or fails to demonstrate
sufficient capacity will be ineligible to
receive program funds.
(2) In reviewing the elements of
organizational capacity as stated above,
HUD will rate the proposed sponsor on
the basis of 20 points, with a minimum
of 14 points required for selection of
this sponsor as eligible in demonstrating
sufficient capacity. HUD will consider
the extent to which your proposal
demonstrates the following capacity,
and will award the highest points (20 to
16 points) to those with direct,
extensive, clear and satisfactory
experience, moderate scores (15 to 10
points) to those with direct but not as
extensive experience or where the
experience covers most but not all of
these items; and lower scores (9 to 2
points) if the experience is limited,
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indirect, on only some of the items or
for which only limited or no
information is provided. An
organization with unresolved
management issues affecting their
HOPWA proposal will be scored at the
lowest level (1 point):
(a) The knowledge and experience of
the proposed project director and staff,
including the day-to-day program
manager, consultants, and contractors in
planning and managing the kind of
activities for which you are requesting
funds. The project sponsor will be
reviewed in terms of recent, relevant,
and successful experience of staff to
undertake eligible program activities,
including experience and knowledge in
serving low-income persons with HIV/
AIDS and their families.
(b) The project sponsor’s experience
in managing complex interdisciplinary
programs, especially those involving
housing and community development
programs directly relevant to the work
activities proposed and carrying out
grant management responsibilities.
(c) If the project sponsor received
funding in previous years in the
program area for which you are
currently seeking funding, the sponsor’s
past experience will be reviewed in
terms of its ability to attain
demonstrated measurable progress in
the implementation of the grant award.
Measurable progress is defined as:
meeting performance benchmarks, as
applicable, in program development and
operation; meeting project goals and
objectives, such as, that the number of
persons assisted was comparable to the
number that was planned at the time of
application; submitting timely
performance reports; and expending
prior funding as outlined in the prior
proposal with no outstanding audit or
monitoring issues.
2. Criteria for New and Continuing
Projects Applications
a. Departmental Policy Priorities. As
outlined in Section V of the General
Section, HUD has identified policy
priorities that New and Continuing
project applicants are encouraged to
address through their proposed project
plans. HUD has identified four
Departmental policy priorities as being
applicable for new HOPWA projects.
Applications for HOPWA funding will
receive rating point(s) for each
applicable Department policy priority
initiative addressed through the
proposed program activities and
performance goals and objectives.
Applicants must demonstrate how these
priorities will be addressed through the
Soundness of Approach of the
application as outlined under Rating
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Factor 3. Under the points available for
Rating Factor 3, one or two Rating
Points, as specified below, will be
awarded for each of the following
addressed priorities:
(1) In accordance with Section V of
the General Section, for applicants
seeking HOPWA funds for capital
development activities, including
rehabilitation or new construction, for
one rating point under project
soundness of approach, you are
encouraged to: Institute visitability and
universal design standards in these
activities undertaken with HOPWA
funds. Visitability standards allow a
person with mobility impairments
access into the home, but do not require
that all features be made accessible; and
such standards incorporate universal
design in the construction or
rehabilitation of housing undertaken
with HOPWA funds. Universal design
provides housing that is usable by all
without the need for adaptation or
specialized design.
(2) For one rating point under project
soundness of approach, you are
encouraged to propose projects in which
the grantee, or the project sponsor(s),
fulfills the policy priority for being a
nonprofit grassroots community-based
organization, including faith-based
organizations, as defined in Section V of
the General Section.
(3) For one rating point under project
soundness of approach, you are
encouraged to propose applications in
which the grantee, or project sponsor(s),
commits to follow the Energy Star
standard in any new construction or
rehabilitation activity to be undertaken
in the proposed project with HOPWA or
other funds. The Energy Star standard is
as defined in Section V of the General
Section.
(4) For up to two rating points under
project soundness of approach, you are
encouraged to propose an application in
which the grantee, or project sponsor(s),
if it is a State or local government
agency, as defined in Section V of the
General Section, completes the
regulatory barriers policy questionnaire
and provides the required
documentation or provides a Web site
URL where the information can be
readily found.
b. Program Policies—Target
Population. Prior to the award of other
New and Continuing projects, HUD
reserves the right to select the two
highest rated applications (but not any
that are rated at less than 75 points) that
demonstrate that the planned HOPWA
activities and activities supported by
leveraged funds will serve the special
population of HOPWA eligible person
who are chronically homeless persons
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with HIV/AIDS. A chronically homeless
person is defined as ‘‘an
unaccompanied homeless individual
with a disabling condition who has
either been continuously homeless for a
year or more OR has had at least 4
episodes of homelessness in the past 3
years.’’ Persons who are infected with
HIV are more likely to be able to follow
complex treatment regimens if they
have a reliable address where they can
be reached by care providers, a safe
place to keep medications, refrigeration
for drugs that require it, and other
necessities that many of us take for
granted. HUD is encouraging
applications that strive to create
additional models for permanent
housing for eligible persons living with
HIV/AIDS that are experiencing chronic
homelessness. Applicants must work
collaboratively with the local
Continuum of Care Plans to create these
models for persons living with HIV/
AIDS and their families and
demonstrate a plan for the integration of
HOPWA activities with those systems
such as the use of HMIS. HMIS
participation is required for all
recipients of award funding under this
Program NOFA whose projects
intentionally target HOPWA eligible
persons who are homeless or
chronically homeless. In a number of
Continuum of Care communities,
HOPWA projects are directly involved
in providing outreach, assessment,
housing and supportive services to
HOPWA eligible persons who are
homeless at the time they enter into
program support. HMIS activities or the
use of related information technology
systems may already be operating to
support the delivery of housing
information services to these HOPWA
clients.
c. Application Selection Process for
New and Continuing Projects.
Rating Factor 1: Capacity of the
Applicant and Project Sponsors and
Relevant Organizational Experience (20
Points) (Minimum for Funding
Eligibility—14 points)
Address the following factor using not
more than five (5) double-spaced, typed
pages. For each project sponsor, you
may add two additional pages. This
factor addresses the extent to which you
and any project sponsor have the
organizational resources necessary to
successfully implement your proposed
activities in a timely manner. If you will
be using project sponsor(s) in your
project, you must identify each project
sponsor in your application. HUD will
award up to 20 points based on your
and any project sponsor’s ability to
develop and operate your proposed
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program in relation to which entity is
carrying out an activity.
a. With regards to both you and your
project sponsor(s), you should
demonstrate:
(1) Past experience and knowledge in
serving persons with HIV/AIDS and
their families;
(2)Past experience and knowledge in
programs similar to those proposed in
your application including HOPWA
formula funding;
(3)Experience and knowledge in
monitoring and evaluating program
performance and disseminating
information on project outcomes; and
(4)Past experience as measured by
expenditures and measurable progress
in achieving the purpose for which
funds were provided.
b. In reviewing the elements of the
paragraph above, HUD will consider:
(1) The knowledge and experience of
the proposed project director and staff,
including the day-to-day program
manager, consultants, and contractors in
planning and managing the kind of
activities for which you are requesting
funds. You and any project sponsor will
be judged in terms of recent, relevant,
and successful experience of staff in
undertaking eligible program activities.
(2) Your and/or the project sponsor’s
experience in managing complex
interdisciplinary programs, especially
those involving housing and community
development programs directly relevant
to the work activities proposed and
carrying out grant management
responsibilities.
(3) If you and/or the project sponsor
received funding in previous years in
the program area for which you are
currently seeking funding, you and your
project sponsor’s past experience will be
evaluated in terms of the ability to attain
demonstrated measurable progress in
the implementation of your grant
awards. Measurable progress is defined
as:
(a) Meeting applicable performance
benchmarks in program development
and operation;
(b) Meeting project goals and
objectives, such as the HOPWA output
for number of homeless assisted in
comparison to the number that was
planned at the time of the application;
(c) Submitting timely performance
reports; and
(d)Expending prior funding as
outlined in the existing HOPWA grant
agreement with HUD with no
outstanding audit or monitoring issues.
Applicants must receive a minimum
of 14 points in Rating Factor 1: Capacity
of the Applicant and Project Sponsors
and Relevant Organizational Experience
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to be eligible for funding under this
Program NOFA.
Rating Factor 2: Need/Extent of the
Problem (15 Points)
Address the factor using not more
than five (5) double-spaced, typed
pages. Up to 15 points will be awarded
for this factor.
(a) AIDS Cases (5 Points). You must
define your planned service area. HUD
will obtain AIDS surveillance
information pertinent to that area from
the Director of the Centers for Disease
Control and Prevention. Up to five
points will then be awarded based on
the relative numbers of AIDS cases and
per capita AIDS incidence within your
service area, in metropolitan areas of
over 500,000 population and in areas of
a state outside of these metropolitan
areas, in the state for proposals
involving state-wide activities, and in
the nation for proposals involving
nation-wide activities.
(b) Description of Unmet Housing
Need (10 Points). Up to ten points will
be awarded based on demonstration of
need for funding eligible housing
activities in the area to be served. To
receive the maximum points,
demonstrate that substantial housing
and related service needs of eligible
persons and/or the target population, as
outlined in Section V.A., are not being
met in the project area and that reliable
statistics and data sources (i.e. Census,
health department statistics, research,
scientific studies, and Needs Analysis of
Consolidated Plan and /or Continuum of
Care documentation) show this unmet
need. To receive the maximum points,
show that your jurisdiction’s
Consolidated Plan and Analysis of
Impediments to Fair Housing Choice,
Continuum of Care Homeless Assistance
plans (if homeless persons are to be
served), and comprehensive HIV/AIDS
housing plans are applicable to your
project and identify the level of the
problem and the urgency of the need.
(1) If you apply for a SPNS
demonstration grant, you must describe
a housing need that is not currently
addressed by other projects or programs
in the area including reference to the
area’s existing HOPWA programs and
how the planned activity will
complement these in a manner that is
consistent with the community’s plan
for a comprehensive and coordinated
approach to housing needs of persons
living with HIV/AIDS which establishes
stable housing for clients and helps
foster greater self sufficiency and
independence. Also, describe any
unresolved or emerging issues and the
need to provide new or alternative
forms of assistance that, if provided,
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would enhance your area’s programs for
housing and related care for persons
living with HIV/AIDS and their families.
You must also describe how your
project will enhance the community’s
Consolidated Plan strategies for
providing affordable housing and access
to related mainstream services to
HOPWA eligible persons; or
(2) If you apply as a Long-term
project, you must describe the housing
need that is not currently addressed by
other projects or programs in the area
including any HOPWA competitive
grants and how the planned activity will
complement these in a manner that is
consistent with the community’s plan
for a comprehensive and coordinated
approach to housing needs of persons
living with HIV/AIDS. You must also
describe any unresolved or emerging
issues and/or the need to provide forms
of assistance that enhances the
community’s strategy for providing
housing and related services to eligible
persons.
HUD will evaluate your presentation
of statistics and data sources based on
soundness, reliability, and the
specificity of information to the target
population and the area to be served. If
you propose to serve a subpopulation of
eligible persons on the basis that these
persons have been traditionally and are
currently underserved (e.g., persons
with multiple disabilities including
AIDS or chronically homeless eligible
persons), your application must
demonstrate the need for this targeted
effort through statistics and data sources
that support the need of this population
in your service area. Programs may
serve a qualified subpopulation of
persons with AIDS based on the
presence of another disability or group
of disabilities, only if doing so is
necessary to provide this subpopulation
with as effective housing, benefits, aid,
or services as that provided to others.
See 24 CFR 8.4(b)(1)(iv).
Rating Factor 3: Soundness of
Approach: Responsiveness,
Coordination and Public Policy
Priorities, and Model and
Demonstration Qualities (45 Points)
Address this factor on not more than
twenty (20) double-spaced, typed pages.
Include the HOPWA Budget Forms
found in Appendix A. This factor
addresses the method by which your
plan meets your identified needs. HUD
will award up to 45 points (15 for
responsiveness, 5 for coordination, 5 for
public policy priorities, and 20 for
model qualities) based on the extent to
which your plan evidences a sound
approach for conducting the HOPWA
activities in a manner that is responsive
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to the needs of eligible persons and that
your plan for project coordination will
offer model qualities in providing
supportive housing opportunities for
eligible persons with access to
mainstream health and human welfare
services, when compared to other
applications and projects funded under
previous HOPWA competitions.
a. Responsiveness, Coordination, and
Public Policy Priorities (25 Points). HUD
will award up to 25 points
(Responsiveness—15 Points and
Coordination—5 Points and Public
Policy Priorities—5 Points) based on
how well your project plans respond to
the unmet needs in housing and related
supportive services for the eligible
population, including target populations
outlined under Section V.A. You should
demonstrate the extent to which you
have coordinated your activities and the
activities of your project sponsors with
other organizations that are not directly
participating in your proposed work
activities. This involves organizations
with which you share common goals
and objectives in assisting eligible
persons. In order to ensure that
resources are used to their maximum
effect within the community, it is
important that you demonstrate
collaboration and leveraging of other
resources from state, local, and private
funding resources.
(1) Responsiveness (15 Points). To
receive the highest rating in this
element your application must address:
• 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
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addressed through one or more of the
HOPWA eligible activities and through
any other resources and how such
activities are coordinated with other
available housing assistance. Your plan
for housing assistance must include:
(i) Access to permanent supportive
housing for Long-term applicants. If you
propose a new Long-term Project for
Permanent Supportive Housing, you
must describe how eligible persons will
access permanent housing options
through your project and through any
specific commitments with other
community housing providers, even if
your project involves some initial
emergency or transitional assistance for
clients, to achieve housing stability
goals for clients.
(ii) Access to supportive housing for
new or continuing SPNS Demonstration
Grant applicants. If you propose a new
or continuing SPNS demonstration
project, you must describe how eligible
persons will access emergency, shortterm and transitional housing support
options through your project and
through any specific commitments with
other community housing providers.
Consistent with the definition of a SPNS
Demonstration Grant or Project, this
description must include specific plans
to provide HOPWA clients with
permanent housing assistance by the
end of the operating period under this
award, including plans to facilitate the
movement of eligible persons receiving
transitional housing support to
independent living arrangements within
24 months.
(iii) Description of Housing Site. You
must describe any appropriate site
features including use of universal
design, accessibility, visitability, and
access to other community amenities
associated with your project.
(iv) Development and Operations
Plan. You must describe a development
and/or operations plan for the
emergency, transitional, or permanent
housing assistance you are proposing to
provide. For rental assistance programs,
this will include your plan for providing
rental assistance, proposed housing sites
if project-based, and length of stay if
less than ongoing permanent supportive
housing. If you are proposing to use
HOPWA funds for the acquisition,
rehabilitation, or new construction of a
housing facility, your plan must also
document that you have secured other
funding sources, including plans for
coordinating the use of other resources
that are committed to meeting
leveraging, have identified and secured
a site(s), and must provide
rehabilitation/construction timelines
consistent with the three year use of
grant funds. HOPWA funds are not
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intended for use as the initial or sole
funding source for capital development
housing projects.
(v) Operational Procedures. Describe
your outreach, intake, and assessment
procedures, as well as how eligible
persons will receive housing support
with access to medical care and other
supportive services provided by other
organizations. Describe the use of
housing being funded from other
sources, and how your project provides
for ongoing assessments of the housing
service benefits received by eligible
persons. Include a description of how a
client moves through the housing
program from outreach, intake, client
assessment, the delivery of housing
services, the use of emergency,
transitional, or permanent housing, and
when appropriate, the outplacement to
more self-sufficient independent
housing.
(b) Supportive Service Activities. You
must describe how the supportive
service needs of eligible persons will be
addressed with HOPWA assistance
(subject to applicable limitations) and
the use of any additional leveraged
resources by describing the type of
supportive services that will be offered
directly by the program and/or how
agreements and project plans will assure
that services will be accessed and
coordinated from other mainstream
health and human welfare sources.
Explain the connection of these services
in helping eligible persons obtain and/
or maintain stable housing. Supportive
service costs may represent no more
than 35 percent of your proposed budget
for program activities. In describing
your supportive services delivery plan
explain:
(i) How agreements provide that
eligible persons will have access to
mainstream programs that offer
healthcare and other supportive
services, as discussed in Section III.C.4;
(ii) How project plans ensure that
eligible persons will participate in
decision making in the project
operations and management; and
(iii) Your plan for delivering
supportive services through a
comprehensive plan that shows how
agreements provide that eligible persons
access medical care and other
mainstream supportive services to
address their needs.
(c) Additional Activities. You must
describe your plan for utilizing other
requested HOPWA funds (described at
24 CFR 574.300(b)). Explain how these
activities will be integrated into your
overall plan in the provision of housing
and related supportive services to
eligible persons.
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(d) Other Activities. As authorized by
statute and in addition to the activities
at 24 CFR 574.300(b), you may propose
other activities in your application,
which can be undertaken only if
approved by HUD due to their relevance
in addressing the housing needs of
eligible persons. You must describe the
reason for the need to request
authorization for ‘‘other activities’’ and
the benefits likely to occur, if the
activities are authorized. Also address
how the project would operate, or not,
if such request were not approved.
(2) Coordination (5 Points). You
should demonstrate the extent to which
you have coordinated your activities
and the activities of your project
sponsors with other organizations that
are not directly participating in your
proposed work activities. This involves
organizations for which you share
common goals and objectives. You will
be rated on the extent to which you
demonstrate you have:
(a) Coordinated your proposed
activities with those of other groups or
organizations within the community or
region prior to submission, to best
complement, support, and coordinate
all housing and supportive service
activities including specific reference to
how the proposal is coordinated with
existing HOPWA programs in that area
(formula and competitive) and how the
planned efforts complement the existing
programs;
(b) Developed your project through
consultation with other organizations,
groups, or consumers involved with
area HIV/AIDS housing and service
planning, including planning under the
Ryan White CARE Act and other federal
planning. The highest rated applicant
will demonstrate that the project is
closely and fully integrated with HUD’s
planning processes, such as the
jurisdiction’s Consolidated Planning
process or the community’s Continuum
of Care Homeless Assistance planning
process (if homeless persons are to be
served by proposed activities and
related use of Homeless Management
Information Systems (HMIS) to
coordinate benefits for clients);
(c) Coordinated with other HUDfunded 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
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employment programs for which
eligible persons may benefit.
(3) Public Policy Priorities (5 points).
Applications for HOPWA funding will
receive rating point(s) for each
applicable Department policy priority
initiative addressed through the
proposed program activities and
performance goals and objectives.
Applicants must demonstrate how these
priorities will be addressed:
(a) In accordance with Section V of
the General Section, for applicants
seeking HOPWA funds for capital
development activities, including
rehabilitation or new construction, for
one rating point under project
soundness of approach, your
application describes the use of
universal design and visitability
standards in these development
activities undertaken with HOPWA
funds and incorporate universal design
in the construction or rehabilitation of
housing undertaken with HOPWA
funds. Visitability standards allow a
person with mobility impairments
access into the home, but do not require
that all features be made accessible.
Universal design provides housing that
is usable by all without the need for
adaptation or specialized design.
(b) For one rating point under project
soundness of approach, your
application involves participation as the
grantee, or as a project sponsor(s), by a
non-profit grassroots community-based
organization, including faith-based
organizations, as defined in Section V of
the General Section.
(c) For one rating point under project
soundness of approach, your
application involves a housing
development activity and the grantee, or
project sponsor(s), commits to promote
energy efficiency by adopting the
Energy Star standard in any new
construction or rehabilitation activity to
be undertaken in the proposed project
with HOPWA or other funds. The
Energy Star standard is as defined in
Section V of the General Section.
(d) For two rating points under project
soundness of approach, your
application involves an state or local
government agency as the grantee, or as
a project sponsor(s), and that agency
completes the regulatory barriers policy
questionnaire, including providing the
required documentation, as defined in
Section V of the General Section.
b. Model and Demonstration Qualities
(20 Points). HUD will award up to 20
points based on your service delivery
plan and how well it will serve as a
model for a New and Continuing project
by the end of the operating period. HUD
expects the proposed project to show
exemplary and/or innovative qualities
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that address the ongoing permanent
housing needs (with access to
supportive services) of eligible persons
within a replicable operational
framework. To receive the maximum
points, you must offer a housing plan
that describes the following:
(1) Policy Priorities. If applicable to
your application, describe how you will
meet the Departmental policy priorities
for assisting the special population of
HOPWA eligible persons who are
chronically homeless persons with HIV/
AIDS. HUD is encouraging applications
that strive to create additional models
for permanent housing for persons
living with HIV/AIDS that are
experiencing chronic homelessness.
Applicants addressing this population
must work collaboratively with the local
Continuum of Care Plans to create this
permanent housing for persons living
with HIV/AIDS and their families.
(2) Project Management and
Oversight. Describe your method for
managing and overseeing activities,
including those of your organization,
your project sponsor, and any other
organization. Identify staff members
who are responsible for management
and oversight of the project and activity
implementation and sustainability
plans.
(3) Evaluation Plan. In addition to
required HOPWA outputs and outcomes
your evaluation plan should identify
what you are going to measure, how you
are going to measure it, the steps you
have in place to make adjustments to
your work plan if performance targets
are not met within established
timeframes, and how you plan to share
successes and lessons learned in
undertaking your activities with other
communities.
(4) Model and Demonstration
Features. Describe how the planned
efforts for the type of proposed project,
Long-term or SPNS demonstration, will
represent model or exemplary qualities
in service delivery, management, or
other features in connection with other
HOPWA funded projects in your
community including any local
assessment of these features. For a Longterm project, the features must involve
permanent supportive housing activities
to be undertaken in a non-formula area.
A SPNS demonstration project must
involve a plan and commitments to
place residents in permanent housing by
the end of the operating period by
showing exemplary and/or innovative
qualities. If you propose a new program,
or an alternative method of meeting the
needs of your eligible population,
describe how the innovative qualities of
your activities will result in knowledge
gained or lessons learned for achieving
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greater housing opportunities and
supportive services for persons living
with HIV/AIDS. HUD will rate your
application higher if you provide strong
evidence that your methods will yield
qualities that will benefit or expand
knowledge in serving eligible persons,
when compared to other applications
and HOPWA projects. In order to learn
about qualities of previously funded and
ongoing HOPWA projects, you may
review the HOPWA Executive
Summaries for HOPWA grantees at
https://www.hud.gov/offices/cpd/
aidshousing.
(5) Descriptive Budget. HUD will
review your budget in describing:
(a) How each amount of requested
funding for you and your project
sponsors will be used and the related
use of leveraged resources;
(b) How each line item will relate to
your description of planned eligible
HOPWA activities, as defined in Section
III.A of this Program NOFA; and
(c) The clarity and completeness of
your summary statement of the planned
activities for your project by budget line
item and the use of any leveraged funds
or other resources by the grantee and
sponsor(s).
You must complete the HOPWA
Project Budget Form as described above.
Please note that only the forms are
required in connection with your
narrative under this Model Qualities
section.
Rating Factor 4: Leverage and
Sustainability (10 Points)
This factor addresses your ability to
secure community resources that can be
combined with HUD’s funds to achieve
program purposes and to ensure
sustainability of the housing efforts once
HOPWA funds are expended. HUD will
award up to 5 points based on the extent
to which resources from other public or
private sources have been committed at
the time of application to support your
project, including the use of leveraged
resources to provide additional
supportive service activities and other
housing and program support for
eligible persons if documentation is
provided that is consistent with the
standards described in Section IV.B.5,
on Leveraging. Also up to 5 points will
be awarded based on your demonstrated
sustainability, which addresses the
extent to which your program exhibits
a plan with identified resources to be
financially self-sustaining by decreasing
dependence on Federal funding and
relying more on state, local and private
funding so your activities can be
continued after your Federal grant
award period is complete. The efforts to
sustain programs may also involve other
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management changes, such as
consolidation or merger of
administrative functions to improve
efficiencies and reduce overhead or
program costs, in order to better
maintain the housing efforts.
a. In establishing leveraging, HUD
will not consider other HOPWA-funded
activities, entitlement benefits inuring
to eligible persons, or conditional
commitments that depend on future
fund-raising or actions. In assessing the
use of acceptable leveraged resources,
HUD will consider the likelihood that
State and local resources will be
available and continue during the
operating period of your grant and
sustain activities beyond that period of
Federal support. In evaluating this
factor, HUD will also consider:
(1) The extent to which you document
leveraged resources, such as funding
and/or in-kind services from
governmental entities, private
organizations, resident management
organizations, educational institutions,
or other entities to achieve the ongoing
purposes of the project for which you
are requesting HOPWA funds;
(2) The extent to which the
agreements for documented resources
evidence that you have partnered with
other entities to make more effective use
of available public or private resources.
Partnership arrangements may include
funding or in-kind services from local
governments or government agencies,
nonprofit or for-profit entities, private
organizations, educational institutions,
or other entities that are willing to
partner with you on proposed activities,
or partnering with other program
funding recipients to make more
effective use of resources within the
geographic area covered by your award.
b. To receive any points under this
criterion, you must document in your
application the commitment of
resources that will be used in the project
during its operation and the efforts to
sustain activities beyond the period of
HOPWA support. If you request funding
for supportive services, you must
document (1) the commitment of other
leveraged resources that at least equal
the amount of the HOPWA request for
program activities (not including
administrative costs); and (2) leveraging
for additional supportive services that at
least equals the amount requested for
supportive services activities in order to
receive the highest leveraging points. If
you do not request supportive services,
to receive the highest leveraging points,
you must document the commitment of
other leveraged resources that at least
equal the amount of the HOPWA
request for program activities (not
including administrative costs).
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Factor 5: Achieving Results and
Program Evaluation (Maximum 10
Points)
Address this factor on not more than
five (5) double-spaced, typed pages.
Under this factor, HUD will award 10
points based on how well your
application demonstrates a commitment
to ensuring that the goals that you set
forth and your performance will be
assessed in a clear and effective manner.
HUD will analyze how well you have
clearly implemented the required
HOPWA program output and outcome
goals and identified other stated benefits
or outcomes of your program including
your activities, benchmarks, and interim
activities or performance indicators
with timelines. HUD will award the
highest points to applications that
demonstrate an evaluation plan that will
objectively measure actual
achievements against anticipated
achievements.
Benchmarks or outputs that are
identified in your application should be
measurable indicators of actual
achievements that help achieve the
program outcome goals for the HOPWA
Program. These outcome goals must
include ‘‘a’’ that is listed below and may
include but not be limited to:
a. Under the standard required
HOPWA outcome measure, increase the
amount of housing assistance provided
to eligible persons, to establish or
maintain housing stability, reduce the
risks of homelessness for eligible
persons, and improve access to
healthcare and other support;
b. Increase the access to permanent
housing for low-income eligible
persons, to enable these households to
become more self-sufficient (optional);
c. Improve the housing conditions in
which low-income and homeless
eligible persons and their families live,
to increase the number of persons living
in housing that is safe, decent, and
sanitary (optional); and
d. Address the challenge of
homelessness for persons living with
HIV/AIDS and their families, including
persons who are chronically homeless,
by helping them more to permanent
housing with appropriate support, with
coordinated homeless assistance effort
(optional).
Program output measures for your
application for the HOPWA Program
must include ‘‘a’’ which is listed below
and may include but not limited to:
a. Under the standard required
HOPWA output measure, the projected
number of households to be assisted in
HOPWA supported housing units by
type (tenant-based rental assistance,
STRMU payments and assistance in
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housing facilities) to be provided to
eligible households through your project
during each project-operating year; and
b. The projected number of
households including single persons to
be served through each activity during
each project-operating year (optional).
Your application should also address
your evaluation plan for the New and
Continuing project. Evaluation is
defined as your method for collecting
data on HUD program measures to
evidence achievement of your project’s
goals and objectives. HUD will assess
your method for reviewing this data and
your basis for making relative
adjustments in project implementation
based on outcomes and lessons learned.
Your evaluation plan must include how
you propose to utilize administrative
costs or other leveraged support to
conduct this activity. HUD will award a
greater number of points for projects
that also provide for a plan for the
dissemination of information from the
lessons learned from your proposed
activities. Your application must
include the Logic Model Form (HUD–
96010). In addition to using the required
HOPWA output measures, applicants
may create their own set of activities,
other outputs, and project outcomes.
B. Reviews and Selection Process
1. Renewal of Permanent Supportive
Housing Project Applications
a. Selection of Renewal Applications.
To the degree that funds are available
up to the amount made available under
the Department’s FY2005 appropriation
for this competition, the Department
will select for funding all Renewal
requests from applicants that meet
program requirements (including
passing a threshold review for a need for
Renewal). HUD will also review
requests and adjust funding consistent
with funding restrictions found in
Section IV. If the amount of the
approvable request for Renewal
activities for all eligible applicants is
greater than the amount made available
by this notice up to the amount of Fiscal
Year 2005 funds, HUD will select all of
the approvable Renewal applications
and allocate awards to each based on a
pro rata reduction to the amount
available under this notice. This action
will help to ensure that all eligible and
performing Renewal grants receive
funding that allows their continued
operation.
b. HUD Reviews. HUD staff will
conduct this review, including staff
from Community Planning and
Development at Headquarters and
HUD’s State and area field offices.
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c. Policy Priorities. Applicants seeking
Renewal funding under this Program
NOFA are not required to address
HUD’s policy priorities. Applicants are
also encouraged to review and
voluntarily address relevant HUD’s
policy priorities as outlined in the
General Section. Please note in your
application if you undertake any of
these optional program efforts.
2. HOPWA New and Continuing Project
Applications
a. Threshold Reviews. HUD will
review your HOPWA application to
ensure that it meets the threshold
requirements found in Section III.C.2 of
the General Section and Section III.C of
this Program NOFA pertaining to a
request for a new Long-term project or
a SPNS demonstration project.
b. HUD Reviews. HUD staff will
conduct this review, including staff
from Community Planning and
Development at Headquarters and
HUD’s State and area field offices.
c. Procedures for the Rating and
Selection of Applications. HUD will rate
all HOPWA applications based on the
factors listed above. The points awarded
for the factors total 100. In addition, up
to 2 bonus points for projects in RC/EZ/
EC–II areas may be available under
Section V.A of the General Section.
Whether your HOPWA application is
conditionally selected will depend on
your overall ranking compared to other
applications within each of the two
categories of assistance, Long-term
projects, or SPNS demonstration
projects. Funds made available from
federal fiscal year 2004 will be used to
fund the highest rated applications in
the order of their ranking that propose
new Long-term projects, and if any such
funds remain after these selections, for
new or continuing SPNS demonstration
projects. Funds made available from
Federal fiscal year 2005 will be used to
fund the priority selection of expiring
Renewal projects that undertake
permanent supportive housing
activities. If any such 2005 funds remain
after these selections, then the funds
will be used to fund additional New and
Continuing projects that are the next
highest rated applications in the order
of their ranking that propose: (a)
Additional new Long-term projects, if
applicable after the selections made
above with 2004 funds, and then (b)
additional new or continuing SPNS
demonstration projects. HUD will select
applications in rank order in each
category of assistance to the extent that
funds are available, except as outlined
in this Program NOFA, where HUD
reserves the right to select applications
that target the priority eligible
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populations to ensure selection of two
projects addressing the housing needs of
persons who are chronically homeless.
In allocating amounts to the categories
of assistance, HUD reserves the right to
ensure that sufficient funds are available
for the selection of at least one
application with the highest ranking
under each category of assistance. HUD
will not select an application that is
rated below 75 points, nor will an
application be funded if it receives a
Rating Factor 1—Capacity score lower
than 14 points.
In the event of a tie between
applications in a category of assistance,
HUD reserves the right to break the tie
by selecting the proposal that was
scored higher on a rating criterion in the
following order: Soundness of
Approach; Responsiveness and Model
Qualities (Rating Factor 3); Achieving
Results and Program Evaluation (Rating
Factor 5); Capacity of the Applicant and
Relevant Organizational Experience
(Rating Factor 1); Need/Extent of the
Problem (Rating Factor 2); and
Leveraging Resources (Rating Factor 4).
C. Anticipated Announcement and
Award Dates
The anticipated announcement of the
projects selected under this notice is no
later than August 30, 2005.
VI. Award Administration Information
A. Award Notices
1. Applicant Notification. HUD will
notify the eligible applicants of their
conditional selection or rejection for
awards by email or by a letter to be
mailed to the applicant’s authorized
official at the address or e-mail address
provided in your application. For
conditionally selected applicants, the
CPD Division of HUD’s State or area
office will provide a second letter with
a copy of a proposed grant agreement
along with instructions on any
adjustments to the grant amount
requested and other conditions
identified during the review for
conducting planned activities and on
the close out of the current grant.
2. Award Modifications. After
reviewing each application, HUD
reserves the right to take each of the
following actions:
a. HUD reserves the right to make
award adjustments as outlined in
Section IV.A.2, Adjustments to Funding,
of the General Section of the
SuperNOFA.
b. In the event that a conditionallyselected applicant is unable to meet any
conditions for funding within the
specified time, HUD reserves the right to
not make an award to that applicant. In
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the event that a conditionally-selected
applicant is continuing to operate under
the prior grant, and has sufficient funds
to continue current operations for at
least six months following the date of
notification of selection, HUD may take
any of the following actions: (i) Follow
procedures to terminate the prior grant
and recapture remaining funds after this
date, consistent with the terms of the
applicable grant agreement and 24 CFR
574.500(c); or (ii) adjust the amount of
the new award by the amount of funds
remaining after this date in the prior
grant.
c. In making awards to New and
Continuing projects, HUD may offer less
then the full amount requested to
applicants that have received sufficient
points to be selected, but for which
there are insufficient funds remaining to
provide the full funding request. HUD
may also use funds from an award
reduced under item b, above, to restore
amounts to a funding request that had
been reduced in this competition due to
the application’s lower rating status;
d. If an applicant turns down an
award, an award is not made, or if there
are sufficient award adjustments to
make additional awards feasible, HUD
reserves the right to: (a) Offer an award
to the next highest rated application(s)
in this competition in their rank order;
(b) add remaining or recaptured
amounts to the funds that become
available for a future competition; or (c)
restore amounts to a funding request
that had been reduced in this
competition.
3. Applicant Debriefing. Applicants
requesting to be debriefed must send a
written request to: Department of
Housing and Urban Development;
Attention: Office of HIV/AIDS Housing;
451 Seventh Street, SW., Room 7212;
Washington, DC 20401–7000.
Telephone number is (202) 708–1934.
Persons with hearing or speech
challenges may access the above
number via TTY (text telephone) by
calling the Federal Information Relay
Service at 800–877–8339 (this is a tollfree number). Additional information
regarding debriefing can be found in the
General Section.
B. Administrative and National Policy
Requirements
1. Executive Order 13202,
Preservation of Open Competition and
Government Neutrality Toward
Government Contractors’ Labor
Relations on Federal and Federally
Funded Contract Projects. See Section
III.C. of the General Section for the
information on how to meet this
requirement.
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2. Procurement of Recovered
Materials. See Section III.C. of the
General Section for the information on
how to meet this requirement.
C. Reporting
1. Six-Month Report. For any new
project, you must provide an initial
report to the Field Office and HUD
Headquarters on the startup of the
planned activities within six months of
your selection. Your report must outline
your accomplishments and identify any
barriers or issues for which the
Department may provide assistance on
the start-up on your new award.
Renewal and continuing projects are not
required to file this report.
2. Measuring Performance. You must
report after each year of operation on
the annual accomplishments of your
projects under the HOPWA Annual
Progress Report (form HUD–40110–B),
including the required performance
measures described in Section III.C.2.c.
of this Program NOFA on Required
HOPWA Performance Goals including
reporting on annual housing outputs
and client outcomes in achieving
housing stability, reduced risks of
homelessness, and improved access to
healthcare and other needed support.
For each reporting period, you must
provide a completed Logic Model
showing progress to date against
projected outputs and outcomes
contained in your approved grant
agreement. HUD will use these reports
and information obtained from HUD
financial systems, along with any
remote or on-site monitoring, to
measure your progress and
achievements in evaluating your
performance on your HOPWA grant.
3. Beneficiary Information. HUD
requires that funded recipients collect
racial and ethnic beneficiary data. It has
adopted the Office of Management and
Budget’s Standards for the collection of
Racial and Ethnic Data. In view of these
requirements, you should use one of the
following:
• HUD–27061, Racial and Ethnic Data
Reporting Form (instructions for its use)
found on www.HUDclips.org;
• A comparable program form
(HOPWA—Annual Performance Report
(APR) form HUD–40110–C); or
• A comparable electronic data
system for this purpose.
VII. Agency Contacts
A. For Further Information and
Technical Assistance (TA). For
technical assistance in downloading an
application package from Grants.gov/
Apply, contact the Grant.gov help desk
at 800–518–Grants or by sending an email to support@grants.gov. For
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programmatic information, you may
contact the HUD field office serving
your area. You can find the telephone
number for the State or Area Office of
Community Planning and Development
on HUD’s Web site: www.hud.gov/
offices/adm/grants/fundsavail.cfm.
HUD staff may assist with program
questions, but may not assist in
preparing your application. Persons
with hearing or speech challenges may
access the above number via TTY (text
telephone) by calling the toll-free
Federal Information Relay Service at
800–877–8339.
B. Seeking Technical Assistance (TA)
in Developing a HOPWA Application.
HOPWA TA providers may not provide
technical assistance in the drafting of
responses to HUD’s NOFA due to the
unfair advantage such assistance gives
to one organization over another. If HUD
determines that HOPWA technical
assistance has been used to draft a
HOPWA application, HUD reserves that
right to reject the application for
funding. If, after your application has
been selected for an award, HUD
determines that HOPWA technical
assistance was used to draft your
application, the award will be
withdrawn and you may be liable to
return to HUD any funds already spent.
C. Satellite Broadcast. HUD will hold
information broadcasts via satellite for
potential applicants to learn more about
the program and preparation of the
application. For more information about
the date and time of the broadcast, you
should consult the HUD Web site at
www.hud.gov/grants.
VIII. Other Information
A. Paperwork Reduction Act. The
information collection requirements
contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
number 2506–0133. In accordance with
the Paperwork Reduction Act, HUD may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless the collection
displays a currently valid OMB control
number. Public reporting burden for the
collection of information is estimated to
average 413 hours per annum per
respondent for the application and grant
administration. This includes the time
collecting, reviewing, and reporting the
data for the application, semi-annual
reports and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
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in order to receive the benefits to be
derived.
B. Instructions on Filling Out
Required HOPWA Application Budget
Form (HUD–40110–B).
Complete a separate ‘‘Detailed Project
Budget and Housing Outputs’’ page
(Section B) for the Grantee and for each
Project Sponsor receiving HOPWA
funds under this application. Specific
instructions:
1. Name of Organization: Enter the
complete legal name of the organization
(grantee or project sponsor). (If you are
completing an electronic application,
this data element is pre-populated after
you have completed the SF 424
information.)
2. Zip Code: Enter the zip code of the
local headquarters of the grantee or
sponsor. (For electronic applications,
this information is pre-populated once
you enter the information on the SF 424.
3. Type: Mark if you are completing
this form for the grantee or project
sponsor, as applicable.
4. Grassroots: Indicate if the grantee
or sponsor is a grassroots faith-based or
other community-based grassroots
organization (see General Section for
definitions).
5. Eligible Activity Description:
Provide a brief description in each of
the appropriate ‘‘Eligible Activity’’
categories for each activity for which
you are seeking funding. This
description should be a 1–2 line
summary of the activity.
Example 1: Tenant-Based Rental
Assistance Description: ‘‘Provide Long-term,
tenant-based rental assistance through the
‘‘Rent Project’’ to 25 individuals and 10
families per year over a three-year grant
period (average $5,000 per household per
year).’’
Example 2: Supportive Services
Description: ‘‘One employee (0.5FTE) will
provide case management, nutritional
services, and mental health counseling to 45
individuals in the AIDS Housing facility each
year for the three years of the grant term.’’
Example 3: Permanent Housing Placement
Description: ‘‘Funds for first months rent and
security deposits and help in completing
housing forms for 25 households per year to
move them to permanent rental housing at
$60,000 for the three years of the grant term.’’
6. Budget: For each HOPWA Eligible
Activity (lines 1–15), enter the amount
of requested HOPWA funds in the
‘‘Totals’’ column. In the columns
labeled ‘‘Yr. 1’’, ‘‘Yr. 2’’ and ‘‘Yr. 3’’,
indicate in whole dollars how you plan
to spend the total funds over each of the
project years. If you are a submitting a
new application and requesting funds
for Facility Development (lines 1–3), do
not allocate Facility Operations funds
(lines 4–6) until the facility is developed
and operational.
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7. # of Housing Units / # of
Households: Indicate the number of
housing units or households, as
applicable, that will be assisted during
each program year for which you are
seeking funds.
8. Total HOPWA Request: Total the
‘‘Budget’’ amounts at the bottom of the
page.
C. Instructions on Completing HUD’s
Logic Model (Form HUD–96010). (Note:
Below are specific instructions for
completing HUD’s Logic Model for the
HOPWA program. Refer to the General
Instructions for further guidance on
completing the Logic Model.)
The HOPWA program is intended to
achieve the overall outcome that
persons assisted have been enabled to
establish and/or better maintain a stable
living environment in housing that is
safe, decent and sanitary and to reduce
the risks of homelessness and improve
access to healthcare and other
supportive services. In addition, output
is measured each year on the number of
units of housing/households supported
with HOPWA funds. Projects may also
show how efforts foster greater selfsufficiency and independence for
clients from public support. The
outcomes and outputs on the Logic
Model will be used as a guide to assist
HUD and grant recipients to measure
the impact of the HOPWA program in
achieving HUD’s objectives. At the end
of each year of assistance, HOPWA
recipients should consider the effects of
their efforts and compare results to the
planned outputs and the prior year’s
outcome baseline on stable housing as
part of an assessment of program
success. These assessments will help
inform the community as well as HUD
in assessing past performance and
helping to direct future efforts. For
example, if an assessment shows that
some activities are not helping
beneficiaries achieve the desired
outcome, recipients should consider
what alternatives or enhancements to
program efforts might better meet this
goal. By its nature, short-term housing
support is expected to provide a
temporary and unstable housing
outcome if persons remain dependent
on this type of assistance.
Specific Instructions:
Program Name: Enter ‘‘HOPWA’’(For
electronic application filers this
information is pre-populated once you
have completed the SF 424
information).
Component Name: ‘‘New’’ or
‘‘Continuing’’ or ‘‘Renewal’’, as
applicable.
Strategic Goals: Enter ‘‘2,4’’ which
conform to HUD’s strategic goals to
‘‘Promote decent affordable housing’’
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and ‘‘Ensure equal opportunity in
housing’’
Policy Priorities: Below are HUD’s
policy priorities. HOPWA efforts are
established under item 1 in providing
housing support and item 6 in helping
to end chronic homelessness. In
addition to those items (whichever is
appropriate), applicants could add to
attainment of the other items. In the
Policy Priorities column, enter the
numbers which best identify the
priorities that apply to your application,
including 1 and/or 6 along with any
optional addition priority.
1. Provide increased homeownership
and rental opportunities for low and
moderate-income persons, persons with
disabilities, the elderly, minorities and
families with limited English
proficiency. (HOPWA included)
2. Improving our nation’s
communities
3. Encourage accessible design
features
4. Provide full and equal access to
grassroots faith-based and other
community-based organizations in HUD
program implementation
5. Participation of minority-serving
institutions in HUD programs
Ending chronic homelessness
(HOPWA funded homeless projects
included).
6. Removal of regulatory barriers to
affordable housing.
7. Participation in Energy Star.
Problem, Need or Situation: Provide a
general statement of need that provides
the rationale for the proposed service or
activity (i.e., describe the problem that
you are addressing with your HOPWA
application program).
Service or Activity: Identify the
services that you are providing to
address the Problem, Need or Situation
identified above.
Output Goal: Using the figures from
the ‘‘# of Units’’ and ‘‘# of Households’’
section of the ‘‘Detailed Project Budget
and Housing Outputs’’ section of form
40110–B, identify the Short-Term,
Intermediate and Long-term output
goals of your project.
For example: a short-term output goal
might be ‘‘to provide 14 units of housing
for persons with HIV/AIDS and their
families,’’ an intermediate output goal
might be ‘‘to assist 20 family members
to find jobs,’’ and a Long-term output
goal might be ‘‘to assist 4 households to
purchase a home.’’
Output Result:1 Do not complete this
column in the application—this will be
used in annual progress reporting.
Achievement Outcome Goals: Identify
the number of households who will be
able to:
(a) Establish and/or better maintain
stable housing,
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(b) Reduce their risks of homelessness
or
(c) Improve their access to healthcare
and other needed support.
The achievement of stable housing for
HOPWA beneficiaries is defined as the
number of clients who will remain in
residence in the housing program or
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who leave the program through
outplacement to other permanent
housing options, including private
resources, and those with a reasonable
expectation of self sufficiency and
independence after their HOPWA
assistance.
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End Results: Do not complete this
section.
Measurement Reporting Tools: Refer
to general instructions on the Logic
Model.
Evaluation Process: Refer to general
instructions on the Logic Model.
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Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 / Notices
14136
Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 / Notices
Housing for People who are Homeless
and Addicted to Alcohol
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Community Planning and
Development
B. Title: Housing for People Who Are
Homeless and Addicted to Alcohol
C. Announcement Type: Initial
announcement
D. Funding Opportunity Number: The
Federal Register number is FR–4950–
N–33; the OMB approval number is
pending.
E. Catalog of Federal Domestic
Assistance Number: 14.235
F. Dates: The application submission
date is May 19, 2005.
G. Additional Overview Content
Information:
1. Applicants for funding should
carefully review the requirements
identified in this Program NOFA and
the General Section. Unless otherwise
stated in this Program NOFA, the
requirements of the General Section
apply.
2. This NOFA announces the
availability of approximately $10
million to award approximately ten twoyear grants ranging up to approximately
$1 million per award. This two-year,
competitive demonstration program,
developed in consultation with the
Interagency Council on Homelessness as
required in Public Law 108–7, is
designed to provide supportive housing
assistance to chronically homeless
persons who have been living on the
streets for at least three hundred sixtyfive (365) days over the last five (5)
years and have a long term addiction to
alcohol, otherwise known as serial
inebriates. Clients served by these funds
will have been living on the streets at
the time of initial contact and will have
no history of living in transitional or
permanent housing over the last five
years. Grantees will partner with local
law enforcement and court systems and
other relevant institutions to identify
eligible clients for this program.
Grantees will demonstrate existing
relationships with service providers,
including grassroots community-based
organizations including faith-based
organizations, to ensure the
comprehensive supportive services
needs of the clients are addressed
(through other funds). The project must
be located within a Continuum of Care
that has at least 100 people who are
chronically homeless and unsheltered,
according to the Continuum of Care or
a recent official count.
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Full Text of Announcement
I. Funding Opportunity Description
A. Background. Research suggests that
as many as 150,000 people experience
chronic homelessness in this country.
People experiencing chronic
homelessness frequently suffer from
addiction to alcohol or other disabling
conditions, and they are homeless for
extended periods of time or experience
multiple episodes of homelessness. For
the most part, persons who are
chronically homeless get help for a short
time but soon fall back to the streets and
shelters. Because the long-term needs of
these persons are not comprehensively
addressed, they cycle through the
homeless system and consume a
significant portion of available
emergency resources. When persons
who are chronically homeless have
access to basic assistance, like housing
and treatment, research suggests a
reduction in the costs of expensive
emergency interventions.
People who have been living on the
streets for a very long time with a
primary diagnosis of alcoholism are a
particularly difficult to serve homeless
sub-population. Research indicates that
38 percent of the overall homeless
population experiences problems with
alcohol. Since evidence has shown that
in certain communities alcoholism
among the homeless population is a
major problem, including high
utilization of public resources,
emergency medical services and the
court system, this demonstration targets
this very difficult to serve population.
B. Program Description. This
demonstration targets chronically
homeless persons who have been living
on the streets for at least three hundred
and sixty-five (365) days over the last
five (5) years and have a long-term
addiction to alcohol, otherwise
described as serial inebriates. Clients
served by these funds will have been
living on the streets at the time of initial
contact and will have no history of
living in transitional or permanent
housing over the last five years. It is the
intent of Congress that funds awarded
under this NOFA support innovative
solutions, which frequently result when
local community organizations work
together. Building upon existing
collaborations, grantees are expected to
work in conjunction with local law
enforcement agencies and courts,
including the police department,
sheriffs department, superior court, city
attorney, and/or city council, to identify
and refer eligible clients to projects
funded by this program. After clients are
identified as having a long-term
addiction to alcohol and having lived on
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the streets for at least 365 days over the
last five years, the provider will
determine, on a case-by-case basis, if
they need to be stabilized in programs
(not funded through this initiative),
such as a residential treatment center,
detoxification center or other jail
diversion program, for up to six months
prior to being placed into permanent
supportive housing (funded through this
initiative).
Once the grantee, working in
conjunction with the relevant
supportive service providers and the
homeless client, determines that the
client is ready, grant funds for this
initiative may be used to provide
permanent supportive housing for the
client. Up to five percent of the funds
are available for providers to help
clients identify and obtain permanent
supportive housing. HUD expects that
approximately half of the projects
awarded will provide grants for leasing
that are project-based projects, and the
other half will provide grants that are
tenant-based projects. Comprehensive
alcoholism treatment services, along
with other relevant services, must be
provided in a manner deemed
appropriate by the grantee and are
subject to requirements of the
Supportive Housing Program
regulations and other applicable laws
and regulations. Clients must be assisted
in accessing relevant mainstream
service delivery systems, Food Stamps,
Supplemental Security Income (SSI),
and Medicaid, for example.
Following this demonstration period,
funded projects may be eligible to
apply, on a competitive basis, as a
renewal project through the Continuum
of Care for Supportive Housing
Program—Permanent Housing (SHP–
PH).
C. Authority. Public Law 108–7,
approved February 20, 2003 (111 Stat.
494) authorizes this two-year
demonstration program. The Supportive
Housing Program is authorized by Title
IV, Subtitle C, of the Stewart B.
McKinney-Vento Homeless Assistance
Act (McKinney-Vento Act), 42 U.S.C.
11381.
D. Definitions. 1. Chronic
homelessness refers to an
unaccompanied homeless individual
with a disabling condition who has
either been continuously homeless for a
year or more OR has had at least four
(4) episodes of homelessness in the past
three (3) years. To be considered
chronically homeless, persons must
have been sleeping in a place not meant
for human habitation (e.g., living on the
streets) and/or in an emergency shelter
during that time. An episode is a
separate, distinct, and sustained stay on
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the streets and/or in an emergency
homeless shelter.
2. For the purpose of this NOFA,
disabling condition is defined as ‘‘a
diagnosable substance use disorder,
serious mental illness, developmental
disability, or chronic physical illness or
disability, including the co-occurrence
of two or more of these conditions. A
disabling condition limits an
individual’s ability to work or perform
one or more activities of daily living.’’
3. A serial inebriate is defined as a
chronically homeless person who has
been living on the streets for at least 365
days over the last five years and who
has a long-term addiction to alcohol. (To
be eligible for this program, clients
served by these funds will be living on
the streets at the time of initial contact
and will have no history of living in
transitional or permanent housing over
the last five years.)
II. Award Information
This NOFA announces the availability
of approximately $10 million to award
approximately ten grants ranging up to
approximately $1 million per award.
III. Eligibility Information
A. Eligible Applicants. Eligible
applicants are States, local government,
other government agencies, and public
and private nonprofit organizations that
are part of a Continuum of Care in
jurisdictions that have at least 100
people who are chronically homeless
and unsheltered.
B. Eligible Activities. Eligible
activities are limited to leasing of
housing and limited housing search and
administrative expenses. For the
purpose of this NOFA, housing
activities include only leasing and
housing search.
C. Other. 1. Eligible clients. Eligible
clients are chronically homeless persons
who have been living on the streets for
at least 365 days over the last five years
and who have a long-term addiction to
alcohol. (To be eligible for this program,
clients served by these funds will be
living on the streets at the time of initial
contact and will have no history of
living in transitional or permanent
housing over the last five years.)
2. Threshold Requirements.
a. Ineligible Applicants. HUD will not
consider an application from an
ineligible applicant.
b. Applicants, and Sub-grantees, must
meet the Threshold Requirements in the
General Section of the SuperNOFA.
c. Compliance With Fair Housing and
Civil Rights Laws.
(1) Applicants must comply with all
applicable fair housing and civil rights
requirements in 24 CFR 5.105(a). In
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addition to these requirements, there
may be program-specific threshold
requirements identified in the
individual Program NOFAs.
(2) If you, the applicant:
(a) Have been charged with an
ongoing systemic violation of the Fair
Housing Act; or
(b) Are a defendant in a Fair Housing
Act lawsuit filed by the Department of
Justice alleging an on-going pattern or
practice of discrimination; or
(c) Have received a letter of findings
identifying ongoing systemic
noncompliance under Title VI of the
Civil Rights Act of 1964, Section 504 of
the Rehabilitation Act of 1973, or
Section 109 of the Housing and
Community Development Act of 1974;
and
(d) The charge, lawsuit or letter of
findings referenced in subpart (a), (b), or
(c) above has not been resolved to
HUD’s satisfaction before the
application deadline, then you are
ineligible and HUD will not rate and
rank your application.
(2) Examples of actions that would
normally be considered sufficient to
resolve the matter include, but are not
limited to:
(a) A voluntary compliance agreement
signed by all parties in response to a
letter of findings;
(b) A HUD-approved conciliation
agreement signed by all parties;
(c) A consent order or consent decree;
or
(d) An issuance of a judicial ruling or
a HUD Administrative Law Judge’s
decision.’’
d. Affirmatively Furthering Fair
Housing. Under Section 808(e)(5) of the
Fair Housing Act, HUD has a statutory
duty to affirmatively further fair
housing. HUD requires the same of its
funding recipients. If you are a
successful applicant, you will have a
duty to affirmatively further fair housing
opportunities for classes protected
under the Fair Housing Act. Protected
classes include race, color, national
origin, religion, sex, disability, and
familial status. The application should
include specific steps to:
(1) Overcome the effects of
impediments to fair housing choice that
were identified in the jurisdiction’s
Analysis of Impediments (AI) to Fair
Housing Choice;
(2) Remedy discrimination in
housing; or
(3) Promote fair housing rights and
fair housing choice.
Further, you, the applicant, have a
duty to carry out the specific activities
provided in your responses to the rating
factors that address affirmatively
furthering fair housing.
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14137
3. Program Requirements. a.
Applicants must be a part of a
Continuum of Care. Please provide as
documentation a copy of the Continuum
of Care Planning Process Organization
that was submitted in the most recent
Continuum of Care competition.
b. The project must be located within
a Continuum of Care that has at least
100 people who are chronically
homeless and unsheltered, according to
the Continuum of Care or a recent
official count. Please identify by
program year and date of submission the
most recent Continuum of Care
documentation submitted to HUD, so
HUD staff can confirm that the
jurisdiction has identified the required
100 people.
c. All clients are expected to receive
necessary supportive services from the
time they are identified and as long as
necessary after they are placed into
permanent supportive housing.
d. Grantees shall derive all supportive
services funds, including substance
abuse treatment, from other public or
private sources, including communitybased organizations, inclusive of faithbased organizations.
e. Funds made available under this
NOFA are subject to the program
regulations at 24 CFR part 583.
f. Grantees currently operating
facilities or activities that serve
homeless persons may only receive SHP
funding if the project proposes to
increase the number of homeless
persons served.
g. Safeguarding Resident/Client Files.
In maintaining resident files, HUD
funded recipients shall observe state
and local laws concerning the
disclosure of records that pertain to
individuals. Further, recipients are
required to adopt and take reasonable
measures to ensure that resident/client
files are safeguarded.
h. Environmental Impact. Activities
under this NOFA are subject to the
environmental review provisions set out
at 24 CFR 583.230. A recipient, its
project partners and their contractors
may not commit or expend any
assistance or nonfederal funds on
project activities (other than those listed
in 24 CFR 58.22(c), 58.34 or 58.35(b))
until HUD has approved a Request for
Release of Funds and environmental
certification from the responsible entity.
The expenditure or commitment of
assistance or nonfederal funds for such
activities prior to this HUD approval
may result in the denial of assistance for
the project under consideration.
D. Match. For the purposes of this
two-year demonstration program,
applicants must match all funds
provided through this initiative on at
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least a dollar for dollar basis with cash
for supportive services. Cash already
claimed as leverage or match as part of
the Continuum of Care activities may
not be claimed to offset this match
requirement. Grantees shall derive
services funds from public or private
sources, including community-based
organizations, inclusive of faith-based
organizations, but shall not derive
services funds from other HUD–funded
homeless assistance grants. Refer to 24
CFR 84.23 (for nonprofits) and 85.24 (for
state and local governments) for
information governing matching funds,
but note that the cash requirements of
this two-year demonstration program
are more restrictive than the
requirements that may apply to other
grant programs.
IV. Application and Submission
Information
A. Addresses to Request Application
Package. Applicants may download the
NOFA from the Grants.gov Web site at
https://www.grants.gov. If you have
difficulty accessing the information you
may call the grants.gov help desk at
800–518–GRANTS. The operator will
assist you in accessing the information.
Please see the General Section for
information on electronic application
submission, procedures for requesting a
waiver, and timely submission and
receipt requirements.
B. Content and Form of Application
Submission. 1. Required Materials.
There is no separate application kit.
This notice contains all the information
necessary for submission of your
application.
a. In addition to the required
narratives, please include in your
application each item in the order listed
below:
(1) SF–424, Application for Federal
Assistance.
(a) Every section should be
completed.
(b) When completing box 15, the
component selected should be either:
i. Permanent Housing for Persons
with Disabilities, or
ii. Safe Havens—Permanent (Safe
haven projects have the characteristics
of permanent housing and will require
participants to execute a lease
agreement.)
(2) HUD–2991, Certification of
Consistency with Consolidated Plan.
(3) SF–424–SUPP, Survey on
Ensuring Equal Opportunity for
Applicants.
(4) HUD 27300, America’s Affordable
Communities Initiative.
(5) HUD–96011, Facsimile
Transmittal.
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(6) HUD–96010, Program Outcome
Logic Model.
(7) SF–LLL, Disclosure of Lobbying, if
applicable.
(8) HUD 40112.1, Program Project
Information.
(9) HUD 40112.2, Number of Beds and
Participants Charts. (The period of
performance for all grants awarded
through this NOFA will be up to twoyears.)
(a) This section is composed of two
charts:
(i) Chart 1 is for recording the number
of beds/bedrooms in the project.
(ii) Chart 2 is for recording the
number of participants to be served.
(b) Instructions for Completing Chart
1 and Chart 2. Note: If your project is
funded, you will be responsible for
achieving the numbers submitted.
(i) In the first column, please enter the
requested information for all items at a
point in time (a given night). You
should only fill out this column if you
propose to use existing facilities to serve
the homeless. If not, enter ‘‘N/A’’ in this
column.
(ii) In the second column, enter the
new number of beds and persons served
at a point in time if this project is
funded.
(iii) In the third column, enter the
projected level (columns 1 and 2 added
together) that your project will attain at
a point in time.
(iv) In the fourth column, enter the
number of persons to be served over the
grant term.
(10) HUD 40112.3, Leasing
Information.
(a) Leasing Units for Housing.
(i) Housing space may be in the form
of scattered-site leased units, or within
a structure. The structures to be leased
may be structures currently configured
for, or structures to be converted to
provide, supportive housing and/or
supportive services.
(ii) If you propose to lease units in
more than one metropolitan or nonmetropolitan area, fill in the appropriate
number of tables for each area with a
different FMR or actual rent. Please
submit multiple copies of this Chart as
needed to accommodate projects using
more than one FMR or actual rent.
(iii) Enter the number of unit(s) by the
bedroom size to be leased and the lower
of the actual rent or the FMR as
published in the Federal Register on
October 1, 2004. (FMRs may be found
using this WEB site: https://
www.huduser.org/datasets/fmr.html)
The space to be leased may be scatteredsite (e.g., one-bedroom apartments in
five different apartment complexes) or
contained within a structure (e.g., a
group home with six bedrooms).
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(iv) Multiply the number of units by
the FMR or actual rent, whichever is
lower, by the length of the grant (# of
units × FMR or actual rent × months
based on grant term) and enter the result
in the total column.
(v) Please note that the FMR for a
single room occupancy (SRO) unit is
equal to 75 percent (0.75) of the 0bedroom FMR. The FMRs for unit sizes
larger than 4-bedrooms are calculated by
adding 15 percent to the 4-bedroom
FMR for each extra bedroom. For
example, the FMR for a 5-bedroom unit
is 1.15 times the 4-bedroom FMR, and
the FMR for a 6-bedroom unit is 1.30
times the 4-bedroom FMR.
(vi) Chart A should be filled out only
if you will lease individual units or
structures that are currently configured
for housing and/or services and,
therefore, an FMR or actual rent can be
used. If you have negotiated an actual
rent (s) which is lower than the FMR,
please use that amount instead of the
FMR. The actual rent may not exceed
the FMR.
(vii) If your project has been approved
for exception rents use those amounts
when completing these charts AND
submit your current approval letter with
this document.
(b) Leased Structure(s) for Housing
(i) If you will lease a structure or
portion of a structure for housing, fill
out Chart B below using a monthly
leasing cost that is comparable to and no
more than the rents being charged for
similar space in the area. This applies
to structures already configured for
housing and for those that will be
converted. If your project has more than
one structure, reproduce Chart B and fill
it out starting with structure 2.
(ii) Multiply the monthly leasing costs
by the number of months requested for
funding and enter the result in the total
column.
(iii) Chart B should be filled out only
if you will lease a structure or portion
of a structure for which an FMR is not
applicable.
(11) HUD 40112.4, Additional Key
Information. HUD needs the information
in this form to respond to public and
Congressional inquiries about program
benefit.
(12) SF 424A, Budget Information—
Non-Construction. Only Complete
Sections A and C.
(a) In Section A, column (a) which is
labeled ‘‘Grant Program Function or
Activity’’, the applicant must list the
activities that will be funded through
this grant and provided as cash match:
i. Row 1 should state leasing;
ii. Row 2 should state housing search
assistance;
iii. Row 3 should state administration.
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iv. Row 4 should state services.
(b) Columns (b), (c) and (d) of Section
A should be left blank.
(c) In column (e) of Section A, list the
funds you are requesting through this
NOFA in rows 1 through 3. NOTE:
Although column (e) is labeled
‘‘Federal,’’ do not enter all Federal
Funds in this column. Enter only those
funds requested from this NOFA.
(d) Use column (f) of Section A to
indicate the other funds you are
committing to this project. Note:
Although column (f) is labeled ‘‘NonFederal,’’ use this column to show all
funds, Federal and non-federal, other
than the SHP funds listed in column (e),
which will support this project. Column
(g) is a calculated field and should equal
your total project budget.
(e) Column (a) of Section C, NonFederal Resources, contains calculated
fields and will list leasing, housing
search assistance, administration and
services in rows one through four.
(f) Use columns (b) Applicant, (c)
State and (d) Other of Section C should
to show the non-federal cash match for
each of the activities listed in rows one
through four.
(g) Column (e) of Section C should
total the amount of cash match for each
of the activities. Note: Column (e) row
12 must be equal to or greater than your
total grant request shown in Section A
column (e) row 5 in order to satisfy the
match requirement.
(13) Budget Narrative. A one-page
narrative must be submitted that
explains how the applicant arrived at
the cost estimates for any line items,
including match items.
2. Required Certifications. By signing
the SF–424 cover page:
a. The governing body of your
organization has duly authorized the
application for federal assistance. In
addition, by signing and/or
electronically submitting your
application, you certify that the
Authorized Organization Representative
signing the application:
(1) has the legal authority to apply for
Federal assistance and the institutional,
managerial, and financial capacity
(including funds to pay for any nonfederal share of program costs) to plan,
manage and complete the program as
described in the application; and will
provide HUD any additional
information it may require; and
(2) will administer the award in
compliance with requirements
identified and contained in the Notice
of Funding Availability as applicable to
the program for which funds are
awarded and in accordance with
requirements applicable to the program.
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b. No appropriated Federal funds
have been paid or will be paid, by or on
behalf of the applicant to any person for
influencing or attempting to influence
an officer or employee of any agency, a
Member of Congress, or an employee of
a Member of Congress, in connection
with this application for Federal
assistance or any award of funds
resulting from the submission of this
application for Federal assistance, or its
extension, renewal, amendment, or
modification. If funds other than
Federal appropriated funds have been or
will be paid for influencing or
attempting to influence the persons
listed above, the applicant agrees to
complete and submit Standard Form
LLL, Disclosure Form to Report
Lobbying, as part of its applications
submission package. The applicant
further agrees to and certifies that it will
require all subawards at all tiers
including subgrants and contracts to
similarly certify and disclose
accordingly.
C. Submission Date and Times.
Applications must be submitted to and
received by Grants.gov on or before
11:59:59 p.m. eastern time on May 19,
2005. Please be sure to read the General
Section for timely submission and
receipt requirements as submission
requirements have substantially
changed this year. Failure to follow the
submission requirements and
procedures may affect your ability to
receive an award of funds.
D. Intergovernmental Review.
This program is excluded from an
Intergovernmental Review.
E. Funding Restrictions. 1. Housing
funds available through this initiative
may only be used to provide grants for
leasing, limited housing search
assistance and administration.
2. No more than 5 percent of each
project award may be used for housing
search assistance.
3. No more than 5 percent of each
project award may be used for
administrative costs, such as
accounting, preparing HUD reports,
obtaining audits, and other costs
associated with administering the grant.
4. Costs for new construction,
rehabilitation, acquisition, operating
costs, and supportive services are not
allowable costs for reimbursement
under this NOFA.
5. Under no circumstances may SHP
leasing funds be used to lease units or
structures owned by the project sponsor,
the selectee, or their parent
organizations. This includes
organizations that are members of a
general partnership where the general
partnership owns the structure.
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6. Activities undertaken to benefit
populations other than the target
population as defined in Section I.B,
above, will not be funded.
7. Clients served by these funds must
be living on the streets at the time of
initial contact and will have no history
of living in transitional or permanent
housing over the last five years.
F. Other Submission Requirement.
Applicants receiving a waiver to the
electronic submission requirement may
submit a paper copy application.
Applicants that have received a waiver
of the electronic submission
requirement should consult the General
Section for application submission
instructions including Appendix C for
the correct mailing address and number
of copies.
V. Application Review Information.
A. Criteria. The following are
descriptions of the rating factors upon
which the application will be scored.
The total number of pages allotted to
each rating factor is specified.
Additional narrative or lists, other than
those specified in the rating factors
below, will not be considered. Lists that
are requested in a rating factor are not
included in the page limit.
1. Capacity of the Applicant and
Relevant Organizational Staff (Points
20). Up to 20 points will be awarded
based on the following questions (two
pages total):
a. What experience does the applicant
have in providing supportive housing
and collaborating with agencies that
provide an array of needed supportive
services to persons who have been
living on the streets for at least 365 days
over the last five years and who have a
long-term addiction to alcohol.
b. What existing relationships does
the applicant have with law
enforcement agencies, courts, substance
abuse service systems and other
supportive services organizations, subcontractors, consultants, sub-recipients,
and members of consortia that are firmly
committed to the project?
c. How have the applicant and partner
agencies demonstrated the management
and organizational capability to manage
this collaboration?
d. What is the applicants’ past
performance in managing public or
private funds and the timely use of
funds received from Federal, State or
local sources?
2. Need/Extent of Problem (Points 10).
(one page total):
This factor addresses the extent to
which (a) there is a need for funding the
proposed activities described in the
applicant’s work plan, and (b) the
degree to which the applicant’s work
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plan substantively addresses
departmental policy priorities. Please
note, there must be at least 100 people
who are chronically homeless and
unsheltered in your Continuum of Care.
a. Needs Data (5 points).
Please provide in the response, the
extent to which the community the
applicant serves has documented the
extent of homelessness and the presence
of persons who are chronically
homeless and addicted to alcohol in its
Continuum of Care, Consolidated Plan,
Analysis of Impediments to Fair
Housing Choice (AI), or other planning
documents.
Briefly describe where the target
population will come from and the
outreach plan to bring them into the
project. Please describe the approach in
identifying the needs of the target
population. Higher points will be
awarded to applicants that can quantify
the number/percent reduction in overall
homelessness and chronic homelessness
to be achieved by the proposed work
plan.
b. Departmental Policy Priorities (5
points).
The Departmental policy priorities are
described in detail in the General
Section. The following four priorities
apply for the purpose of this NOFA.
Indicate if, and describe how, the
applicant’s work plan substantively
addresses each of these departmental
policy priorities. Applicants are advised
to review the policy priorities in the
General Section, to assure they fully
understand the meaning of each, prior
to responding to this sub-factor.
In scoring this section, the applicant
will receive one point for each of the
departmental policy priorities (1)—(3)
that the work plan substantively
addresses. Up to 2 points are available
for priority (4). The activities the
applicant proposes in its projected work
plan, detailed in Factor 3 of this NOFA,
must address the policy priorities for
priorities (1)–(3) in order to receive
rating points. Points will only be
awarded to applicants for policy priority
(4) if the submission includes the
required documentation or URL sites
where the documentation can be found.
(1) Providing Full and Equal Access to
Grassroots, Faith-Based and Other
Community-Based Organizations in
HUD Program Implementation. Please
describe how the applicant encourages
the involvement of faith-based and
community-based organizations in
developing and implementing the
proposed project, and the extent to
which these groups participate in
developing their work plans.
(2) Ending Chronic Homelessness.
Please describe how the program meets
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this policy priority. The applicant
should be mindful of the requirements
of the regulations implementing Section
504 of the Rehabilitation Act, in
particular, 24 CFR 8.4(b)(1)(iv), 8.4(c)(1)
and 8.4(d).
(3) Participation in Energy Star. To
obtain the policy priority points for
energy star, the applicant must set
quantitative goals for activities such as
replacing worn products or facilities
such as light bulbs, water heaters,
furnaces, etc., with Energy Star products
to reduce operating costs.
(4) Removal of Regulatory Barriers to
Affordable Housing. To obtain the
policy priority points for efforts to
successfully remove regulatory barriers,
applicants must complete form HUD–
27300, ‘‘Questionnaire for HUD’s
Initiative on Removal of Regulatory
Barriers.’’ Copies of HUD’s notices
published on this issue, can be found on
HUD’s Web site at https://www.hud.gov/
offices/adm/grants/fundsavail.cfm.
Under this policy priority, higher
rating points are available to:
(a) Governmental applicants that are
able to demonstrate successful efforts in
removing regulatory barriers to
affordable housing and
(b) Nongovernmental applicants that
are associated with jurisdictions that
have undertaken successful efforts in
removing barriers.
3. Soundness of Collaborative
Approach (Points 40). Up to 40 points
will be awarded based on the extent to
which the applicant collaborates with
the identified partners to accomplish
the goals described in response to this
rating factor. (10 pages total):
a. The applicant should provide
memoranda of agreement that clearly
specify the roles and signatures of the
partners involved in this collaboration,
including, but not limited to, law
enforcement agencies, courts, substance
abuse service systems and other
supportive services organizations, subcontractors, consultants, sub-recipients,
and members of consortia. The
memoranda are not included in the page
limitation.
b. How will the applicant work with
the partners identified in the
memoranda, the local Continuum of
Care and partner agencies to develop
and implement this program? How does
this program support existing homeless
and housing plans in the jurisdiction?
c. What role will the police
department, sheriffs department,
superior court, city attorney, city
council, and/or local hospitals have in
identifying eligible clients? How will
clients be referred to the program?
d. How will the applicant and
partners determine that the clients have
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lived on the streets for at least 365 days
over the past five years and are addicted
to alcohol? How will the applicant and
partners determine that the clients have
been living on the streets at the time of
initial contact and have no history of
living in transitional or permanent
housing over the last five years?
e. How will the applicant and partner
providers determine if clients need to be
stabilized in programs, such as
residential treatment centers,
detoxification centers or other jail
diversion programs (for up to six
months) before being placed into
permanent housing? What role will the
clients have in this determination?
f. How will participants be assisted
both to obtain and remain in permanent
housing? How will housing be
identified and how will the client be
assisted in finding housing? What role
will the limited housing search
assistance provided through this
initiative have in identifying suitable
housing for the clients? What role will
the clients have in selecting the
permanent housing?
g. What type of housing will be
provided? How do the TYPE (e.g.,
apartments, group home) and SCALE
(e.g. number of units, number of persons
per unit) of the proposed housing will
fit the needs of the participants? Will
existing structures be utilized? If this
will be an expansion of an existing
project, what new housing will be
available as a result of this initiative?
How will the housing be accessible to
persons with disabilities in accordance
with applicable laws?
h. Where will the housing be located?
To what extent will the project integrate
both the grantees and clients into the
community being served?
i. Has the applicant set goals to reduce
operating costs through energy
efficiency when selecting housing
providers, treatment centers, and other
community facilities? How will the
applicant work with partner treatment
centers, and housing providers to
undertake program activities and capital
maintenance planning, to replace worn
products or facilities such as light bulbs,
water heaters, furnaces, etc., with
Energy Star products to reduce
operating costs?
j. If the applicant selected the
permanent housing for persons with
disabilities component where more than
16 persons will reside in a structure,
what local market conditions necessitate
the development of a project of this size
and how the housing will be integrated
into the neighborhood?
k. If the applicant selected the
innovative supportive housing
component projects, explain how the
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project represents an approach that is
new to the area, is a sensible model for
others, and can be replicated in other
communities.
l. What basic COMMUNITY
AMENITIES (e.g., medical facilities,
grocery store, recreation facilities,
schools, etc.) will be readily
ACCESSIBLE (e.g., walking distance,
bus, etc.) to the clients?
m. What supportive services (not
funded through this grant) will the
participants receive? Applicants must
demonstrate how the comprehensive
substance abuse treatment services will
be made available for the clients
through other public or private sources.
Demonstrate for each of the following:
(1) How the TYPE (e.g., case
management, job training) and SCALE
(e.g., the frequency and duration) of the
supportive services proposed will fit the
needs of the participants.
(2) WHERE the supportive services
will be provided and what
TRANSPORTATION will be available to
participants to access those services.
(3) The details of the plan to ensure
that all homeless clients will be
individually assisted to identify, apply
for and obtain benefits under which of
the following mainstream health and
social services programs for which they
are eligible: SSI, TANF, Medicaid, Food
Stamps, SCHIP, Workforce Investment
Act and Veterans Health Care programs.
n. How will participants be assisted
both to increase their incomes and to
maximize their ability to live
independently and achieve selfsufficiency? Please describe how
services and treatment will be linked to
housing so that the target population
will be able to achieve his or her own
degree of self sufficiency or quality of
life.
o. How is the proposed program a
cost-effective approach to meeting the
needs of the target population? In the
attached budget, please indicate the
housing, housing search assistance and
administration (funded through this
initiative) and services (not funded
through this initiative), with the
appropriate partner match.
p. How is the proposed program
innovative, as defined by the applicant?
How is the program different from any
other program in the community and is
the program replicable?
q. How will the project be sustained
once the term of the grant has expired?
4. Leveraging Resources (Points 20).
Up to 20 points will be awarded based
on the applicants’ answers to the
following (two pages total):
a. What resources are the applicant
and its partners bringing to the
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collaboration to achieve the goals and
objectives?
b. Please describe the expectations
regarding federal grant support and
maximization of other (non-grant)
revenue relative to the proposed plan,
including a description of leveraging
resources.
c. What is the total grant dollars per
client/unit and total cost per client/
unit?
5. Achieving Results and Program
Evaluation (Points 10). Applicants are
required to complete HUD–96010,
Program Outcome Logic Model. Up to
10 points will be awarded to the extent
that the applicant provides the
following: (one page total):
a. Goals, output and outcome
measures that are clearly specified and
measurable;
b. Contact information for the lead
entity responsible for each measure;
c. Reasonable benchmarks to achieve
the tasks with an accompanying
timeline;
d. Reasonable plan for measurement
and timely adjustment if the applicant
is not meeting the specific outcomes
within the established timeframes;
e. The extent to which performance
feedback and continuous improvement
are integral to the design of the
proposed project;
f. A plan for evaluating the
effectiveness of the program.
B. Reviews and Selection Process
Personnel of the Department of
Housing and Urban Development will
review Grant applications internally.
The Assistant Secretary for Community
Planning and Development will select
the applications for award.
1. Ranking: The score for all ranking
factors will be summed to obtain a total
score for each project submitted under
this NOFA.
2. Selection and Adjustments to
Funding: a. Selection. Projects will be
awarded based on national ranking as
described above and according to the
provisions for diversity described
below. The awarding of funds may be
conditional upon receipt of further
information, as requested. When
insufficient funds remain to fund all
projects requesting funding that receive
the same total score, ties will be broken
among such projects by comparing
scores received by the projects for each
of the following scoring factors, in the
order shown: Soundness of
Collaborative Approach, Capacity, and
Leveraging Resources. Please see section
IV.A of the General Section for more
information about award
administration.
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b. Adjustments to Funding. In order to
ensure maximum geographic diversity
in the awards, no individual project
applicant and no one unit of general
local government will be awarded more
than 10 percent of the total amount of
available resources under this NOFA.
HUD reserves the right to make
selections out of rank order to provide
for geographic distribution of funds.
VI. Award Administration Information
A. Award Notices
1. Selected Applicants. Selected
applicants will be notified in writing.
As necessary, selected applicants will
subsequently be requested to submit
additional project information, which
may include documentation to show the
project is financially feasible;
documentation of firm commitments for
cash match; documentation showing
site control; information necessary for
the performance of an environmental
review, where applicable; and such
other documentation as specified in
writing to the applicant that confirms or
clarifies information provided in the
application. Selected applicants will be
notified of the deadline for submission
of additional information. If a selected
applicant is unable to meet any
conditions for fund award within the
specified timeframe, those funds may be
withdrawn and instead used to select
the next highest ranked application(s)
from the competition for which there
are sufficient funds available.
2. Corrections to Deficient
Applications. See the General Section.
B. Administrative and National Policy
Requirements
Additional Non-discrimination and
Other Requirements. You, the applicant,
and your subrecipients must comply
with:
a. Civil Rights Laws, including the
Americans with Disabilities Act of 1990
(42 U.S.C. 1201 et seq.), the Age
Discrimination Act of 1974 (42 U.S.C.
6101 et seq.) and Title IX of the
Education Amendments Act of 1972 (20
U.S.C. 1681 et seq.).
b. Economic Opportunities for Lowand Very Low-Income Persons (Section
3). Certain programs to be issued during
FY2005 require recipients of assistance
to comply with Section 3 of the Housing
and Urban Development Act of 1968
(Section 3), 12 U.S.C. 1701u (Economic
Opportunities for Low- and Very LowIncome Persons in Connection with
Assisted Projects) and the HUD
regulations at 24 CFR part 135,
including the reporting requirements at
subpart E. Section 3 requires recipients
to ensure that, to the greatest extent
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feasible, training, employment, and
other economic opportunities will be
directed to low- and very-low income
persons, particularly those who are
recipients of government assistance for
housing, and business concerns that
provide economic opportunities to lowand very low-income persons.
c. Ensuring the Participation of Small
Businesses, Small Disadvantaged
Businesses, and Women-Owned
Businesses. See the General Section.
d. Executive Order 13166, ‘‘Improving
Access to Services for Persons With
Limited English Proficiency (LEP).’’
Executive Order 13166 seeks to improve
access to federally assisted services,
programs and benefits for individuals
with limited English proficiency.
Applicants obtaining an award from
HUD must seek to provide access to
program benefits and information to
LEP individuals through translation and
interpretive services in accordance with
LEP Guidance published on December
19, 2003 (68 FR 70968). For assistance
and information regarding your LEP
obligation, go to https://www.LEP.gov.
e. Executive Order 13279, ‘‘Equal
Protection of the Laws for Faith-Based
and Community Organizations.’’ See the
General Section.
f. Accessible Technology. See the
General Section.
g. Procurement of Recovered
Materials. See the General Section.
h. Participation in HUD-Sponsored
Program Evaluation. See the General
Section.
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i. Salary Limitation for Consultants.
See the General Section.
j. OMB Circulars and Governmentwide Regulations Applicable to
Financial Assistance Programs. See the
General Section.
k. Conflicts of Interest. See the
General Section.
l. Relocation. The SHP program is
subject to the requirements of the
Uniform Relocation Assistance and Real
Property Acquisition Policies Act of
1970, as amended (URA). If activities
under this grant result in displacement
or relocation, grantees must comply
with URA. See General Section.
m. Public Access, Documentation,
and Disclosure. See the General Section
of the SuperNOFA for more information
on this topic.
C. Reporting
See the General Section for more
information. The applicant shall submit
semiannual reports and a final report to
HUD. For each reporting period, as part
of your required report to HUD, you
must include a completed Logic Model
(Form 96010). HUD will use this
information to determine progress of the
grantees toward meeting their goals.
Grantee performance will be measured
by the number of persons who are serial
inebriates that moved off the streets and
were placed into permanent housing. It
is expected that local evaluations will
include measuring progress toward
accomplishing the tasks described in the
grant application and providing for
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collection of quantitative and qualitative
data that permits measurement of
progress toward achieving the outputs
and outcomes envisioned by the goals
and objectives contained in the
application. Grantees must collect
outcome information on clients served
to be compared against benchmarks
throughout the term of the grant.
VII. Agency Contact
You may contact Marianne Nazzaro,
Office of Special Needs, Department of
Housing and Urban Development, Room
7208, 451 Seventh Street, SW.,
Washington, DC 20410–7000; telephone
(202) 708–1590, extension 2076 (this is
not a toll-free number); e-mail
Marianne_Nazzaro@hud.gov. This
number can be accessed via TTY by
calling the toll-free Federal Information
Relay Service at 1–800–877–8339.
VIII. Other Information
Paperwork Reduction Act Statement.
The information collection requirements
in this NOFA have been submitted to
OMB for approval under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and approval is pending. Under
the Paperwork Reduction Act, an agency
may not conduct or sponsor, and a
person is not required to respond to, a
collection of information unless the
collection displays a valid control
number.
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BILLING CODE 4210–32–C
Assisted Living Conversion Program
(ALCP) for Eligible Multifamily Housing
Projects
Overview Information
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Housing Assistance and Grant
Administration.
B. Funding Opportunity Title: The
Assisted Living Conversion Program for
Eligible Multifamily Projects.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
OMB Approval Number is: 2502–0542.
The Federal Register number for this
NOFA is: FR–4950-N–06.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: The
Assisted Living Conversion Program for
Eligible Multifamily Housing Projects is
14.314.
F. Dates: Application Deadline Date:
The application must be submitted to
HUD on June 22, 2005.
G. Optional, Additional Overview
Content Information: The purpose of
this program is to provide grants for the
conversion of some or all of the
dwelling units in an eligible project into
assisted living facilities (ALFs) for frail
elderly persons. Private nonprofit
owners of eligible developments
interested in applying for funding under
this grant program should carefully
review the General Section and the
detailed information listed in this
program NOFA. Funding will only be
provided for those items related to the
conversion. There is no separate
Application Kit for this NOFA.
The ALCP will fund those
applications that may impact Federal
problem solving and policymaking and
that are relevant to HUD’s policy
priorities and annual goals and
objectives. (Refer to the General Section
for discussion of these priorities and
annual goals and objectives).
Full Text of Announcement
I. Funding Opportunity Description
Program Description. Assisted living
facilities (ALFs) are designed to
accommodate frail elderly persons and
people with disabilities who need
certain support services (e.g., assistance
with eating, bathing, grooming,
dressing, and home management
activities). ALFs must provide support
services such as personal care,
transportation, meals, housekeeping,
and laundry. Frail elderly person means
an individual 62 years of age or older
who is unable to perform at least three
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activities of daily living (ADLs) as
defined by the regulations for HUD’s
Section 202 Program (Supportive
Housing for the Elderly) at 24 CFR
891.205. Assisted living is defined in
section 232(b)(6) of the National
Housing Act (12 U.S.C. 1715w).
The ALCP provides funding for the
physical costs of converting some or all
of the units of an eligible multifamily
development into an ALF, including
unit configuration and related common
and services space and any necessary
remodeling, consistent with HUD or the
state’s statute/regulations (whichever is
more stringent). Typical funding will
cover basic physical conversion of
existing project units, as well as related
common and services space. There must
be sufficient community space to
accommodate a central kitchen or
dining facility, lounges, recreation, and
other multiple-areas available to all
residents of the project, or office/staff
spaces in the ALF. When food is
prepared at an off-site location, the
preparation area of the facility must be
of sufficient size to allow for the
installation of a full kitchen, if
necessary. You must provide supportive
services for the residents either directly
or through a third party. Your
application must include a firm
commitment for the supportive services
to be offered within the ALF as part of
the application. You may charge
assisted living residents for meals and/
or service fees. Residents may contract
with third party agencies directly for
nursing, therapy, or other services not
offered by the ALF.
The Assisted Living Conversion
Program is authorized by Section 202(b)
of the Housing Act of 1959 (12 U.S.C.
1701q-2) and the Consolidated
Appropriations Act, 2005 (Public Law
108–447, approved December 8, 2004.
The FY2005 Appropriations Act
provides $24,800,000 which reflects a
.008 percent across-the-board rescission
pursuant to Public Law 108–447) for
grants under Section 202b of the
Housing Act of 1959 for the conversion
of eligible projects to assisted living or
related use and for emergency capital
repairs. The Department has set-aside
$25 million for emergency capital
repairs. The eligibility requirements for
obtaining funding for emergency capital
repairs are described in a separate HUD
Notice. Any unused funds from the
emergency capital repairs set-aside will
be returned to the funds allocated for
eligible multifamily assisted projects.
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14149
II. Award Information
A. Available Funds
This NOFA makes available
approximately $35 million including
carryover funds. Approximately
$5,000,000 will be provided for the
conversion of one unused or
underutilized commercial property to
an Assisted Living Facility. The
remaining $30,000,000 will be fair
shared and used for the physical
conversion of eligible multifamily
assisted housing projects or portions of
projects to ALFs.
The allocation formula used to fair
share the $30,000,000 for the ALCP
reflects demographic characteristics of
age and incidence of frailty that would
be expected for program participants.
The FY2005 formula consists of one
data element from the 2000 decennial
census: The number of non-institutional
elderly population aged 75 years or
older with a disability. A fair share
factor for each state was developed by
taking the sum of the persons aged 75
or older with a disability within each
state as a percentage of the sum of the
same number of persons for the total
United States. The resulting percentage
for each state was then adjusted to
reflect the relative difference in the cost
of providing housing among the states.
The total of the grant funds available
was multiplied by the adjusted fair
share percentage for each state, and the
resulting funds for each state were
totaled for each Hub.
The ALCP grant funds fair share
allocations, based on the formula above,
to the 18 multifamily Hubs are as shown
on the following chart:
B. FY2005 Allocation
FY 2005 ALLOCATION FOR THE ASSISTED LIVING CONVERSION PROGRAM (ALCP) OF ELIGIBLE ASSISTED MULTIFAMILY PROJECTS
Hub
Boston .............................
Buffalo .............................
New York ........................
Philadelphia ....................
Baltimore .........................
Greensboro .....................
Atlanta .............................
Jacksonville ....................
Chicago ...........................
Columbus ........................
Detroit .............................
Minneapolis .....................
Fort Worth .......................
Kansas City ....................
Denver ............................
Los Angeles ....................
San Francisco .................
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Grant authority
$1,588,725.95
746,836.56
1,606,125.87
3,065,533.23
1,198,041.27
1,241,678.78
2,360,579.84
3,173,145.72
2,017,999.24
1,301,531.19
1,036,426.41
985,420.01
2,756,098.28
1,996,643.65
647,769.64
1,649,145.84
1,720,039.06
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was approved by HUD’s Construction
Manager as Chief Architect, and have
completed final closing. Additionally,
eligible projects must meet one of the
following criteria:
a. Section 202 direct loan projects
with or without Section 8 rental
Hub
Grant authority
assistance,
b. Section 202 capital advance
Seattle .............................
908,259.47
projects receiving rental assistance
Total .........................
$30,000,000.00 under their Project Rental Assistance
Contract (PRAC),
c. Section 515 rural housing projects
The ALCP Grant Agreement, when
receiving Section 8 rental assistance,
fully executed, obligates and contracts
d. Other projects receiving Section 8
the HUD funds. This Agreement
project-based rental assistance,
establishes the legal relationship
e. Projects subsidized with Section
between HUD and the ALCP award
221(d)(3) below-market interest
recipient. The period of performance
mortgage,
will be based on the scope of work but
f. Projects assisted under Section 236
shall not exceed 18 months.
of the National Housing Act.
III. Eligibility Information
g. Unused and underutilized
commercial properties owned by a
A. Eligible Applicants
private nonprofit.
Only private nonprofit owners of
B. Cost Sharing or Matching
eligible multifamily assisted housing
developments specified in section
No matching required.
683(2) (B), (C), (D), (E), (F), and (G) of
C. Other
the Housing and Community
1. Eligible conversion activities are:
Development Act of 1992 (Pub. L.102–
a. Retrofitting to meet Section 504
550, approved October 28, 1992) and
accessibility requirements, minimum
private nonprofit owners of an unused
property standards for accessibility and/
or underutilized commercial property
may apply for and become the recipient or building codes and health and safety
standards for ALFs in that jurisdiction.
of an ALCP grant.
Examples are items such as addition
Note: If your eligibility status changes
of:
during the course of the grant term, making
(1) Sprinkler systems;
you ineligible to receive the grant (e.g.,
(2) An elevator or upgrades thereto;
prepayment of mortgage, sale/TPA of
(3) Lighting upgrades;
property, opting out of a Section 8 Housing
(4) Major physical or mechanical
Assistance Payment (HAP) contract, or the
systems of projects necessary to meet
transfer of the grant to a single asset entity),
local code or assisted living
HUD retains the right to terminate the grant
requirements;
and recover funds made available through
(5) Upgrading to accessible units for
this NOFA.
the ALF with moveable cabinetry,
1. Ineligible Applicants. Ineligible
accessible appliances, sinks, bathroom
applicants are:
and kitchen fixtures, closets, hardware
a. Owners of developments designed
and grab bars, widening of doors, etc.;
specifically for people with disabilities.
(6) Upgrades to safety and emergency
b. Owners of Section 232
alert systems;
developments.
(7) Addition of hallway railings; and
c. Property management companies
(8) Medication storage and
and agents of property management
workstations;
companies.
b. Retrofitting to add, modify and/or
d. Limited dividend partnerships.
outfit common space, office or related
e. Nonprofit Public Agencies.
space for ALF staff including a service
f. Owners of unused/underutilized
coordinator and file security, and/or a
hospitals or other health-related facility central kitchen/dining facility to
which are considered to be
support the ALF function (e.g., outfit
eleemosynary institutions rather than
lounge/common space/dining furniture,
commercial enterprises.
kitchen equipment for cooking/serving
2. Eligible Developments. Eligible
and dishware).
projects must be owned by a private,
c. Retrofitting to upgrade a regular
nonprofit entity and designated
unit to an accessible unit for a person/
primarily for occupancy by elderly
family with disabilities who is being
persons. Projects must have been in
displaced from an accessible unit in the
occupancy for at least five years from
portion of the project that is being
the date the form HUD–92485,
converted to the ALF, where another
Permission to Occupy Project Mortgage, accessible unit is not available.
FY 2005 ALLOCATION FOR THE ASSISTED LIVING CONVERSION PROGRAM (ALCP) OF ELIGIBLE ASSISTED MULTIFAMILY PROJECTS—
Continued
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d. Temporary relocation (not
applicable to commercial property).
e. Consultant, architectural, and legal
fees.
f. Vacancy payments not more than 30
days after conversion to an ALF.
g. Any excess Residual Receipts (over
$500/unit) and Reserve for Replacement
funds (over $1000/unit) in Project
Accounts that are not approved for
another use at the time of application to
HUD under this NOFA are considered
available funds and must be applied
toward the cost of conversion activities.
Before making this determination,
however, HUD staff will consider the
extent of repair/replacement needs
indicated in the most recent Real Estate
Assessment Center (REAC) physical
inspection and not yet approved and
any ongoing commitments such as nongrant-based service coordinator or other
funding, where existing, deduct the
estimated costs of such items from the
reserve for replacement and residual
receipts balances to determine the
extent of available residual receipts and
reserve for replacement funds for the
ALCP. (This paragraph is not applicable
to commercial properties.)
2. Threshold Requirements. In
addition to the threshold criteria
outlined in the General Section,
applicants must meet the following
requirements to receive funding for this
program.
a. Be an eligible applicant. HUD will
only award funding to eligible
applicants.
b. You cannot request more funds
than allocated for your jurisdiction. (See
the allocation chart above in Section
II.B.)
c. You must provide commitment and
funding support letters from the
appropriate funding organizations and
the appropriate licensing agency(ies).
HUD will reject your application if the
commitment and support letter(s) from
the appropriate funding organizations
and the appropriate licensing
agency(ies):
(1) Are not submitted by the
application submission date as part of
your application for financial assistance;
(2) Indicate that the ALF units,
facilities, meals and supportive services
to be provided are not designed to meet
the special needs of the residents who
will reside in the ALF as defined in this
NOFA.
(3) Do not show commitment for
funding the meals and supportive
services proposed; or
(4) Indicate that the project as
proposed will not meet the licensing
requirements of the appropriate state/
local agency(ies).
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d. You must comply with all
applicable statutory requirements to the
project specified in Section 202(b) and
statutory requirements under Section
232(b)(6).
e. Minimum Size Limits for an ALF.
An ALF must be economically feasible.
Consistent with HUD Handbook 4600.1,
CHG–1, the minimum size for an ALF
is five units.
f. You must submit an original and
four copies of your completed ALCP
application, if you requested and
received a waiver of the electronic
submission requirement.
3. Program Requirements. a. Have a
residual receipts account separate from
the Reserve for Replacement account, or
agree to establish this account as a
condition for getting an award(s).
b. You must be in compliance with
your Loan Agreement, Capital Advance
Agreement, Regulatory Agreement,
Housing Assistance Payment contract,
Project Rental Assistance Contract, Rent
Supplement or LMSA contract, or any
other HUD grant or contract document.
(Not applicable to applicants of unused
and underutilized commercial
property.)
c. You must file a form HUD–2530 for
all construction contractors, architects,
consultants, and service provider
organizations under direct contract with
you that will be engaged under this
NOFA.
d. Your project must meet HUD’s
Uniform Physical Conditions Standards
at 24 CFR part 5, subpart G. Meeting
these standards as described, means that
the project, based on the most recent
REAC physical inspection report and
responses thereto, must have a
‘‘satisfactory’’ rating as evidenced by a
score of 60 or better or a HUD-approved
and on schedule repair plan for
developments scoring less than 60.
Additionally, the project must have no
uncorrected and outstanding Exigent
Health and Safety violations. Finally,
the project must not have on file a
management review with a rating of
‘‘minimally satisfactory’’ or
‘‘unsatisfactory’’ with open and
unresolved findings. (Not applicable to
applicants of unused or underutilized
commercial property)
e. You must submit an agreement to
pursue appropriate ALF licensing in a
timely manner.
f. Meals and Supportive Services. You
must develop and submit a Supportive
Services Plan (SSP) for the services and
coordination of the supportive services,
which will be offered in the ALF to the
appropriate state or local
organization(s), which are expected to
fund those supportive services. (See
below in Section IV.B.8.for information,
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which must be in the SSP.) You must
submit one copy of your SSP to each
appropriate state or local service
funding organizations well in advance
of the application deadline, for
appropriate review. The state or local
funding organization(s) must return the
SSP to you with appropriate comments
and an indication of the funding
commitment, which you will then
include with the application you submit
to HUD.
g. Licensing Requirements. You must
ALSO submit the SSP to the appropriate
organization(s), which license ALFs in
your jurisdiction. The licensing
agency(ies) must approve your plan, and
must also certify that the ALF and the
proposed supportive services identified
in your SSP, are consistent with local
statute and regulations and well
designed to serve the needs of the frail
elderly and people with disabilities who
will reside in the ALF portion of your
project.
h. Your ALF facility must be licensed
and regulated by the state (or if there is
no state law providing such licensing
and regulation, by the municipality or
other subdivision in which the facility
is located). Each assisted living unit
must include its own kitchen, bathroom,
bedroom, living/dining area (1 bedroom
unit) or kitchen, bathroom, bedroom/
living/dining area (efficiency unit) and
must meet the state and/or local
licensing, building, zoning, and other
requirements for an ALF.
i. Your ALF must be available to
qualified elderly persons and persons
with disabilities, consistent with the
rules and payment plans of the state,
who need and want the supportive
services in order to remain independent
and avoid premature
institutionalization.
j. Your ALF’s residents must be
tenants or residents of the multifamily
project and must comply with the
requirements applicable to the project.
Thus, you cannot charge additional rent
over what is charged to residents in the
non-ALF portion of the project. All
admissions to the ALF must be through
the applicable project admissions office.
However, persons accepted into the ALF
also must sign an ALF admissions
agreement, which shall be an addendum
to the applicable project lease. (Not
applicable to applicants of unused or
underutilized commercial property.)
k. At a minimum, your ALF must
provide room, board, and continuous
protective oversight (CPO). CPO
involves a range of activities and
services that may include such things as
awareness by management and staff of
the occupant’s condition and location as
well as an ability to intervene in a crisis
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14151
for dependent and relatively
independent occupants on a 24-hour
basis.
The two occupant groups in an ALF
are:
(1) Independent Occupants.
Awareness by management and staff of
the occupant’s condition and
whereabouts as well as the availability
of assistance for the occupants as
needed.
(2) Dependent occupants. Supervision
of nutrition, assistance with medication
and continuous responsibility for the
occupants’ welfare.
l. Anyone moving into an ALF unit
must agree to accept as a condition of
occupancy the board and services
required for the purpose of complying
with state and local law and regulation.
m. Your ALF must provide three meals
per day to each resident.
(1) Residents whose apartments have
kitchens must take at least the number
of meals a day provided by the facility,
per their mandatory meals requirement,
or as required by state or local rules, if
more stringent. If the facility does not
have a mandatory meals plan, then state
and local rules govern.
(2) Residents in projects which were
originally constructed without kitchens
in their units must take such meals as
required by their mandatory meals
agreement, or by the state’s mandated
requirements if more stringent (e.g., two
meals, two snacks daily).
In either case, ALF management must
coordinate meal requirements with the
needs of residents who are out part of
the day (e.g., in day care). The meal
program may not be operated at a profit
by the project owner.
n. Priority admissions for ALF units
are as follows: (Not applicable to
applicants of unused or underutilized
commercial structures.)
(1) Current residents desiring an ALF
unit and meeting the program
requirements (no resident can be
required to accept an ALF unit).
(2) Qualified individuals or families
needing ALF services who are already
on the project’s waiting list;
(3) Qualified individuals or families
in the community needing ALF services
wanting to be added to the project’s
waiting list.
(4) Qualified disabled non-elderly
persons needing assisted living services
are eligible to occupy these units on the
same basis as elderly persons, except for
section 202 project rental assistance
contracts (PRAC) projects and unused/
underutilized commercial properties.
o. The management of the project
must set up a separate waiting list for
ALF units. ALF units must be for
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eligible residents who meet the
admissions/discharge requirements as
established for assisted living by state
and local licensing, or HUD frailty
requirements under 24 CFR 891.205 if
more stringent.
p. Upon receipt of a grant under this
program, all project owners
participating in the ALCP must provide
a Declaration of Restrictive Covenants
(DRC), which will be recorded with the
land, to retain the low income character
of the housing, and to maintain the
project (including the ALF), as a
moderate-, low-, or very low-income
facility (as appropriate) for at least 20
years beyond the current 40-to 50-year
term of the mortgage loan or capital
advance. Recipients of grant funds to
convert unused or underutilized
commercial property must provide a
DRC for at least 20 years or for the term
of the mortgage on the property
whichever is longer.
q. The ALCP requires service
coordination for linking the ALF to
available services in the community for
low-income persons. All projects
funded under this NOFA must have
sufficient service coordination in place,
or request additional funds, if
appropriate, to ensure that services
meeting licensing requirements are
available to ALF residents on an
ongoing basis. Service coordination
must be described in the application
(see Section IV.B.8.b. and c. of this
NOFA). If you need to enhance an
existing service coordination program or
add one where it does not exist, you
may apply for funding through the
Service Coordinator NOFA, published
elsewhere in the SuperNOFA, and
attach a copy of the form SF–424
indicating the request to the ALCP
application. Alternatively, you may
show evidence that funding for the
enhanced service coordination is
provided by other sources and indicate
such funding on the form SF–424 which
is exhibit 10(a) of your ALF application.
If you are funded under this NOFA and
requested new or enhanced service
coordination you will be funded first
under the service coordinator NOFA.
(1) The ALF must be staffed either
directly or through coordination with
local agencies, depending on state
regulations or local requirements. These
may also serve non-ALF residents of the
project on a time available and
appropriate fee basis.
(2) If you are a Section 202 PRAC
project owner or an owner with unused
or underutilized commercial properties,
you are NOT eligible to request funding
under the service coordinator NOFA.
Section 202 PRAC owners can pay for
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the service coordinator out of PRAC
funds.
(3) The ALF may cater to the special
needs of residents depending on their
condition or diagnosis, such as
Alzheimer’s disease. If it does so, the
design/environment of such facilities
must accommodate those needs, e.g.,
dementia special care unit. However,
the ALF cannot provide a service it is
not licensed by the state or locality to
provide.
(4) Owners of Section 202/PRAC
projects are reminded that they may
include a PRAC payment of up to $15/
unit/month not to exceed 15 percent of
the total program cost, consistent with
24 CFR 891.225(b)(2) to cover part of the
cost of meals and/or supportive services
for frail elderly residents, including
residents of the ALF.
(5) Training for ALF staff is an eligible
project cost under existing operating
procedures.
For further information on ALFs,
please refer to Handbook 4600.1, CHG–
1, ‘‘Mortgage Insurance for Residential
Care Facilities,’’ Chapter 13. This
Handbook and recent ALF program
Notices are accessible through
HUDCLIPS on HUD’s Web site. The
URL for the HUDCLIPS Database
Selection Screen is https://
www.hudclips.org/cgi/index.cgi. These
notices are in the Handbooks and
Notices—Housing Notices database.
Enter only the number without the letter
prefix (e.g., 99–16) in the ‘‘Document
number’’ to retrieve the program notice.
For further guidance on service
coordinators, please refer to Handbook
4381.5 REV–2, CHANGE–2, Chapter 8,
‘‘The Management Agent’s Handbook,’’
which is also available through the
HUDCLIPS database.
r. Your ALF’s operation must be part
of the project owner’s management
organization. Some or all of its functions
may be contracted out. The ALF must
predicate its budget on a two-tiered
structure under which board and
supportive service income and expenses
must be maintained separately and
independently from the regular income
and expenses of the applicable project.
The two components of ALF costs are:
(1) Charges/payment for board, which
may be on a sliding scale or any other
equitable fee system; and
(2) Charges/payment for necessary
supportive services, which may include
a combination of resident fees, Medicaid
and/or other third party payments.
s. Prohibition Against Lobbying
Activities. The Byrd Amendment
prohibits ALCP recipients of Federal
contracts, grants, or loans from using
appropriated funds for lobbying
activities. (Refer to Section III.C. of the
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General Section for further instructions
regarding this requirement.)
4. Additional Non-discrimination and
Other Requirements. Comply with the
requirements of the Fair Housing Act,
Executive Order 11063, Title VI of the
Civil Rights Act, the Age Discrimination
Act of 1975, Section 3 of the Housing
and Urban Development Act of 1968 (12
U.S.C. 1701u) and the implementing
regulations at 24 CFR part 135, the
affirmative fair housing marketing
requirements of 24 CFR part 200,
subpart M, and the implementing
regulations at 24 CFR part 108, which
requires that the project be marketed to
those least likely to apply, including
those who are not generally served by
the agency administering the program,
and other applicable federal, state, and
local laws prohibiting discrimination
and promoting equal opportunity,
including affirmatively furthering fair
housing, and other certifications listed
in the application. (Refer to Section
III.C.4.of the General Section for
additional requirements and
information.)
a. Comply with section 232 of the
National Housing Act, as applicable; the
Uniform Federal Accessibility
Standards (24 CFR 40.7); section 504 of
the Rehabilitation Act of 1973 and
HUD’s implementing regulations at 24
CFR part 8; and the Americans with
Disabilities Act of 1990 for all portions
of the development physically affected
by this proposal.
b. Comply with the Davis-Bacon
requirements and the Contract Work
Hours and Safety Standards Act as
applied to this program. While it has
been determined that Davis-Bacon does
not apply statutorily to the ALCP, the
Department has administratively
determined that Davis-Bacon standards
and overtime rates in accordance with
the Contract Work Hours and Safety
Standards Act will be adhered to in any
ALCP conversion grant in which the
total cost of the physical conversion to
an ALF (and including any additional
renovation work undertaken at the same
time) is $500,000 or more (this includes
ALCP grant funds, owner funds, or any
third party funds loaned or granted in
support of the conversion or other
renovation for the project associated
with this grant), AND in which the ALF
portion of the project is 12 units or
more.
c. Ensuring the Participation of Small
Business, Small Disadvantaged
Businesses, and Woman-Owned
Businesses. HUD is committed to
ensuring that small businesses, small
disadvantage businesses, and womanowned businesses participate fully in
HUD’s direct contracting and in
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contracting opportunities generated by
HUD’s financial assistance. (Refer to the
General Section for further instructions
regarding this requirement.)
d. Executive Order 13166, Improving
Access to Persons with Limited English
Proficiency (LEP). ALCP applicants
must seek to improve access to persons
with limited English proficiency by
providing materials and information in
languages other than English.
e. Executive Order 13279, Equal
Protection of the Laws for Faith-Based
and Community Organizations. HUD
has undertaken a review of all policies
and regulations that have implications
for faith-based and community
organizations, and has established a
policy priority to provide full and equal
access to grassroots faith-based and
other community-based organizations.
(Refer to Section III.C. of the General
Section for specific instructions
regarding this requirement.)
f. Accessible Technology. The
Rehabilitation Act Amendments of 1998
apply to all electronic information
technology (EIT) used by an ALCP
recipient for transmitting, receiving,
using, or storing information to carry
out the responsibilities of the ALCP
awards. (Refer to Section III.C. of the
General Section for specific instructions
regarding this requirement.)
g. Participation in HUD-Sponsored
Program Evaluation. As a condition of
the receipt of ALCP funds, successful
applicants are required to cooperate
with all HUD staff or contractors
performing HUD-funded research and
evaluation studies.
h. Comply with Executive Order
13202, Preservation of Open
Competition and Government Neutrality
toward Government Contractors’ Labor
Relations on Federal and Federally
Funded Construction Projects. (Refer to
the General Section for additional
information on this requirement).
i. OMB Circulars and Governmentwide 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 NonProfit Institutions; the administrative
requirements of 24 CFR part 84; and the
procurement requirements of 24 CFR
84.44. (Refer to the General Section for
additional information on this
requirement).
j. Environmental Requirements. Your
ALCP application is subject to the
National Environmental Policy Act of
1969 and applicable related federal
environmental authorities. (See 24 CFR
part 50, as applicable.) An
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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 500year floodplain.
k. Make applications and other
materials available in languages other
than English that are common in the
community, if speakers of these
languages are found in significant
numbers and come into frequent contact
with the program. For further guidance
on serving persons with Limited English
Proficiency (LEP) in HUD assisted
programs, see the recently published
HUD LEP guidance, ’Notice of Guidance
to Federal Assistance Recipients
Regarding Title VI Prohibition Against
National Origin Discrimination
Affecting Limited English Proficient
Persons,’’ 68 FR 70968 (December 19,
2003) or Section III of the General
Section.
IV. Application and Submission
Information
A. Addresses to Request Application
Package
All information for requesting an
application is included in this NOFA
and Section IV. A. of the General
Section. The application for the ALCP is
available on the Internet from the
grants.gov Web site at https://
www.grants.gov/FIND. If you have
difficulty accessing the information, you
can receive customer support from
Grants.gov by calling the help line at
(800) 518–Grants or by sending an e
mail to support@grants.gov. If you do
not have access, you may obtain an
ALCP application by calling the NOFA
Information Center at (voice) 800-HUD–
8929 (800–483–8929). Persons with a
hearing or speech impairment may call
the Center’s TTY number at 800–HUD–
2209. Please be sure to provide your
name, address (including zip code), and
telephone number (including area code).
1. Application Kits. There is no
application kit for the ALCP. All the
information you need to apply for this
program is available in this NOFA and
available on https://www.grants.gov/
Apply. (Refer to Section IV. A. of the
General Section for further information.)
2. For Technical Assistance. Before
the ALCP application due date, HUD
staff will be available to provide you
with general guidance and technical
assistance. However, HUD staff is not
permitted to assist in preparing your
application. For technical support for
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downloading the ALCP application or
submitting the application, call the toll
free Grants.gov Customer Support line
at 1–800–518–Grants or send an email
message to support@grants.gov.
B. Content and Form of Application
Submission
There are ten required exhibits under
the ALCP, including prescribed forms
and certifications. In cases where your
articles of incorporation and by-laws
have NOT changed since the project was
originally approved by HUD, your
signature on the SF–424 signifies that
you are self-certifying to that effect—
that the documents on file with HUD are
current—is sufficient. Exhibits for
which self-certification of currency is
possible are denoted below by double
asterisks (**.)
In addition to the relief of paperwork
burden, you will not have to submit
certain new/recent information and
exhibits you have previously prepared.
See individual item descriptions, below
to identify such items. An example of
such an item may be the FY2003
Annual Financial Statement. Your
application must include all of the
information, materials, forms, and
exhibits listed below (Please see the
General Section for instructions on how
to submit third party and other
documents such as Articles of
Incorporation; by-laws; copies of
original plans; evidence of financial
commitment; letter(s) from zoning
officials; etc. ):
1. Application Summary for the
Assisted Living Conversion Program,
Form HUD–92045, and evidence that
you are a private nonprofit organization
or nonprofit consumer cooperative and
have the legal ability to operate an ALF
program, per the following:
a. Articles of Incorporation,
constitution, or other organizational
documents, or self-certification of these
documents if there has been no change
in the Articles since they were
originally filed with HUD** and
b. By-laws, or self-certification of bylaws, if there has been no change in the
by-laws since they were originally filed
with HUD**
2. A description of your community
support:
a. A description of your links to the
community at large and to the minority
and elderly communities in particular;
and
b. A description of your efforts to
involve elderly persons, including
minority elderly persons and persons
with disabilities in:
(1) The development of the
application;
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(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 neighborhoodbased organizations, associations, or any
committees that support programs and
activities that enhance projects or the
lives of residents of the projects, such as
the one proposed in your application.
If you are not currently active,
describe the specific steps you will take
to become active in the Consolidated
Planning and AI processes. (Consult the
local HUD office for the identification of
the Consolidated Plan community
process for the appropriate area.)
d. A description of how the assisted
living facility will implement practical
solutions that will result in assisting
residents in achieving independent
living and improved living
environment. The description should
include a discussion of performance
goals with performance indicators (refer
to Section V.B. of the General Section
for further detail).
e. A description of how you have
supported state and local efforts to
streamline processes and procedures in
the removal of regulatory barriers to
affordable housing. To obtain up to 2
points for this policy priority you must
complete the Form HUD–27300,
Questionnaire for HUD’s Initiative on
Removal of Regulatory Barriers and
provide the required documentation.
See Rating Factor 3 in Section V.A.3 of
this NOFA for more details
3. Evidence of your project being
occupied for at least five years prior to
the date of application to HUD. (Not
applicable to applicants of unused or
underutilized commercial property.)
4. A market analysis of the need for
the proposed ALF units, including
information from both the project and
the housing market, containing:
a. Evidence of need for the ALF by
current project residents: (Not
applicable to applicants of unused or
underutilized commercial property.)
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(1) A description of the demographic
characteristics of the elderly residents
currently living in the project, including
the current number of residents,
distribution of residents by age, race,
and sex, an estimate of the number of
residents with frailties/limitations in
activities of daily living, and an estimate
of the number of residents in need of
assisted living services. (Not applicable
to applicants of unused or underutilized
commercial property.)
(2) A description of the services
currently available to the residents and/
or provided on or off-site and what
services are lacking; (Not applicable to
applicants of unused or underutilized
commercial property.)
b. Evidence of the need for ALF units
by very low-income elderly and
disabled households in the market area;
a description of the trend in elderly and
disabled population and household
change; data on the demographic
characteristics of the very low-income
elderly in need of assisted living
services (age, race, sex, household size,
and tenure) and extent of residents with
frailty/limitations in existing federally
assisted housing for the elderly (HUD
and Rural Housing Service); and an
estimate of the very low-income elderly
and disabled in need of assisted living
taking into consideration any available
state or local data.
c. A description of the extent, types,
and availability and cost of alternate
care and services locally, such as home
health care; adult day care;
housekeeping services; meals programs;
visiting nurses; on-call transportation
services; health care; and providers of
supportive services who address the
needs of the local low income
population.
d. A description of how information
in the community’s Analysis of
Impediments to Fair Housing Choice
was used in documenting the need for
the ALF (covering items in c. above.
5. A description of the physical
construction aspects of the ALF
conversion, including the following:
a. How you propose to carry out the
physical conversion (including a
timetable and relocation planning).
Completion of Exhibit 10(i.) Logic
Model will assist in completing your
response to this Exhibit.
b. A short narrative stating the
number of units, special design features,
community and office space/storage,
dining and kitchen facility and staff
space, and the physical relationship to
the rest of the project. Also, you must
describe how this design will facilitate
the delivery of services in an
economical fashion in the most
integrated setting appropriate to the
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needs of the participating residents with
disabilities and accommodate the
changing needs of the residents over at
least the next 10 years.
c. A description on how the project
will promote energy efficiency,
including any plans to incorporate
energy efficiency features in the design
and operation of the ALF through the
use of Energy Star labeled products and
appliances. Applicants that meet this
policy priority will receive two points
under Rating Factor 3 in Section V.A.3
of this NOFA. Refer to the General
Section for further information on this
requirement or for further information
about Energy Star see https://
www.energystar.gov.
d. A copy of the original plans for all
units and other areas of the
development, which will be included in
the conversion. (If you are applying to
convert an unused or underutilized
commercial facility to assisted living,
provide a copy of the original plans of
the facility as well as a copy of the plans
of the facility as most recently operated,
if different).
e. A description of the conversion
must clearly address how the units will
conform to the accessibility
requirements described in the Uniform
Federal Accessibility Standards (UFAS).
(For example, all door openings must
have a minimum clear opening of 32
inches; and, all bathrooms and kitchens
must be accessible to and functional for
persons in wheelchairs.)
f. Architectural sketches of the
conversion to a scale of 1⁄4 inch to one
foot that indicate the following:
(1) All doors being widened;
(2) Typical kitchen and bathroom
reconfiguration: show all wheelchair
clearances, wall reinforcing, grab bars,
and elevations of counters and work
surfaces;
(3) Bedroom/living/dining area
modification, if needed;
(4) Any reconfigured common space;
(5) Added/reconfigured office and
storage space;
(6) Monitoring stations, and
(7) The kitchen and dining facility.
All architectural modifications must
meet section 504 and ADA requirements
as appropriate.
g. A budget showing estimated costs
for materials, supplies, fixtures, and
labor for each of the items listed in
Section IV.B.5.f, items (1) through (7),
above.
h. Include firm financial commitment
letters with specific dollar amounts
from appropriate organization(s) for
conversion needs (within the scope of
the ALF conversion NOFA) which will
be supported by non-HUD funding.
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i. A description of any relocation of
current tenants including a statement
that: (Not applicable to applicants of
unused or underutilized commercial
property.)
(1) Indicates the estimated cost of
temporary relocation payments and
other related services;
(2) Identifies the staff organization
that will carry out the relocation
activities; and
(3) Identifies all tenants that will have
to be temporarily moved to another unit
within the development OR from the
development during the period that the
physical conversion of the project is
under way.
Note: If any of the relocation costs will be
funded from sources other than the alcp
grant, you must provide evidence of a firm
financial commitment of these funds. When
evaluating applications, HUD will consider
the total cost of proposals (i.e., cost of
conversion, temporary relocation, service
coordinator, and other project costs).
6. A description of any retrofit or
renovation that will be done at the
project (with third party funds) that is
separate and distinct from the ALF
conversion. With such description,
include as part of your application
submission firm commitment letters
from third party organizations in
specific dollar amounts that will cover
the cost of any work outside the scope
of this NOFA.
7. A letter from the local zoning
official indicating evidence of
permissive zoning. Also, showing that
the modifications to include the ALF
into the project as proposed are
permissible under applicable zoning
ordinances or regulations.
8. A supportive services plan (SSP), a
copy of which must be submitted to the
appropriate state and/or local agency as
instructed in Section III.C.3.f. above in
this NOFA. For those applicants
needing to contact state Medicaid
offices, a list is provided on the Internet
at https://www.cms.hhs.gov/medicaid.
The SSP must include:
a. A description of the supportive
services needed for the frail elderly the
ALF is expected to serve. This must
include at least (1) meals and such other
supportive services required locally or
by the state, and (2) such optional
services or care to be offered on an ‘‘as
needed’’ basis.
Examples of both mandatory and
optional services (which will vary from
state to state) are: two meals and two
snacks or three meals daily; 24-hour
protective oversight; personal care;
housekeeping services; personal
counseling, and transportation.
b. A description of how you will
provide the supportive services to those
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who are frail and have disabilities (i.e.,
on or off-site or combination of on or
off-site), including an explanation of
how the service coordination role will
facilitate the adequate provision of such
services to ALF residents, and how the
services will meet the identified needs
of the residents. Also indicate how you
intend to fund the service coordinator
role.
c. A description of how the operation
of your ALF will work. Address: (1)
General operating procedures; (2) ALF
philosophy and how it will promote the
autonomy and independence of the frail
elderly and persons with disabilities; (3)
what will the service coordination
function do and the extent to which this
function already exists, or will be
augmented or new; (4) ALF staff training
plans; and (5) the degree to which and
how the ALF will relate to the day-today 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
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provider/paying organization. There
must be a letter from EACH
participating organization listed in
paragraph e, above.
g. A support letter from EACH
governmental agency that provides
licensing for ALFs in that jurisdiction.
h. A description of your relevant
experience in arranging for and/or
delivering supportive services to frail
residents. (If you are applying to convert
an unused or underutilized commercial
facility to assisted living, provide
information on your relevant experience
in arranging for and/or delivering
supportive services to frail elderly
persons). The description should
include any supportive services
facilities owned/operated; your past or
current involvement in any projectbased programs that demonstrates your
management capabilities. The
description should include data on the
facilities and specific meals and/or
supportive services provided on a
regular basis, the racial/ethnic
composition of the populations served,
if available, and information and
testimonials from residents or
community leaders on the quality of the
services.
Note: If a funds request for service
coordination for the ALF and/or the whole
project is included as part of this application,
the Form SF–424, indicating the dollars
requested must be attached as Exhibit 10(a).
Do NOT attach the whole service coordinator
application.
9. A description of your project’s
resources: (Items (9)(a)–(b) are not
applicable to applicants of unused or
underutilized commercial property.)
a. A copy of the most recent project
Reserve and Replacement account
statement, and a Reserve for
Replacement analysis showing plans for
its use over the next five years, and any
approvals received from the HUD field
office to date.
b. A copy of the most recent Residual
Receipts Account statement. Indicate
any approvals for the use of such
receipts from the field office for over
$500/unit.
c. Annual Financial Statement (AFS).
If your FY2005 AFS was due to REAC
more than 120 days BEFORE the due
date for this application, in the interest
of reducing work burden, only include
the date that it was sent to REAC. If the
AFS was due to REAC 120 days or less
from the due date of this application,
you MUST include a paper copy of your
AFS. For commercial properties, submit
the most recent financial statement or
annual report.
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10. Forms and Certifications. The
following exhibits, forms, certifications,
and assurances are required:
a. Form SF–424, Application for
Federal Assistance*, and compliance
with Executive Order 12372 (a
certification that you have submitted a
copy of your application, if required, to
the state agency (Single Point of
Contact) for state review in accordance
with Executive Order 12372 (refer to the
General Section for instructions in
submitting this form).
b. SF–424 Supplement, Survey for
Ensuring Equal Opportunity for
Applicants*.
c. Form HUD–424–CB, Grant
Applications Detailed Budget*.
d. Form HUD–424–CBW, Grant
Application Detailed Budget
worksheet*.
e. Form HUD–2880, Applicant/
Recipient Disclosure/Update Report*,
including Social Security and
Employment Identification numbers. A
disclosure of assistance from other
government sources received in
connection with the project.
f. Form HUD–2991, Certification of
Consistency with the Consolidated
Plan* for the jurisdiction in which the
proposed ALF will be located. The
certification must be made by the unit
of general local government if it is
required to have, or has, a complete
Plan. Otherwise, the certification may
be made by the state, or by the unit of
general local government if the project
will be located within the jurisdiction of
the unit of general local government
authorized to use an abbreviated
strategy, and if it is willing to prepare
such a Plan.
All certifications must be made by the
public official responsible for
submitting the plan to HUD. The
certifications must be submitted by the
application submission deadline date
set forth herein. The Plan regulations
are published in 24 CFR part 91.
g. Form HUD–2530, Previous
Participation Certification. This form
will provide HUD with a report of all
your previous participation in HUD
multifamily projects. This is in addition
to the ‘‘Name Check Review’’ process.
Refer to the General Section for
information on this requirement under
‘‘Name Check Review’’.
h. Standard Form–LLL, Disclosure of
Lobbying Activities*.
i. Form HUD–96010, Program
Outcome Logic Model*.
j. Form HUD–27300, Removal of
Regulatory Barriers* (and supporting
documentation).
k. Certification of Consistency with
RC/EZ/EC–II Strategic Plan (HUD–
2990), if applicable.
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l. Form HUD–96011, Facsimile
Transmittal Cover Page. This form must
be used as part of the electronic
application to transmit third party
documents and other information as
described in the General Section as part
of your electronic application submittal
(if applicable).
*Copies of these forms may be found
in the General Section. The electronic
version of the NOFA contains all forms
required for submitting the ALCP
application. The form SF–424–B,
Assurances and Certifications, is no
longer required as a separate
submission. Refer to the General Section
for further information on this
requirement.
C. Submission Date and Time
1. Application Submission Date.
Beginning this year, and unless you
received a waiver to the electronic
application submission requirements,
your completed ALCP application must
be submitted through the https://
www.grants.gov/Apply and must be
received by Grants.gov no later than
11:59:59 Eastern Time on the
application submission date. (Refer to
Section IV.F. of the General Section for
further instructions on the delivery and
receipt of applications.
D. Intergovernmental Review
1. Executive Order 12372. ALCP
applicants are subject to the Executive
Order 12372 process. Standard Form
424, Application for Federal Assistance,
includes compliance with Executive
Order 12372 (a certification that you
have submitted a copy of your
application, if required, to the state
agency (Single Point of Contact) for state
review. (Also, refer to Section IV.D. of
the General Section for instructions on
the intergovernmental review process.)
2. You must submit a Supportive
Services Plan (SSP) for the services and
coordination of the supportive services
that will be offered in the assisted living
facility (ALF) to the appropriate state or
local organization(s), which are
expected to fund those supportive
services. You must submit one copy of
your SSP to each appropriate state or
local service funding organizations well
in advance of the application deadline,
for appropriate review. The state or
local funding organization(s) must
return the SSP to you with appropriate
comments and an indication of the
funding commitment, which you will
then include with the application you
submit to HUD.
You must ALSO submit the SSP to the
appropriate organization(s) that license
ALFs in your jurisdiction. The licensing
agency(ies) must approve your plan, and
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must also certify that the ALF and the
proposed supportive services identified
in your SSP, are consistent with local
statute and regulations and well
designed to serve the needs of the frail
elderly and people with disabilities who
will reside in the ALF portion of your
project.
E. Funding Restrictions
1. Costs of meals and supportive
services are NOT covered by this HUD
grant. These items must be paid for
through other sources (e.g., a mix of
resident fees and/or third party
providers). Evidence of third party
commitment(s) must be included as part
of the application. The assisted living
supportive services program must
promote independence and provide
personal care assistance based on
individual needs in a home-like
environment. In accordance with
Section 504 of the Rehabilitation Act of
1973 and HUD’s regulations at 24 CFR
8.4(d), the project must deliver services
in the most integrated setting
appropriate to the needs of qualified
individuals with disabilities.
2. This program does NOT allow
permanent displacement of any resident
living in the project at the time the
application was submitted to HUD.
(HUD will only provide temporary
relocation costs for current tenants if
they must vacate their unit while
conversion work is underway (normal
temporary relocation costs include
increases in rent, reconnection of
telephones, moving costs, and
appropriate out-of-pocket expenses).
(Not applicable to applicants of
commercial property.)
3. Ineligible Activities. You may not
use funds available through this NOFA
to:
a. Add additional dwelling units to
the existing project (not applicable to
applicants of commercial property);
b. Pay the costs of any of the
necessary direct supportive services
needed to operate the ALF;
c. Purchase or lease additional land;
d. Rehabilitate (see definition at 24
CFR 891.105) the project for needs
unrelated directly to the conversion of
units and common space for assisted
living.
e. Use the ALCP to reduce the number
of accessible units in the project that are
not part of the ALF (not applicable to
applicants of commercial property);
f. Permanently displace any resident
out of the project (permanent relocation
is prohibited under this program)
g. Increase the management fee.
h. Cover the cost of activities not
directly related to the conversion of the
units and common space. (i.e., if an
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applicant is applying to convert 24 units
on 2 floors of a 5-story elderly housing
development and the inspection by the
Fire Marshal reveals that sprinklers
must be installed in the entire building,
ALCP funds will be used only to install
sprinklers for the 24 units on the 2
floors requested in the application. The
cost to install sprinklers in the
remaining units must be paid for out of
other resources.
i. Transfer the ALCP grant to any
other entity. If you are awarded an
ALCP grant, you are expected to be the
recipient of the grant and to carry out
the conversion activities. The
Department will not approve the
transfer of the ALCP grant to any other
entity.
F. Other Submission Requirements
Application Submission and Receipt
Procedures. HUD has implemented new
procedures that impact application
submission procedures. Refer to Section
IV.F. of the General Section for specific
procedures for the mailing of
applications.
1. Electronic Delivery. Beginning in
fiscal year 2005, ALCP applicants must
submit their applications electronically
through https://www.grants.gov/Apply,
unless a waiver is granted.
a. The https://www.grants.gov/Apply
offer a simple, unified application
process. There are six ‘‘Get Started’’
steps to complete at the https://
www.grants.gov Web site. ALCP
applicants should read the Get Started
steps carefully. Also, the site contains
registration checklists to help you
through the process. Refer to Section IV.
F of the General Section for further
details on this requirement.
b. DUNS requirement. All ALCP
applicants must have a DUN and
Bradstreet Universal Data Numbering
Systems (DUNS) number. The DUNS
number must be included in the data
entry field labeled ‘‘organizational
DUNS’’ on the form SF–424.
Instructions for obtaining a DUNS
number can be found at either https://
www.hud.gov/offices/adm/grants/
duns.cfm or https://www.Grants.gov/
GetStarted.
c. Central Contractor Registry and
Credential Provider Registration. In
addition to having a DUNS number,
ALCP applicants applying electronically
through Grants.gov must register with
the Federal Central Contractor Registry
and with a Credential Provider. Refer to
the General Section on how to meet this
requirement.
d. Electronic signature. ALCP
applications submitted through
grants.gov constitute submission as an
electronically signed application. Refer
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to the General Section for further details
on this requirement.
2. Instructions on how to submit an
electronic application to HUD via
grants.gov/Apply: Grants.gov has a full
set of instructions on how to apply for
funds on its Web site at https://
www.grants.gov/CompleteApplication.
Refer to the General Section on how to
meet this requirement.
3. Waiver of Electronic Submission
Requirement. HUD will only accept
electronic applications submitted
through https://www.grants.gov unless
the ALCP applicant has received a
waiver. Refer to the General Section for
further instructions on this requirement.
4. Proof of Timely Submission. ALCP
applicants must submit their
applications to https://www.grants.gov in
time for receipt at Grants.gov by
11:59:59 p.m. eastern time on the
application submission date of June 22,
2005. (Refer to the General Section for
specific procedures regarding proof of
timely submission of applications.)
V. Application Review Information
A. Criteria
HUD will rate ALCP applications that
successfully complete technical
processing using the Rating Factors set
forth below and in accordance with the
application submission requirements
identified in Section IV.B. above. The
maximum number of points an
application may receive under this
program is 102. This includes two RC/
EZ/EC–II bonus points, as described in
the General Section and Section V.A.6.
below.
HUD wants to make its programs
more effective, efficient, and accessible
by expanding opportunities for
grassroots organizations to participate in
developing solutions for their own
neighborhood. The Department
encourages applicants to partner, fund,
or sub-contract with grassroots
organizations, including faith-based and
other community-based organizations in
conducting their work programs. (Refer
to the policy priorities contained in the
General Section for the definition of
‘‘grassroots organizations’’).
1. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Staff (20 Points). This factor addresses
your capacity to carry out the
conversion in a timely, cost-conscious
and effective manner. It also addresses
your experience at providing the
proposed supportive services you
intend to make available at the ALF for
elderly residents, especially in such
areas as meals, 24-hour staffing and onsite health care. Submit information
responding to this factor in accordance
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with Application Submission
Requirements in Sections IV.B.5.a. and
b. and 8.a. through c and h. of this
NOFA.
In rating this factor, HUD will
consider the extent to which your
application demonstrates your ability to
carry out a successful conversion of the
project and to implement the plan to
deliver the supportive services on a
long-term basis, considering the
following:
a. (9 points). The time frame planned
for carrying out the physical conversion
of the development to the ALF.
b. (10 points). Your past experience in
providing or arranging for supportive
services either on or off site for those
who are frail. (If you are applying to
convert an unused or underutilized
commercial facility to assisted living
and you do not own or operate a project
with frail elderly residents, you must
provide information on any past
experience in providing or arranging
supportive services for those who are
frail.) Examples are: Meals delivered to
apartment of resident or in a congregate
setting (2 points), arranging for or
providing personal care (3 points),
providing 24-hour staffing (1 point),
providing or making available on-site
preventive health care (2 points) and
other support services (2 points).
c. (1 point). The Department will
provide 1 point to those applicants who
currently or propose to partner, fund, or
subcontract with grassroots
organizations. HUD will consider an
organization a ‘‘grassroots organization’’
if the organization is headquartered in
the local community and has a social
services budget of $300,000 or less; or
has six or fewer full-time equivalent
employees. (Refer to the General Section
for further information on policy
priority points for activities related to
grassroots organizations.)
2. Rating Factor 2: Need/Extent of the
Problem (20 Points). This factor
addresses the extent to which the
conversion is needed by the categories
of elderly persons and persons with
disabilities that the ALF is intended to
serve (very low-income elderly persons
and persons with disabilities who have
limitations in three or more activities of
daily living). The application must
include evidence of current needs
among project residents (not applicable
to applicants proposing to convert
unused or underutilized commercial
facilities) and needs of potential
residents in the housing market area for
such persons including economic and
demographic information on very lowincome, frail, elderly, and persons with
disabilities and information on current
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assisted living resources in the market
area.
The factor also addresses your
inability to fund the repairs or
conversion activities from existing
financial resources. In making this
determination, HUD will consider
project financial information or the
organization’s financial information for
unused or underutilized commercial
facilities. Submit information
responding to this factor in accordance
with Application Submission
Requirements in Sections IV.B.2.c., 4.a.
through d., and 9.a. through c. of this
NOFA. In evaluating this factor, HUD
will consider:
a. (7 points). The need for assisted
living among the elderly and disable
residents of the project taking into
consideration those currently in need
and the depth of future needs given
aging in place. (Not applicable to
applications to convert unused or
underutilized commercial facilities to
assisted living.)
b. (3 points (10 points for applications
to convert unused or underutilized
commercial facilities to assisted
living.)). The need for assisted living
among very low-income elderly persons
and persons with disabilities in the
housing market area.
c. (9 points). Insufficient funding for
any needed conversion work, as
evidenced by the project’s financial
statements and specifically the lack of
excess Reserve for Replacement dollars
and residual receipts. If the available
Reserve for Replacement and residual
receipts are less than 10 percent of the
total funds needed = 9 points; if the
available Reserve for Replacement and
residual receipts are 10–50 percent of
need = 5 points; and, if the available
Reserve for Replacement and residual
receipts are 51 percent or more of the
total funds needed = 0 points). For
commercial properties, if the available
working capital is 10 percent or more of
the total conversion = 5 points; if the
working capital is less than 10 percent
of the total conversion = 9 points.
d. (1 point). The Department will
provide one point to those applications
which establish a connection between
the proposed ALF and the community’s
Analysis of Impediments to Fair
Housing Choice (AI) or other planning
document that analyzes fair housing
issues and is prepared by a local
planning or similar organization.
3. Rating Factor 3: Soundness of
Approach (40 Points). This factor
addresses the quality and effectiveness
of your proposal in addressing the
proposed conversion, effectiveness of
service coordination and management
planning and the meals and supportive
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services which the ALF intends to
provide, whether the jurisdiction in
which the ALF is located has taken
successful efforts to remove regulatory
barriers to affordable housing, whether
you will incorporate energy efficiency
in the design and operation of the
assisted living facility and the extent to
which you have evidenced general
support for conversion by participating
in your community’s Consolidated
Planning Process, involving the
residents in the planning process (not
applicable to applications proposing to
convert unused or underutilized
commercial facilities). There must also
be a relationship between the proposed
activities, the project’s and the
community’s needs and purposes of the
program funding for your application to
receive points for this factor. Submit
information responding to this factor in
accordance with Application
Submission Requirements in Sections
IV.B.2.a. through c. and e., IV.B.4.e.,
IV.B.5.b. through e., IV. B.8.a. through
e., g., and h. of this NOFA. In evaluating
this factor, HUD will consider the
following:
a. (11 points). The extent to which the
proposed ALF design will meet the
special physical needs of frail elderly
persons or persons with disabilities
expected to be served at reasonable cost
(consider the ALF design: meets needs
= 11 points; ALF design partially meets
needs = 5 points; and ALF design does
not meet needs = 0 points).
b. (11 points). The extent to which the
ALF’s proposed management and
operational plan ensures that the
provision of both meals and supportive
services planned will be accomplished
over time. (Consider ALF design/
management plan: meets needs of
management operations = 11 points;
ALF design/management plan partially
meets needs of management operations
= 5 points; and ALF design/management
plan does not meet needs of
management operations = 0 points.)
c. (7 points). The extent to which the
proposed supportive services meet the
anticipated needs of the frail elderly and
disabled residents (does meet = 7
points; partially meets needs = 4 points;
and, does not meet needs = 0 points);
and
d. (7 points). The extent to which the
service coordination function is
addressed and explained as onsite and
sufficient, onsite and augmented or
new, and addresses the ongoing
procurement of needed services for the
residents of the ALF (does meet = 7
points, partially meets = 4 points, does
not meet = 0 points).
e. (2 points). The steps you have taken
which support State and local efforts in
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streamlining processes and procedures
that eliminate redundant requirements,
statutes, regulations and codes which
impede the availability of affordable
housing. To receive points for removal
of regulatory barriers, applicants must
include in their response the completed
Questionnaire HUD Form 27300. (Refer
to the General Section for further
information.
f. (2 points). Describe how you plan
to incorporate energy efficiency
activities in the design or the operation
of the assisted living facility through the
use of Energy Star labeled products and
appliances.
4. Rating Factor 4: Leveraging
Resources (10 Points). This factor
addresses your ability to secure other
community resources that can be
combined with HUD’s grant funds to
achieve program purposes. For the
ALCP to succeed, you must generate
local funding for the necessary
supportive services to operate the ALF.
HUD also encourages local funding for
some of the necessary conversion work,
or other work needed in the project (e.g.,
general modernization) which is NOT
specifically linked to the ALF).
Submit information responding to this
factor in accordance with Application
Submission Requirements in Section
IV.B.5.h. and i., B.6., and B.8.e. through
g. of this NOFA.
a. (5 points). The extent to which
there are commitments for the funding
needed for the meals and the supportive
services planned for the ALF and that
the total cost of the estimated budget of
the ALF is covered. Consider 90 percent
or more commitment of the total budget
with no more than 10 percent for meals
and services = 5 points; 80–89.9 percent
with no more than 20 percent for meals
and services = 4 points; 65–79.9 percent
with no more than 35 percent for meals
and services = 3 points; 40–64.9 percent
with no more than 60 percent for meals
and services = 2 points; less than 40
percent commitment of the total budget
with no more than 60 percent support
for meals and services = 0 points.
b. (3 points). The extent of local
organizations’ support, which is firmly
committed to providing at least 50
percent of the total cost of ALF
conversion (consider 50% or more = 3
points, 20–49.9 percent = 2 points, and
under 20 percent = 0 points).
c. (2 points). The extent of local
organizational support which is firmly
committed to providing funds for
additional repair or retrofit necessary for
the project NOT specifically directed to
activities eligible under this NOFA
(funds firmly committed = 2 points,
funds not committed = 0 points).
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5. Rating Factor 5: Achieving Results
and Program Evaluation (10 Points).
This factor reflects HUD’s goal to
embrace high standards of ethics,
management and accountability. This
factor emphasizes HUD’s commitment
to ensure that promises you make in the
application are kept; and to ensure
performance goals with outcomes are
established and are met (refer to Section
V.B. of the General Section for more
detail). Outcomes may include the
extent to which your project will
implement practical solutions that will
result in assisting residents in achieving
independent living and an improved
living environment, as well as the extent
to which the project will be viable
absent HUD funds but rely more on
state, local, and private funds. Submit
information responding to this factor in
accordance with Application
Submission Requirements in Section
IV.B.2.d., 5.a. through g., and 8.a.
through e. of this NOFA. Completion of
the Form HUD–96010, Program
Outcome Logic Model will assist you in
completing your response to this
requirement.
a. (4 points). Describe the extent to
which your conversion time frame
reflects the length of time it will take to
convert the units describing how
residents will benefit from the
conversion of the units; and how the
converted units will result in ALF
residents being able to age in place;
b. (2 points). Describe the extent to
which your assisted living facility will
implement practical solutions that will
result in assisting residents in achieving
independent living and improved living
environment.
c. (2 points). Demonstrate how the
project will be viable absent HUD funds
while relying more on state, local, and
private funds.
d. (2 point). Describe the extent to
which the ALFs operating philosophy
promotes the autonomy and
independence of the frail elderly
persons it is intended to serve (is fully
addressed = 2 points, no or not
addressed = 0 points).
6. Bonus Points (2 bonus points). The
project to be converted is located in an
RC/EZ/EC–II area, as described in the
General Section.
B. Reviews and Selection Process
1. The ALCP will fund those
applications that may impact federal
problem solving and policymaking and
that are relevant to HUD’s policy
priorities and annual goals and
objectives. (Refer to the General Section
for discussion of these priorities and
annual goals and objectives). For the
Assisted Living Conversion Program,
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applicants who include work activities
that specifically address the policy
priorities of removing barriers to
affordable housing and promoting
energy efficiency in the design and
operation of the ALF will receive
additional points. For information
pertaining to the removal of barriers to
affordable housing see https://
www.hud.gov/grants/index.cfm and for
information about Energy Star see
https://www.energystar.gov.
2. Review for Curable Deficiencies.
You should ensure that your application
is complete before submitting it to HUD
electronically through the https://
www.grants.gov/Apply Web site. If you
received a waiver of the electronic
submission requirement, you must
submit an original and four copies to the
appropriate HUD Hub Office.
Submitting fewer than the original and
four copies of the application is not a
curable deficiency and will cause your
application to be considered nonresponsive to the NOFA and returned to
you.
HUD will screen all applications
received by the deadline for curable
deficiencies. With respect to correction
of deficient applications, HUD may not,
after the application due date and
consistent with HUD’s regulations in 24
CFR part 4, subpart B, consider any
unsolicited information an applicant
may want to provide. HUD may contact
an applicant to clarify an item in the
application or to correct curable
deficiencies. Please note, however, that
HUD may not seek clarification of items
or responses that improve the
substantive quality of a response to any
rating factors. In order not to
unreasonably exclude applications from
being rated and ranked, HUD may
contact applicants to ensure proper
completion of the application and will
do so on a uniform basis for all
applicants. A curable deficiency is a
missing Exhibit or portion of an Exhibit
that will not affect the rating of the
application. In each case, under this
NOFA, the appropriate HUD
Multifamily Hub office will notify you
in writing by describing the clarification
or curable deficiency. You must submit
clarifications or responses to curable
deficiencies in accordance with the
information provided by the Hub office
within 14 calendar days of the date of
HUD notification. (If the due date falls
on a Saturday, Sunday, or Federal
holiday, your correction must be
received by HUD on the next day that
is not a Saturday, Sunday, or Federal
holiday.) If the deficiency is not
corrected within this time period, HUD
will reject the application as
incomplete, and it will not be
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considered for funding. The following is
a list of the deficiencies that will be
considered curable in ALCP
applications:
Exhibits
• * Application Summary.
• * Articles of Incorporation, or
certification of Articles of Incorporation.
• * By-laws, or certification of bylaws.
• Evidence of occupancy for at least
five years (not applicable to commercial
facilities).
• Original project plans.
• Relocation Plan (not applicable to
commercial property).
• Evidence of Permissive Zoning.
The appropriate Hub office will notify
you in writing if your application is
missing any of the exhibits listed above
and you will be given 14 days from the
date of the HUD notification to submit
the information required to cure the
noted deficiencies. The exhibits
identified by an asterisk (*) must be
dated on or before the application
deadline date. If not so dated the
application will be rejected.
After the completeness review, HUD
staff will review your application to
determine whether the application
meets the threshold requirements.
3. Threshold Review. Only those
ALCP applications that meet all
threshold requirements will be eligible
to receive an award. Applications that
do not pass threshold will be rejected.
(See Section III.C 2. above of this NOFA
for threshold requirements).
4. Appeal Process. Upon rejection of
an ALCP application, HUD must send a
letter to the Owner outlining all reasons
for rejection. The Owner has 14
calendar days from the date of the letter
to appeal the rejection. If the Owner
submits an appeal, which causes the
rejection to be overturned, the
application is then rated, ranked, and
submitted to the selection panel for
consideration. If the Owner does not
appeal or does appeal but the rejection
is not overturned, the application
remains a reject.
5. Review Panels. The Office of
Housing’s Multifamily Hubs will
establish panels to review all eligible
applications that have passed threshold.
6. Rating of Applications (See
paragraph below for selection of
applications for commercial properties).
HUD staff teams will review and rate
ALCP applications in accordance with
the Ranking and Selection procedures
outlined below. All applications will be
either rated or technically rejected at the
end of technical review. If your
application meets all program eligibility
requirements after completion of
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technical review, it will be rated
according to the rating selection factors
in Section V.A. above of this NOFA.
HUD reserves the right to reduce the
amount requested in the application if
any proposed components are ineligible
or if the cost of items is not deemed
reasonable. HUD will NOT reject an
ALCP application based on technical
review without notifying you of that
rejection with all the reasons for the
rejection, and providing you an
opportunity to appeal. As discussed
above, you will have 14 calendar days
from the date of HUD’s written notice to
appeal a technical rejection to the
Multifamily Hub where the applications
were sent originally. HUD staff will
make a determination on an appeal
before finalizing selection
recommendations.
7. Ranking and Selection Procedures.
(Paragraphs (5)(a)–(d) are not applicable
to applications from owners of
commercial properties.)
Applications submitted in response to
this NOFA that are eligible, pass
threshold and have a total score of 75
points (or more) are eligible for ranking
and selection. (Applications for the
conversion of commercial properties
with a score of at least 75 points will not
be ranked but will be submitted to HUD
Headquarters for selection.)
a. Hub staff teams will be established
for ALCP review in each Hub to do the
application ratings.
b. From within rank order, Hub staff
teams in each of the 18 Hubs will select
the highest ranked applications from
within that Hub in rank order, which
can be funded from within the dollars
available. Each Hub will select
applications based on rank order up to
and including the last application that
can be funded out of each Hub’s
allocation. Hubs must not skip over any
applications in order to select one based
on the funds remaining.
c. After making the initial selections,
however, Hubs may use any residual
funds to select the next rank-ordered
application by reducing the dollars
requested by no more than 10 percent
and reducing the number of units
proposed, but in no case reducing the
number of units below the financial
threshold feasibility of five ALF units.
d. Funds remaining after these
processes are completed will be
returned to HUD Headquarters. HUD
Headquarters will use these funds to
restore units to any project reduced as
a result of using the residual grant funds
in a Hub. Finally, HUD will use these
funds for selecting one or more
additional applications based on the
Hubs rating and rankings, beginning
with the highest rated application
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within the 18 Hubs. Only one
application will be selected per Hub
from the national residual amount. If
there are no approvable applications in
other Hubs, the process will begin again
with the selection of the next highest
rated application within the remaining
Hubs. This process will continue until
all approvable applications are selected
using the available remaining funds. If
there is a tie score between two or more
applications, and there are insufficient
residual funds to cover all tied
applications, HUD Headquarters staff
will choose the winning application(s)
by lottery and/or reduction of grant
requests consistent with the instructions
above.
e. Only one application will be
selected using the $5 million set-aside
to provide grant funds to a private
nonprofit applicant proposing to
convert an unused or underutilized
commercial property into assisted
living. HUD Multifamily Hubs will
review applications for commercial
properties for completeness and
compliance with the eligibility criteria
set forth in Section III. of this NOFA.
Hub staff will forward applications to
Headquarters providing the application
was received by the deadline date,
meets all eligibility criteria, proposes
reasonable costs for eligible activities,
includes all technical corrections by the
designated deadline date and must have
received a score of 75 points or more.
Headquarters will select only one on a
first-come, first-served basis that can be
funded within the money available.
Note: Only one application that can be
fully funded will be selected. Any remaining
funds after this selection process will be
returned to the funds allocated for eligible
multifamily assisted projects.
VI. Award Administration Information
A. Award Notices
1. The Grant Agreement, and the
Form HUD–1044, signed by both the
Recipient and Grant Officer, shall serve
as the authorizing award documents.
Unsuccessful applicants will be
notified, by mail, within 30 days of the
announcement of the awards.
2. Adjustments to Funding. a. HUD
will not fund any portion of your
application that is not eligible for
funding under specific program
statutory or regulatory requirements;
does not meet the requirements if this
notice; or may be duplicative of other
funded programs or activities. Only the
eligible portion of your application will
be funded.
3. Applicant Debriefing. All requests
for debriefing must be made in writing
and submitted to the local Hub in which
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you applied for assistance. Materials
provided to you during your debriefing
will include the final scores you
received for each rating factor, final
evaluator comments for each rating
factor, and the final assessment
indicating the basis upon which
assistance was provided or denied.
Information regarding this procedure
may be found in the General Section.
B. Administrative and National Policy
Requirements. See Section III.C. of this
NOFA and the General Section.
C. Reporting
1. Recipients of funding under this
program NOFA shall submit a progress
report every six months after the
effective date of the Grant Agreement.
Progress reports shall include reports on
performance using the Logic Model
(form HUD 90610) approved in your
award agreement and financial progress.
VII. Agency Contacts
A. For Further Information and
Technical Assistance
You should contact the Multifamily
Hub where you will be mailing your
ALCP Application. (Please refer to Hub
telephone numbers in Appendix 1 of
this NOFA.)
You also may contact Faye Norman,
Housing Project Manager at (202) 708–
3000, extension 2482 or Aretha
Williams, Director, Grant Policy and
Management Division, Room 6138 at
(202) 708–3000, extension 2480 for
questions regarding the ALF grant
award process. These are not toll-free
numbers. Ms. Norman can be reached
by e-mail at Faye_L._Norman@hud.gov
and Ms. Williams at
aretha_m._williams@hud.gov. Both Ms.
Norman and Ms. Williams are located at
the U.S. Department of Housing and
Urban Development; 451 Seventh Street,
SW.; Washington, DC 20410.
If you have a hearing or speech
impairment, you may access the
telephone number via TTY by calling
the Federal Information Relay Service at
800–877–8339.
Application. All information for the
submission of your application is
included in this NOFA and the General
Section. You may also obtain an ALCP
application by calling the NOFA
Information Center at (voice) 800–HUD–
8929 (800–483–8929). Persons with a
hearing or speech impairment may call
the Center’s TTY number at 800–HUD–
2209. Please be sure to provide your
name, address (including zip code), and
telephone number (including area code).
The application is also available on the
Internet through the HUD Web site at
https://www.hud.gov.grants/index.cfm.
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Note: There is a separate application for
service coordinator funds (which is necessary
for those needing to enhance or add service
coordination per Section III. of this NOFA).
VIII. Other Information
A. Paperwork Reduction Act.
The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (4 U.S.C. 3501–3520) and
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assigned OMB control number 2502–
0542. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 2,550 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
data for the application, semi-annual
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reports, and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
B. Appendices
Appendix 1 presents the list of HUD
offices. Appendix 2 to this NOFA
provides the forms that are specific to
this NOFA.
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BILLING CODE 4210–32–C
Service Coordinators in Multifamily
Housing
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of the Assistant Secretary for
Housing-Federal Housing
Commissioner.
B. Funding Opportunity Title: Service
Coordinators In Multifamily Housing.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number for this NOFA
is FR–4950–N–21. The OMB approval
number for this program is 2502–0447.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: 14.191,
Multifamily Housing Service
Coordinators.
F. Dates: The application submission
date is June 24, 2005. (All applications
must be submitted and received by
https://www.grants.gov no later than
11:59:59 p.m. Eastern Time on the
application submission date. See
submission details in the General
Section.)
G. Optional Additional Overview
Information: 1. Available Funds.
Approximately $49.6 million in fiscal
year 2005 funds is available for the
Service Coordinator program. Of these
funds, approximately $10 million is
available in this NOFA for funding new
Service Coordinator programs.
2. Purpose of the program: The
Service Coordinator program allows
multifamily housing owners to assist
elderly individuals and nonelderly
people with disabilities living in HUDassisted housing and in the surrounding
area to obtain needed supportive
services from the community, to enable
them to continue living as
independently as possible in their
homes.
3. Eligible Applicants: Only owners of
eligible multifamily assisted
developments may apply for and
become the recipient of grant funds.
Full Text of Announcement:
I. Funding Opportunity Description
A. The Service Coordinator Program
The Service Coordinator Program
provides funding for the employment
and support of Service Coordinators in
insured and assisted housing
developments that were designed for the
elderly or nonelderly persons with
disabilities and continue to operate as
such. Service Coordinators help
residents obtain supportive services
from the community that are needed to
enable independent living and aging in
place.
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A Service Coordinator is a social
service staff person hired or contracted
by the development’s owner or
management company. The Service
Coordinator is responsible for assuring
that elderly residents, especially those
who are frail or at risk, and those nonelderly residents with disabilities are
linked to the supportive services they
need to continue living independently
in their current homes. All services
should meet the specific desires and
needs of the residents themselves. The
Service Coordinator may not require any
elderly individual or person with a
disability to accept any specific
supportive service(s).
You may want to review the
Management Agent Handbook 4381.5
REVISION–2, CHANGE–2, Chapter 8 for
further guidance on service
coordinators. This Handbook is
accessible through HUDCLIPS on HUD’s
Web site at https://www.hudclips.org.
The Handbook is in the Handbooks and
Notices—Housing Notices database.
Enter the Handbook number in the
‘‘Document Number’’ field to retrieve
the Handbook.
B. Authority
Section 808 of the Cranston-Gonzalez
National Affordable Housing Act (Pub.
L. 101–625, approved November 28,
1990), as amended by sections 671, 674,
676, and 677 of the Housing and
Community Development Act of 1992
(Pub. L. 102–550, approved October 28,
1992), and section 851 of the American
Homeownership and Economic
Opportunity Act of 2000 (Pub. L. 106–
569, approved December 27, 2000).
C. Definition of Terms Used in This
Program NOFA
1. ‘‘Activities of daily living (ADLs)’’
means eating, dressing, bathing,
grooming, and household management
activities, as further described below:
a. Eating—May need assistance with
cooking, preparing, or serving food, but
must be able to feed self;
b. Bathing—May need assistance in
getting in and out of the shower or tub,
but must be able to wash self;
c. Grooming—May need assistance in
washing hair, but must be able to take
care of personal appearance;
d. Dressing—Must be able to dress
self, but may need occasional assistance;
and
e. Home management activities—May
need assistance in doing housework,
grocery shopping, laundry, or getting to
and from activities such as going to the
doctor and shopping, but must be
mobile. The mobility requirement does
not exclude persons in wheelchairs or
those requiring mobility devices.
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2. ‘‘At-risk elderly person’’ is an
individual 62 years of age or older who
is unable to perform one or two ADLs,
as defined in the above paragraph.
3. ‘‘Frail elderly person’’ means an
individual 62 years of age or older who
is unable to perform at least three ADLs
as defined in the above paragraph.
4. ‘‘People with disabilities’’ means
those individuals who:
a. Have a disability as defined in
Section 223 of the Social Security Act;
b. Have a physical, mental, or
emotional impairment expected to be of
long, continued, and indefinite duration
that substantially impedes the
individual’s ability to live
independently; or
c. Have a developmental disability as
defined in Section 102 of the
Developmental Disabilities Assistance
and Bill of Rights Act of 2000, (42
U.S.C. Section 15002).
5. ‘‘Reasonable costs’’ mean that costs
are consistent with salaries and
administrative costs of similar programs
in your Field office’s jurisdiction.
D. Functions of a Service Coordinator.
The major functions of the Service
Coordinator include the following:
1. Refer and link the residents of the
development to supportive services
provided by the general community.
Such services may include case
management, personal assistance,
homemaker, meals-on-wheels,
transportation, counseling, occasional
visiting nurse, preventive health
screening/wellness, and legal advocacy.
2. Educate residents on service
availability, application procedures,
client rights, etc.
3. Establish linkages with agencies
and service providers in the community.
Shop around to determine/develop the
best ‘‘deals’’ in service pricing, to assure
individualized, flexible, and creative
services for the involved resident.
Provide advocacy as appropriate.
4. Provide case management when
such service is not available through the
general community. This might include
evaluation of health, psychological and
social needs, development of an
individually tailored case plan for
services, and periodic reassessment of
the resident’s situation and needs.
Service Coordinators can also set up a
Professional Assessment Committee
(PAC) to assist in performing initial
resident assessments. (See the guidance
in the Congregate Housing Services
Program (CHSP) regulations at 24 CFR
700.135 (or 1944.258 for Rural Housing
developments).
5. Monitor the ongoing provision of
services from community agencies and
keep the case management and provider
agency current with the progress of the
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individual. Manage the provision of
supportive services where appropriate.
6. Help the residents build informal
support networks with other residents,
family and friends.
7. Work and consult with tenant
organizations and resident management
corporations. Provide training to the
development’s residents in the
obligations of tenancy or coordinate
such training.
8. Create a directory of providers for
use by both development staff and
residents.
9. Educate other staff of the
management team on issues related to
aging in place and Service Coordination,
to help them to better work with and
assist the residents.
II. Award Information
E. Basic Qualifications of Service
Coordinators and Aides
B. Maximum Grant Award
1. Service Coordinator qualifications
include the following:
a. A Bachelor of Social Work or
degree in Gerontology, Psychology or
Counseling is preferable; a college
degree is fully acceptable. You may also
consider individuals who do not have a
college degree, but who have
appropriate work experience.
b. Knowledge of the aging process,
elder services, disability services,
eligibility for and procedures of federal
and applicable state entitlement
programs, legal liability issues relating
to providing Service Coordination, drug
and alcohol use and abuse by the
elderly, and mental health issues.
c. Two to three years experience in
social service delivery with senior
citizens and/or people with disabilities.
Some supervisory or management
experience may be desirable if the
Service Coordinator will work with
aides.
d. Demonstrated working knowledge
of supportive services and other
resources for senior citizens and/or nonelderly people with disabilities
available in the local area.
e. Demonstrated ability to advocate,
organize, problem-solve, and provide
results for the elderly and people with
disabilities.
2. Aides working with a Service
Coordinator should have appropriate
education or experience in working
with the elderly and/or people with
disabilities. An example of an aide
position could be an internship or workstudy program with local colleges and
universities to assist in carrying out
some of the Service Coordinator’s
functions.
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A. Available Funding
The Consolidated Appropriations Act,
2005 (Pub. L. 108–447, approved
December 8, 2004) provides
approximately $50 million to fund
Service Coordinators and the
continuation of existing Congregate
Housing Services Program (CHSP)
grants. (The $50 million appropriation
is subject to a 0.80 percent across-theboard rescission pursuant to P. Law
108–447.) Approximately $10 million of
the available $49.6 million will be used
to fund new Service Coordinator
programs. The remaining amount of
$39.6 million will be used to fund oneyear extensions to expiring Service
Coordinator and CHSP grants.
There is no maximum grant amount.
The grant amount you request will be
based on the Service Coordinator’s
salary and the number of hours worked
each week by that Service Coordinator
(and/or aide). You should base your
determination of the appropriate
number of weekly work hours on the
number of people in the development
who are frail or at-risk elderly or nonelderly people with disabilities. Under
normal circumstances, a full-time
Service Coordinator should be able to
serve about 50–60 frail or at-risk elderly
or non-elderly people with disabilities
on a continuing basis. Your proposed
salary must also be supported by
evidence of comparable salaries in your
area. Gather data from programs near
you to compare your estimates with the
salaries and administrative costs of
currently operating programs. HUD
Field staff can provide you with
contacts at local program sites.
HUD provides funding in the form of
three-year grants. HUD may renew
grants subject to the availability of funds
and the grantee’s acceptable
performance and compliance with
program requirements. HUD will
determine performance based on the
information given in the grantee’s semiannual performance, financial status
reports and periodic Logic Model forms
submitted throughout the course of the
grant term.
III. Eligibility Information
A. Eligible Applicants.
1. You must meet all of the applicable
threshold requirements of Section III.C
of the General Section.
2. You must be an owner of a
development assisted under one of the
following programs:
a. Section 202 Direct Loan;
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b. Project-based Section 8 (including
Section 8 Moderate Rehabilitation), or
c. Section 221(d)(3) below-market
interest rate, and 236 developments that
are insured or assisted.
3. You must be approved to conduct
new business with the Department,
based on HUD’s evaluation of the
applicant’s previous participation
activities as reported on the ‘‘Previous
Participation Certification’’, form HUD–
2530.
4. Additionally, developments listed
in paragraph III.A.2, above, are eligible
only if they meet the following criteria:
a. Have frail or at-risk elderly
residents and/or non-elderly residents
with disabilities who together total at
least 25 percent of the building’s
residents. (For example, in a 52-unit
development, at least 13 residents must
be frail, at-risk, or non-elderly people
with disabilities.)
b. Were designed for the elderly or
persons with disabilities and continue
to operate as such. This includes any
building within a mixed-use
development that was designed for
occupancy by elderly persons or
persons with disabilities at its inception
and continues to operate as such, or
consistent with title VI, subtitle D of the
Housing and Community Development
Act of 1992 (Pub. L. 102–550). If not so
designed, a development in which the
owner gives preferences in tenant
selection (with HUD approval) to
eligible elderly persons or nonelderly
persons with disabilities, for all units in
that development.
c. If FHA insured or financed by a
Section 202 Direct Loan, are current in
mortgage payments or are current under
a workout agreement.
d. Meet HUD’s Uniform Physical
Conditions Standards (codified in 24
CFR part 5, subpart G), based on the
most recent physical inspection report
and responses thereto, as evidenced by
a score of 60 or better on the last
physical inspection or by an approved
plan for developments scoring less than
60.
e. Are in compliance with their
regulatory agreement, Housing
Assistance Payment (HAP) Contract,
and any other outstanding HUD grant or
contract document.
f. Have no available project funds (i.e.,
Section 8 operating funds, residual
receipts, excess income, or surplus cash)
that could pay for a Service Coordinator
program. (‘‘Available funds’’ are those
that require HUD approval for their use
and are not needed to meet critical
project needs.) Field office staff will
make this determination based on
financial records maintained by the
Department and information provided
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by the applicant in the grant
application.
5. If your eligibility status changes
during the course of the grant term,
making you ineligible to receive a grant
(e.g., due to prepayment of mortgage,
sale of property, or opting out of a
Section 8 HAP contract), HUD has the
right to terminate your grant.
6. Ineligible Applicants and
Developments. a. Property management
companies, area agencies on aging, and
other like organizations are not eligible
applicants for Service Coordinator
funds. Such agents may prepare
applications and sign application
documents if they provide written
authorization from the owner
corporation as part of the application. In
such cases, the owner corporation must
be indicated on all forms and
documents as the funding recipient. If
an agent is preparing the application for
an owner, the owner must authorize the
agent as the Authorized Organization
Representative (AOR) in the Grants.gov
Registration process. If you are applying
in paper copy format, you must provide
a letter from the owner authorizing the
submission by the agent on their behalf.
Refer to Section IV.F.2 of the General
Section for more detailed registration
information.
b. Developments not designed for the
elderly, nonelderly people with
disabilities, or those no longer operating
as such;
c. Section 221(d)(4) and Section 515
developments without project-based
Section 8 assistance;
d. Section 202 and 811 developments
with a Project Rental Assistance
Contract (PRAC). Owners of Section 202
PRAC developments may obtain
funding by requesting an increase in
their PRAC payment consistent with
Handbook 4381.5 REVISION–2,
CHANGE–2, Chapter 8;
e. Conventional public housing, as
such term is defined in section 3(b) of
the United States Housing Act of 1937),
and units assisted by project-based
Housing Choice Vouchers, as set forth in
24 CFR Part 983.
f. Renewals of existing Section 8
Service Coordinator subsidy awards or
grants. HUD currently provides one-year
extensions to these subsidy awards and
grants through a separate funding
action.
B. Cost Sharing or Matching
Requirement
None required.
C. Other
1. Eligible Activities. a. Service
Coordinator Program grant funds may be
used to pay for the salary, fringe
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benefits, and related support costs of
employing a service coordinator.
Support costs may include quality
assurance, training, travel, creation of
office space, purchase of office
furniture, equipment, and supplies,
computer hardware, software, and
Internet service, and indirect
administrative costs.
b. You may use grant funds to pay for
Quality Assurance (QA) in an amount
that does not exceed ten percent of the
Service Coordinator’s salary. Eligible
QA activities are those that evaluate
your program to assure that the position
and program are effectively
implemented. A qualified, objective
third party must perform the program
evaluation work and must have work
experience and education in social or
health care services. Your QA activities
must identify short and long term
program outcomes and performance
indicators that will help you measure
your performance. On-site housing
management staff cannot perform QA
and you may not augment current
salaries of in-house staff for this
purpose.
c. You may propose reasonable costs
associated with setting up a confidential
office space for the Service Coordinator.
Such expenses must be one-time only
start-up costs. Such costs may involve
acquisition, leasing, rehabilitation, or
conversion of space. The office space
must be accessible to people with
disabilities and meet the Uniform
Federal Accessibility Standards (UFAS)
requirements of accessibility. HUD field
office staff must approve both the
proposed costs and activity and must
perform an environmental assessment
on such proposed work prior to grant
award.
d. You may use funds to augment a
current Service Coordinator program, by
increasing the hours of a currently
employed Service Coordinator, or hiring
an additional Service Coordinator or
aide on a part-or full-time basis.
Likewise, Assisted Living Conversion
Program (ALCP) applicants may apply
for new or augmented Service
Coordinator costs to serve Assisted
Living residents and/or all residents of
the development.
e. You may use funds to continue a
Service Coordinator program that has
previously been funded through other
sources. In your application, you must
provide evidence that this funding
source has already ended or will
discontinue within six months
following the application deadline date
and that no other funding mechanism is
available to continue the program. This
applies only to funding sources other
than the subsidy awards and grants
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provided by the Department through
program Notices beginning in FY1992.
HUD currently provides one-year
extensions to these subsidy awards and
grants through a separate funding
action.
f. You may provide service
coordination to low-income elderly
individuals or nonelderly people with
disabilities living in the vicinity of an
eligible development. Community
residents should come to your housing
development to meet with and receive
service from the Service Coordinator,
but you must make reasonable
accommodations for those individuals
unable to travel to the housing site.
2. Threshold Requirements. a. At the
time of submission, grant applications
must contain the materials in Section
IV.B.2.a and e of this Program NOFA in
order to be considered for funding. If
any of these items is missing, HUD will
immediately reject your application.
b. In cases where field office staff
request information in response to
technical deficiencies in applications,
applicants must submit the response by
the designated deadline date. If
requested responses are not received by
this date, HUD will reject the
application.
c. DUN and Bradstreet Universal
Numbering System (DUNS) Number
Requirement. Refer to the General
Section for information regarding the
DUNS requirement. You will need to
obtain a DUNS number to receive an
award from HUD.
3. Program Requirements. In
managing your Service Coordinator
grant, you must meet the requirements
of this Section. These requirements
apply to all activities, programs, and
functions used to plan, budget, and
evaluate the work funded under your
program.
a. You must make sufficient separate
and private office space available for the
Service Coordinator and/or aides to
meet with residents, without adversely
affecting normal activities.
b. The Service Coordinator must
maintain resident files in a secured
location. Files must be accessible ONLY
to the Service Coordinator, unless
residents provide signed consent
otherwise. These policies must be
consistent with maintaining
confidentiality of information related to
any individual per the Privacy Act of
1974.
c. Grantees must ensure that the
Service Coordinator receives
appropriate supervision, training, and
ongoing continuing education,
consistent with statutory and HUD
administrative requirements. This
includes 36 hours of training in age-
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related and disability issues during the
first year of employment, if the Service
Coordinator has not received recent
training in these areas, and 12 hours of
continuing education each year
thereafter.
d. Grantees are responsible for any
budget shortfalls during the three-year
grant term.
e. As a condition of receiving a grant,
Section 202 developments without a
dedicated residual receipts account
must amend their regulatory agreement
and open such an account, separate
from their Reserve for Replacement
account.
f. Subgrants and Subcontracts. You
may directly hire a Service Coordinator
or you may contract with a qualified
third party to provide this service.
g. Environmental Requirements. It is
anticipated that most activities under
this program are categorically excluded
from the National Environmental Policy
Act (NEPA) and related environmental
authorities under 24 CFR 50.19(b)(3),
(4), (12), or (13). If grant funds will be
used to cover the cost of any activities
which are not exempt from
environmental review requirements—
such as acquisition, leasing,
construction, or building rehabilitation,
HUD must perform an environmental
review to the extent required by 24 CFR
part 50, prior to grant award. HUD Field
office staff will determine the need for
an environmental assessment, based on
the proposed program activities.
4. Submission Information. a. Single
Applications. (1) You may submit one
application that contains one or more
developments that your corporation
owns. submitting one application for
each project you own will increase your
chances of selection in the lottery. You
may also submit one application that
contains multiple projects you own, to
reduce preparation time and resources.
Each application must propose a
stand-alone program at separate
developments. The developments must
all be located in the same field office
jurisdiction.
(2) If you wish to apply on behalf of
developments located in different field
office jurisdictions, you must submit a
separate application to each field office.
b. Joint Applications. You may join
with one or more other eligible owners
to share a Service Coordinator and
submit a joint application. In the past,
joint applications have been used by
small developments that joined together
to hire and share a part or full-time
Service Coordinator.
c. Application Submission
Requirements for ALCP Applicants. (1)
If you are an ALCP applicant and you
request new or additional Service
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Coordinator funds specifically for your
proposed Assisted Living Program, you
must submit an application containing
all required documents listed in Section
IV.B of this Program NOFA. You may
include a copy of all standard forms
submitted as part of your ALCP
application.
(2) If you currently do not have a
Service Coordinator working at the
development proposed in your ALCP
application and your ALCP application
is selected to receive an award, HUD
will fund a Service Coordinator to serve
either ALCP residents only or all
residents of the development dependent
upon your request. If your development
currently has a Service Coordinator, you
may request additional hours for the
Service Coordinator to serve the
Assisted Living residents. If you request
additional hours, you must specify the
number of additional hours per week
and provide an explanation based on
the anticipated needs of the Assisted
Living residents. If you request Service
Coordinator funding to serve all
residents of your development, indicate
whether or not your request should be
entered into the national lottery if your
ALCP application is not selected to
receive an award. Provide this
information in your related narrative,
pursuant to paragraph IV.B.2.e(6) of this
NOFA.
IV. Application and Submission
Information
A. Addresses to Request Application
Package
Applicants may download the
Instructions to the application found on
the grants.gov Web site at https://
www.Grants.gov./Apply. The
instructions contain the General Section
and Program Section of the published
NOFA as well as forms that you must
complete and attach as a zip file to your
application submission. If you have
difficulty accessing the information you
may call the Grants.gov Support desk
toll free 800–518–GRANTS or e-mailing
your questions to Support@Grants.gov.
The Support Desk staff will assist you
in accessing the information. Please
remember that you must be registered to
submit an application utilizing
Grants.gov. Your registration allows you
to electronically sign the application
and Grants.gov to authenticate that the
application was submitted by the
appropriate organization staff with legal
authority to submit the application on
behalf of the applicant. Please see the
General Section for information
regarding the registration process or ask
for registration information from the
Grants.gov Support Desk. Please be
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aware that the registration process is a
separate process from requesting e-mail
notification of funding opportunities
and should be done as soon as you
download the application from the
grants.gov Web site. If you are not sure
if you are already registered, the
Grants.gov Support Desk can assist in
verifying whether you are or are not
registered.
B. Content and Form of Application
Submission
Your application must contain the
items listed in paragraphs 1 and 2,
below. These items include the standard
forms listed in Section IV.B of the
General Section that are applicable to
this funding Notice (collectively
referred to as the ‘‘standard forms’’). The
standard forms and other required forms
are part of the electronic application
found at www.grants.gov/Apply. The
items are as follows:
1. Standard Forms.
a. Application for Federal Assistance
(SF–424)
b. SF–424 Supplement—Survey on
Ensuring Equal Opportunity for
Applicants.
c. If engaged in lobbying, the
Disclosure Form Regarding Lobbying
(SF–LLL)
d. Applicant/Recipient Disclosure/
Update Report Form (HUD–2880)
e. Logic Model, (HUD–90610)
f. Acknowledgment of Application
Receipt (HUD–2993), not required for
electronic applications
g. Client Comments and Suggestions
(HUD–2994), optional
h. Facsimile Transmittal Cover Page
(HUD–96011). This form must be used
as part of the electronic application to
transmit third party documents and
other information as described in the
General Section as part of your
electronic application submittal (if
applicable).
2. Other Application Items. All
applications for funding under the
Service Coordinator Program must
include the following documents and
information:
a. Service Coordinator First-Time
Funding Request, form HUD–91186.
b. Previous Participation Certification,
form HUD–2530.
c. If more than one owner is
proposing to share a Service
Coordinator, one agency must designate
itself the ‘‘lead’’. When the legal
signatory for the owner corporation
signs the application, the owner
indicates agreement to administer grant
funds for all the housing developments
listed in the application.
d. Evidence of comparable salaries in
your local area.
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e. Narrative Statements Describing
Your Program.
(1) Explain your method of estimating
how many residents of your
development are frail or at-risk elderly
or non-elderly people with disabilities.
Please document that individuals
meeting these criteria make up at least
25 percent of your resident population.
(Do not include elderly individuals or
people with disabilities who do not live
in the eligible developments included in
your application.)
(2) Explain how you will provide onsite private office space for the Service
Coordinator, to allow for confidential
meetings with residents. If construction
is planned, also include a plan and a
cost-estimate.
(3) Your quality assurance program
evaluation activities and itemized list of
estimated expenses for this activity if
included in your request for funding.
Indicate the type of professional or
entity that will perform the work if
known at this time or the criteria you
will use to select the provider.
(4) If you wish to augment an existing
program, describe your program’s needs
and explain how the additional staff
hours requested will help meet these
needs.
(5) A description of your plan to
address community resident needs, if
applicable to your program.
(6) If you are applying for an ALCP
grant in conjunction with your Service
Coordinator application, describe how
the new or additional Service
Coordinator hours will support your
proposed assisted living program.
Indicate if you want your Service
Coordinator application entered into the
lottery if your ALCP application is not
selected to receive an award.
f. Evidence that no project funds are
available to fund a Service Coordinator
program. You must include a copy of
your development’s most recent bank
statement, showing the project’s current
residual receipts or excess income
balance (if any). It is incumbent upon
the applicant to demonstrate that no
such project funds are available.
g. If applicable, provide evidence that
prior funding sources for your
development’s Service Coordinator
program are no longer available or will
expire within six months following the
application deadline date.
h. If an agent is preparing the
application for an owner, the owner
must authorize the agent as the
Authorized Organization Representative
(AOR) in the Grants.gov Registration
process. If you are applying in paper
copy format, you must provide a letter
from the owner authorizing the
submission by the agent on their behalf.
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i. A DUNS number. Refer to the
General Section for information
regarding the DUNS requirement.
C. Submission Dates and Times
Applicants must follow the
submission requirements discussed in
Section IV.C of the General Section.
D. Intergovernmental Review
Intergovernmental review is not
applicable to this program.
E. Funding Restrictions
1. Alternative Funding for Service
Coordinators. If your development has
available Section 8 operating funds,
residual receipts, or excess income, not
needed for critical project expenses, you
must use these project funds prior to
receiving grant monies. Owners may
submit requests to use Section 8
operating funds, residual receipts, or
excess income pursuant to instructions
in Housing’s Management Agent
Handbook 4381.5, REVISION–2,
CHANGE–2, Chapter 8 and Housing
Notice H 02–14. HUD field staff may
approve use of these project funds at
any time, consistent with current policy.
You should discuss these alternativefunding options with your field office
staff prior to submitting a grant
application.
2. Ineligible Activities and Program
Costs. a. You may not use funds
available through this NOFA to replace
currently available funding from other
sources for a Service Coordinator or for
some other staff person who performs
service coordinator functions.
b. Owners with existing service
coordinator subsidy awards or grants
may not apply for renewal or extension
of those programs under this NOFA.
HUD will provide extension funds
through a separate funding process.
c. You cannot hire an additional part
or full-time Service Coordinator for the
sole purpose of serving community
residents.
d. Grant recipients may not use grant
funds to pay for supervision performed
by property management staff.
(Management fees already pay for such
supervision.)
e. Cost overruns associated with
creating private office space and usual
audit and legal fees are not eligible uses
of grant funds.
f. The cost of application preparation
is not eligible for reimbursement.
g. Grant funds cannot be used to
increase a project’s management fee.
h. Grant funds may not cover the cost
of Service Coordinator-related training
courses for members of a development’s
management staff who do not directly
provide Service Coordination. Owners
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must use their management fees to pay
this expense.
i. Owners/managers cannot use
Reserve for Replacement funds to pay
costs associated with a Service
Coordinator program.
j. Congregate Housing Services
Program grantees may not use these
funds to meet statutory program match
requirements and may not use these
funds to replace current CHSP program
funds to continue the employment of a
service coordinator.
k. Grantees cannot use grant funds to
pay PAC members for their services.
l. The grant amount allowed for QA
may not exceed ten percent of the
Service Coordinator’s salary.
3. Prohibited Service Coordinator
Functions. During work hours paid for
by this grant, Service Coordinators may
not perform the following activities:
a. Act as a recreational or activities
director;
b. Provide supportive services
directly;
c. Act as a Neighborhood Networks
program director or coordinator, and
d. Perform property management
work, regardless of the funding source
used to pay for these activities.
F. Other Submission Requirements
1. Application Submission and
Receipt Procedures. Carefully review
the procedures presented in Section
IV.F of the General Section. All
applicants submitting Service
Coordinator applications must submit
applications electronically. Please pay
particular attention to the portion of
Section IV.F. of the General Section that
explains how to submit Third Party
Letters, Certifications or Narrative
Statements electronically as part of your
application.
2. Waiver of Electronic Submission
Requirement. During FY2005, HUD will
only accept electronic applications
submitted through www.grants.gov
unless the applicant has received a
waiver from the Department. Please see
the General Section for detailed
instructions and timelines for requesting
a waiver of the mandatory electronic
submission requirement.
3. Application Copies. Applicants
submitting electronic applications must
submit just one application to https://
www.grants.gov. Applicants who
receive a waiver for electronic
submission must submit an original and
two copies to the field office with
jurisdiction over the housing
developments included in your
application.
4. Field Office Addresses. If you are
granted a waiver to the electronic
application submission requirement,
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you must submit an original and two
hard copies of your application to the
field office with jurisdiction over the
housing developments identified in
your application. If you send your
application to the wrong local HUD
Office, it will be rejected. Therefore, if
you are uncertain as to which local HUD
Office to submit your application, you
are encouraged to contact the local HUD
Office that is closest to your project’s
location to ascertain the Office’s
jurisdiction and ensure that you submit
your application to the correct local
HUD Office. For a list of field office
addresses, see HUD’s Web site at http:/
/www.hud.gov/offices/adm/grants/
fundsavail.cfm.
V. Application Review Information
A. Criteria
1. HUD will not award Service
Coordinator Program grant funds
through a rating and ranking process.
Instead, the Department will hold one
national lottery for all applications
determined to be eligible by Multifamily
Hub and Multifamily Program Centers.
2. Threshold Eligibility Review. HUD
Multifamily field office staff will review
applications for completeness and
compliance with the eligibility criteria
set forth in Section III of this NOFA.
Field office staff will deem an
application eligible if the electronic
application was submitted and received
by http:\\www.Grants.gov no later than
11:59:59 p.m. on June 24, 2005. For
applicants who submitted a paper copy
of their application, the application was
submitted by the deadline date and
meets the application timely receipt
requirements for paper copy submission
in the General Section. To be eligible for
the lottery, in addition to meeting the
timely submission requirement, an
applicant must meet all eligibility
criteria; propose reasonable costs for
eligible activities, and, if technical
corrections are requested during the
review process, provide the technical
correction(s) by the timeframe stated in
the request.
B. Review and Selection Process
1. Funding Priorities.
a. Prior to the lottery, HUD will fund
Service Coordinator applications
submitted by FY2005 ALCP applicants,
whose ALCP applications are selected
for funding under that program’s NOFA.
HUD estimates that approximately
$500,000 will be used to fund ALCP
Service Coordinator applications. Any
funds not used by the ALCP program to
fund service coordinators will be added
to the funds available for the National
Lottery.
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b. After setting aside funds for ALCP
applicants, and prior to the lottery, HUD
will next fund all applications
submitted by owners who are applying
for grant funds to continue a currently
operating program previously funded by
project funds. As stated in paragraph
III.A.4.f of this NOFA, such applications
are eligible only if project funds are no
longer available to continue the
program.
2. Selection Process.
a. HUD will use remaining funds to
make grant awards through the use of a
national lottery. A computer program
performs the lottery by randomly
selecting eligible applications.
b. HUD will fully fund as many
applications as possible with the given
amount of funds available. After all
fully fundable applications have been
selected by lottery, HUD may make an
offer to partially fund the next
application on the lottery’s list, in order
to use the entire amount of funds
allocated. If the applicant selected for
partial funding turns down the offer,
HUD will make an offer to partially fund
the next application on the lottery list.
HUD will continue this process until an
applicant accepts the partial funding
offer.
3. Reduction in Requested Grant
Amount. HUD may make an award in an
amount less than requested, if:
a. HUD determines that some
elements of your proposed program are
ineligible for funding;
b. There are insufficient funds
available to make an offer to fully fund
the application;
c. HUD determines that reduced grant
amount would prevent duplicative
Federal funding.
4. Corrections to Deficient
Applications. Section V.B.4 of the
General Section provides the procedures
for corrections to deficient applications.
VI. Award Administration Information
A. Award Notices
HUD field staff will send, by postal or
overnight mail, selection letters and
grant agreements to the award recipient
organization. The grant agreement is the
obligating document and funds are
obligated once the HUD grant officer
signs the agreement. Field staff will
send non-selection letters during this
same period of time. If your application
is rejected, field staff may notify you by
letter any time during the application
review process.
B. Administrative and National Policy
Requirements
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C. Reporting
All award recipients must submit the
following reports on a yearly basis:
1. Two Semi-Annual Financial Status
Reports (SF–269–A), for each half-year
period of the Federal fiscal year;
2. Two Semi-Annual Service
Coordinator Performance Reports,
(HUD–92456), for each half-year period
of the Federal fiscal year;
3. Two completed Logic Model forms,
HUD–96010, submitted as an
attachment to each Semi-Annual
Performance Report. The Logic Model
must present performance information
on a short term basis, corresponding to
each six-month reporting period; on an
intermediate basis, i.e. annually, and in
the long-term, reporting results for the
entire grant term showing progress
related to program outputs and
outcomes as specified in your approved
Logic Model incorporated into your
grant agreement. The objectives of the
Service Coordinator program are to
enhance a resident’s quality of life and
ability to live independently and to age
in place. The data that HUD collects on
the performance report and Logic Model
measures, in a quantitative form, the
grantee’s success in meeting these
intended program outcomes.
4. Periodic reimbursement requests
(i.e., Payment Voucher, form HUD–
50080–SCMF), providing program
expenses for the associated time period,
and submitted in accordance with the
due dates stated in the grant agreement.
Grantees must request grant payments
directly following the end of each
agreed-upon time period and the funds
must reimburse those program costs
already incurred.
5. If your grant includes Quality
Assurance activities, you must provide
a copy of at least one annual report that
your QA provider submits to you each
year. You must submit this copy along
with the semi-annual financial and
performance reports that are due on
October 30 of each year. The QA
provider’s report that you submit to
HUD must include the following
information: who performed the QA
work, when the review(s) was
conducted, and the results of the
evaluation. The results should include
such information as how many residents
were served, the types of services they
receive, the training sessions attended
by the Service Coordinator, and the
extent of resident satisfaction with the
program. HUD will use this report, in
tandem with other reports and
performance data, to determine a
grantee’s acceptable program
performance.
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VII. Agency Contacts
You may contact your local HUD field
office staff for questions you have
regarding this NOFA and your
application. Please contact the
Multifamily Housing Resident
Initiatives Specialist or Service
Coordinator contact person in your local
office. If you are an owner of a Section
515 development, contact the HUD field
office that monitors your Section 8
contract. If you have a question that the
field staff is unable to answer, please
call Carissa Janis, Housing Project
Manager; Office of Housing Assistance
and Grants Administration; Department
of Housing and Urban Development;
451 Seventh Street, SW., Room 6146;
Washington, DC 20410–8000; (202) 708–
3000, extension 2487 (this is not a tollfree number). If you are hearing-or
speech-impaired, you may access this
number via TTY by calling the Federal
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A. Satellite Broadcast
HUD will hold an information
program for potential applicants via
satellite broadcast to learn more about
the program and preparation of the
application. For more information about
the date and time of the broadcast, you
should contact your local field office
staff or consult the HUD Web site at
https://www.hud.gov.
B. Paperwork Reduction Act
The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520) and
assigned OMB control number 2502–
0477. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 50.25 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, semi-annual
reports and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
C. Appendices
Information Relay Service at 800–877–
8339.
VIII. Other Information
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Appendix A to this NOFA presents
the list of HUD offices. Appendix B to
this NOFA provides the forms that are
specific to this NOFA.
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Section 202 Supportive Housing for the
Elderly Program (Section 202 Program)
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Housing.
B. Funding Opportunity Title: Section
202 Supportive Housing for the Elderly.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number for this NOFA
is FR–4950–N–19. The OMB Approval
Number for this program is 2502–0267.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): 14.157,
Section 202 Supportive Housing for the
Elderly.
F. Dates: Application Submission
Date: The application submission date
is on or before May 31, 2005. Refer to
Section IV of this NOFA and to the
General Section for information on
application submission requirements.
G. Optional, Additional Overview
Content Information:
1. Purpose of the Program. This
program provides funding for the
development and operation of
supportive housing for very low-income
persons 62 years of age or older.
2. Available Funds. Approximately
$462.9 million in capital advance funds,
plus associated project rental assistance
contract (PRAC) funds and any
carryover funds available.
3. Types of Funds. Capital advance
funds will cover the cost of developing
the housing. PRAC funds will cover the
difference between the HUD-approved
operating costs of the project and the
tenants’ contributions toward rent (30
percent of their adjusted monthly
income).
4. Eligible Applicants. Private
nonprofit organizations and nonprofit
consumer cooperatives. (See Section
III.C.3.k of this program NOFA for
further details and information
regarding the formation of the Owner
corporation).
5. Eligible Activities. New
construction, rehabilitation, or
acquisition (with or without
rehabilitation) of housing. (See Section
III.C.1. below of this program NOFA for
further information.
6. Match Requirements. None
required.
7. Local HUD Offices. The local HUD
office structure, for the purpose of
implementing the Section 202 program,
consists of 18 Multifamily Hub Offices.
Within the Multifamily Hubs, there are
Multifamily Program Centers with the
exception of the New York Hub, the
Buffalo Hub, the Denver Hub and the
Los Angeles Hub. All future references
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shall use the term ‘‘local HUD office’’
unless a more detailed description is
necessary as in Limitations on
Applications and Ranking and Selection
Procedures, below.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description. HUD
provides capital advances and contracts
for project rental assistance in
accordance with 24 CFR part 891.
Capital advances may be used for the
construction or rehabilitation of a
structure, or acquisition of a structure
with or without rehabilitation
(including structures from the Federal
Deposit Insurance Corporation (FDIC)).
Capital advance funds bear no interest
and are based on development cost
limits in Section IV.E.3. Repayment of
the capital advance is not required as
long as the housing remains available
for occupancy by very low-income
elderly persons for at least 40 years.
PRAC funds are used to cover the
difference between the tenants’
contributions toward rent (30 percent of
adjusted income) and the HUDapproved cost to operate the project.
PRAC funds may also be used to
provide supportive services and to hire
a service coordinator in those projects
serving frail elderly residents. The
supportive services must be appropriate
to the category or categories of frail
elderly residents to be served.
B. Authority. The Section 202
Supportive Housing for the Elderly
Program is authorized by section 202 of
the Housing Act of 1959 (12 U.S.C.
1701q), as amended by section 801 of
the Cranston-Gonzalez National
Affordable Housing Act (Pub. L. 101–
625; approved November 28, 1990); the
Housing and Community Development
Act of 1992 (Pub. L. 102–550; approved
October 28, 1992), the Rescissions Act
(Pub. L. 104–19; enacted on July 27,
1995); the American Homeownership
and Economic Opportunity Act of 2000
(Pub. L. 106–569; approved December
27, 2000); and the Consolidated
Appropriations Act, 2005 (Pub. L. 108–
447, approved December 8, 2004).
C. Calculation of Fund Reservation. If
selected, you will receive a fund
reservation that will consist of both a
reservation of capital advance funds and
a reservation of contract authority (one
year) and budget authority (five years)
for project rental assistance.
1. Capital Advance Funds. The
reservation of capital advance funds is
based on a formula which takes the
development cost limit for the
appropriate building type (elevator,
non-elevator) and unit size(s) and
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multiplies it by the number of units of
each size (including a unit for a resident
manager, if applicable) and then
multiplies the result by the high cost
factor for the area. The development
cost limits can be found in Section
IV.E.3. of this program section of the
SuperNOFA.
2. PRAC Funds. The PRAC contract
authority is determined by multiplying
the number of revenue units for elderly
persons by the appropriate operating
cost standard. The PRAC budget
authority is determined by multiplying
the PRAC contract authority by 5
(years). The operating cost standards
will be published by Notice.
II. Award Information
A. Available Funds.
For FY2005, approximately $462.9
million is available for capital advances
for the Section 202 Supportive Housing
for the Elderly Program. The
Consolidated Appropriations Act, 2005
(Pub. L. 108–447, approved December 8,
2004) provides $747,000,000 for capital
advances, including amendments to
capital advance contracts, for supportive
housing for the elderly as authorized by
section 202 of the Housing Act of 1959
(12 U.S.C. 1701q), as amended by
section 801 of the Cranston-Gonzalez
National Affordable Housing Act (Pub.
L. 101–625, approved November 28,
1990), for project rental assistance,
amendments to contracts for project
rental assistance, and $3 million for the
renewal of expiring contracts for such
assistance for up to a one-year term, for
supportive housing for the elderly under
section 202(c)(2) of the Housing Act of
1959 as well as the amount of $450,000
to be transferred to the Working Capital
Fund, all of which is subject to a .8
percent across-the-board rescission
pursuant to Public Law 108–447.
Additionally, of the amount
appropriated, $50 million is provided
for service coordinators and the
continuation of congregate services
grants, up to $25 million is provided for
assisted living conversion grants and
emergency capital repairs, and $18
million is provided for a Section 202
Demonstration Planning Grant program.
The announcement of the availability
of the funds for the service coordinators
and the continuation of congregate
services as well as the Assisted Living
Conversion program is covered
elsewhere in this SuperNOFA.
The announcement of the availability
of funds for emergency capital repairs
and the Section 202 Demonstration
Planning Grant program will be
addressed in a future Federal Register.
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In accordance with the waiver
authority provided in the Consolidated
Appropriations Act, 2005, the Secretary
is waiving the following statutory and
regulatory provision: The term of the
project rental assistance contract is
reduced from 20 years to 5 years. HUD
anticipates that at the end of the
contract terms, renewals will be
approved subject to the availability of
funds. In addition to this provision,
HUD will reserve project rental
assistance contract funds based on 75
percent rather than on 100 percent of
the current operating cost standards for
approved units in order to take into
account the average tenant contribution
toward rent.
The allocation formula used for
Section 202 reflects the ‘‘relevant
characteristics of prospective program
participants,’’ as specified in 24 CFR
791.402(a). The FY2005 formula
consists of one data element from the
2000 Census: number of one-person
elderly renter households (householder
age 62 and older) with incomes at or
below the applicable Section 8 very
low-income limit, and with housing
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conditions. Housing conditions are
defined as paying more than 30 percent
of income for gross rent, or occupying
a unit lacking some or all kitchen or
plumbing facilities, or occupying an
overcrowded unit (1.01 persons per
room or more).
Under Section 202, 85 percent of the
total capital advance amount is
allocated to metropolitan areas and 15
percent to nonmetropolitan areas. In
addition, each local HUD office
jurisdiction receives sufficient capital
advance funds for a minimum of 20
units in metropolitan areas and 5 units
in nonmetropolitan areas. The total
amount of capital advance funds to
support these minimum set-asides are
subtracted from the respective
(metropolitan or nonmetropolitan) total
capital advance amounts available. The
remainder is fair shared to each local
HUD office jurisdiction whose fair share
exceeds the minimum set-aside based
on the allocation formula fair share
factors described below.
Note: The allocations for metropolitan and
nonmetropolitan portions of the local HUD
office jurisdictions reflect the definitions of
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metropolitan and nonmetropolitan areas as of
the 2000 Census, as defined by the Office of
Management and Budget at that time.
A fair share factor is developed for
each metropolitan and nonmetropolitan
portion of each local HUD office
jurisdiction by dividing the number of
elderly renter households in the
respective metropolitan and
nonmetropolitan portion of the
jurisdiction by the total number of
elderly rental households in the
metropolitan and nonmetropolitan
portions of the United States. The
resulting percentage for each local HUD
office jurisdiction is then adjusted to
reflect the relative cost of providing
housing among the local HUD office
jurisdictions. The adjusted needs
percentage for the applicable
metropolitan or nonmetropolitan
portion of each jurisdiction is then
multiplied by the respective total
remaining capital advance funds
available nationwide. Based on the
allocation formula, HUD has allocated
the available capital advance funds as
shown on the following chart:
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14192
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
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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
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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
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no later than six months after
completion of project construction.
III. Eligibility Information
A. Eligible Applicants
Private nonprofit organizations and
nonprofit consumer cooperatives who
meet the threshold requirements
contained in the General Section of the
SuperNOFA and Section III.C. 2. of this
NOFA are the only eligible applicants
under this Section 202 program. Neither
a public body nor an instrumentality of
a public body is eligible to participate
in the program.
Applicant eligibility for purposes of
applying for a Section 202 fund
reservation under this NOFA has not
changed; i.e., all Section 202 Sponsors
and Co-Sponsors must be private
nonprofit organizations and nonprofit
consumer cooperatives. However, the
Owner corporation, when later formed
by the Sponsor, may be (1) a singlepurpose 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 mixedfinance project pursuant to the statutory
provision under Title VIII of the
American Homeownership and
Economic Opportunity Act of 2000, a
for-profit limited partnership with a
private nonprofit organization as the
sole general partner.
See Section IV.E.2. regarding limits on
the total number of units and projects
for which you may apply for funding.
B. Cost Sharing or Matching
No cost sharing or match is required;
however, you are required to make a
commitment to cover the estimated
start-up expenses, the minimum capital
investment of one-half of one percent of
the HUD-approved capital advance, not
to exceed $10,000 or for a national
Sponsor not to exceed $25,000, and any
funds required in excess of the capital
advance, including the estimated cost of
any amenities or features (and operating
costs related thereto) which are not
covered by the capital advance. You
make such a commitment by signing the
Form HUD–92042, Sponsor’s Resolution
for Commitment to Project in Exhibit
8(g) of the application found in Section
IV.B.
C. Other
1. Eligible Activities. Section 202
capital advance funds must be used to
finance the development of housing
through new construction,
rehabilitation, or acquisition with or
without rehabilitation. Capital advance
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funds may also be used in combination
with other non-Section 202 funding
sources leveraged by a for-profit limited
partnership (of which a single-purpose
private nonprofit organization is the
sole general partner) to develop a
mixed-finance project, including a
mixed-finance project for additional
units over and above the Section 202
units. The development of a mixed-use
project in which the Section 202 units
are mortgaged separately from the other
uses of the structure is not considered
a mixed-finance project. Project rental
assistance funds are provided to cover
the difference between the HUDapproved operating costs and the
amount the residents pay (each resident
pays 30 percent of adjusted income) as
well as to provide supportive services to
frail elderly residents.
Note: For purposes of approving Section
202 capital advances, HUD will consider
proposals involving mixed-financing for
additional units over and above the Section
202 units. However, you must obtain funds
to assist the additional units with other than
PRAC funds. HUD will not provide PRAC
funds for non-Section 202 units.
A portion of the PRAC funds (not to
exceed $15 per unit/per month) may be
used to cover some of the cost of any
supportive services for those frail
elderly or those elderly determined to
be at-risk of being institutionalized. The
balance of the cost for services must be
paid for from sources other than the
capital advance or PRAC funds. Also,
the cost of employing a service
coordinator for those projects serving
principally the frail elderly (when at
least 25 percent of the residents will be
frail or determined to be at-risk of being
institutionalized) is an eligible use of
PRAC funds. Section 202 projects
receiving Congregate Housing Services
assistance under Section 802 of the
National Affordable Housing Act are not
eligible to use capital advance or PRAC
funds for supportive services or the cost
of a service coordinator.
2. Threshold Requirements for
Funding Consideration. In addition to
the threshold criteria outlined in the
General Section of the SuperNOFA
(such as the inclusion of a DUN and
Bradstreet Data Universal Numbering
System (DUNS) Number on the SF–424),
the following threshold requirements
must be met:
a. Non-Responsive Application. Your
application will be considered nonresponsive to the NOFA and will not be
accepted for processing if you:
(1) submit less than the required
number of copies (an original and four
copies are required if you requested and
received approval for a waiver of the
electronic submission requirement).
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Refer to the General Section of the
SuperNOFA for information on
application submission and receipt
procedures;
(2) request more units than were
allocated in either the metropolitan or
nonmetropolitan allocation category to
the local HUD office that will be
reviewing your application or 125 units,
whichever is less (see the allocation
chart in Section II.A. above); or
(3) request less than the minimum
number of 5 units per site.
(4) request assistance for housing that
you currently own or lease that is
already occupied by elderly persons.
b. Other Criteria.
(1) You, or a Co-Sponsor, must have
experience in providing housing or
services to elderly persons.
(2) You and any Co-Sponsor must be
eligible private nonprofit organizations
or nonprofit consumer cooperatives
with tax exempt status under Internal
Revenue Service code.
(3) Your application must contain
acceptable evidence of site control (see
Exhibit 4(d)(i) of the application in
Section IV.B. of this program section of
the SuperNOFA).
(a) Evidence of Site Control. You must
provide evidence of site control as
described in this section and Exhibit
4(d)(i) of Section IV.B. of this program
section of the SuperNOFA).
(b) Historic Preservation. You are
required to send a letter to the State/
Tribal Historic Preservation Officer
(SHPO/THPO) that attempts to initiate
consultation with their office and
requests their review of your
determinations and findings with
respect to the historical significance of
your proposed project. Appendix B to
this program section of the SuperNOFA
contains a sample letter to the SHPO/
THPO that you may adapt for your use,
if you so choose. You must include a
copy of your letter to the SHPO/THPO
in your application. You must also
include in your application either:
(i) The response letter(s) from the
SHPO/THPO, or
(ii) A statement from you that you
have not received a response letter(s)
from the SHPO/THPO.
(c) Contamination. HUD must
determine if a proposed site contains
contamination and, if so, HUD must be
satisfied that it is eliminated to the
extent necessary to meet non sitespecific Federal, State or local health
standards. You must assist HUD by
doing the following:
(i) Phase I Environmental Site
Assessment (ESA). You must submit a
Phase I ESA, prepared in accordance
with the ASTM Standards E 1527–00, as
amended, completed or updated no
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earlier than six months prior to the
application deadline date. The Phase I
ESA must be completed and submitted
with the application. Therefore, it is
important that you start the Phase I ESA
process as soon after publication of the
SuperNOFA as possible. To help you
choose an environmentally safe site,
HUD invites you to review the
document ‘‘Choosing an
Environmentally Safe Site’’ which is
available on HUD’s Web site at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm and the ‘‘Supplemental
Guidance, Environmental Information’’,
in Appendix C to this program section
of the SuperNOFA.
(ii) Phase II ESA. If the Phase I ESA
indicates the possible presence of
contamination and/or hazards, you must
decide whether to continue with this
site or choose another site. Should you
choose another site, the same Phase I
ESA process identified above must be
followed for the new site. However, if
you choose to continue with the original
site on which the Phase I ESA indicated
contamination or hazards, you must
undertake a detailed Phase II ESA by an
appropriate professional. In order for
your application to be considered for
review under this FY2005 funding
competition, the Phase II must be
received by the local HUD office on or
before June 30, 2005.
(iii) Clean-up.—If the Phase II ESA
reveals site contamination, the extent of
the contamination and a plan for cleanup of the site must be submitted to the
local HUD office. The plan for clean-up
must include a contract for remediation
of the problem(s) and an approval letter
from the applicable Federal, State, and/
or local agency with jurisdiction over
the site. In order for your application to
be considered for review under this
FY2005 funding competition, this
information must be received by the
local HUD office on or before June 30,
2005.
Note: Clean-up could be an expensive
undertaking. You must pay for the cost of any
clean-up and/or remediation. If the
application is approved, clean-up must be
completed prior to initial closing.
Completion of clean-up means that HUD
must be satisfied that the contamination has
been eliminated to the extent necessary to
meet non site-specific federal, state or local
health standards, with no active or passive
remediation still taking place, no capping
over of any contamination, and no
monitoring wells. However, it is acceptable if
contamination remains solely in groundwater
that is at least 25 feet below the surface.
(d) Asbestos. Asbestos is a hazardous
substance commonly used in building
products until the late 1970s. Therefore,
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you must submit one of the following
with your application:
(i) If there is no pre-1978 structure on
the site, a statement to this effect, or
(ii) If there is a pre-1978 structure on
the site, an asbestos report which is
based on a thorough inspection to
identify the location and condition of
asbestos throughout any structures. In
those cases where suspect asbestos is
found, it would either be assumed to be
asbestos or would require confirmatory
testing. If the asbestos report indicates
the presence of asbestos or the presence
of asbestos is assumed, and if the
application is approved, HUD will
condition the approval on an
appropriate mix of asbestos abatement
and an asbestos Operations and
Maintenance Plan.
(4) There must be a market need for
the number of units proposed in the
area of the project location.
(5) You are required to include a
Supportive Services Plan that describes
the supportive services proposed to be
provided to the anticipated occupants,
including a description of the public or
private funds that are expected to fund
the proposed services and the manner in
which the services will be provided to
the proposed residents (see Exhibit 5 in
Section IV.B. of this program section of
the SuperNOFA). You must not require
residents to accept any supportive
services as a condition of occupancy or
admission.
(6) Delinquent Federal Debt. Refer to
the General Section of the SuperNOFA
for information regarding delinquent
Federal debt.
3. Program Requirements. By signing
Form HUD–92015–CA, Supportive
Housing for the Elderly Section 202,
Application for Capital Advance
Summary Information, you are
certifying that you will comply with all
program requirements listed in the
General Section of the SuperNOFA as
well as the following requirements:
a. Statutory and Regulatory
Requirements. In addition to the
statutory, regulatory, threshold and
public policy requirements listed in the
General Section of this SuperNOFA, you
must comply with all statutory and
regulatory requirements listed in
Sections I and III of this program NOFA.
b. Application/Project Size Limits.
(1) Application Limits Applicable to
Sponsors or Co-Sponsors. A Sponsor or
Co-sponsor may not apply for more than
200 units of housing for the elderly in
a single Hub or more than 10 percent of
the total units allocated to all HUD
offices. Affiliated entities (organizations
that are branches or offshoots of a parent
organization) that submit separate
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applications are considered a single
entity for the purpose of this limit.
(2) Maximum Project Size. No single
application may propose the
development of a project for more than
the number of units allocated to a local
HUD office (in either the metropolitan
or nonmetropolitan allocation category,
depending on the location of your
proposed project) or 125 units,
whichever is less. For example, the local
HUD office, which has jurisdiction over
the area of your proposed project, was
allocated 80 units (metropolitan) and 20
units (nonmetropolitan) for a total of
100 units. You cannot apply for more
than 80 units if your proposed project
is in a metropolitan area and no more
than 20 units if the project is in a
nonmetropolitan area.
(3) Minimum Project Size. The
minimum number of units that can be
applied for in one application is five
units. If the proposed project will be a
scattered-site development, the five-unit
minimum requirement will apply to
each site.
c. Minimum Capital Investment. If
selected, you must provide a minimum
capital investment of one-half of one
percent of the HUD-approved capital
advance amount, not to exceed $10,000
in accordance with § 891.145, with the
following exception. If you, as Sponsor
or Co-Sponsor, have one or more
Section 202 or one or more Section 811
project(s) under reservation,
construction, or management in two or
more different HUD geographical
regions (Hubs), the minimum capital
investment shall be one half of one
percent of the HUD-approved capital
advance amount, not to exceed $25,000.
d. Accessibility. Your project must
meet accessibility requirements
published at 24 CFR 891.120, 24 CFR
891.210, and Section 504 of the
Rehabilitation Act of 1973, and, if new
construction, the design and
construction requirements of the Fair
Housing Act and HUD’s implementing
regulations at 24 CFR part 100. In
addition, 24 CFR 8.4(b)(5) prohibits the
selection of a site or location which has
the purpose or effect of excluding
persons with disabilities from the
federally assisted program or activity.
HUD will award higher points to
applications that add accessible design
features beyond those required under
civil rights laws and regulations. Refer
to Section V.A. below and the General
Section of the SuperNOFA for
information regarding the policy
priority of encouraging accessible
design.
e. Conducting Business in Accordance
with HUD Core Values and Ethical
Standards. You are not subject to the
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requirements of 24 CFR parts 84 and 85
as outlined in the General Section of the
SuperNOFA, except that the disposition
of real property may be subject to 24
CFR part 84. However, you are still
subject to the core values and ethical
standards as they relate to the conflict
of interest provisions in 24 CFR
891.130. To ensure compliance with the
program’s conflict of interest provisions,
you are required to sign a Conflict of
Interest Resolution and include it in
your Section 202 application. Further, if
awarded a Section 202 fund reservation,
the officers, directors, board members,
trustees, stockholders and authorized
agents of the Section 202 Sponsor and
Owner entities will be required to
submit to HUD individual certifications
regarding compliance with HUD’s
conflict of interest requirements.
f. National Environmental Policy Act.
You must comply with the National
Environmental Policy Act of 1969
(NEPA) (42 U.S.C. 4321) and applicable
related environmental authorities at 24
CFR 50.4, HUD’s programmatic
implementing regulations at 24 CFR part
50 and 24 CFR 891.155(b), especially,
but not limited to, the provision of
information to HUD at 24 CFR 50.31(b)
and you must comply with any
environmental ‘‘conditions and
safeguards’’ at 24 CFR 50.3(c).
Under 24 CFR part 50, HUD has the
responsibility for conducting the
environmental reviews. HUD cannot
approve any site unless it first
completes the environmental review. In
rare cases where HUD is not able to
complete the environmental review, it is
due to a complex environmental issue
that could not be resolved during the
time period allocated for application
processing. Thus, HUD requires you to
attempt to obtain comments from the
State/Tribal Historic Preservation
Officer (see Exhibit 4(d)(ix) of Section
IV.B. below) to help HUD complete the
environmental review on time. It is also
why HUD may contact you for
additional environmental information.
So that you can review the type of
information that HUD needs for its
preparation of the environmental review
as well as the type of information
requests that HUD may make to you,
you are invited to go to the following
Web site to view the HUD form 4128,
including the Sample Field Notes
Checklist, which HUD uses to record the
environmental review: www.hud.gov/
utilities/intercept.cfm?/offices/cpd/
energyenviron/environment/
compliance/forms/4128.pdf.
g. Executive Order 13202,
Preservation of Open Competition and
Government Neutrality Towards
Government Contractors’ Labor
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Relations on Federal and Federally
Funded Construction Projects. Refer to
the General Section of the SuperNOFA
for information regarding Executive
Order 13202.
h. Fair Housing Requirements. Refer
to the General Section of the
SuperNOFA for information regarding
fair housing requirements.
i. Economic Opportunities for Low
and Very Low-Income Persons (Section
3). You must comply with Section 3 of
the Housing and Urban Development
Act of 1968, 12 U.S.C. 1701u (Economic
Opportunities for Low and Very LowIncome 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 lowincome persons, particularly those who
are recipients of government assistance
for housing and to business concerns
which provide economic opportunities
to low and very low-income persons. To
comply with Section 3 requirements
you are hereby certifying that you will
strongly encourage your general
contractor and subcontractors to
participate in local apprenticeship
programs or training programs
registered or certified by the Department
of Labor’s Office of Apprenticeship,
Training, Employer and Labor Services
or recognized State Apprenticeship
Agency.
j. Design and Cost Standards. You
must comply with HUD’s Section 202
design and cost standards (24 CFR
891.120 and 891.210), the Uniform
Federal Accessibility Standards (24 CFR
40.7), Section 504 of the Rehabilitation
Act of 1973 and HUD’s implementing
regulations at 24 CFR part 8, and for
covered multifamily dwellings designed
and constructed for first occupancy after
March 13, 1991, the design and
construction requirements of the Fair
Housing Act and HUD’s implementing
regulations at 24 CFR part 100, and,
where applicable, the Americans with
Disabilities Act of 1990.
HUD has adopted a wide-ranging
energy action plan for improving energy
efficiency in all program areas. As a first
step in implementing the energy plan,
HUD, the Environmental Protection
Agency (EPA) and the Department of
Energy (DoE) have signed a joint
partnership to promote energy
efficiency in HUD’s affordable housing
efforts and programs. The purpose of the
Energy Star partnership is to promote
energy efficiency of the affordable
housing stock, but also to help protect
the environment. Although it is not a
requirement, you are nonetheless
encouraged to promote energy efficiency
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in design and operations and your
application will receive one (1) point if
you describe your plans for doing so in
the proposed project. You are urged
especially to purchase and use Energy
Star-labeled products. Program activities
can include developing Energy Star
promotional and information materials,
outreach to low- and moderate-income
renters on the benefits and savings
when using Energy Star products and
appliances, and promoting the
designation of community buildings and
homes as Energy Star compliant. For
further information about Energy Star,
see https://www.energystar.gov or call 1–
888–STAR–YES (1–888–782–7937) or
for the hearing-impaired, 1–888–588–
9920 TTY.
k. Formation of Owner Corporation.
You must form an Owner entity (in
accordance with 24 CFR 891.205) after
issuance of the capital advance fund
reservation and must cause the Owner
entity to file a request for determination
of eligibility and a request for capital
advance, and must provide sufficient
resources to the Owner entity to ensure
the development and long-term
operation of the project, including
capitalizing the Owner entity at firm
commitment processing in an amount
sufficient to meet its obligations in
connection with the project over and
above the capital advance amount.
l. Davis-Bacon. You must comply
with the Davis-Bacon requirements (12
U.S.C. 1701q(j)(5)) and the Contract
Work Hours and Safety Standards Act in
accordance with 24 CFR 891.155(d).
IV. Application and Submission
Information
A. Addresses to Request Application
Package
All information required to complete
and return a valid application is
included in the General Section and this
program section of the SuperNOFA,
including appendices. Copies of the
General Section, this program section,
and the required forms and appendices
are available and may be downloaded
from the Grants.gov Web site at https://
www.grants.gov.
You may request general information,
copies of the General Section and
program section of the SuperNOFA
(including appendices), and required
forms from the NOFA Information
Center (800–HUD–8929 or 800–HUD–
2209 (TTY)) Monday through Friday,
except on federal holidays. When
requesting information, please refer to
the name of the program you are
interested in. Be sure to provide your
name, address (including zip code), and
telephone number (including area code).
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B. Content and Form of Application
Submission
The exhibits to be included in your
application are contained in the body of
this program section of the SuperNOFA.
There will not be a separate Application
Kit provided this year. Before preparing
your application, you should carefully
review the requirements of the
regulations (24 CFR part 891) and
general program instructions in
Handbook 4571.3 REV–1, Section 202
Capital Advance Program for Housing
the Elderly. Note: Section 1001 of Title
18 of the United States Code (Criminal
Code and Criminal Procedure, 72 Stat.
967) applies to all information supplied
in the application submission. (18
U.S.C. 1001, among other things,
provides that whoever knowingly and
willfully makes or uses a document or
writing containing any false, fictitious,
fraudulent statement or entry, in any
matter within the jurisdiction of any
department or agency of the United
States, shall be fined not more than
$10,000 or imprisoned for not more than
five years, or both.)
The Application for a Section 202
Capital Advance consists of four parts
with a total of eight Exhibits. Included
with the eight Exhibits are prescribed
forms, certifications and resolutions.
The components of the Application are:
Part 1—Application Form for Section
202 Supportive Housing—Capital
Advance (Exhibit 1).
Part 2—Your Ability to Develop and
Operate the Proposed Project
(Exhibits 2 and 3).
Part 3—The Need for Supportive
Housing for the Target Population in
the Area to be Served, Site Control
and Suitability of Site, Adequacy of
the Provision of Supportive Services
and of the Proposed Project (Exhibits
4 and 5).
Part 4—General Application
Requirements, Certifications and
Resolutions (Exhibits 6 through 8).
Appendix A—Listing of Local HUD
Offices.
Appendix B—Letter Requesting SHPO/
THPO Review.
Appendix C—Supplemental to
Choosing an Environmentally Safe
Site.
Your application must include all of
the information, materials, forms, and
exhibits listed below (unless you were
selected for a Section 202 fund
reservation within the last three funding
cycles). If you qualify for this exception,
you are not required to submit the
information described in Exhibits 2(a),
(b), and (c), which are the articles of
incorporation, (or other organizational
documents), by-laws, and the IRS tax
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exemption, respectively. If there has
been a change in any of these
documents since your previous HUD
approval, you must submit the updated
information in your application. The
local HUD office will verify your
indication of previous HUD approval by
checking the project number and
approval status with the appropriate
local HUD office based on the
information submitted.
In addition to this relief of paperwork
burden in preparing applications, you
will be able to use information and
exhibits previously prepared for prior
applications under Section 202, Section
811, or other funding programs.
Examples of exhibits that may be readily
adapted or amended to decrease the
burden of application preparation
include, among others, those on
previous participation in the Section
202 or Section 811 programs, your
experience in the provision of housing
and services, supportive services plans,
community ties, and experience serving
minorities.
For programmatic information, you
MUST contact the appropriate local
HUD office about the submission of
applications within the jurisdiction of
that Office.
Note: You may propose a scattered site
project in one application, in which case the
minimum unit requirement per site and the
maximum number of units per application as
specified in Section III.C.3.b. above apply.
Please submit your application using
the following format provided in this
program section of the SuperNOFA.
Unless you received a waiver of the
electronic application submission, you
must number the pages of each file,
narratives and other attached files.
Include the name of your organization
and your DUNS number on the header
of each document.
1. Table of contents (This is also to be
used as a checklist to assist you in
submitting a complete application. For
applicants who received a waiver of the
electronic application submission, after
your application is complete, you must
insert the page number after each
Exhibit or portion of the Exhibit item
listed below.)
a. Part I—Application Form for Section
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.
b. Part II—Your Ability to Develop
and Operate the Proposed
Project
(1) Exhibit 2: Your Legal Status.
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(a) Articles of Incorporation (or other
organizational documents).
(b) By-laws.
(c) IRS Tax Exemption Ruling.
[Exception: see exhibit to determine if you
may be exempt from submitting these
documents.]
(2) Exhibit 3: Your purpose,
community ties and experience:
(a) Purpose(s), current activities, how
long you have been in existence.
(b) Ties to the community at large, to
the target population, and description of
geographic areas served.
(c) Local government support for
project.
(d) Letters of support for your
organization and for the proposed
project.
(e) Housing and/or supportive
services experience.
(f) Efforts to involve target population.
(g) Description of practical solutions
to be implemented.
(h) Project Development Timeline.
(i) Description of how project will
remain viable.
(i) if service funds are depleted.
(ii) for state-funded services, if state
changes policy.
(iii) if the need for project changes.
(j) Description of efforts to remove
barriers to affordable housing.
c. Part III—The need for supportive
housing for the target population in the
area to be served, site control and
suitability of site, adequacy of the
provision of supportive services and of
the proposed project
(1) Exhibit 4: Project information
including:
(a) Evidence of need for project.
(b) How project will benefit target
population and community.
(c) A narrative description of the
project, including:
(i) Building design.
(ii) Whether and how project will
promote energy efficiency.
(iii) If applicable, description of plans
and actions to create a mixed-finance
project for additional units and the
number of additional units.
(d) Evidence of site control and
permissive zoning.
(i) Site control document(s).
(ii) Evidence site is free of limitations,
restrictions, or reverters.
(iii) Evidence of permissive zoning or
statement of proposed action required to
make project permissible.
(iv) Evidence of compliance with the
Uniform Relocation Assistance and Real
Property Acquisition Policies Act of
1970, as amended (URA) site
notification requirement.
(v) Narrative topographical/
demographic description of site/area
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suitability, how site will promote
greater housing opportunities for
minorities/target population.
(vi) Racial composition/concentration
map of site.
(vii) Phase I Environmental Site
Assessment.
(viii) Asbestos Statement or Report.
(ix) Letter to State/Tribal Historic
Preservation Officer (SHPO/THPO).
(x) Response from SHPO/THPO or
statement that SHPO/THPO failed to
respond.
(2) Exhibit 5: Supportive Services
Plan.
LV. (a) Description of services.
(b) Public/private funding sources for
proposed services.
(c) Manner in which services will be
provided.
d. Part IV—General application
requirements, certifications and
resolutions
(1) Exhibit 6: Other Applications.
(a) A list of applications, if any, you
are submitting to any other local HUD
Office in response to the FY 2005
Section 202 or Section 811 NOFA, and
required information about each.
(b) A list of all FY 2004 and prior year
Section 202 or Section 811 projects to
which you are a party and the required
information about each.
(2) Exhibit 7: A statement that:
(a) Identifies all persons occupying
property on application submission
date.
(b) Indicates estimated cost of
relocation payments/other services.
(c) Identifies staff organization that
will carry out relocation activities.
(d) Identifies all persons who have
moved from site within past 12 months.
(3) Exhibit 8: Certifications and
Resolutions:
(a) Standard Form 424, Application
for Federal Assistance.
(b) Standard Form 424 Supplement,
Survey on Ensuring Equal Opportunity
for Applicants.
(c) Standard Form LLL, Disclosure of
Lobbying Activities, if applicable.
(d) Form HUD–2880, Applicant/
Recipient Disclosure/Update Report.
(e) Form HUD–2991, Certification of
Consistency with the Consolidated Plan.
(f) Form HUD–92041, Sponsor’s
Conflict of Interest Resolution.
(g) Form HUD–92042, Sponsor’s
Resolution for Commitment to Project.
(h) Form HUD–2990, Certification of
Consistency with the RC/EZ/EC–II
Strategic Plan.
(i) Form HUD–2530, Previous
Participation Certification.
(j) Form HUD–96010, Logic Model.
(k) Form HUD–27300, Questionnaire
for HUD’s Initiative on Removal of
Regulatory Barriers.
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(l) Form HUD–96011, Facsimile
Transmittal to be used for faxing third
party letters and other documents for
your electronic application in
accordance with the instructions in the
General Section.
2. General Applications Requirements.
a. Part I—Application Form for Section
202 Supportive Housing—Capital
Advance
(1) Exhibit 1—Form HUD–92015–CA,
Supportive Housing for the Elderly
Section 202, Application for Capital
Advance Summary Information. Refer to
Section IV.B.3. of this program section
for a copy of this form.
b. Part II—Your ability to develop and
operate the proposed project.
(1) Exhibit 2—Evidence of your legal
status (Private nonprofit or nonprofit
consumer cooperative (If another
organization(s) is co-sponsoring the
application with you, each Co-Sponsor
must also submit the following):
(a) Articles of Incorporation,
constitution, or other organizational
documents;
(b) By-laws;
(c) IRS tax exemption ruling (this
must be submitted by all Sponsors,
including churches).
[Exception: if you received a Section 202
fund reservation within the last three funding
cycles, you are not required to submit the
documents described in (a), (b), and (c)
above. instead, submit the project number of
the latest application and the local hud office
to which it was submitted. if there have been
any modifications or additions to the subject
documents, indicate such, and submit the
new material.]
(2) Exhibit 3—Your purpose,
community ties and experience:
(a) A description of your purpose(s),
current activities, and how long you
have been in existence.
(b) A description of your ties to the
community in which your project will
be located and to the minority and
elderly communities in particular,
including a description of the specific
geographic area(s) in which you have
served.
(c) A description of local government
support for the project (including
financial assistance, donation of land,
provision of services, etc.).
(d) Letters of support for your
organization and for the proposed
project from organizations familiar with
the housing and supportive services
needs of the target population that you
expect to serve in the proposed project.
(e) A description of your housing and/
or supportive services experience. The
description should include any rental
housing projects and/or supportive
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14197
services facilities that you sponsored,
own and/or operate, your past or current
involvement in any programs other than
housing that demonstrates your
management capabilities (including
financial management) and experience,
your experience in serving the target
population (the elderly and/or families
and minorities); and the reasons for
receiving any increases in fund
reservations for developing and/or
operating previously funded Section
202 or Section 811 projects. The
description should include data on the
facilities and services provided, the
racial/ethnic composition of the
populations served, if available, and
information and testimonials from
residents or community leaders on the
quality of the activities. Examples of
activities that could be described
include housing counseling, nutrition
and food services, special housing
referral, screening and information
projects.
(f) A description of your efforts to
involve members of the target
population (elderly persons, including
minority elderly persons) in the
development of the application as well
as your intent to involve the target
population in the development and
operation of the project.
(g) A description of the practical
solutions you will implement which
will enable residents of your project to
achieve independent living. In addition,
describe the educational opportunities
you will provide for the residents and
how you will provide them. This
description should include any
activities that will enhance the quality
of life for the residents. And, finally,
describe how your proposed project will
be an improved living environment for
the residents when compared to their
previous place of residence.
(h) Describe your plan for completing
the proposed project. Include a project
development timeline which lists the
major development stages for the project
with associated dates that must be met
in order to get the project to initial
closing and start of construction within
the 18-month fund reservation period as
well as the full completion of the
project, including final closing.
Completion of Exhibit 8(j), Logic Model,
will assist you in completing your
response to this Exhibit.
(i) Describe how you will ensure that
your proposed project will remain
viable as housing with the availability of
supportive services for the target
population for the 40-year capital
advance period. This description should
address the measures you would take
should any of the following occur:
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(i) funding for any of the needed
supportive services becomes depleted;
(ii) if, for any state-funded services for
your project, the state changes its policy
regarding the provision of supportive
services to projects such as the one you
propose; or
(iii) if the need for housing for the
population you will be serving wanes
over time, causing vacancies in your
project.
(j) A description of the successful
efforts the jurisdiction in which your
project will be located has taken in
removing regulatory barriers to
affordable housing. To obtain up to 2
points for this policy priority, you must
complete the optional Form HUD–
27300, ‘‘Questionnaire for HUD’s
Initiative on Removal of Regulatory
Barriers’’ in Exhibit 8(k) of the
application AND provide the necessary
URL references or submit the
documentary evidence.
c. Part III—The need for supportive
housing for the target population, site
control and suitability of site, adequacy
of the provision of supportive services
and of the proposed project.
(1) Exhibit 4—Need and Project
Information.
(a) Evidence of need for supportive
housing. Include a description of the
category or categories of elderly persons
the housing is intended to serve and
evidence demonstrating sustained
effective demand for supportive housing
for that population in the market area to
be served, taking into consideration the
occupancy and vacancy conditions in
existing federally assisted housing for
the elderly (HUD and the Rural Housing
Service (RHS)) e.g., public housing, state
or local data on the limitations in
activities of daily living among the
elderly in the area; aging in place in
existing assisted rentals; trends in
demographic changes in elderly
population and households; the
numbers of income eligible elderly
households by size, tenure and housing
condition; the types of supportive
services arrangements currently
available in the area; and the use of such
services as evidenced by data from local
social service agencies or agencies on
aging. Also, a description of how
information in the community’s or
(where applicable) the state’s
Consolidated Plan, Analysis of
Impediments to Fair Housing Choice
(AI) or other planning document that
analyzes fair housing issues was used in
documenting the need for the project.
(b) A description of how the proposed
project will benefit the target population
and the community in which it will be
located.
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(c) Description of the project.
(i) Narrative description of the
building design including a description
of the number of units with bedroom
distribution, any special design features,
including any features that incorporate
visitability standards and universal
design, amenities, and/or commercial
and community spaces, and how this
design will facilitate the delivery of
services in an economical fashion and
accommodate the changing needs of the
residents over the next 10–20 years.
Note: If the community spaces, amenities,
or features do not comply with the project
design and cost standards of 24 CFR
891.120(a) and (c) and the special standards
of 24 CFR 891.210, you must demonstrate
your ability and willingness to contribute
both the incremental development cost and
continuing operating cost associated with the
community spaces, amenities, or features;
(ii) Describe whether and how the
project will promote energy efficiency
(in accordance with the requirements
set forth in Section III.C.3.j. of this
program NOFA), including any plans to
incorporate energy efficiency features in
the operation of the project through the
use of Energy Star labeled products and
appliances and, if applicable, innovative
construction or rehabilitation methods
or technologies to be used that will
promote efficient construction.
(iii) If you are proposing to develop a
mixed-finance project by developing
additional units (i.e., in addition to the
202 units), a description of any plans
and actions you have taken to create
such a mixed-finance project with the
use of Section 202 capital advance
funds, in combination with other
funding sources. Provide the number of
non-Section 202 units to be included in
the mixed-finance project (also provide
the number of additional units in the
appropriate space on Form HUD–
92015–CA). Also, provide copies of any
letters you have sent seeking outside
funding for the non-Section 202 units
and any responses thereto. Your
response to this Exhibit will be used to
rate your application for Rating Factor
4.c., under Leveraging Resources.
Notes: (1) A proposal to develop a mixedfinance project for additional units must
occur at the application for fund reservation
stage. You cannot decide after selection that
you want to do a mixed-finance project for
additional units. (2) If you propose to
develop a mixed-finance project for
additional units, you must complete the
development of such a proposal. If you are
later unable to develop a mixed-finance
project for additional units, you will not be
permitted to proceed with a Section 202
project without additional units and your
fund reservation will be canceled. This is due
to the fact that the project would have
received points in the rating of the
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application in consideration of the additional
units and, if selected for funding, a later
change in the proposal to exclude the
additional units would alter the fairness of
the competition. (3) Section 202 capital
advance amendment money will not be
approved for projects proposing mixedfinancing for additional units. (4) If approved
for a reservation of capital advance funds,
you will be required to submit with your
Firm Commitment Application, the
additional documents required by HUD for
mixed-finance proposals. (5) A mixedfinance 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 longterm 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 sixmonth period. The only condition on
which the option may be terminated is
if you are not awarded a fund
reservation;
(D) If the site is covered by a mortgage
under a HUD program, (e.g., a
previously funded Section 202 or
Section 811 project or an FHA-insured
mortgage) you must submit evidence
that consent to release the site from the
mortgage has been obtained or has been
requested from HUD (all required
information in order for a decision on
the request for a partial release of
security must have been submitted to
the local HUD office) and from the
mortgagee, if other than HUD. Approval
to release the site from the mortgage
must be done before the local HUD
office makes its selection
recommendations to HUD Headquarters.
Refer to Chapter 16 of HUD Handbook
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4350.REV–1, Multifamily Asset
Management and Project Servicing, for
instructions on submitting requests to
the local HUD office for partial release
of security from a mortgage under a
HUD program; or
(E) For sites to be acquired from a
public body, evidence is needed that the
public body possesses clear title to the
site and has entered into a legally
binding agreement to lease or convey
the site to you after you receive and
accept a notice of Section 202 capital
advance. Where HUD determines that
time constraints of the funding round
will not permit you to obtain all of the
required official actions (e.g., approval
of Community Planning Boards) that are
necessary to convey publicly-owned
sites, you may include in your
application a letter from the mayor or
director of the appropriate local agency
indicating that conveyance or leasing of
the site is acceptable without imposition
of additional covenants or restrictions,
and only contingent on the necessary
approval action. Such a letter of
commitment will be considered
sufficient evidence of site control.
Note: For this funding cycle, the existing
installment contract between the Village of
Hanna City, Illinois and the General Services
Administration is deemed sufficient to
constitute site control for the purposes of the
Section 202 program.
(ii) Whether you have title to the site,
a contract of sale, an option to purchase,
or are acquiring a site from a public
body, you must provide evidence (a title
policy or other acceptable evidence) that
the site is free of any limitations,
restrictions, or reverters which could
adversely affect the use of the site for
the proposed project for the 40-year
capital advance period under HUD’s
regulations and requirements (e.g.,
reversion to seller if title is transferred).
If the title evidence contains restrictions
or covenants, copies of the restrictions
or covenants must be submitted with
the application. If the site is subject to
any such limitations, restrictions, or
reverters, the application will be
rejected. Purchase money mortgages that
will be satisfied from capital advance
funds are not considered to be
limitations or restrictions that would
adversely affect the use of the site. If the
contract of sale or option agreement
contains provisions that allow a
Sponsor not to purchase the property for
reasons such as environmental
problems, failure of the site to pass
inspection, or the appraisal is less than
the purchase price, then such provisions
are not objectionable and a Sponsor is
allowed to terminate the contract of sale
or the option agreement.
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Note: A proposed project site may not be
acquired or optioned from a general
contractor (or its affiliate) that will construct
the Section 202 project or from any other
development team member.
(iii) Evidence that the project, as
proposed, is permissible under
applicable zoning ordinances or
regulations or a statement of the
proposed action required to make the
proposed project permissible and the
basis for the belief that the proposed
action will be completed successfully
before the submission of the firm
commitment application (e.g., a
summary of the results of any requests
for rezoning and/or the procedures for
obtaining special or conditional use
permits on land in similar zoning
classifications and the time required for
such rezoning, or preliminary
indications of acceptability from zoning
bodies, etc.).
(iv) Evidence of compliance with the
URA requirement that the seller has
been provided, in writing, with the
required information regarding a
voluntary, arm’s length purchase
transaction (i.e., (1) applicant does not
have the power of eminent domain and,
therefore, will not acquire the property
if negotiations fail to result in an
amicable agreement, and (2) of the
estimate of the fair market value of the
property).
Note: This information should have been
provided before making the purchase offer.
However, in those cases where there is an
existing option or contract, the seller must be
provided the opportunity to withdraw from
the agreement or transaction, without
penalty, after this information is provided.
(v) Narrative describing topographical
and demographic aspects of the site, the
suitability of the site and area (as well
as a description of the characteristics of
the neighborhood), how use of the site
will promote greater housing
opportunities for minority elderly and
elderly persons with disabilities, and
how use of the site will affirmatively
further fair housing.
Note: You can best demonstrate your
commitment to affirmatively furthering fair
housing by describing how your proposed
activities will assist the jurisdiction in
overcoming impediments to fair housing
choice identified in the applicable
jurisdiction’s Analysis of Impediments (AI)
to Fair Housing Choice, which is a
component of the jurisdiction’s Consolidated
Plan or any other planning document that
addresses fair housing issues. The applicable
Consolidated Plan and AI may be the
community’s, the county’s, or the state’s, to
which input should have been provided by
local community organizations, agencies in
the community and residents of the
community. Alternatively, a document that
addresses fair housing issues and remedies to
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14199
barriers to fair housing in the community that
was previously prepared by a local planning,
or similar organization, may be used.
Applicable impediments could include the
need for improved housing quality and
services for elderly minority families, lack of
affirmative marketing and outreach to
minority elderly persons, and the need for
quality eldercare services within areas of
minority concentration when compared with
the type and quality of similar services and
housing in nonminority areas.
(vi) A map showing the location of the
site, the racial composition of the
neighborhood, and any areas of racial
concentration.
Note: For this competition, when
determining the racial and ethnic
composition of the neighborhood
surrounding the proposed site, use data from
the 2000 Census of Population. Data from the
2000 Census may be found at:
www.factfinder.census.gov/servlet/
BasicFactsServlet.
(vii) A Phase I Environmental Site
Assessment (ESA), in accordance with
the ASTM Standards E 1527–00, as
amended, must be completed and
submitted with the application. In order
for the Phase I ESA to be acceptable, it
must have been completed or updated
no earlier than six months prior to the
application deadline date. Therefore, it
is important to start the site assessment
process as soon after the publication of
the NOFA as possible. If the Phase I
ESA indicates possible presence of
contamination and/or hazards, you must
decide whether to continue with this
site or choose another site. Should you
choose another site, the same Phase I
ESA process identified above must be
followed for the new site. If the property
is to be acquired from the FDIC/RTC,
include a copy of the FDIC/RTC
prepared Transaction Screen Checklist
or Phase I ESA and applicable
documentation, per the FDIC/RTC
Environmental Guidelines. If you
choose to continue with the original site
on which the Phase I ESA indicated
contamination or hazards, you must
undertake a detailed Phase II ESA by an
appropriate professional. If the Phase II
Assessment reveals site contamination,
you must submit the extent of the
contamination and a plan for clean-up
of the site including a contract for
remediation of the problem(s) and an
approval letter from the applicable
federal, state, and/or local agency with
jurisdiction over the site to the local
HUD office. The Phase II and any
necessary plans for clean-up do not
have to be submitted with the
application but must be received by the
local HUD office by June 30, 2005. If it
is not received by that date, the
application will be rejected.
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Note: You must pay for the cost of any
clean-up or remediation which can be very
expensive. See Note at Section
III.C.2.B(3)(c)(iii).
(viii) You must submit one of the
following:
(A) If there is no pre-1978 structure on
the site, a statement to this effect, or
(B) If there is a pre-1978 structure on
the site, an asbestos report which is
based on a thorough inspection to
identify the location and condition of
asbestos throughout any structures.
Note: In those cases where suspect asbestos
is found, it would either be assumed to be
asbestos or would require confirmatory
testing. If the asbestos report indicates the
presence of asbestos, or the presence of
asbestos is assumed, and if the application is
approved, HUD will condition the approval
on an appropriate mix of asbestos abatement
and an asbestos Operations and Maintenance
Plan.
(ix) The letter you sent to the State/
Tribal Historic Preservation Officer
(SHPO/THPO) initiating consultation
with their office and requesting their
review of your determinations and
findings with respect to the historical
significance of your proposed project.
Appendix B to this program section of
the SuperNOFA contains a sample letter
that you may adapt and send to the
SHPO/THPO.
(x) The SHPO/THPO response to your
letter or a statement that you have not
received a response letter from the
SHPO/THPO.
(2) Exhibit 5—Supportive Services
Plan.
(a) A detailed description of the
supportive services proposed to be
provided to the anticipated occupancy.
(b) A description of public or private
sources of assistance that reasonably
could be expected to fund the proposed
services.
(c) The manner in which such
services will be provided to such
persons (i.e., on or off-site), including
whether a service coordinator will
facilitate the adequate provision of such
services, and how the services will meet
the identified needs of the residents.
Note: You may not require residents, as a
condition of admission or occupancy, to
accept any supportive services.
d. Part IV—General Application
Requirements, Certifications and
Resolutions
(1) Exhibit 6: Other Applications.
(a) A list of the applications, if any,
you are submitting to any other local
HUD office in response to the FY 2005
Section 202 or Section 811 NOFA.
Indicate by local HUD office, the
proposed location by city and state and
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the number of units requested for each
application.
(b) Include a list of all FY2004 and
prior year Section 202 and Section 811
capital advance projects to which you
are a party. Identify each by project
number and local HUD office and
include the following information:
(1) whether the project has initially
closed and, if so, when;
(2) if the project was older than 24
months when it initially closed (specify
how old) or if older than 24 months now
(specify how old) and has not initially
closed, provide the reasons for the delay
in closing;
(3) whether amendment money was or
will be needed for any project in (2)
above; and,
(4) those projects which have not been
finally closed.
(2) Exhibit 7: A statement that:
(a) identifies all persons (families,
individuals, businesses and nonprofit
organizations) by race/minority group,
and status as owners or tenants
occupying the property on the date of
submission of the application for a
capital advance.
(b) indicates the estimated cost of
relocation payments and other services.
(c) identifies the staff organization
that will carry out the relocation
activities.
(d) identifies all persons that have
moved from the site within the past 12
months.
Note: If any of the relocation costs will be
funded from sources other than the Section
202 Capital Advance, you must provide
evidence of a firm commitment of these
funds. When evaluating applications, HUD
will consider the total cost of proposals (i.e.,
cost of site acquisition, relocation,
construction and other project costs).
(3) Exhibit 8: Certifications and
Resolutions. With the exception of Form
HUD–424CB and Form HUD–424CBW
listed in the General Section of the
SuperNOFA, and OMB Circulars A–87
and A–21, you are required to submit
copies of the following:
(a) Standard Form 424—Application
for Federal Assistance, including a
DUNS number, an indication of whether
you are delinquent on any Federal debt,
and compliance with Executive Order
12372 (a certification that you have
submitted a copy of your application, if
required, to the State agency (Single
Point of Contact) for state review in
accordance with Executive Order
12372). A copy of this form and
instructions on how to obtain a DUNS
number are contained in the online
application and the General Section of
the SuperNOFA.
(b) Standard Form 424 Supplement,
Survey on Ensuring Equal Opportunity
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for Applicants. Although the
information on this form will not be
considered in making funding
decisions, it will assist the federal
government in ensuring that all
qualified applicants have an equal
opportunity to compete for federal
funding. A copy of this form is
contained in the online application and
the General Section of the SuperNOFA.
(c) Standard Form LLL—Disclosure of
Lobbying Activities (if applicable). A
disclosure of activities conducted to
influence any federal transactions. A
copy of this form is contained in the
online application and the General
Section of the SuperNOFA.
(d) Form HUD–2880, Applicant/
Recipient Disclosure/Update Report,
including Social Security and Employee
Identification Numbers. A disclosure of
assistance from other government
sources received in connection with the
project. A copy of this form is contained
in the online application and the
General Section of the SuperNOFA.
(e) Form HUD–2991, Certification of
Consistency with the Consolidated Plan
(Plan) for the jurisdiction in which the
proposed project will be located. The
certification must be made by the unit
of general local government if it is
required to have, or has, a complete
Plan. Otherwise, the certification may
be made by the state or by the unit of
general local government if the project
will be located within the jurisdiction of
the unit of general local government
authorized to use an abbreviated
strategy, and if it is willing to prepare
such a Plan. All certifications must be
made by the public official responsible
for submitting the Plan to HUD. The
certifications must be submitted as part
of the application by the application
submission deadline date set forth in
the program section of the SuperNOFA.
The Plan regulations are published in 24
CFR part 91. A copy of this form is
contained in the online application and
the General Section of the SuperNOFA.
(f) Form HUD–92041, Sponsor’s
Conflict of Interest Resolution. A
certified Board Resolution that no
officer or director of the Sponsor or
Owner has or will have any financial
interest in any contract with the Owner
or in any firm or corporation that has or
will have a contract with the Owner,
including a current listing of all duly
qualified and sitting officers and
directors by title and the beginning and
ending dates of each person’s term.
Refer to Section IV.B.3. for a copy of this
Resolution.
(g) Form HUD–92042, Sponsor’s
Resolution for Commitment to Project.
A certified Board Resolution
acknowledging responsibilities of
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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 startup expenses, the Minimum Capital
Investment (one-half of one-percent of
the HUD-approved capital advance, not
to exceed $10,000 or for national
Sponsors, not to exceed $25,000), and
the estimated cost of any amenities or
features (and operating costs related
thereto) that would not be covered by
the approved capital advance. Refer to
Section IV.B.3. for a copy of this
Resolution.
(h) Form HUD–2990, Certification of
Consistency with the RC/EZ/EC–II
Strategic Plan. A certification that the
project is consistent with the RC/EZ/
EC–IIs strategic plan, is located within
the RC/EZ/EC–II, and serves RC/EZ/EC–
II residents. (This certification is not
required if the project site(s) will not be
located in an RC/EZ/EC–II.) A copy of
the RC/EZ/EC–II Certification form is
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contained in the online application and
the General Section of the SuperNOFA.
(i) Form HUD–2530, Previous
Participation Certification. This form
must be submitted for the Sponsor and
all of the Officers and Directors of the
Board of the Sponsor, including any CoSponsor, if applicable. This form
provides HUD with a certified report of
all your previous participation in HUD
multifamily housing projects. The
information is used to determine if you
meet the standards established to ensure
that all principal participants in HUD
projects will honor their legal, financial,
and contractual obligations and are
acceptable risks from the underwriting
standpoint of an insurer, lender or
governmental agency. Refer to Section
IV.B.3. below for a copy of this form.
(j) Form HUD–96010, Logic Model. In
addition to the Project Development
Timeline to be submitted in Exhibit 3(h)
above, the information provided in the
Logic Model will be used in rating your
application for Rating Factor 5,
Achieving Results and Program
Evaluation. A copy of this form is
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contained in the online application and
the General Section of the SuperNOFA.
(k) Form HUD–27300, Questionnaire
for HUD’s Initiative on Removal of
Regulatory Barriers. This form requires
you to supply a reference, URL or brief
statement documenting the successful
efforts in removing barriers to affordable
housing by the jurisdiction in which
your project will be located. This
Questionnaire will be considered in the
rating of your application for Rating
Factor 3.j. A copy of this form is
contained in the online application and
the General Section.
(l) Form HUD–96011, Facsimile
Transmittal to be used for faxing third
party letters and other documents for
your electronic application in
accordance with the instructions in the
General Section.
3. Required Forms. In addition to the
required forms that are found in the
General Section as specified above, the
following required forms (HUD–92015–
CA, HUD–92041, HUD–92042, and
HUD–2530) are specific to the Section
202 program.
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C. Submission Dates and Time
Your application must be submitted
and received electronically by
Grants.gov no later than 11:59:59 p.m.
Eastern time on May 31, 2005, unless a
waiver of the electronic delivery process
has been approved by HUD. Please refer
to the General Section for instructions
on applying for a waiver. If a waiver is
granted, you must submit an original
and four copies of your application on
the application submission date
following the mailing and timely receipt
instructions in the General Section and
Appendix A of this program NOFA.
These instructions have changed from
the 2004 SuperNOFA.
D. Intergovernmental Review
1. State Review. This funding
opportunity is subject to Executive
Order (EO) 12372, ‘‘Intergovernmental
Review of Federal Programs.’’ You must
contact your State’s Single Point of
Contact (SPOC) to find out about and
comply with the state’s process under
EO 12372. The names and addresses of
the SPOCs are listed in the Office of
Management and Budget’s home page at
https://www.whitehouse.gov/omb/grants/
spoc.html. If required by the state, the
submission to the state needs to occur
before the Section 202 application
submission date. It is recommended that
you provide the state with sufficient
time to review the application.
Therefore, it is important that you
consult with the SPOC for State review
timeframes and take that into account
when submitting the application.
2. HUD/RHS Agreement. HUD and the
Rural Housing Service (RHS) have an
agreement to coordinate the
administration of the agencies’
respective rental assistance programs.
As a result, HUD is required to notify
RHS of applications for housing
assistance it receives. This notification
gives RHS the opportunity to comment
if it has concerns about the demand for
additional assisted housing and possible
harm to existing projects in the same
housing market area. HUD will consider
RHS’ comments in its review and
application selection process.
E. Funding Restrictions
1. Ineligible Activities. Section 202
funds may not be used for:
a. Nursing homes;
b. Infirmaries;
c. Medical facilities;
d. Mobile homes;
e. Community centers;
f. Headquarters for organizations for
the elderly;
g. Nonhousekeeping accommodations
(e.g., central dining, but without private
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kitchens and/or bathrooms in the
residential units);
h. Refinancing of sponsor-owned
facilities without rehabilitation,
i. Housing that you currently own or
lease that is occupied by elderly
persons; and
j. Projects licensed or to be licensed
as assisted living facilities.
Note: You may propose to rehabilitate an
existing currently-owned or leased structure
that does not already serve elderly person,
except that the refinancing of any federallyfunded or assisted project or project insured
or guaranteed by a Federal agency is not
permissible under this Section 202 NOFA.
HUD does not consider it appropriate to
utilize scarce program resources to refinance
projects that have already received some
form of assistance under a federal program.
(For example, Section 202 or Section 202/8
direct loan projects cannot be refinanced
with capital advances and project rental
assistance.)
2. Application Limits (Units/Projects).
Refer to Section III.C.3.b. of this
program section of the SuperNOFA for
information applicable to the limitations
on the number of units you may apply
for in a single application and the
project sizes.
3. Development Cost Limits. a. The
following development cost limits,
adjusted by locality as described in
Section IV.E.3.b. below must be used to
determine the capital advance amount
to be reserved for projects for the
elderly. Note: The capital advance funds
awarded for this project are to be
considered the total amount of funds
that the Department will provide for the
development of this project.
Amendment funds will only be
provided in exceptional circumstances
(e.g., to cover increased costs for
construction delays due to litigation or
unforeseen environmental issues
resulting in a change of sites) that are
clearly beyond your control. Otherwise,
you are responsible for any costs over
and above the capital advance amount
provided by the Department as well as
any costs associated with any excess
amenities and design features.
(1) The capital advance amount for
the project attributable to dwelling use
(less the incremental development cost
and the capitalized operating costs
associated with any excess amenities
and design features and other costs you
must pay for) may not exceed:
Non-elevator structures: $42,980 per
family unit without a bedroom; $49,557
per family unit with one bedroom;
$59,766 per family unit with two
bedrooms.
For elevator structures: $45,232 per
family unit without a bedroom; $51,849
per family unit with one bedroom;
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$63,049 per family unit with two
bedrooms.
(2) These cost limits reflect those
costs reasonable and necessary to
develop a project of modest design that
complies with HUD minimum property
standards; the accessibility
requirements of § 891.120(b); and the
project design and cost standards of
§ 891.120 and § 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 projectby-project basis. This increase may
include covering additional costs to
make dwelling units accessible through
rehabilitation.
Note: In applying the applicable high cost
percentage, the local HUD Office may use a
percentage that is higher or lower than that
which is assigned to the local HUD Office if
it is needed to provide a capital advance
amount that is comparable to what it
typically costs to develop a Section 202
project in that area.
(2) If HUD finds that high
construction costs in Alaska, Guam, the
Virgin Islands, or Hawaii make it
infeasible to construct dwellings,
without the sacrifice of sound standards
of construction, design, and livability,
within the development cost limits
provided in sections IV.E.3.a.(1) and
IV.E.3.b.(1) above, the amount of the
capital advances may be increased to
compensate for such costs. The increase
may not exceed the limits established
under this section (including any high
cost area adjustment) by more than 50
percent.
4. Commercial Facilities. A
commercial facility for the benefit of the
residents may be located and operated
in the Section 202 project. However, the
commercial facility cannot be funded
with the use of Section 202 capital
advance or PRAC funds. The maximum
amount of space permitted for a
commercial facility cannot exceed 10
percent of the total project cost. An
exception to this 10 percent limitation
is if the project involves acquisition or
rehabilitation and the additional space
was incorporated in the existing
structure at the time the proposal was
submitted to HUD. Commercial facilities
are considered public accommodations
under Title III of the Americans with
Disabilities Act of 1990 (ADA), and thus
must comply with all the accessibility
requirements of the ADA.
5. Expiration of Section 202 Funds.
The Consolidated Appropriations Act,
2005, requires HUD to obligate all
Section 202 funds appropriated for FY
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2005 by September 30, 2008. Under 31
U.S.C. Section 1551, no funds can be
disbursed from this account after
September 30, 2013. Under Section 202,
obligation of funds occurs for both
capital advances and project rental
assistance upon fund reservation and
acceptance. If all funds are not
disbursed by HUD and expended by the
project Owner by September 30, 2013,
the funds, even though obligated, will
expire and no further disbursements can
be made from this account. In
submitting an application you need to
carefully consider whether your
proposed project can be completed
through final capital advance closing no
later than September 30, 2013.
Furthermore, all unexpended balances,
including any remaining balance on
PRAC contracts, will be cancelled as of
October 1, 2013. Amounts needed to
maintain PRAC payments for any
remaining term on the affected contracts
beyond that date will have to be funded
from other current appropriations.
F. Other Submission Requirements:
1. Address for Submitting
Applications. Applications must be
submitted electronically through the
https://www.grants.gov Web site, unless
the applicant receives a waiver from the
electronic application submission
requirement. See the General Section,
Application Submission and Receipt
Procedures, for information on applying
online and requesting a waiver from the
electronic application requirement. If
you apply for and receive a waiver from
the electronic application requirement,
you must submit an original and four
copies of your completed application to
the Director of the appropriate local
HUD office listed in Appendix A below.
Note: Do not use the listing in Attachment
B to the General Section of the SuperNOFA.
V. Application Review Information
A. Criteria
Policy Priorities. HUD encourages
applicants to undertake specific
activities that will assist the Department
in implementing its policy priorities
and which help the Department achieve
its strategic goals for FY 2005. Refer to
the General Section of the SuperNOFA
for information regarding HUD’s
Strategic Goals and Policy Priorities. For
the Section 202 program, applicants
who include work activities that
specifically address the policy priorities
of encouraging accessible design
features by incorporating visitability
standards and universal design,
removing barriers to affordable housing,
and promoting energy efficiency in
design and operations will receive
additional points. A Notice pertaining to
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the removal of barriers to affordable
housing was published in the Federal
Register and may be downloaded from
the HUD Web site at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm.
Rating Factors. HUD will rate
applications that successfully complete
technical processing using the Rating
Factors set forth below and in
accordance with the application
submission requirements in this
program Section of the SuperNOFA.
The maximum number of points an
application may receive under this
program is 102. This includes two (2)
RC/EZ/EC-II bonus points, as described
in the General Section of the
SuperNOFA and Section V.A.6. below.
1. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Staff (25 Points).
This factor addresses the extent to
which you have the organizational
resources to successfully implement the
proposed activities in a timely manner.
Submit information responding to this
factor in accordance with Application
Submission Requirements in Exhibits
3(a), 3(b), 3(e), 5 and 6 of Section IV.B.
of this program section of the
SuperNOFA. In rating this factor, HUD
will consider the extent to which your
application demonstrates your ability to
develop and operate the proposed
housing on a long-term basis,
considering the following:
a. (15 points). The scope, extent, and
quality of your experience in providing
housing or related services to those
proposed to be served by the project and
the scope of the proposed project (i.e.,
number of units, services, relocation
costs, development, and operation) in
relationship to your demonstrated
development and management capacity
as well as your financial management
capability.
b. (10 points). The scope, extent and
quality of your experience in providing
housing or related services to minority
persons or families and your ties to the
community at large and to the minority
and elderly communities in particular.
(1) (5 points). The scope, extent, and
quality of your experience in providing
housing or related services to minority
persons or families.
(2) (5 points). The scope, extent, and
quality of your ties to the community at
large and to the minority and elderly
communities in particular.
To earn the maximum number of
points under sub-criteria (b)(1) above,
you must describe both your
relationships over time with the
minority community and significant
previous experience in providing
housing and/or supportive services to
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minorities generally and to minority
elderly in particular. For the purpose of
this competition, ‘‘significant previous
experience’’ means that the previous
housing assistance or related services to
minorities, i.e., the percentage of
minorities being provided housing or
related services in your current
developments, was equal to or greater
than the percentage of minorities in the
jurisdiction where the previous housing
or services occurred. To earn the
maximum number of points under 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 elderly communities in particular.
Examples of documents that may be
submitted to earn the maximum number
of points under sub-criteria (b)(2)
include copies of your affirmative
marketing plan and the advertising/
outreach materials you utilize to attract
minority communities (including
limited English proficient
communities), elderly community and
the community at large. Regarding your
advertising/outreach materials, you
should identify when advertising/
outreach materials are circulated, whom
they are circulated to, where they are
circulated and how they are circulated.
Descriptions of other advertising/
outreach efforts to the minority
(including limited English proficient
communities) and elderly communities
and the dates and places of such
advertising/outreach efforts should also
be included.
c. (¥3 to ¥5 points). HUD will
deduct (except if the delay was beyond
your control) 3 points if a fund
reservation you received under either
the Section 202 Program of Supportive
Housing for the Elderly or the Section
811 Program of Supportive Housing for
Persons with Disabilities in FY 2000 or
later has been extended beyond 24
months, 4 points if beyond 36 months,
and 5 points if beyond 48 months.
Examples of such delays beyond your
control include, but are not limited to,
initial closing delays that are: (1)
Directly attributable to HUD, (2) directly
attributable to third party opposition,
including litigation, and (3) due to a
disaster, as declared by the President of
the United States.
d. (¥1 point). HUD will deduct 1
point if amendment money was
required as a result of the delay (except
if the delay was beyond your control).
2. Rating Factor 2: Need/Extent of the
Problem (13 Points).
This factor addresses the extent to
which there is a need for funding the
proposed activities to address a
documented problem in the target area.
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Submit information responding to this
factor in accordance with Application
Submission Requirements in Exhibits
4(a) and 4(b) of Section IV.B. of this
program section of the SuperNOFA.
HUD will take into consideration the
following in evaluating this factor:
The extent of the need for the project
in the area based on a determination by
the local HUD Office. In making this
determination, HUD will consider your
evidence of need in the area, as well as
other economic, demographic, and
housing market data available to the
local HUD office. The data should
include a general assessment of the
current conditions in the market for the
type of housing proposed, an estimate of
the demand for additional housing of
the type proposed in the applicable
housing market area; as well as,
information on the numbers and types
of existing comparable Federally
assisted housing units for the elderly
(HUD and RHS), current occupancy in
such housing and recent market
experience, comparable assisted
housing for the elderly under
construction or for which fund
reservations have been issued, and, in
accordance with an agreement between
HUD and RHS, comments from RHS on
the demand for additional comparable
subsidized housing and the possible
harm to existing projects in the same
housing market areas. The Department
will also review more favorably those
applications that establish a connection
between the proposed project and the
community’s Analysis of Impediments
to Fair Housing Choice (AI) or other
planning document that analyzes fair
housing issues and is prepared by a
local planning or similar organization.
You must show how your proposed
project will address an impediment to
fair housing choice described in the AI
or meet a need identified in the other
type of planning document.
For all Section 202 projects that are
determined to have sufficient demand,
HUD will rate your application based on
the ratio of the number of units in the
proposed project to the estimate of
unmet need for housing assistance by
the income eligible elderly households
with selected housing conditions.
Unmet need is defined as the number of
very low-income elderly one-person
renter households age 75 and older with
housing conditions problems, as of the
2000 Census minus the number of
project-based subsidized rental housing
units (HUD, RHS, or LIHTC) that are
affordable to very low-income elderly
provided in the area since 1999. Units
to be occupied by resident managers are
not counted. After HUD determines the
estimate of unmet need and whether a
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connection has been made between the
project and community’s Consolidated
Plan, Analysis of Impediments to Fair
Housing Choice, or other planning
document, HUD will rate your
application as follows:
a. (10 points). The area of the project
has an unmet needs ratio of 15 percent
or less; OR (5 points). The area of the
project has an unmet needs ratio of
greater than 15 percent; OR (0 points).
The area of the proposed project has no
unmet needs for housing assistance.
b. (3 points). The extent that a
connection has been established
between the project and the
community’s Consolidated Plan,
Analysis of Impediments to Fair
Housing Choice (AI) or other planning
document that analyzes fair housing
issues and is prepared by a local
planning or similar organization.
3. Rating Factor 3: Soundness of
Approach (45 Points).
This factor addresses the quality and
effectiveness of your proposal and the
extent to which you involved elderly
persons, including elderly minority
persons, in the development of the
application and will involve them in the
development and operation of the
project, whether the jurisdiction in
which your project will be located has
undertaken successful efforts to remove
regulatory barriers to affordable
housing, and whether you will promote
energy efficiency in the design and
operation of the proposed housing.
There must be a clear relationship
between your proposed design,
proposed activities, the community’s
needs and purposes of the program
funding for your application to receive
points for this factor. Submit
information responding to this factor in
accordance with Application
Submission Requirements in Exhibits
3(f), 3(j), 4(c)(i), 4(c)(ii), 4(c)(iii),
4(d)(iii), 4(d)(v), 4(d)(vi), 5, and 8(k) of
Section IV.B. of this program section of
the SuperNOFA. In evaluating this
factor, HUD will consider the following:
a. (20 points). The proximity or
accessibility of the site to shopping,
medical facilities, transportation, places
of worship, recreational facilities, places
of employment, and other necessary
services to the intended occupants;
adequacy of utilities and streets;
freedom of the site from adverse
environmental conditions; compliance
with site and neighborhood standards
(24 CFR 891.125(a), (d) and (e)).
b. (¥1 point). The site(s) is not
permissively zoned for the intended
use.
c. (10 points). The suitability of the
site from the standpoints of promoting
a greater choice of housing
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opportunities for minority elderly
persons/families, and affirmatively
furthering fair housing. In reviewing
this criterion, HUD will assess whether
the site meets the site and neighborhood
standards at 24 CFR 891.125(b) and (c)
by examining relevant data in your
application or in the local HUD Office.
Where appropriate, HUD may visit the
site.
(1) The site will be deemed acceptable
if it increases housing choice and
opportunity by expanding housing
opportunities in non-minority
neighborhoods (if located in such a
neighborhood). The term ‘‘nonminority
area’’ is defined as one in which the
minority population is lower than 10
percent; or contributing to the
revitalization of and reinvestment in
minority neighborhoods, including
improvement of the level, quality and
affordability of services furnished to
minority elderly. You should refer to the
Site and Neighborhood Standards
provisions of the regulations governing
the Section 202 Supportive Housing for
the Elderly program (24 CFR 891.125(b)
and (c)) when considering sites for your
project.
(2) For the purpose of this
competition, the term ‘‘minority
neighborhood (area of minority
concentration)’’ is defined as one where
any one of the following statistical
conditions exists:
(a) The percentage of persons of a
particular racial or ethnic minority is at
least 20 points higher than the
minority’s or combination of minorities’
percentage in the housing market area as
a whole;
(b) The neighborhood’s total
percentage of minority persons is at
least 20 points higher than the total
percentage of minorities for the housing
market as a whole; or,
(c) In the case of a metropolitan area,
the neighborhood’s total percentage of
minority persons exceeds 50 percent of
its population.
d. (2 points). The extent to which
your proposed design will meet the
special physical needs of elderly
persons.
e. (2 points). The extent to which the
proposed size and unit mix of the
housing will enable you to manage and
operate the housing efficiently and
ensure that the provision of supportive
services will be accomplished in an
economical fashion.
f. (2 points). The extent to which the
proposed design of the housing will
accommodate the provision of
supportive services that are expected to
be needed, initially and over the useful
life of the housing, by the category or
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categories of elderly persons the
housing is intended to serve.
g. (3 points). The extent to which the
proposed supportive services meet the
identified needs of the anticipated
residents and that the identified
supportive services will be provided on
a consistent, long-term basis.
h. (1 point). The extent to which the
proposed design incorporates
visitability standards and/or universal
design in the construction or
rehabilitation of the project. Refer to the
General Section of the SuperNOFA for
further information.
i. (2 points). Your involvement of
elderly persons, particularly minority
elderly persons, in the development of
the application and your intent to
involve elderly persons, particularly
minority elderly persons, in the
development and operation of the
project.
j. (2 points). The extent to which the
jurisdiction in which your project will
be located has undertaken successful
efforts to remove regulatory barriers to
affordable housing. (NOTE: To receive
up to 2 points, the applicant must have
submitted the optional Form HUD–
27300, Questionnaire for HUD’s
Initiative on Removal of Regulatory
Barriers, AND provided URL references
or submitted the required documentary
evidence.) Refer to the General Section
of the SuperNOFA for further
information.
k. (1 point) The extent to which you
will promote energy efficiency in the
design and operation of the proposed
housing. Refer to Section III.C.3.j. of this
NOFA.
4. Rating Factor 4: Leveraging
Resources (5 Points).
This factor addresses your ability to
secure other funding sources, including
funding sources to develop a mixedfinance project for additional units for
the elderly over and above the Section
202 units, if proposed, and community
resources that can be combined with
HUD’s program resources to achieve
program purposes. Submit information
responding to this factor in accordance
with Application Submission
Requirements in Exhibits 3(a), 3(b), 3(c),
3(d), 3(e), 4(c)(iii) and 5(b) of Section
IV.B. of this NOFA.
a. (1 point). The extent of local
government support (including financial
assistance, donation of land, provision
of services, etc.) for the project.
b. (2 points). The extent of your
activities in the community, including
previous experience in serving the area
where the project is to be located, and
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your demonstrated ability to enlist
volunteers and raise local funds.
c. (2 points). The extent of your plans
to develop a mixed-finance project for
additional units for the elderly over and
above the Section 202 units.
(1) (1 point). The proposed project
involves mixed-financing for additional
units in which the non-Section 202
units represent 30 percent or less of the
Section 202 units in the project; OR (2)
(2 points). The proposed project
involves mixed-financing for additional
units in which the non-Section 202
units represent over 30 percent of the
Section 202 units in the project.
Note: If you are proposing a mixedfinanced project for additional units over and
above the Section 202 units, your application
may receive a maximum of 2 points under
Rating Factor 4(c). Your application will
receive either 1 or 2 points under this Rating
Factor, depending upon the number of nonSection 202 units to be developed in the
project. If your project will not involve
mixed-financing for additional units, no
points will be assigned for Rating Factor 4(c).
5. Rating Factor 5: Achieving Results
and Program Evaluation (12 Points)
This factor reflects HUD’s goal to
embrace high standards of ethics,
management and accountability and, as
such, emphasizes HUD’s commitment to
ensuring that you keep the promises
made in your application. This factor
requires that you clearly identify the
benefits or outcomes of your project and
develop an evaluation plan to measure
performance, which includes what you
are going to measure, how you are going
to measure it, and the steps you will
have in place to make adjustments to
your project development timeline
should you not be able to achieve any
of the major milestones. Completion of
Exhibit 8(j), Logic Model, will assist you
in completing your response to this
rating factor. This rating factor also
addresses the extent to which your
project will implement practical
solutions that result in residents
achieving independent living,
educational opportunities, and
improved living environments. Finally,
this factor addresses the extent to which
the long-term viability of your project
will be sustained for the duration of the
40-year capital advance period. Submit
information responding to this factor in
accordance with Application
Submission Requirements in Exhibits
3(e), 3(g), 3(h), 3(i), 6(b) and 8(j) of
Section IV.B. NOFA.
a. (5 points). The extent to which your
project development timeline is
indicative of your full understanding of
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the development process and will,
therefore, result in the timely
development of your project.
b. (2 points). The extent to which your
past performance evidences that the
proposed project will result in the
timely development of the project.
Evidence of your past performance
could include the development of
previous construction projects,
including but not limited to Section 202
and Section 811 projects.
c. (2 points). The extent to which your
project will implement practical
solutions that will result in assisting
residents in achieving independent
living, educational opportunities,
outreach regarding telemarketing fraud,
and improved living environments.
d. (3 points). The extent to which you
demonstrated that your project will
remain viable as housing with the
availability of supportive services for
very low-income elderly persons for the
40-year capital advance period.
6. Bonus Points (2 bonus points).
Location of proposed site in an RC/EZ/
EC–II area, as described in the General
Section. Submit the information
responding to the bonus points in
accordance with the Application
Submission Requirements in Exhibit
8(h) of Section IV.B. of this NOFA.
B. Reviews and Selection Process
1. Review for Curable Deficiencies.
You should ensure that your application
is complete before transmitting it to the
following Web site: https://
www.grants.gov and, in case of a waiver
of the electronic submission
requirement, that you have an original
and four copies before submitting it to
the appropriate HUD office. Upon
receipt of the application by HUD staff,
HUD will screen all applications to
determine if there are any curable
deficiencies.
For applicants receiving a waiver to
submit a paper application, submitting
fewer than the required original and
four copies of the application is not a
curable deficiency and will cause your
application to be considered nonresponsive to the NOFA and returned to
you. A curable deficiency is a missing
Exhibit or portion of an Exhibit that will
not affect the rating of the application.
Refer to the General Section of the
SuperNOFA for additional information
regarding procedures for corrections to
deficient applications. The following is
a list of the only deficiencies that will
be considered curable in a Section 202
application:
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The local HUD office will notify you
in writing if your application is missing
any of the above exhibits or portions of
exhibits and will provide you with a
specified deadline to submit the
information required to cure the noted
deficiencies. The items identified by an
asterisk (*) must be dated on or before
the application submission date. If an
Exhibit or portion of an Exhibit listed
above as curable is not discovered as
missing until technical processing, HUD
will provide you with a deadline to cure
the deficiency.
2. Rating. HUD will review and rate
your application in accordance with the
Reviews and Selection Process in the
General Section of this SuperNOFA
except as described in 3. Appeal Process
below. Your application will be either
rated or technically rejected at the end
of technical review. If your application
meets all program eligibility
requirements after completion of
technical review, including HUD
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approval of you, the Section 202
applicant, based on HUD’s evaluation of
the applicant’s previous participation
activities as reported on Form HUD–
2530, Previous Participation
Certification, it will be rated according
to the rating factors in Section V.A.
above.
3. Appeal Process. HUD will not reject
your application based on technical
review without notifying you of the
rejection with all the reasons for
rejection and providing you an
opportunity to appeal. You will have 14
calendar days from the date of HUD’s
written notice to appeal a technical
rejection to the local HUD office. In
HUD’s review of any appeal, it should
be noted that in conformance with its
regulations at 24 CFR part 4, subpart B,
HUD will not consider any unsolicited
information that you, the applicant, may
want to provide. The local HUD office
will make a determination on any
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appeals before making its selection
recommendations.
4. Ranking and Selection Procedures.
Applications submitted in response to
the advertised metropolitan allocations
or nonmetropolitan allocations that
have a total base score of 75 points or
more (without the addition of RC/EC/
EZ–II bonus points) and meet all of the
applicable threshold requirements of the
General Section of the SuperNOFA and
this program NOFA will be eligible for
selection, and HUD will place them in
rank order per metropolitan or
nonmetropolitan allocation. These
applications, after adding any bonus
points for RC/EC/EZ–II, will be selected
based on rank order, up to and
including the last application that can
be funded out of each HUD Multifamily
Program Center’s metropolitan or
nonmetropolitan allocation. HUD
Multifamily Program Centers will not
skip over any applications in order to
select one based on the funds
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remaining. After making the initial
selections in each allocation area,
however, HUD Multifamily Program
Centers may use any residual funds to
select the next rank-ordered application
by reducing the number of units by no
more than 10 percent, rounded to the
nearest whole number, provided the
reduction will not render the project
infeasible. For this purpose, however,
HUD will not reduce the number of
units in projects of five units or less.
Once this process has been
completed, HUD Multifamily Program
Centers may combine their unused
metropolitan and nonmetropolitan
funds in order to select the next highest
ranked application in either category,
using the unit reduction policy
described above, if necessary.
After the HUD Multifamily Program
Centers have funded all possible
projects based on the process above,
combined metropolitan and
nonmetropolitan residual funds from all
HUD Multifamily Program Centers
within each Multifamily Hub will be
combined. First, these funds will be
used to restore units to projects reduced
by HUD Multifamily Program Centers
based on the above instructions.
Second, additional applications within
each Multifamily Hub will be selected
in rank order with only one application
selected per HUD Multifamily Program
Center. More than one application may
be selected per HUD Multifamily
Program Center if there are no
approvable applications in other HUD
Multifamily Program Centers within the
Multifamily Hub. This process will
continue until there are no more
approvable applications within the
Multifamily Hub that can be selected
with the remaining funds. Applications
may not be skipped over to select one
based on funds remaining. However, the
Multifamily Hub may use any remaining
residual funds to select the next highest
rated application by reducing the
number of units by no more than 10
percent rounded to the nearest whole
number, provided the reduction will not
render the project infeasible or result in
the project being less than five units.
Funds remaining after the Multifamily
Hub selection process is completed will
be returned to Headquarters. HUD
Headquarters will use these residual
funds first to restore units to projects
reduced by HUD Multifamily Program
Centers or Multifamily Hubs as a result
of the instructions for using their
residual funds. Second, HUD
Headquarters will use these funds for
selecting applications based on HUD
Multifamily Program Centers’ rankings,
beginning with the highest rated
application nationwide. However, after
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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 the SuperNOFA,
HUD may select that applicant when
sufficient funds become available.
VI. Award Administration Information
A. Award Notices
1. Agreement Letter. If you are
selected to receive a Section 202 fund
reservation, you will receive an
Agreement Letter that stipulates the
terms and conditions for the Section 202
fund reservation award as well as the
submission requirements following the
fund reservation award. The duration of
the fund reservation award for the
capital advance is 18 months from the
date of issuance of the fund reservation.
Immediately upon your acceptance of
the Agreement Letter, you are expected
to begin work towards the submission of
a Firm Commitment Application, which
is the next application submission stage.
You are required to submit a Firm
Commitment Application to the local
HUD office within 180 days from the
date of the Agreement Letter. Initial
closing of the capital advance and start
of construction of the project are
expected to be accomplished within the
duration of the fund reservation award.
Final closing of the capital advance is
expected to occur no later than six
months after completion of project
construction.
2. Non-Selection Letter. If your
application is approvable but unfunded
due to insufficient funds or receives a
rating that is below the minimum
threshold score established for funding
eligibility, you will receive a letter to
this effect.
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3. Debriefing. Refer to the General
Section of the SuperNOFA for further
information regarding debriefings,
except that the request for a debriefing
must be made to the Director of
Multifamily Housing in the appropriate
local HUD office.
B. Administrative and National Policy
Requirements
1. Ensuring the Participation of Small
Businesses, Small Disadvantaged
Businesses, and Women-Owned
Businesses. Although the Section 202
program is not subject to the provisions
of 24 CFR 85.36(e) as described in the
corresponding paragraph in the General
Section of the SuperNOFA, you are
required to comply with Executive
Order 12432, Minority Business
Enterprise Development and Executive
Order 11625, Prescribing Additional
Arrangements for Developing and
Coordinating a National Program for
Minority Business Enterprise as they
relate to the encouragement of HUD
grantees to utilize minority business
enterprises.
2. Acquisition and Relocation. You
must comply with the Uniform
Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as
amended (49 CFR part 24, and 24 CFR
891.155(e)) (URA), which covers the
acquisition of sites, with or without
existing structures, and with 24 CFR
8.4(b)(5) of the Section 504 regulations
which prohibits discrimination based
on disability in determining the site or
location of a federally-assisted facility.
However, you are exempt from
complying with the site acquisition
requirements of the URA if you do not
have the power of eminent domain and
prior to entering into a contract of sale,
option to purchase or any other method
of obtaining site control, you inform the
seller of the land in writing: (1) that you
do not have the power of eminent
domain and, therefore, you will not
acquire the property if negotiations fail
to result in an amicable agreement, and
(2) of the estimate of the fair market
value of the property. An appraisal is
not required to meet this requirement,
however, your files must include an
explanation (with reasonable evidence)
of the basis for the estimate. Evidence of
compliance with this advance notice
requirement must be included in
Exhibit 4(d)(iv) of your application.
3. Flood Disaster Protection Act of
1973 and Coastal Barrier Resources Act.
You must comply with the requirements
under the Flood Disaster Protection Act
of 1973 (42 U.S.C. 4001–4128) and the
Coastal Barrier Resources Act (16 U.S.C.
3601).
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C. Reporting
1. The Program Outcome Logic Model
(Form HUD–96010) must be completed
indicating the results achieved against
the proposed output goal(s) and
proposed outcomes(s) which you stated
in your approved application and
agreed upon by HUD.
2. The Regulatory Agreement (Form
HUD–92466–CA) requires the Owner of
the Section 202 project to submit an
annual financial statement for the
project. This financial statement must
be audited by an Independent Public
Accountant who is a Certified Public
Accountant or other person accepted by
HUD and filed electronically with
HUD’s Real Estate Assessment Center
(REAC) through the Financial
Assessment Subsystem for Multifamily
Housing (MF–FASS). The submission of
annual financial statements is required
throughout the 40-year term of the
mortgage.
3. HUD requires that funded
recipients collect racial and ethnic
beneficiary data. It has adopted the
Office of Management and Budget’s
Standards for the Collection of Racial
and Ethnic Data. In view of these
requirements, you should use Form
HUD–27061, Racial and Ethnic Data
Reporting Form (and instructions for its
use), found at https://www.hudclips.org,
a comparable program form, or a
comparable electronic data system for
this purpose.
VII. Agency Contact(s)
For Technical Assistance. For
technical assistance in downloading an
application package from https://
www.grants.gov, contact the Grants.gov
help desk at 800–518–Grants or by
sending an email to support@grants.gov.
For programmatic information, you may
contact the appropriate local HUD
office, or Evelyn Berry at HUD
Headquarters at (202) 708–3000 (this is
not a toll-free number), or access the
Internet at https://www.hud.gov/offices/
adm/grants/fundsavail.cfm. Persons
with hearing and speech impairments
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may access the above number via TTY
by calling the Federal Relay Service at
1–800–877–8339 (this is a toll-free
number).
VIII. Other Information
A. Field Office Workshop
HUD encourages minority
organizations and grassroots
organizations (e.g., civic organizations,
faith-communities and grassroots faithbased 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
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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 https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm.
C. Related Programs
Funding for a related program,
Section 202 Demonstration Planning
Grant Program, is available to provide
predevelopment grants to private
nonprofit organizations and consumer
cooperatives in connection with the
development of housing under the
Section 202 program. The
announcement of the availability of
funding under this program will be
addressed in a separate NOFA.
D. Paperwork Reduction Act
The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520) and
assigned OMB control number 2502–
0267. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 37.42 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, semi-annual
reports and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits derived.
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Section 811 Program of Supportive
Housing for Persons with Disabilities
(Section 811 Program)
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Housing
B. Funding Opportunity Title: Section
811 Supportive Housing for Persons
with Disabilities
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number:
OMB Approval Number: 2502–0462.
The Federal Register number for this
NOFA is: FR–4950–N–20.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: 14.181,
Section 811 Supportive Housing for
Persons with Disabilities
F. Dates: Application Submission
Date: May 24, 2005. Refer to Section IV.
below and the General Section for
information on application submission
requirements.
G. Optional, Additional Overview
Content Information: 1. Purpose of the
Program. This program provides
funding for the development and
operation of supportive housing for very
low-income persons with disabilities
who are at least 18 years old. If you
receive funding through this program,
you must assure that supportive services
are identified and available.
2. Available Funds. Approximately
$95.8 million in capital advance funds,
plus associated project rental assistance
contract (PRAC) funds and any
carryover funds available.
3. Types of Funds. Capital advance
funds will cover the cost of developing
the housing. PRAC funds will cover the
difference between the HUD-approved
operating costs of the project and the
tenants’ contributions toward rent (30
percent of their adjusted monthly
income).
4. Eligible Applicants. Nonprofit
organizations that have a section
501(c)(3) tax exemption from the
Internal Revenue Service. (See Section
VI.B.6. below of this program NOFA for
further details and information
regarding the formation of the Owner
corporation.)
5. Eligible Activities. New
construction, rehabilitation, or
acquisition (with or without
rehabilitation) of housing. (See Section
III.C.1. below of this program NOFA for
further information.)
6. Match Requirements. None
required.
7. Local HUD Offices. The local HUD
office structure, for the purpose of
implementing the Section 811 program,
consists of 18 Multifamily Hub Offices.
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Within the Multifamily Hubs, there are
Multifamily Program Centers with the
xception of the New York Hub, the
Buffalo Hub, the Denver Hub and the
Los Angeles Hub. All future references
shall use the term ‘‘local HUD office’’
unless a more detailed description is
necessary as in Limitations on
Applications and Ranking and Selection
Procedures, below.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description. HUD
provides capital advances and contracts
for project rental assistance in
accordance with 24 CFR part 891.
Capital advances may be used for the
construction or rehabilitation of a
structure or acquisition of a structure
with or without rehabilitation
(including structures from the Federal
Deposit Insurance Corporation (FDIC)),
to be developed into a variety of
housing options described in Section
III.C. Capital advance funds bear no
interest and are based on development
cost limits in Section IV.E.3. Repayment
of the capital advance is not required as
long as the housing remains available
for occupancy by very low-income
persons with disabilities for at least 40
years.
PRAC funds are used to cover the
difference between the tenants’
contributions toward rent (30 percent of
adjusted income) and the HUDapproved cost to operate the project.
B. Authority. 42 U.S.C. 8013 (Section
811 of the Cranston-Gonzalez National
Affordable Housing Act (Pub. L. 101–
625, approved November 28,
1990)(NAHA), as amended by the
Housing and Community Development
Act of 1992) (Pub. L. 102–550, approved
October 28, 1992)(HCD Act of 1992); the
Rescissions Act (Pub. L. 104–19,
approved July 27, 1995); the American
Homeownership and Economic
Opportunity Act of 2000 (Pub. L. 106–
569, approved December 27, 2000) and
the Consolidated Appropriations Act,
2005, (Pub. L.108–447, approved
December 8, 2004) authorized a new
supportive housing program for persons
with disabilities, and replaced
assistance for persons with disabilities
previously covered by section 202 of the
Housing Act of 1959 (section 202
continues, as amended by section 801 of
the NAHA, and the HCD Act of 1992, to
authorize supportive housing for the
elderly)).
C. Eligible Occupancy. You may
propose a Section 811 project to serve
persons with physical disabilities,
developmental disabilities, chronic
mental illness, or any combination of
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the three as defined in 24 CFR 891.305.
In addition, you may request HUD
approval to restrict occupancy to a
subcategory of one of these three
defined categories (e.g., HIV/AIDS is a
subcategory of physical disability). If
restricted occupancy is approved,
however, you cannot deny occupancy to
any otherwise qualified person that
meets the definition of the overall
category of disability under which the
subcategory falls.
D. Calculation of Fund Reservation. If
selected, you will receive a fund
reservation that will consist of both a
reservation of capital advance funds and
a reservation of contract authority (one
year) and budget authority (five years)
for project rental assistance.
1. Capital advance funds. The
reservation of capital advance funds is
based on a formula which, for an
independent living project (including
condominiums), takes the development
cost limit for the appropriate building
type (elevator, non-elevator) and unit
size(s) and multiplies it by the number
of units of each size (including a unit for
a resident manager, if applicable) and
then multiplies the result by the high
cost factor for the area. For a group
home, the formula is based on the
number of persons with disabilities in
the appropriate disability category
(excluding any unit for a resident
manager since such a unit is already
incorporated in the development cost
limit) multiplied by the high cost factor
for the area. The development cost
limits can be found in Section IV.E.3. of
this program section of the SuperNOFA.
2. PRAC funds. The PRAC contract
authority is determined by multiplying
the number of units for residents with
disabilities in an independent living
project or the number of residents with
disabilities in a group home by the
appropriate operating cost standard. The
PRAC budget authority is determined by
multiplying the PRAC contract authority
by 5 (years). The operating cost
standards will be published by Notice.
II. Award Information
A. Available Funds. For FY 2005,
approximately $95.8 million is available
for capital advances for the Section 811
Program of Supportive Housing for
Persons with Disabilities. The
Consolidated Appropriations Act, 2005
(Pub. L. 108–447, approved December 8,
2004) provides $240,000,000 for capital
advances, including amendments to
capital advance contracts, for supportive
housing for persons with disabilities as
authorized by section 811 of the
National Affordable Housing Act of
1990 (NAHA); for project rental
assistance for supportive housing for
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persons with disabilities under section
811 of the NAHA, including
amendments to contracts for such
assistance and renewal of expiring
contracts for such assistance for up to a
one-year term and for tenant-based
rental assistance contracts and renewal
of expiring contracts for such assistance
entered into pursuant to section 811 of
the NAHA, and $450,000to be
transferred to the Working Capital Fund,
all of which is subject to a .8% acrossthe-board rescission pursuant to Public
Law 108–447. $38,890,000 will be
provided for tenant-based rental
assistance for persons with disabilities
administered through public housing
agencies (PHAs) and nonprofit
organizations under the Mainstream
Housing Opportunities for Persons with
Disabilities Program and $50,000,000
will be provided for one-year renewal
costs of Section 811 rental assistance.
In accordance with the waiver
authority provided in the Consolidated
Appropriations Act, 2005, the Secretary
is waiving the following statutory and
regulatory provision: The term of the
project rental assistance contract is
reduced from 20 years to 5 years. HUD
anticipates that at the end of the
contract terms, renewals will be
approved subject to the availability of
funds. In addition to this provision,
HUD will reserve project rental
assistance contract funds based on 75
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percent rather than on 100 percent of
the current operating cost standards for
approved units in order to take into
account the average tenant contribution
toward rent.
The allocation formula used for
Section 811 reflects the ‘‘relevant
characteristics of prospective program
participants,’’ as specified in 24 CFR
791.402(a). The FY2005 formula
consists of the following data element
from the 2000 Census: the number of
non-institutionalized persons age 16 to
64 with a disability. The data on
disability status were derived from
answers to a two-part question that
asked about the existence of the
following long-lasting conditions: (a)
blindness, deafness, or a severe vision
or hearing impairment (sensory
disability) and (b) a condition that
substantially limits one or more basic
physical activities, such as walking,
climbing stairs, reaching, lifting, or
carrying (physical disability); and a
four-part question that asked if the
individual had a physical, mental, or
emotional condition lasting 6 months or
more that made it difficult to perform
certain activities. The four activity
categories were: (a) Learning,
remembering, or concentrating (mental
disability); (b) dressing, bathing, or
getting around inside the home (selfcare disability); (c) going outside the
home alone to shop or visit a doctor’s
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office (going outside the home
disability); and (d) working at a job or
business (employment disability).
Under the Section 811 Program, each
local HUD office jurisdiction receives
sufficient capital advance funds for a
minimum of 10 units. The total amount
of capital advance funds to support this
minimum set-aside is then subtracted
from the total capital advance available.
The remainder is fair shared to each
local HUD office jurisdiction whose fair
share would exceed the set-aside based
on the allocation formula fair share
factors described below.
The fair share factors were developed
by taking the count of disabilities in the
data element for each state, or state
portion, of each local HUD office
jurisdiction as a percent of the data
element from the 2000 Census,
described above, for the total United
States. The resulting percentage for each
local HUD office is then adjusted to
reflect the relative cost of providing
housing among the local HUD office
jurisdictions. The adjusted needs
percentage for each local HUD office is
then multiplied by the total amount of
capital advance funds available
nationwide.
The Section 811 capital advance
funds have been allocated, based on the
formula above, to 51 local HUD offices
as shown on the following chart:
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B. Type of Award. Capital Advance
and Project Rental Assistance Contract
Funds for new Section 811 applications.
C. Type of Assistance Instrument. The
Agreement Letter stipulates the terms
and conditions for the Section 811 fund
reservation award as well as the
submission requirements following the
fund reservation award. The duration of
the fund reservation award for the
capital advance is 18 months from the
date of issuance of the fund reservation.
D. Anticipated Start and Completion
Date. Immediately upon your
acceptance of the Agreement Letter, you
are expected to begin work toward the
submission of a Firm Commitment
Application, which is the next
application submission stage. You are
required to submit a Firm Commitment
Application to the local HUD office
within 180 days from the date of the
Agreement Letter. Initial closing of the
capital advance and start of construction
of the project are expected to be
accomplished within the duration of the
fund reservation award as indicated in
the above paragraph regarding the Type
of Assistance Instrument. Final closing
of this capital advance is expected to
occur no later than six months after
completion of project construction.
III. Eligibility Information
A. Eligible Applicants: Nonprofit
organizations with a section 501(c)(3)
tax exemption from the Internal
Revenue Service and who meet the
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threshold requirements contained in the
General Section of the SuperNOFA and
Section III.C.2. below are the only
eligible applicants for this program.
Applicant eligibility for purposes of
applying for a Section 811 fund
reservation under this NOFA has not
changed; i.e., all Section 811 Sponsors
and Co-Sponsors must be nonprofit
organizations. However, the Owner
corporation, when later formed by the
Sponsor, may be (1) a single-purpose
nonprofit organization that has taxexempt 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 HUDapproved 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
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features (and operating costs related
thereto) which are not covered by the
capital advance. You must make such a
commitment by signing the form HUD–
92042, Sponsor’s Resolution for
Commitment to Project, in Exhibit 8(g)
of the application found in Section IV.B.
below.
C. Other: 1. Eligible Activities. Section
811 capital advance funds must be used
to finance the development of housing
through new construction,
rehabilitation, or acquisition with or
without rehabilitation. Capital advance
funds may also be used in combination
with other non-Section 811 funding
sources leveraged by a for-profit limited
partnership (of which a single-purpose
nonprofit organization with a 501(c)(3)
tax exemption is the sole general
partner) to develop a mixed-finance
project, including a mixed-finance
project for additional units over and
above the Section 811 units. The
development of a mixed-use project in
which the Section 811 units are
mortgaged separately from the other
uses of the structure is not considered
a mixed-finance project. Project rental
assistance funds are provided to cover
the difference between the HUDapproved 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
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multifamily housing developments,
condominium and cooperative housing
and small group homes.
Note: For purposes of approving Section
811 capital advances, HUD will consider
proposals involving mixed-financing for
additional units over and above the Section
811 units if you have legal control of an
approvable site and the additional units do
not cause the project, as a whole, to exceed
the project size limits if the additional units
will also house persons with disabilities
(unless your project will be an independent
living project and you request and receive
HUD approval to exceed the project size
limits (See IV.B.2.c.(1)(d)(xii).) However, you
must obtain funds to assist the additional
units with other than PRAC funds. HUD will
not provide PRAC funds for non-Section 811
units.
2. Threshold Criteria for Funding
Consideration. In addition to the
threshold criteria outlined in the
General Section of the SuperNOFA
(such as the inclusion of a DUN and
Bradstreet Data Universal Numbering
System (DUNS) Number on the SF–424),
the following threshold requirements
must be met:
a. Non-Responsive Application. Your
application will be considered nonresponsive to the NOFA and will not be
accepted for processing if you:
(1) Submit less than the required
number of copies (an original and four
copies are required if you requested and
received approval for a waiver of the
electronic submission requirement).
Refer to the General Section of the
SuperNOFA for information on
application submission and receipt
procedures;
(2) Request more units than were
allocated to the local HUD office that
will be reviewing your application (See
the allocation chart in Section II.A.
above);
(3) Request less than the minimum
number of units for persons with
disabilities in an independent living
project (5 units) or a group home (2
units);
(4) Request more than the maximum
number of units for a group home (6
units); or
(5) Request assistance for housing that
you currently own or lease that has been
occupied by people with disabilities for
longer than one year prior to the
application deadline date.
b. Other Criteria. (1) You, or a CoSponsor, must have experience in
providing housing or services to persons
with disabilities.
(2) You and any Co-Sponsor must be
eligible nonprofit organizations with tax
exempt status under Section 501(c)(3) of
the Internal Revenue Service code.
(3) Your application must contain
evidence of site control or the
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identification of a site. Section 811(d)(3)
of the National Affordable Housing Act
requires you to provide either evidence
of site control or a reasonable assurance
that you will have control of a site
within six months of the date of the
Agreement Letter notifying you that you
have been selected to receive a Section
811 fund reservation. Accordingly, you
must include in your application, the
required information specified below for
evidence of site control, or the required
information specified below under site
identification as a reasonable assurance
that site control will be obtained within
six months of the date of the Agreement
Letter. If you submit the required
information for an identified site(s), you
must include a specific street address
for each identified site or the
application will be rejected.
(a) Evidence of Site Control—If you
have control of a site at the time you
submit your application, you must
provide the information in Exhibit 4(d)
in IV.B. of this program section of the
SuperNOFA relative to site control; or
(b) Site Identification—If you do not
have site control of one or more of your
sites, you must provide the information
required in Exhibit 4(e) in IV.B. of this
program section of the SuperNOFA
under ‘‘Identification of a Site’’ for any
site not under control as a reasonable
assurance that site control will be
obtained within six months of fund
reservation notification.
If your application contains evidence
of site control where either the evidence
or the site is not approvable, your
application will not be rejected
provided you indicate in your
application that you are willing to seek
an alternate site and provide an
assurance that site control will be
obtained within six months of fund
reservation notification. During the
selection process, all applications with
acceptable evidence of site control for
all proposed sites and all proposed sites
that have been found approvable will be
grouped in Category A. All applications
that are submitted as ‘‘site identified’’ as
well as those that are submitted with
site control but the evidence of control
and/or site(s) are not approvable (if the
Sponsor indicates that it is willing to
seek a different site if the proposed site
is unapprovable) will be grouped in
Category B. All applications in Category
A will be selected before any
applications are selected from Category
B. See Section V.B.4. for further
information on the selection process.
(c) Historic Preservation. If you
submit an application with evidence of
site control, you are required to send a
letter to the State/Tribal Historic
Preservation Officer (SHPO/THPO) that
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14233
attempts to initiate consultation with
their office and requests their review of
your determinations and findings with
respect to the historical significance of
your proposed project. Appendix B to
this program section of the SuperNOFA
contains a sample letter to the SHPO/
THPO that you may adapt for your use,
if you so choose. You must include a
copy of your letter to the SHPO/THPO
in your application. You must then also
include in your application either:
(i) The response letter(s) from the
SHPO/THPO, or
(ii) A statement from you that you
have not received a response letter(s)
from the SHPO/THPO.
(d) Contamination. HUD must
determine if a proposed site contains
contamination and, if so, HUD must be
satisfied that it is eliminated to the
extent necessary to meet non sitespecific Federal, State or local health
standards. If you submit an application
with evidence of site control, you must
assist HUD by doing the following:
(i) Phase I Environmental Site
Assessment (ESA)—You must submit a
Phase I ESA, prepared in accordance
with the ASTM Standards E 1527–00, as
amended, completed or updated no
earlier than six months prior to the
application deadline date, in order for
the application to be considered as an
application with site control. The Phase
I ESA must be completed and included
in your application. Therefore, it is
important that you start the Phase I ESA
process as soon after publication of the
SuperNOFA as possible. To help you
choose an environmentally safe site,
HUD invites you to review the
document ‘‘Choosing An
Environmentally Safe Site’’ which is
available on HUD’s web site at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm and the ‘‘Supplemental
Guidance, Environmental Information’’
in Appendix C to this program section
of the SuperNOFA.
(ii) Phase II ESA—If the Phase I ESA
indicates the possible presence of
contamination and/or hazards, you must
decide whether to continue with this
site or choose another site. Should you
choose another site, the same Phase I
ESA process identified above must be
followed for the new site. However, if
you choose to continue with the original
site on which the Phase I ESA indicated
contamination or hazards, you must
undertake a detailed Phase II ESA by an
appropriate professional. In order for
your application to be considered as an
application with site control, the Phase
II must be received in the local HUD
office on or before June 23, 2005.
(iii) Clean-up—If the Phase II ESA
reveals site contamination, the extent of
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the contamination and a plan for cleanup of the site must be submitted to the
local HUD office. The plan for clean-up
must include a contract for remediation
of the problem(s) and an approval letter
from the applicable federal, state, and/
or local agency with jurisdiction over
the site. In order for your application to
be considered as an application with
site control, this information must be
received by the appropriate local HUD
office on or before June 23, 2005.
Note: Clean-up could be an expensive
undertaking. You must pay for the cost of any
clean-up and/or remediation. If the
application is approved, clean-up must be
completed prior to initial closing.
Completion of clean-up means that HUD
must be satisfied that the contamination has
been eliminated to the extent necessary to
meet non site-specific federal, state or local
health standards, with no active or passive
remediation still taking place, no capping
over of any contamination, and no
monitoring wells. However, it is acceptable if
contamination remains solely in groundwater
that is at least 25 feet below the surface.
(e) Asbestos. Asbestos is a hazardous
substance commonly used in building
products until the late 1970s. Therefore,
if you submit an application with
evidence of site control, you must
submit one of the following with your
application:
(i) If there is no pre-1978 structure on
the site, a statement to this effect, or
(ii) If there is a pre-1978 structure on
the site, an asbestos report which is
based on a thorough inspection to
identify the location and condition of
asbestos throughout any structures. In
those cases where suspect asbestos is
found, it would either be assumed to be
asbestos or would require confirmatory
testing. If the asbestos report indicates
the presence of asbestos or the presence
of asbestos is assumed, and if the
application is approved, HUD will
condition the approval on an
appropriate mix of asbestos abatement
and an asbestos Operations and
Maintenance Plan.
(4) There must be a market need for
the number of units proposed in the
area of the project location.
(5) Your application must contain a
Supportive Services Plan and a
Certification from the appropriate state
or local agency that the Supportive
Services Plan is well designed to
address the individual health, mental
health and other needs of persons with
disabilities who will live in your
proposed project. Exhibit 5 in Section
IV.B. of this program section of the
SuperNOFA, below, outlines the
information that must be in the
Supportive Services Plan. You must
submit one copy of your Supportive
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Services Plan to the appropriate State or
local agency well in advance of the
application submission deadline date
for the state or local agency to review
your Supportive Services Plan and
complete the Supportive Services
Certification and return it to you so that
you can include it in the application
you submit to HUD.
(i) HUD will reject your application if
the Supportive Services Certification:
A Is not submitted with your
application and is not submitted to
HUD within the 14-day cure period; or
B Indicates that the provision of
supportive services is not well designed
to address the individual health, mental
health and other needs of persons with
disabilities who will live in your
project; or
C Indicates that the provision of
supportive services will not enhance
independent living success or promote
the dignity of the persons with
disabilities who will live in your
proposed project.
(ii) In addition, if the agency
completing the certification will be a
major funding or referral source for your
proposed project or be responsible for
licensing the project, HUD will reject
your application if either the agency’s
Supportive Services Certification
indicates—or, where the agency fails to
complete item 3 or 4 of the certification,
HUD determines that:
A You failed to demonstrate that
supportive services will be available on
a consistent, long-term basis; and/or
B The proposed housing is not
consistent with state or local agency
plans/policies addressing the housing
needs of people with disabilities.
Any prospective resident of a Section
811 project who believes he/she needs
supportive services must be given the
choice to be responsible for acquiring
his/her own services or to take part in
your Supportive Services Plan which
must be designed to meet the individual
needs of each resident.
You must not require residents to
accept any supportive services as a
condition of occupancy or admission.
(6) Delinquent Federal Debt. Refer to
the General Section of the SuperNOFA
for information regarding delinquent
federal debt.
3. Program Requirements. By signing
Form HUD–92016–CA, Supportive
Housing for Persons with Disabilities
Section 811, Application for Capital
Advance Summary Information, you are
certifying that you will comply with the
program requirements listed in the
General Section of the SuperNOFA as
well as the following requirements:
a. Statutory and Regulatory
Requirements. In addition to the
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statutory, regulatory, threshold and
public policy requirements listed in the
General Section of the SuperNOFA, you
must comply with all statutory and
regulatory requirements listed in
Sections I and III of this program NOFA.
b. Project Size Limits. (1) Independent
living project. The minimum number of
units for persons with disabilities that
can be applied for in one application is
five units for persons with disabilities.
All of the units are not required to be
in one structure and they may be on
scattered sites. The maximum number
of persons with disabilities that can be
housed in an independent living project
on one or adjacent sites is 14 plus one
additional one-or two-bedroom unit for
a resident manager, if necessary. If the
proposed independent living project
will be located on a site already
containing housing for persons with
disabilities or on an adjacent site
containing such housing, the total
number of persons with disabilities
housed in both the existing and the
proposed project cannot exceed 14.
(2) Exception to project size limit for
an independent living project. If you are
submitting an application for an
independent living project with site
control, you may request an exception
to the above project size limit by
providing the information required in
Exhibit 4(d)(xii) of Section IV.B. below
in this program section of the
SuperNOFA.
(3) Group home. The minimum
number of persons with disabilities that
can reside in a group home is two, and
the maximum number is six. There are
no exceptions to the maximum project
size limit for a group home. An
additional one-bedroom unit can be
provided for a resident manager. Only
one person per bedroom is allowed,
unless two residents choose to share one
bedroom or a resident determines he/
she needs another person to share his/
her bedroom. If you are applying for
more than one group home, they cannot
be located on the same or adjacent sites.
(4) Condominium Units.
Condominium units are treated the
same as units in an independent living
project except that you cannot request
an additional condominium unit for a
resident manager.
c. Minimum Capital Investment. If
selected, you must provide a minimum
capital investment of one-half of one
percent of the HUD-approved capital
advance amount, not to exceed a
maximum of $10,000 in accordance
with 24 CFR 891.145.
d. Accessibility. Your project must
meet accessibility requirements
published at 24 CFR 891.120, 24 CFR
891.310 and Section 504 of the
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Rehabilitation Act of 1973, and, if new
construction, the design and
construction requirements of the Fair
Housing Act and HUD’s implementing
regulations at 24 CFR part 100. In
addition, 24 CFR 8.4(b)(5) prohibits the
selection of a site or location which has
the purpose or effect of excluding
persons with disabilities from the
Federally assisted program or activity.
HUD will award higher points to
applications that add accessible design
features beyond those required under
civil rights laws and regulations. Refer
to Section V.A. below and the General
Section of the SuperNOFA for
information regarding the policy
priority of encouraging accessible
design.
e. Conducting Business in Accordance
With Core Values and Ethical
Standards. You are not subject to the
requirements of 24 CFR parts 84 and 85
as outlined in the General Section of the
SuperNOFA except for the disposition
of real property, which may be subject
to 24 CFR Part 84. However, you are still
subject to the core values and ethical
standards as they relate to the conflict
of interest provisions in 24 CFR
891.130. To ensure compliance with the
program’s conflict of interest provisions,
you are required to sign a Conflict of
Interest Resolution and include it in
your Section 811 application. Further, if
awarded a Section 811 fund reservation,
the officers, directors, board members,
trustees, stockholders and authorized
agents of the Section 811 Sponsor and
Owner entities will be required to
submit to HUD individual certifications
regarding compliance with HUD’s
conflict of interest requirements.
f. National Environmental Policy Act.
You must comply with the National
Environmental Policy Act of 1969
(NEPA) (42 U.S.C. 4321) and applicable
related environmental authorities at 24
CFR 50.4, HUD’s programmatic
implementing regulations at 24 CFR part
50 and 24 CFR 891.155(b), especially,
but not limited to, the provision of
information to HUD at 24 CFR 50.31(b),
and you must comply with any
environmental ‘‘conditions and
safeguards’’ at 24 CFR 50.3(c).
Under 24 CFR Part 50, HUD has the
responsibility for conducting the
environmental reviews. HUD cannot
approve any site for which you have site
control unless it first completes the
environmental review. In rare cases
where HUD is not able to complete the
environmental review, it is due to a
complex environmental issue that could
not be resolved during the time period
allocated for application processing.
Thus, if you submit an application with
evidence of site control, HUD requires
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you to attempt to obtain comments from
the State/Tribal Historic Preservation
Officer (see Exhibit 4(d)(ix) of Section
IV.B. below) to help HUD complete the
environmental review on time. It is also
why HUD may contact you for
additional environmental information.
So that you can review the type of
information that HUD needs for its
preparation of the environmental review
as well as the type of information
requests that HUD may make to you,
you are invited to go to the following
web site to view the HUD form 4128,
including the Sample Field Notes
Checklist, which HUD uses to record the
environmental review: www.hud.gov/
utilities/intercept.cfm?/offices/cpd/
energyenviron/environment/
compliance/forms/4128.pdf.
g. Lead-Based Paint. You must
comply with the requirements of the
Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. 4821–4846) and
implementing regulations at 24 CFR part
35.
h. Executive Order 13202,
Preservation of Open Competition and
Government Neutrality Towards
Government Contractors’ Labor
Relations on Federal and Federally
Funded Construction Projects. Refer to
the General Section of the SuperNOFA
for information regarding Executive
Order 13202.
i. Fair Housing Requirements. Refer to
the General Section of the SuperNOFA
for information regarding fair housing
requirements.
j. Economic Opportunities for Low
and Very Low-Income Persons (Section
3). You must comply with Section 3 of
the Housing and Urban Development
Act of 1968, U.S.C. 1701u (Economic
Opportunities for Low and Very LowIncome 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 lowincome persons, particularly those who
are recipients of government assistance
for housing and to business concerns
which provide economic opportunities
to low and very-low income persons. To
comply with Section 3 requirements
you are hereby certifying that you will
strongly encourage your general
contractor and subcontractors to
participate in local apprenticeship
programs or training programs
registered or certified by the Department
of Labor’s Office of Apprenticeship,
Training, Employer and Labor Services
or recognized State Apprenticeship
Agency.
k. Design and Cost Standards. You
must comply with HUD’s Section 811
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project design and cost standards (24
CFR 891.120 and 891.310), the Uniform
Federal Accessibility Standards (24 CFR
40.7), Section 504 of the Rehabilitation
Act of 1973 and HUD’s implementing
regulations at 24 CFR part 8, and for
covered multifamily dwellings designed
and constructed for first occupancy after
March 13, 1991, the design and
construction requirements of the Fair
Housing Act and HUD’s implementing
regulations at 24 CFR part 100, and,
where applicable, the Americans with
Disabilities Act of 1990.
HUD has adopted a wide-ranging
energy action plan for improving energy
efficiency in all program areas. As a first
step in implementing the energy plan,
HUD, the Environmental Protection
Agency (EPA) and the Department of
Energy (DoE) have signed a joint
partnership to promote energy
efficiency in HUD’s affordable housing
efforts and programs. The purpose of the
Energy Star partnership is to promote
energy efficiency of the affordable
housing stock, but also to help protect
the environment. Although it is not a
requirement, you are nonetheless
encouraged to promote energy efficiency
in design and operations and your
application will receive one (1) point if
you describe your plans for doing so in
the proposed project. You are especially
urged to purchase and use Energy Starlabeled products. Program activities can
include developing Energy Star
promotional and information materials,
outreach to low- and moderate-income
renters on the benefits and savings
when using Energy Star products and
appliances, and promoting the
designation of community buildings and
homes as Energy Star compliant. For
further information about Energy Star,
see https://www.energystar.gov or call
888–STAR–YES (1–888–782–7937) or
for the hearing-impaired, 888–588–9920
TTY.
l. Formation of Owner Corporation.
You must form an ‘‘Owner’’ entity (in
accordance with 24 CFR 891.305) after
issuance of the capital advance fund
reservation and must cause the Owner
entity to file a request for determination
of eligibility and a request for capital
advance, and must provide sufficient
resources to the Owner entity to ensure
the development and long-term
operation of the project, including
capitalizing the Owner entity at firm
commitment processing in an amount
sufficient to meet its obligations in
connection with the project over and
above the capital advance amount.
m. Davis-Bacon. You must comply
with the Davis-Bacon Requirements (42
U.S.C. 8013(j)(6)) and the Contract Work
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Hours and Safety Standards Act in
accordance with 24 CFR 891.155(d).
IV. Application and Submission
Information
A. Address to Request Application
Package. All information required to
complete and return a valid application
is included in the General Section and
this program section of the SuperNOFA,
including the appendices. Copies of the
General Section, this program section,
the required forms, and appendices, are
available and may be downloaded from
the Grants.gov Web site at
www.Grants.gov.
You may request general information,
copies of the General Section and
program section of the SuperNOFA
(including appendices), and required
forms from the NOFA Information
Center (800–HUD–8929 or 800–HUD–
2209 (TTY)) Monday through Friday,
except on federal holidays. When
requesting information, please refer to
the name of the program you are
interested in.
B. Content and Form of Application
Submission. The exhibits to be included
in your application are contained in the
body of this program section of the
SuperNOFA below. There will not be a
separate Application Kit provided this
year. Before preparing your application,
you should carefully review the
requirements of the regulations (24 CFR
Part 891) and general program
instructions in Handbook 4571.2,
Section 811 Capital Advance Program
for Housing Persons with Disabilities.
Note: Section 1001 of Title 18 of the
United States Code (Criminal Code and
Criminal Procedure, 72 Stat. 967)
applies to all information supplied in
the application submission. (18 U.S.C.
1001, among other things, provides that
whoever knowingly and willfully makes
or uses a document or writing
containing any false, fictitious,
fraudulent statement or entry, in any
matter within the jurisdiction of any
department or agency of the United
States, shall be fined not more than
$10,000 or imprisoned for not more than
five years, or both.)
The Application for a Section 811
Capital Advance consists of four parts
with a total of eight Exhibits. Included
with the eight Exhibits are prescribed
forms, certifications and resolutions.
The components of the Application are:
Part 1—Application Form for Section
811 Supportive Housing—Capital
Advance (Exhibit 1).
Part 2—Your Ability To Develop and
Operate the Proposed Project (Exhibits 2
and 3).
Part 3—The Need for Supportive
Housing for the Target Population in the
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Area to be Served, Site Control and/or
Identification of Site, Suitability of Site,
Adequacy of the Provision of
Supportive Services and of the Proposed
Project (Exhibits 4 and 5).
Part 4—General Application
Requirements, Certifications and
Resolutions (Exhibits 6 through 8).
Appendix A—Listing of Local HUD
Offices.
Appendix B—Letter Requesting
SHPO/THPO Review.
Appendix C—Supplemental to
Choosing An Environmentally Safe Site.
Your application must include all of
the information, materials, forms, and
exhibits listed below (unless you were
selected for a Section 811 fund
reservation within the last three funding
cycles). If you qualify for this exception,
you are not required to submit the
information described in Exhibit 2(a),
(b), and (c), which are the articles of
incorporation (or other organizational
documents), by-laws, and the IRS tax
exemption, respectively. If there has
been a change in any of these
documents since your previous HUD
approval, you must submit the updated
information in your application. The
local HUD office will verify your
indication of previous HUD approval by
checking the project number and
approval status with the appropriate
local HUD office based on information
submitted.
In addition to this relief of paperwork
burden in preparing applications, you
are able to use information and exhibits
previously prepared for prior
applications under Section 811, Section
202, or other funding programs.
Examples of exhibits that may be readily
adapted or amended to decrease the
burden of application preparation
include, among others, those on
previous participation in the Section
202 or Section 811 programs, your
experience in the provision of housing
and services, supportive services plans,
community ties, and experience serving
minorities.
For programmatic information, you
MUST contact the appropriate local
HUD office about the submission of
applications within the jurisdiction of
that Office. (as well as information
relating to the Phase I Environmental
Site Assessment, Exhibit 4(d)(vii).)
Note: You may apply for a scattered site
project in one application.
Please submit your application using
the following format provided in this
program section of the SuperNOFA.
Unless you received a waiver of the
electronic application submission, you
must number the pages of each file,
narratives and other attached files.
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Include the name of your organization
and your DUNS number on the header
of each document.
1. Table of Contents (This is also to
be used as a checklist to assist you in
submitting a complete application. For
applicants who received a waiver of the
electronic application submission, after
your application is complete, you must
insert the page number after each
Exhibit or portion of the Exhibit item
listed below.)
a. Part I—Application Form for
Section 811 Supportive
Housing—Capital Advance
(1) Exhibit 1: Form HUD–92016–CA,
Supportive Housing for Persons with
Disabilities Section 811, Application for
Capital Advance Summary Information.
b. Part II—Your Ability to Develop
and Operate the Proposed Project
(1) Exhibit 2: Your Legal Status
(a) Articles of Incorporation (or other
organizational documents).
(b) By-laws.
(c) IRS Tax Exemption Ruling.
(Exception: See Exhibit to Determine if
You May be Exempt from Submitting
These Documents.)
(d) The number of people on your
board and the number of board members
who have disabilities.
(2) Exhibit 3: Your purpose,
community(ties) and experience:
(a) Purpose(s), current activities, how
long you have been in existence.
(b) Ties to the community at large, to
the target population, and description of
geographic areas served.
(c) Local government support for
project.
(d) Letters of support for your
organization and for the proposed
project.
(e) Housing and/or supportive
services experience.
(f) Efforts to involve target population.
(g) Description of practical solutions
to be implemented.
(h) Project Development Timeline.
(i) Description of how project will
remain viable.
(i) if service funds are depleted.
(ii) for State-funded services, if State
changes policy.
(iii) if the need for project changes.
(j) Identification/coordination with
other organizations.
(k) Description of consultation with
Continuum of Care organizations.
(l) Description of efforts to remove
barriers to affordable housing.
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c. Part III—The Need for Supportive
Housing for the Target Population in the
Area to be Served, Site Control and/or
Identification of Site and Suitability of
Site, Adequacy of the Provision of
Supportive Services and of the Proposed
Project
(1) Exhibit 4: Project information
including:
(a) Evidence of need for project.
(b) How project will benefit target
population and community.
(c) A narrative description of the
project, including:
(i) Building design.
(ii) Whether and how project will
promote energy efficiency.
(iii) If applicable, description of plans
and actions to create a mixed-finance
project for additional units and the
number of additional units.
Evidence of Site Control
(d) Evidence of site control and
permissive zoning (If you do not have
site control, skip to.
(e) Identification of a Site below):
(i) Site control document(s).
(ii) Evidence site is free of limitations,
restrictions, or reverters.
(iii) Evidence of permissive zoning or
statement of proposed action required to
make project permissible.
(iv) Evidence of compliance with the
Uniform Relocation Assistance and Real
Property Acquisition Policies Act of
1970, as amended (URA) site
notification requirement.
(v) Narrative topographical/
demographic description of site/area
suitability, how site will promote
greater housing opportunities for
minorities/target population.
(vi) Racial composition/concentration
map of site.
(vii) Phase I Environmental Site
Assessment.
(viii) Asbestos Statement or Report.
(ix) Letter to State/Tribal Historic
Preservation Officer (SHPO/THPO).
(x) Response from SHPO/THPO or
statement that SHPO/THPO failed to
respond.
(xi) Willingness to seek an
alternatesite.
(xii) Request for exception to project
size limits (if applicable)—why site was
selected and (ILP with site control only):
(A) Preference/acceptance of people
with disabilities to live in proposed
housing.
(B) Increased number of people
warranted by market conditions in area.
(C) Compatibility of project with other
residential development and population
density of the area.
(D) Increased number of people will
not prohibit successful integration into
the community.
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A statement that:
(a) Identifies all persons occupying
property on application submission
date.
(b) Indicates estimated cost of
relocation payments/other services.
(c) Identifies staff organization that
will carry out relocation activities.
(d) Identifies all persons who have
moved from site within past 12 months.
(3) Exhibit 8: Certifications and
Resolutions:
(a) Standard Form 424, Application
for Federal Assistance.
(b) Standard Form 424 Supplement,
Survey on Ensuring Equal Opportunity
for Applicants.
(c) Standard Form LLL, Disclosure of
Lobbying Activities, if applicable.
(d) Form HUD–2880, Applicant/
Recipient Disclosure/Update Report.
(e) Form HUD–2991, Certification of
Consistency with the Consolidated Plan.
(f) Form HUD–92041, Sponsor’s
Conflict of Interest Resolution.
(g) Form HUD–92042, Sponsor’s
Resolution for Commitment to Project.
(h) Form HUD–2990, Certification of
Consistency with the RC/EZ/EC–II
Strategic Plan.
(i) Form HUD–2530, Previous
Participation Certification.
(j) Form HUD–92043, Certification for
Provision of Supportive Services.
(k) Form HUD–96010, Logic Model.
(l) Form HUD–27300, Questionnaire
for HUD’s Initiative on Removal of
Regulatory Barriers, including any
required documentation or URL
references.
(m) Form HUD–96011, Facsimile
Transmittal, see the General Section for
instructions.
(E) Marketability of project in the
community.
(F) Project size consistent with State
and/or local policies governing similar
housing.
(G) Willingness to have application
processed at project size limit.
(e) Identification of a Site.
(i) Location of site.
(ii) Steps undertaken to identify site;
what must be done to obtain site
control.
(iii) Whether site is properly zoned.
(iv) Status of the sale of the site.
(v) Whether the site would involve
relocation.
(2) Exhibit 5: Supportive Services
Plan:
(a) Description of occupancy.
(b) Request for approval to limit
occupancy, if applicable, including:
(i) Description of population to which
occupancy will be limited.
(ii) Why it is necessary to limit
occupancy, including:
(A) How Section 811 program goals
willstill be achieved.
(B) Why housing and services needs
cannot be met ina more integrated
setting.
(iii) Experience in providing housing
and/or supportive services to proposed
population.
(iv) How you will ensure occupants
will be integrated into neighborhood
and community.
(c) Supportive services needs of
proposed population.
(d) List of community service
providers with letters of intent.
(e) Evidence of each service provider’s
capability and experience.
(f) Extent of State and local agency
involvement in project.
(g) Letter indicating your commitment
to make services available or coordinate
their availability.
(h) How residents will be afforded
employment opportunities.
(i) Whether project will
includemanager’s unit.
(j) Statement that you will not
condition occupancy on the resident’s
acceptance of supportive services.
a. Part I—Application Form For Section
811 Supportive Housing—Capital
Advance
(1) Exhibit 1—Form HUD–92016–CA,
Supportive Housing for Persons with
Disabilities Section 811 Application for
Capital Advance Summary Information.
Refer to Section IV.B.3. of this program
section for a copy of this form.
d. Part IV—General Application
Requirements, Certifications and
Resolutions
(1) Exhibit 6: Other Applications:
(a) A list of applications, if any, you
are submitting to any other local HUD
Office in response to the FY 2005
Section 202 or Section 811 NOFA, and
required information about each.
(b) A list of all FY 2004 and prior year
Section 202 or Section 811 projects to
which you are a party and the required
information about each.
(2) Exhibit 7: Applies to applications
with site control only:
b. Part II—Your Ability to Develop and
Operate the Proposed Project
(1) Exhibit 2—Evidence of your legal
status (Nonprofit with 501(c)(3) IRS tax
exemption)(If another organization(s) is
co-sponsoring the application with you,
each Co-Sponsor must also submit the
following):
(a) Articles of Incorporation,
constitution, or other organizational
documents.
(b) By-laws.
(c) IRS tax exemption ruling (this
must be submitted by all Sponsors,
including churches).
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2. General Applications Requirements
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(Exception: If you received a section 811
fund reservation within the last three funding
cycles, you are not required to submit the
documents described in (a), (b), and (c)
above. Instead, submit the project number of
the latest application and the local HUD
office to which it was submitted. If there
have been any modifications or additions to
the subject documents, indicate such, and
submit the new material.)
(d) The number of people on your
board and the number of board members
who have disabilities.
(2) Exhibit 3—Your purpose,
community ties and experience:
(a) A description of your purpose(s),
current activities, and how long you
have been in existence.
(b) A description of your ties to the
community in which your project will
be located and to the minority and
disability communities in particular,
including a description of the specific
geographic area(s) in which you have
served.
(c) A description of local government
support for the project (including
financial assistance, donation of land,
provision of services, etc.).
(d) Letters of support for your
organization and for the proposed
project from organizations familiar with
the housing and supportive services
needs of the target population (e.g., the
local center for independent living, the
Statewide Independent Living Council)
that you expect to serve in the proposed
project.
(e) A description of your housing and/
or supportive services experience. The
description should include any rental
housing projects (including any
integrated housing developments) and/
or supportive services facilities that you
sponsored, own and/or operate, your
past or current involvement in any
programs other than housing that
demonstrates your management
capabilities (including financial
management) and experience, your
experience in serving the target
population (persons with disabilities
and minorities); and the reasons for
receiving any increases in fund
reservations for developing and/or
operating previously funded Section
202 or Section 811 projects. The
description should include data on the
facilities and services provided, the
racial/ethnic composition of the
populations served, if available, and
information and testimonials from
residents or community leaders on the
quality of the activities. Examples of
activities that could be described
include housing counseling, nutrition
and food services, special housing
referral, screening and information
projects.
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(f) A description of your efforts to
involve members of the target
population (persons with disabilities
including minority persons with
disabilities and persons with disabilities
similar to those of the prospective
residents) in the development of the
application as well as your intent to
involve the target population in the
development and operation of the
project.
(g) A description of the practical
solutions you will implement which
will enable residents of your project to
achieve independent living and
economic empowerment. In addition,
describe the educational opportunities
you will provide for the residents and
how you will provide them. This
description should include the activities
you will undertake to improve computer
access, literacy and employment
opportunities (e.g., provide programs
that can teach residents how to use
computers to become educated as well
as achieve economic self-sufficiency
through job training and placement).
And, finally, describe how your
proposed project will be an improved
living environment for the residents
when compared to their previous place
of residence.
(h) Describe your plan for completing
the proposed project. Include a project
development timeline which lists the
major development stages for the project
with associated dates that must be met
in order to get the project to initial
closing and start of construction within
the 18-month fund reservation period as
well as the full completion of the
project, including final closing.
Completion of Exhibit 8(l), Logic Model,
will assist you in completing your
response to this Exhibit.
(i) Describe how you will ensure that
your proposed project will remain
viable as housing with the availability of
supportive services for the target
population for the 40-year capital
advance period. This description should
address the measures you would take
should any of the following occur:
(i) funding for any of the needed
supportive services becomes depleted;
(ii) if, for any state-funded services for
your project, the state changes its policy
regarding the provision of supportive
services to projects such as the one you
propose; or
(iii) if the need for housing for the
population you will be serving wanes
over time, causing vacancies in your
project.
(j) A description of the steps you took
to coordinate your application with
other organizations (e.g., the local center
for independent living) that will not be
directly involved in your project but
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with which you share common goals
and objectives, to complement and/or
support the proposed project so that the
project will provide a comprehensive
and holistic solution to the needs of
persons with disabilities.
(k) A description of your efforts to
consult with Continuum of Care
organizations in the community where
the project will be located about the
ways you can assist persons with
disabilities who are chronically
homeless as defined in the General
Section of the SuperNOFA.
(l) A description of the successful
efforts the jurisdiction in which your
project will be located has taken in
removing regulatory barriers to
affordable housing. To obtain up to 2
points for this policy priority, you must
complete the optional Form HUD–
27300, sbull I11‘‘Questionnaire for
HUD’s Initiative on Removal of
Regulatory Barriers’’ in Exhibit 8(l) of
the application AND provide the
necessary URL references or submit the
documentary evidence.
c. Part III—The Need for Supportive
Housing for the Target Population, Site
Control and/or Identification of Site and
Suitability of Site, Adequacy of the
Provision of Supportive Services and of
the Proposed Project
(1) Exhibit 4—Need and Project
Information
(a) Evidence of need for supportive
housing. Include a description of the
proposed population and evidence
demonstrating sustained effective
demand for supportive housing for the
proposed population in the market area
to be served, taking into consideration
the occupancy and vacancy conditions
in existing comparable subsidized
housing for persons with disabilities,
state or local needs assessments of
persons with disabilities in the area, the
types of supportive services
arrangements currently available in the
area, and the use of such services as
evidenced by data from local social
service agencies. Also, a description of
how information in the community’s or
(where applicable) the State’s
Consolidated Plan, Analysis of
Impediments to Fair Housing Choice
(AI) or other planning document that
analyzes fair housing issues was used in
documenting the need for the project.
(b) A description of how the proposed
project will benefit the target population
and the community in which it will be
located.
(c) Description of the project.
(i) Narrative description of the
building(s) including the number and
type of structure(s), number of units
with bedroom distribution if
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independent living units including
dwelling units in multifamily housing
developments, condominiums and
cooperatives, number of bedrooms if
group home, number of residents with
disabilities, and any resident manager
per structure; identification of all
commercial and community spaces,
amenities or features planned for the
housing and a description of how the
spaces, amenities, or features will be
used, and the extent to which they are
necessary to accommodate the needs of
the proposed residents. A narrative
description of the building design (both
interior and exterior), including any
special design features, as well as any
features that incorporate visitability
standards and universal design. Also
include a description of how the design
of the proposed project will facilitate
the integration of the residents into the
surrounding community and promote
the ability of the residents to live as
independently as possible.
Note: If the community spaces, amenities,
or features do not comply with the project
design and cost standards of 24 CFR 891.120
(a) and (c), and the special project standards
of 24 CFR 891.310 (a), you must demonstrate
your ability and willingness to contribute
both the incremental development cost and
continuing operating cost associated with the
community spaces, amenities, or features;
(ii) Describe whether and how the
project will promote energy efficiency
(in accordance with the requirements
set forth in Section III.C.3.k. of this
program NOFA), including any plans to
incorporate energy efficiency features in
the operation of the project through the
use of Energy Star labeled products and
appliances and, if applicable, innovative
construction or rehabilitation methods
or technologies to be used that will
promote efficient construction.
(iii) For site control applications, if
you are proposing to develop a mixedfinance project by developing additional
units (i.e., in addition to the 811 units),
a description of any plans and actions
you have taken to create such a mixedfinance project with the use of Section
811 capital advance funds, in
combination with other funding
sources. Provide the number of nonSection 811 units to be included in the
mixed-finance project (also provide the
number of additional units in the
appropriate space on Form HUD–92016CA). Also, provide copies of any letters
you have sent seeking outside funding
for the non-Section 811 units and any
responses thereto. Your response to this
Exhibit will be used to rate your
application for Rating Factor 4.c. under
Leveraging Resources.
Notes: (1) A proposal to develop a mixedfinance project for additional units must
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occur at the application for fund reservation
stage. You cannot decide after selection that
you want to do a mixed-finance project for
additional units. (2) If you propose to
develop a mixed-finance project for
additional units, you must complete the
development of such a proposal. If you are
later unable to develop a mixed-finance
project for additional units, you will not be
permitted to proceed with a Section 811
project without additional units and your
fund reservation will be canceled. This is due
to the fact that the project would have
received points in the rating of the
application in consideration of the additional
units and, if selected for funding, a later
change in the proposal to exclude the
additional units would alter the fairness of
the competition. (3) Section 811 capital
advance amendment money will not be
approved for projects proposing mixedfinancing for additional units. (4) If approved
for a reservation of capital advance funds,
you will be required to submit with your
Firm Commitment Application, the
additional documents required by HUD for
mixed-finance proposals. (5) A mixedfinance project does not include the
development of a mixed-use project in which
the Section 811 units are mortgaged
separately from the other uses of the
structure. (6) For a Section 811 mixedfinance project, the additional units cannot
cause the project to exceed the project size
limit for the type of project proposed, unless
you request and receive HUD approval to
exceed the project size limit if the project
will be an independent living project (See
IV.B.2.c.(1)(d)(xii).) or the additional units
will house people who do not have a
disability.
(d) Evidence of site control and
permissive zoning.
Note: If you are applying for Section 811
funding without control of any or all of your
proposed sites, you must provide the
information under (e) Identification of a Site
below for any site you are submitting without
evidence of control of that site.
(i) Acceptable evidence of site control
is limited to any one of the following:
(A) Deed or long-term leasehold
which evidences that you have title to
or a leasehold interest in the site. If a
leasehold, the term of the lease must be
50 years with renewable provisions for
25 years except for sites on Indian trust
land, in which case, the term of the
lease must be at least 50 years with no
requirements for extensions;
(B) Contract of sale for the site that is
free of any limitations affecting the
ability of the seller to deliver ownership
to you after you receive and accept a
notice of Section 811 capital advance.
(The only condition for closing on the
sale can be your receipt and acceptance
of the capital advance.) The contract of
sale cannot require closing earlier than
the Section 811 closing;
(C) Option to purchase or for a longterm leasehold, which must remain in
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14239
effect for six months from the date on
which the applications are due, must
state a firm price binding on the seller,
and be renewable at the end of the sixth
month period. The only condition on
which the option may be terminated is
if you are not awarded a fund
reservation;
(D) If the site is covered by a mortgage
under a HUD program, (e.g., a
previously funded Section 202 or
Section 811 project or an FHA-insured
mortgage) you must submit evidence
that consent to release the site from the
mortgage has been obtained or has been
requested from HUD (all required
information in order for a decision on
the request for a partial release of
security must have been submitted to
the local HUD office) and from the
mortgagee, if other than HUD Approval
to release the site from the mortgage
must be done before the local HUD
office makes its selection
recommendations to HUD Headquarters.
Refer to Chapter 16 of HUD Handbook
4350.1 Rev-1, Multifamily Asset
Management and Project Servicing, for
instructions on submitting requests to
the local HUD Office for partial release
of security from a mortgage under a
HUD program; or
(E) For sites to be acquired from a
public body, evidence is needed that the
public body possesses clear title to the
site and has entered into a legally
binding agreement to lease or convey
the site to you after you receive and
accept a notice of Section 811 capital
advance. Where HUD determines that
time constraints of the funding round
will not permit you to obtain all of the
required official actions (e.g., approval
of Community of Planning Boards) that
are necessary to convey publicly-owned
sites, you may include in your
application a letter from the mayor or
director of the appropriate local agency
indicating that conveyance or leasing of
the site is acceptable without imposition
of additional covenants or restrictions,
and only contingent on the necessary
approval action. Such a letter of
commitment will be considered
sufficient evidence of site control.
(ii) Whether you have title to the site,
a contract of sale, an option to purchase,
or are acquiring a site from a public
body, you must provide evidence (a title
policy or other acceptable evidence) that
the site is free of any limitations,
restrictions, or reverters which could
adversely affect the use of the site for
the proposed project for the 40-year
capital advance period under HUD’s
regulations and requirements (e.g.,
reversion to seller if title is transferred).
If the title evidence contains restrictions
or covenants, copies of the restrictions
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or covenants must be submitted with
the application. If the site is subject to
any such limitations, restrictions, or
reverters, the site will be rejected and
the application will be considered a
‘‘site identified’’ application. Purchase
money mortgages that will be satisfied
from capital advance funds are not
considered to be limitations or
restrictions that would adversely affect
the use of the site. If the contract of sale
or option agreement contains provisions
that allow a Sponsor not to purchase the
property for reasons such as
environmental problems, failure of the
site to pass inspection, or the appraisal
is less than the purchase price, then
such provisions are not objectionable
and a Sponsor is allowed to terminate
the contract of sale or the option
agreement.
Note: A proposed project site may not be
acquired or optioned from a general
contractor (or its affiliate) that will construct
the Section 811 project or from any other
development team member.
(iii) Evidence that the project, as
proposed, is permissible under
applicable zoning ordinances or
regulations, or a statement of the
proposed action required to make the
proposed project permissible and the
basis for the belief that the proposed
action will be completed successfully
before the submission of the firm
commitment application (e.g., a
summary of the results of any requests
for rezoning and/or the procedures for
obtaining special or conditional use
permits on land in similar zoning
classifications and the time required for
such rezoning, or preliminary
indications of acceptability from zoning
bodies, etc.).
Note: You should be aware that under
certain circumstances the Fair Housing Act
requires localities to make reasonable
accommodations to their zoning ordinances
or regulations to offer persons with
disabilities an opportunity to live in an area
of their choice. If you are relying upon a
theory of reasonable accommodation to
satisfy the zoning requirement,then you must
clearly articulate the basis for your
reasonable accommodation theory.
(iv) Evidence of compliance with the
URA requirement that the seller has
been provided, in writing, with the
required information regarding a
voluntary, arm’s length purchase
transaction (i.e., (1) applicant does not
have the power of eminent domain and,
therefore, will not acquire the property
if negotiations fail to result in an
amicable agreement, and (2) of the
estimate of the fair market value of the
property).
Note: This information should have been
provided before making the purchase offer.
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However, in those cases where there is an
existing option or contract, the seller must be
provided the opportunity to withdraw from
the agreement or transaction, without
penalty, after this information is provided.’’
(v) Narrative describing topographical
and demographic aspects of the site, the
suitability of the site and area (as well
as a description of the characteristics of
the neighborhood), how use of the site
will promote greater housing
opportunities for minority persons with
disabilities, and how use of the site will
affirmatively further fair housing.
Note: You can best demonstrate your
commitment to affirmatively furthering fair
housing by describing how your proposed
activities will assist the jurisdiction in
overcoming impediments to fair housing
choice identified in the applicable
jurisdiction’s Analysis of Impediments (AI)
to Fair Housing Choice, which is a
component of the jurisdiction’s Consolidated
Plan or any other planning document that
addresses fair housing issues. The applicable
Consolidated Plan and AI may be the
community’s, the county’s, or the state’s, to
which input should have been provided by
local community organizations, agencies in
the community and residents of the
community. Alternatively, a document that
addresses fair housing issues and remedies to
barriers to fair housing in the community that
was previously prepared by a local planning,
or similar organization, may be used.
Applicable impediments could include a lack
of units that are accessible to persons with
disabilities, a lack of transportation services
or other assistance that would serve persons
with disabilities, or the need for improved
quality and services for all persons with
disabilities.
(vi) A map showing the location of the
site, the racial composition of the
neighborhood, and any areas of racial
concentration.
Note: For this competition, when
determining the racial and ethnic
composition of the neighborhood
surrounding the proposed site, use data from
the 2000 Census of Population. Data from the
2000 Census may be found at
www.factfinder.census.gov/servlet/
BasicFactsServlet.
(vii) A Phase I Environmental Site
Assessment (ESA), in accordance with
the ASTM Standards E 1527–00, as
amended, must be completed and
submitted with the application. In order
for the Phase I ESA to be acceptable, it
must have been completed or updated
no earlier than six months prior to the
application submission date. Therefore,
it is important to start the site
assessment process as soon after the
publication of the NOFA as possible. If
the Phase I ESA indicates possible
presence of contamination and/or
hazards, you must decide whether to
continue with this site or choose
another site. Should you choose another
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site, the same Phase I ESA process
identified above must be followed for
the new site. If the property is to be
acquired from the FDIC/RTC, include a
copy of the FDIC/RTC prepared
Transaction Screen Checklist or Phase I
ESA and applicable documentation, per
the FDIC/RTC Environmental
Guidelines. If you choose to continue
with the original site on which the
Phase I ESA indicated contamination or
hazards, you must undertake a detailed
Phase II ESA by an appropriate
professional. If the Phase II Assessment
reveals site contamination, your must
submit the extent of the contamination
and a plan for clean-up of the site
including a contract for remediation of
the problem(s) and an approval letter
from the applicable federal, state and/or
local agency with jurisdiction over the
site to the local HUD office. The Phase
II and any necessary plans for clean-up
do not have to be submitted with the
application but must be received in the
local HUD office by June 23, 2005. If it
is not received by that date, the site will
be rejected and the application will be
placed in Category B for selection
purposes.
Note: You must pay for the cost of any
clean-up or remediation which can be very
expensive. [See Note at Section III.C.2.ciii.]
(viii) If you submit an application
with evidence of site control, you must
submit one of the following:
(A) If there is no pre-1978 structure on
the site, a statement to this effect, or
(B) If there is a pre-1978 structure on
the site, an asbestos report which is
based on a thorough inspection to
identify the location and condition of
asbestos throughout any structures.
Note: In those cases where suspect
asbestos is found, it would either be
assumed to be asbestos or would require
confirmatory testing. If the asbestos
report indicates the presence of
asbestos, or the presence of asbestos is
assumed, and if the application is
approved, HUD will condition the
approval on an appropriate mix of
asbestos abatement and an asbestos
Operations and Maintenance Plan.
(ix) The letter you sent to the State/
Tribal Historic Preservation Officer
(SHPO/ THPO) initiating consultation
with their office and requesting their
review of your determinations and
findings with respect to the historical
significance of your proposed project.
Appendix B to this program section of
the SuperNOFA contains a sample letter
that you mayadapt and send to the
SHPO/THPO.
(x) The SHPO/THPO response to your
letter or a statement that you have not
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received a response letter from the
SHPO/THPO.
(xi) A statement that you are willing
to seek a different site if the preferred
site is unapprovable and that site
control will be obtained within six
months of notification of fund
reservation.
(xii) If an exception to the project size
limits is being requested, describe why
the site was selected and demonstrate
the following: (Only for applications for
independent living projects and
condominium units [not group homes]
with site control)
(A) People with disabilities have
indicated their acceptance or preference
to live in housing with as many units/
people as proposed for the project.
(B) The increased number of units/
people is warranted by the market
conditions in the area in which the
project will be located.
(C) Your project is compatible with
other residential development and the
population density of the area in which
the project is to be located.
(D) The increased number of people
will not prohibit their successful
integration into the community.
(E) The project is marketable in the
community.
(F) The size of the project is
consistent with state and/or local
policies governing similar housing for
the proposed population.
(G) A statement that you are willing
to have your application processed at
the project size limit should HUD not
approve the exception.
(e) Identification of a Site. If you have
identified a site, but do not have it
under control, you must submit the
following information:
Note: If an application is submitted
without evidence of site control and does not
provide a specific street address for the
identified site(s) (e.g., only an indication that
the project will be developed in a particular
part of town but a site(s) has not been
chosen) the application will be rejected.
(i) A description of the location of the
site, including its street address, its unit
number (if condominium),
neighborhood/community
characteristics (to include racial and
ethnic data), amenities, adjacent
housing and/or facilities, how the site
will promote greater housing
opportunities for minority persons with
disabilities and affirmatively further fair
housing. You can best demonstrate your
commitment to affirmatively furthering
fair housing by describing how your
proposed activities will assist the
jurisdiction in overcoming impediments
to fair housing choice identified in the
community’s AI or any other planning
document that addresses fair housing
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issues. Examples of the applicable
impediments include the need for
improved housing quality and services
for minority persons with disabilities
and the need for quality services for
persons with disabilities within the type
and quality of similar services and
housing in minority areas.
(ii) A description of the activities
undertaken to identify the site, as well
as what actions must be taken to obtain
control of the site, if approved for
funding.
(iii) An indication as to whether the
site is properly zoned. If it is not, an
indication of the actions necessary for
proper zoning and whether these can be
accomplished within six months of fund
reservation award, if approved for
funding.
(iv) A status of the sale of the site.
(v) An indication as to whether the
site would involve relocation.
(2) Exhibit 5—Supportive Services
Plan
Note: Your supportive services plan and
the Supportive Services Certification (Exhibit
8(k)) must be sent to the appropriate state or
local agency (identified by the local HUD
office) far enough in advance of the
application deadline date so that the agency
can review the plan, complete the
certification and return both to you for
inclusion in your application to HUD.
(a) A detailed description of whether
the housing is expected to serve persons
with physical disabilities,
developmental disabilities, or chronic
mental illness or any combination of the
three. Include how and from whom/
where persons will be referred and
admitted for occupancy in the project.
You may, with the approval of the
Secretary, restrict occupancy within
housing developed under the
SuperNOFA to a subcategory of one of
the three main categories of disability
noted above (e.g., AIDS is a subcategory
of physical disability). However, the
Owner must permit occupancy by any
qualified person with a disability that
qualifies under the applicable main
category of disability.
(b) If requesting approval to restrict
occupancy, also submit the following:
(i) A description of the population of
persons with disabilities to which
occupancy will be limited.
(ii) An explanation of why it is
necessary to restrict occupancy of the
proposed project(s) to the population
described in (i) above, including the
following:
(A) An explanation of how restricting
occupancy to a subcategory of persons
with disabilities promotes the goals of
the Section 811 program.
(B) An explanation of why the
housing and/or service needs of this
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14241
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 consumercontrolled providers), including letters
of intent to provide services to proposed
residents from as many potential
providers as possible.
(e) The evidence of each service
provider’s capability and experience in
providing such supportive services
(even if you will be the service
provider).
(f) Identification of the extent of state
and/or local agency involvement in the
project (i.e., funding for the provision of
supportive services, referral of residents,
or licensing the project). If there will be
any state or local agency involvement, a
description of the state/local agency’s
philosophy/policy concerning housing
for the population to be served and a
demonstration that your application is
consistent with state and/or local
agency plans and policies governing the
development and operation of housing
for persons with disabilities.
(g) If you will be making any
supportive services available to the
residents or will be coordinating the
availability of any supportive services, a
letter providing:
(i) A description of the supportive
services that you will make available to
the residents or, if you will be
coordinating the availability of any
supportive services, a description of the
supportive service(s) and how the
coordination will be implemented;
(ii) An assurance that any supportive
services that you will make available to
the residents will be based on their
individual needs; and
(iii) A commitment to make the
supportive services available or
coordinate their availability for the life
of the project.
(h) A description of how the residents
will be afforded opportunities for
employment.
(i) An indication as to whether the
project will include a unit for a resident
manager.
(j) A statement that you will not
condition admission or occupancy on
the resident’s acceptance of any
supportive services.
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d. Part IV—General Application
Requirements, Certifications and
Resolutions
(1) Exhibit 6: Other Applications
(a) A list of the applications, if any,
you are submitting to any other local
HUD office in response to the FY 2005
Section 202 or Section 811 NOFA.
Indicate by local HUD office, the
proposed location by city and state and
the number of units requested for each
application.
(b) Include a list of all FY2004 and
prior year Section 202 and Section 811
capital advance projects to which you
are a party. Identify each by project
number and local HUD office and
include the following information:
(1) whether the project has initially
closed and, if so, when;
(2) if the project was older than 24
months when it initially closed (specify
how old) or if older than 24 months now
(specify how old) and has not initially
closed, provide the reasons for the delay
in closing;
(3) whether amendment money was or
will be needed for any project in (2)
above; and,
(4) those projects which have not been
finally closed.
(2) Exhibit 7: A statement that:
(applicable to applications with site
control only)
(a) identifies all persons (families,
individuals, businesses and nonprofit
organizations) by race/minority group,
and status as owners or tenants
occupying the property on the date of
submission of the application for a
capital advance.
(b) indicates the estimated cost of
relocation payments and other services.
(c) identifies the staff organization
that will carry out the relocation
activities.
(d) identifies all persons that have
moved from the site within the past 12
months.
[Note: If any of the relocation costs will be
funded from sources other than the section
811 capital advance, you must provide
evidence of a firm commitment of these
funds. When evaluating applications, HUD
will consider the total cost of proposals (i.e.,
cost of site acquisition, relocation,
construction and other project costs).]
(3) Exhibit 8: Certifications and
Resolutions—With the exception of
Form HUD–424CB and Form HUD–
424CBW listed in the General Section of
the SuperNOFA, and OMB Circulars A–
87 and A–21, you are required to submit
copies of the following:
(a) Standard Form 424—Application
for Federal Assistance, including a
DUNS number, an indication of whether
you are delinquent on any federal debt,
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and compliance with Executive Order
12372 (a certification that you have
submitted a copy of your application, if
required, to the State agency (Single
Point of Contact) for state review in
accordance with Executive Order
12372). A copy of this form and
instructions on how to obtain a DUNS
number are contained in the online
application and the General Section of
the SuperNOFA.
(b) Standard Form 424 Supplement,
Survey on Ensuring Equal Opportunity
for Applicants. Although the
information on this form will not be
considered in making funding
decisions, it will assist the federal
government in ensuring that all
qualified applicants have an equal
opportunity to compete for federal
funding. A copy of this form is
contained in the online application and
the General Section of the NOFA.
(c) Standard Form LLL—Disclosure of
Lobbying Activities (if applicable). A
disclosure of activities conducted to
influence any federal transactions. A
copy of this form is contained in the
online application and the General
Section of the SuperNOFA.
(d) Form HUD–2880, Applicant/
Recipient Disclosure/Update Report,
including Social Security and Employee
Identification Numbers. A disclosure of
assistance from other government
sources received in connection with the
project. A copy of this form is contained
in the online application and the
General Section of the SuperNOFA.
(e) Form HUD–2991, Certification of
Consistency with the Consolidated Plan
(Plan), for the jurisdiction in which the
proposed project will be located. The
certification must be made by the unit
of general local government if it is
required to have, or has, a complete
Plan. Otherwise, the certification may
be made by the state, or by the unit of
general local government if the project
will be located within the jurisdiction of
the unit of general local government
authorized to use an abbreviated
strategy, and if it is willing to prepare
such a Plan. All certifications must be
made by the public official responsible
for submitting the Plan to HUD. The
certifications must be submitted as part
of the application by the application
submission deadline date set forth in
this program section of the SuperNOFA.
The Plan regulations are published in 24
CFR part 91. A copy of this form is
contained in the online application and
the General Section of the SuperNOFA.
(f) Form HUD–92041, Sponsor’s
Conflict of Interest Resolution. A
certified Board Resolution that no
officer or director of the Sponsor or
Owner has or will have any financial
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interest in any contract with the Owner
or in any firm or corporation that has or
will have a contract with the Owner,
including a current listing of all duly
qualified and sitting officers and
directors by title and the beginning and
ending dates of each person’s term.
Refer to Section IV.B.3. below for a copy
of this Resolution.
(g) Form HUD–92042, Sponsor’s
Resolution for Commitment to Project.
A certified Board Resolution
acknowledging responsibilities of
sponsorship, long-term support of the
project(s), your willingness to assist the
Owner to develop, own, manage and
provide appropriate services in
connection with the proposed project,
and that it reflects the will of your
membership. Also, it shall indicate your
willingness to fund the estimated startup expenses, the Minimum Capital
Investment (one-half of one-percent of
the HUD-approved capital advance, not
to exceed $10,000), and the estimated
cost of any amenities or features (and
operating costs related thereto) that
would not be covered by the approved
capital advance. Refer to Section
IV.B.3.below for a copy of this
Resolution.
(h) Form HUD–2990, Certification of
Consistency with the RC/EZ/EC
Strategic Plan. A certification that the
project is consistent with the RC/EZ/
EC–IIs strategic plan, is located within
the RC/EZ/EC–II, and serves RC/EZ/EC–
II residents. (This certification is not
required if the project site(s) will not be
located in an RC/EZ/ECII.) A copy of the
RC/EZ/EC–II Certification form is
contained in the online application and
the General Section of the SuperNOFA.
(i) Form HUD–2530, Previous
ParticipationCertification. This form
must be submitted for the Sponsor and
all of the Officers and Directors of the
Board of the Sponsor, including any CoSponsor, if applicable. This form
provides HUD with a certified report of
all your previous participation in HUD
multifamily housing projects. The
information is used to determine if you
meet the standards established to ensure
that all principal participants in HUD
projects will honor their legal, financial
and contractual obligations and are
acceptable risks from the underwriting
standpoint of an insurer, lender or
governmental agency. Refer to Section
IV.B.3. below for a copy of this form.
(j) Form HUD–92043, Certification for
Provision of Supportive Services. A
certification from the appropriate state
or local agency (identified in the
application or obtained from the local
HUD office), indicating whether the:
(i) Provision of supportive services is
well designed to serve the needs of
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persons with disabilities the housing is
expected to serve;
(ii) The provision of supportive
services will enhance independent
living success and promote the dignity
of those who will access your proposed
project;
(iii) Supportive services will be
available on a consistent, long-term
basis; and
(iv) Proposed housing is consistent
with state or local plans and policies
addressing the housing needs of people
with disabilities if the state or local
agency will provide funding for the
provision of supportive services, refer
residents to the project or license the
project. (The name, address, and
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telephone number of the appropriate
agency can also be obtained from the
appropriate local HUD Office.) Refer to
Section IV.B.3. below for a copy of this
form.
(k) Form HUD–96010, Logic Model. In
addition to the Project Development
Timeline to be submitted in Exhibit 3(h)
above, the information provided in the
Logic Model will be used in rating your
application for Rating Factor 5,
Achieving Results and Program
Evaluation. A copy of this form is
contained in the online application and
the General Section of the NOFA.
(l) Form HUD–27300, Questionnaire
for HUD’s Initiative on Removal of
Regulatory Barriers. This form requires
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you to supply a reference, URL or brief
statement documenting the successful
efforts in removing barriers to affordable
housing by the jurisdiction in which
your project will be located. This
Questionnaire will be considered in the
rating of your application for Rating
Factor 3.j. A copy of this form is
contained in the online application and
the General Section of the NOFA.
3. Required Forms. In addition to the
required forms that are found in the
General Section as specified above, the
following required forms (HUD–92016CA, HUD–92041, HUD–92042, HUD–
2530, and HUD–92043) are specific to
the Section 811 program.
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C. Submission Dates and Time. Your
application must be submitted and
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received electronically by Grants.gov no
later than 11:59:59 PM eastern time on
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the application submission date, unless
a waiver of the electronic delivery
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process has been approved by HUD.
Please refer to the General Section for
instructions on applying for a waiver. If
a waiver is granted you must submit an
original and four copies of your
application on the application
submission date following the mailing
and timely receipt instructions in the
General Section and Appendix A of this
NOFA. These instructions have changed
from the 2004 SuperNOFA.
D. Intergovernmental Review. 1. State
Review. This funding opportunity is
subject to Executive Order (EO) 12372,
‘‘Intergovernmental Review of Federal
Programs.’’ You must contact your
State’s Single Point of Contact (SPOC) to
find out about and comply with the
state’s process under EO 12372. The
names and addresses of the SPOCs are
listed in the Office of Management and
Budget’s web site at https://
www.whitehouse.gov/omb/grants/
spoc.html. If required by the state, the
submission to the state needs to occur
before the Section 811 application due
date. It is recommended that you
provide the state with sufficient time to
review the application. Therefore, it is
important that you consult with the
SPOC for state review time frames and
take that into account when submitting
the application.
2. HUD/RHS Agreement. HUD and the
Rural Housing Service (RHS) have an
agreement to coordinate the
administration of the agencies’
respective rental assistance programs.
As a result, HUD is required to notify
RHS of applications for housing
assistance it receives. This notification
gives RHS the opportunity to comment
if it has concerns about the demand for
additional assisted housing and possible
harm to existing projects in the same
housing market area. HUD will consider
RHS comments in its review and
application selection process.
E. Funding Restrictions: 1. Ineligible
Activities. Section 811 funds may not be
used for any of the following:
a. Supportive Services
b. Housing that you currently own or
lease that has been occupied by people
with disabilities for longer than one year
prior to the application deadline date;
c. Nursing homes, infirmaries and
medical facilities;
d. Transitional housing;
e. Mobile homes;
f. Intermediate care facilities;
g. Assisted living facilities;
h. Community centers, with or
without special components for use by
persons with disabilities;
i. Sheltered workshops and centers for
persons with disabilities;
j. Headquarters for organizations for
persons with disabilities; and
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k. Refinancing of Sponsor-owned
facilities without rehabilitation.
Note: You may propose to rehabilitate an
existing currently-owned or leased structure
(if the structure already serves persons with
disabilities, it cannot have operated as
housing for persons with disabilities for
longer than one year prior to the application
deadline date) , however, the refinancing of
any federally funded or assisted project or
project insured or guaranteed by a federal
agency is not permissible under this Section
811 NOFA. HUD does not consider it
appropriate to utilize scarce program
resources to refinance projects that have
already received some form of assistance
under a federal program or that have been
operating as housing for persons with
disabilities for longer than one year prior to
the application deadline date. (For example,
Section 202, Section 202/8 or Section 202/
PAC direct loan projects cannot be
refinanced with capital advances and project
rental assistance.)
2. Application Limits (Units/Projects).
A Sponsor or Co-Sponsor may not apply
for more than 70 units of housing or 4
projects (whichever is less) for persons
with disabilities in a single Hub or more
than 10 percent of the total units
allocated to all local HUD offices.
Affiliated entities (organizations that are
branches or offshoots of a parent
organization) that submit separate
applications are considered a single
entity for the purpose of these limits. In
addition, no single application may
propose more units in a given local
HUD office than allocated for the
Section 811 program in that local HUD
office. If the proposed project will be an
independent living project, your
application must request at least five
units for persons with disabilities, not
necessarily in one structure. If your
proposed project will be a group home,
you must request at least two units for
persons with disabilities per group
home. If your proposed project will be
a combination of an independent living
project and a group home, your
application must request at least the
minimum number of units for each
project type (i.e., 5 units for an
independent living project and 2 units
for a group home).
3. Development Cost Limits.
a. The following development cost
limits, adjusted by locality as described
in Section IV.E.3.b. below must be used
to determine the capital advance
amount reserved for projects for persons
with disabilities.
Note: The capital advance funds awarded
for this project are to be considered the total
amount of funds that the Department will
provide for the development of this project.
Amendment funds will only be provided in
exceptional circumstances (e.g., to cover
increased costs for construction delays due to
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litigation or unforeseen environmental issues
resulting in a change of sites) that are clearly
beyond your control. Otherwise, you are
responsible for any costs over and above the
capital advance amount provided by the
Department as well as any costs associated
with any excess amenities and design
features.
(1) For independent living projects
and dwelling units in multifamily
housing developments, condominium
and cooperative housing: The capital
advance amount for the project
attributable to dwelling use (less the
incremental development cost and the
capitalized operating costs associated
with any excess amenities and design
features and other costs you must pay
for) may not exceed:
Non-elevator structures:
$42,980 per family unit without a
bedroom;
$49,557 per family unit with one
bedroom;
$59,766 per family unit with two
bedrooms;
$76,501 per family unit with three
bedrooms;
$85,225 per family unit with four
bedrooms.
For elevator structures:
$45,232 per family unit without a
bedroom;
$51,849 per family unit with one
bedroom;
$63,049 per family unit with two
bedrooms;
$81,563 per family unit with three
bedrooms;
$89,531 per family unit with four
bedrooms.
(2) For group homes only (the
development cost limits are capped by
type of occupancy and number of
person with disabilities):
TYPE OF DISABILITY
Residents
2
3
4
5
6
.................
.................
.................
.................
.................
Physical/Developmental
$172,303
185,287
198,273
211,257
224,228
Chronic mental illness
$166,325
178,860
189,995
201,130
212,265
(3) These cost limits reflect those
costs reasonable and necessary to
develop a project of modest design that
complies with HUD minimum property
standards; the minimum group home
requirements of 24 CFR 891.310(a) (if
applicable); the accessibility
requirements of 24 CFR 891.120(b) and
891.310(b); and the project design and
cost standards of 24 CFR 891.120.
b. Increased development cost limits.
(1) HUD may increase the
development cost limits set forth above,
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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 projectby-project basis. This increase may
include covering additional costs to
make dwelling units accessible through
rehabilitation.
Note: In applying the applicable high cost
percentage, the local HUD office may use a
percentage that is higher or lower than that
which is assigned to the local HUD office if
it is needed to provide a capital advance
amount that is comparable to what it
typically costs to develop a Section 811
project in that area.
(2) If HUD finds that high
construction costs in Alaska, Guam, the
Virgin Islands or Hawaii make it
infeasible to construct dwellings,
without the sacrifice of sound standards
of construction, design, and livability,
within the development cost limits
provided in Section IV.E.3.a.(1) and
IV.E.3.b.(1) above, the amount of capital
advances may be increased to
compensate for such costs. The increase
may not exceed the limits established
under this section (including any high
cost area adjustment) by more than 50
percent.
(3) For group homes only, local HUD
offices may approve increases in the
development cost limits in Section
IV.E.3.a.(2), above, in areas where you
can provide sufficient documentation
that high land costs limit or prohibit
project feasibility. An example of
acceptable documentation is evidence of
at least three land sales that have
actually taken place (listed prices for
land are not acceptable) within the last
two years in the area where your project
is to be built. The average cost of the
documented sales must exceed ten
percent of the development cost limit
for your project in order for an increase
to be considered.
4. Commercial Facilities. A
commercial facility for the benefit of the
residents may be located and operated
in the Section 811 project. However, the
commercial facility cannot be funded
with the use of Section 811 capital
advance or PRAC funds. The maximum
amount of space permitted for a
commercial facility cannot exceed 10
percent of the total project cost. An
exception to this 10 percent limitation
is if the project involves acquisition or
rehabilitation and the additional space
was incorporated in the existing
structure at the time the proposal was
submitted to HUD. Commercial facilities
are considered public accommodations
under Title III of the Americans with
Disabilities Act of 1990 (ADA), and thus
must comply with all the accessibility
requirements of the ADA.
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5. Expiration of Section 811 Funds.
The Consolidated Appropriations Act,
2005, requires HUD to obligate all
Section 811 funds appropriated for FY
2005 by September 30, 2008. Under 31
U.S.C. 1551, no funds can be disbursed
from this account after September 30,
2013. Under Section 811, obligation of
funds occurs for both capital advances
and project rental assistance upon fund
reservation and acceptance. If all funds
are not disbursed by HUD and expended
by the project Owner by September 30,
2013, the funds, even though obligated,
will expire and no further
disbursements can be made from this
account. In submitting an application,
you need to carefully consider whether
your proposed project can be completed
through final capital advance closing no
later than September 30, 2013.
Furthermore, all unexpended balances,
including any remaining balance on
PRAC contracts, will be cancelled as of
October 1, 2013. Amounts needed to
maintain PRAC payments for any
remaining term on the affected contracts
beyond that date will have to be funded
from other current appropriations.
F. Other Submission Requirements:
Address for Submitting Applications.
Applications must be submitted
electronically through the
www.Grants.gov web site, unless the
applicant receives a waiver from the
electronic submission requirement. See
the General Section, Application
Submission and Receipt Procedures, for
information on applying online and
requesting a waiver from the electronic
application requirement. If you apply
for and receive a waiver from the
electronic application requirement, you
must submit an original and four copies
of your completed application to the
Director of the appropriate local HUD
office listed in Appendix A below. Note:
Do not use the listing in Attachment B
to the General Section of the
SuperNOFA.
V. Application Review Information
A. Criteria
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 FY2005. Refer to
the General Section of the SuperNOFA
for information regarding HUD’s
Strategic Goals and Policy Priorities. For
the Section 811 program, applicants
who include work activities that
specifically address the policy priorities
of encouraging accessible design
features by incorporating visitability
standards and universal design, ending
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chronic homelessness, removing
barriers to affordable housing and
promoting energy efficiency in design
and operations will receive additional
points. A Notice pertaining to the
removal of barriers to affordable housing
was published in the Federal Register
and may be downloaded from the HUD
web site at https://www.hud.gov/offices/
adm/grants/fundsavail.cfm.
Rating Factors. HUD will rate
applications that successfully complete
technical processing using the Rating
Factors set forth below and in
accordance with the application
submission requirements in this
program section of the SuperNOFA. The
maximum number of points an
application may receive under this
program is 102. This includes two (2)
RC/EZ/EC–II bonus points, as described
in the General Section of the
SuperNOFA and Section V.A.6 below.
1. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Staff (30 Points)
This factor addresses the extent to
which you have the organizational
resources to successfully implement the
proposed activities in a timely manner.
Submit information responding to this
factor in accordance with Application
Submission Requirements in Exhibits
3(a), 3(b), 3(e), 5 and 6 of Section IV.B.
of this program section of the
SuperNOFA. In rating this factor, HUD
will consider the extent to which your
application demonstrates your ability to
develop and operate the proposed
housing on a long-term basis,
considering the following:
a. (15 points) The scope, extent, and
quality of your experience in providing
housing or related services to those
proposed to be served by the project and
the scope of the proposed project (i.e.,
number of units, services, relocation
costs, development, and operation) in
relationship to your demonstrated
development and management capacity
as well as your financial management
capability.
b. (10 points) The scope, extent, and
quality of your experience in providing
housing or related services to minority
persons or families and your ties to the
community at large and to the minority
and disability communities in
particular.
(1) (5 points) The scope, extent, and
quality of your experience in providing
housing or related services to minority
persons or families.
(2) (5 points) The scope, extent, and
quality of your ties to the community at
large and to the minority and disability
communities in particular.
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To earn the maximum number of
points under subcriteria (b)(1) above,
you must describe both your
relationships over time with the
minority community and significant
previous experience in providing
housing and/or supportive services to
minorities generally and to minority
persons with disabilities, in particular.
For the purpose of this competition,
‘‘significant previous experience’’
means that the previous housing
assistance or related services to
minorities, i.e., the percentage of
minorities being provided housing or
related services in your current
developments, was equal to or greater
than the percentage of minorities in the
jurisdiction where the previous housing
or services occurred. To earn the
maximum number of points under
subcriteria (b)(2) above, you should
submit materials that demonstrate your
efforts to make housing available to the
community at large and the minority
and disable communities in particular.
Examples of documents that may be
submitted to earn the maximum number
of points under subcriteria (b)(2),
include copies of your affirmative
marketing plan and the advertising/
outreach materials you utilize to attract
minority communities (including
limited English proficient
communities), disable community and
the community at large. Regarding your
advertising/outreach materials, you
should identify when advertising/
outreach materials are circulated, whom
they are circulated to, where they are
circulated and how they are circulated.
Descriptions of other advertising/
outreach efforts to the minority
(including limited English proficient
communities) and disable communities
and the dates and places of such
advertising/outreach efforts should also
be included.
c. (-3 to -5 points) HUD will deduct
(except if the delay was beyond your
control) 3 points if a fund reservation
you received under either the Section
811 program of Supportive Housing for
Persons with Disabilities or the Section
202 program of Supportive Housing for
the Elderly in FY2000 or later has been
extended beyond 24 months, 4 points if
beyond 36 points, and 5 points if
beyond 48 months. Examples of delays
beyond your control include, but are not
limited to, initial closing delays that are:
(1) directly attributable to HUD, (2)
directly attributable to third party
opposition, including litigation, and (3)
due to a disaster, as declared by the
President of the United States.
d. (-1 point) HUD will deduct 1 point
if amendment money was required as a
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result of the delay (except if the delay
was beyond your control).
e. (5 points) You have experience in
developing integrated housing and/or
the proposed project will be an
integrated housing model (e.g.,
condominium units scattered within
one or more buildings or noncontiguous independent living units on
scattered sites).
2. Rating Factor 2: Need/Extent of the
Problem (13 Points)
This factor addresses the extent to
which there is a need for funding the
proposed activities to address a
documented problem in the target area.
Submit information responding to this
factor in accordance with Application
Submission Requirements in Exhibits
4(a) and 4(b) of Section IV.B. of this
program section of the SuperNOFA.
HUD will consider the following in
evaluating this factor:
The extent of the need for the project
in the area based on a determination by
the local HUD office. In making this
determination, HUD will consider your
evidence of need in the area, as well as
other economic, demographic, and
housing market data available to the
local HUD office. The data should
include a general assessment of the
current conditions in the market for the
type of housing proposed, an estimate of
the demand for additional housing of
the type proposed in the applicable
housing market area; as well as,
information on the numbers and types
of existing comparable subsidized
housing for persons with disabilities,
current occupancy in such housing and
recent market experience, comparable
subsidized housing for persons with
disabilities under construction or for
which fund reservations have been
issued, and, in accordance with an
agreement between HUD and RHS,
comments from RHS on the demand for
additional comparable subsidized
housing and the possible harm to
existing projects in the same housing
market area. The Department also will
review more favorably those
applications which establish a
connection between the proposed
project and the community’s Analysis of
Impediments to Fair Housing Choice
(AI) or other planning document that
analyzes fair housing issues and is
prepared by a local planning or similar
organization. You must show how the
proposed project will address an
impediment to fair housing choice
described in the AI or meet a need
identified in the other type of planning
document.
For all Section 811 projects that are
determined to have sufficient demand,
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HUD will rate your application based on
the ratio of the number of units in the
proposed project to the estimate of
unmet need for housing assistance by
the income eligible disabled households
with selected housing conditions.
Unmet need is defined as the number of
very low-income disabled one-person
renter households age 18 and older with
housing conditions problems, as of the
2000 Census minus the number of
project-based subsidized rental housing
units (HUD, RHS, or LIHTC) that are
affordable to very low-income disabled
provided in the area since 1999. Units
to be occupied by resident managers are
not counted. After HUD determines the
estimate of unmet need and whether a
connection has been made between the
project and community’s Consolidated
Plan, Analysis of Impediments to Fair
Housing Choice, or other planning
document, HUD will rate your
application as follows:
a. (10 points) The area of the project
has an unmet ratio of 15 percent or less;
Or (0 points) The area of the proposed
has no unmet needs for housing
assistance.
b. (3 points) The extent that a
connection has been established
between the project and the
community’s Consolidated Plan,
Analysis of Impediments to Fair
Housing Choice (AI) or other planning
document that analyzes fair housing
issues and is prepared by a local
planning or similar organization.
3. Rating Factor 3: Soundness of
Approach (40 Points)
This factor addresses the quality and
effectiveness of your proposal, the
extent to which you involved persons
with disabilities, including minority
persons with disabilities, in the
development of the application and will
involve them in the development and
operation of the project, the extent to
which you coordinated your application
with other organizations, including
local independent living centers, with
which you share common goals and
objectives and are working toward
meeting these objectives in a holistic
and comprehensive manner, whether
you consulted with Continuum of Care
organizations to address efforts to assist
persons with disabilities who are
chronically homeless as defined in the
General Section, whether the
jurisdiction in which your project will
be located has undertaken successful
efforts to remove regulatory barriers to
affordable housing, and whether you
will promote energy efficiency in the
design and operation of the proposed
housing. There must be a clear
relationship between the proposed
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design, the proposed activities, the
community’s needs and purposes of the
program funding for your application to
receive points for this factor. Submit
information responding to this factor in
accordance with Application
Submission Requirements in Exhibits
2(d), 3(f), 3(j), 3(k), 3(l), 4(c)(i), 4(c)(ii),
4(c)(iii), 4(d)(iii), 4(d)(v), 4(d)(vi), 4(e)(i),
5, and 8(l) of Section IV.B. of this
NOFA. In evaluating this factor, HUD
will consider the following:
a. (14 points) Site approvability—The
proximity or accessibility of the site to
shopping, medical facilities,
transportation, places of worship,
recreational facilities, places of
employment, and other necessary
services to the intended occupants;
adequacy of utilities and streets, and
freedom of the site from adverse
environmental conditions (based on site
visit for site control projects only); and
compliance with site and neighborhood
standards in 24 CFR 891.125(a), (d), and
(e) and 24 CFR 891.320. Sites where
amenities are accessible other than by
project residence or private vehicle will
be rated more favorably;
b. (-1 point) One or more of your
proposed sites is not permissively zoned
for the intended use.
c. (10 points) The suitability of the
site from the standpoints of promoting
a greater choice of housing
opportunities for minorities and persons
with disabilities and affirmatively
furthering fair housing. In reviewing
this criterion, HUD will assess whether
the site meets the site and neighborhood
standards at 24 CFR 891.125(b) and (c)
by examining relevant data in your
application or in the local HUD office.
If appropriate, HUD may visit the site.
(1) The site will be deemed acceptable
if it increases housing choice and
opportunity by expanding housing
opportunities in non-minority
neighborhoods (if located in such a
neighborhood). The term ‘‘non-minority
area’’ is defined as one in which the
minority population is lower than 10
percent; or contributing to the
revitalization of and reinvestment in
minority neighborhoods, including
improvement of the level, quality and
affordability of services furnished to
minority persons with disabilities. You
should refer to the Site and
Neighborhood Standards provisions of
the regulations governing the Section
811 Supportive Housing Program (24
CFR 891.125(b) and (c)) when
considering sites for your projects.
(2) For the purpose of this
competition, the term ‘‘minority
neighborhood (area of minority
concentration)’’ is defined as one where
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any one of the following statistical
conditions exists:
(a) The percentage of persons of a
particular racial or ethnic minority is at
least 20 points higher than the
minority’s or combination of minorities’
percentage in that housing market as a
whole;
(b) The neighborhood’s total
percentage of minority persons is at
least 20 points higher than the total
percentage of minorities for the housing
market area as a whole; or
(c) In the case of a metropolitan area,
the neighborhood’s total percentage of
minority persons exceeds 50 percent of
its population.
d. (2 points) The extent to which the
proposed design of the project (exterior
and interior) and its placement in the
neighborhood will meet the individual
needs of the residents and will facilitate
their integration into the surrounding
community and promote their ability to
live as independently as possible.
e. (1 point) The extent to which the
proposed design incorporates
visitability standards and universal
design in the construction or
rehabilitation of the project. Refer to the
General Section of the SuperNOFA for
further information.
f. (4 points) Your board is comprised
of persons with disabilities.
g. (3 points) You involved persons
with disabilities (including minority
persons with disabilities) in the
development of the application, and
will involve persons with disabilities
(including minority persons with
disabilities) in the development and
operation of the project.
h. (2 points) The extent to which you
coordinated your application with other
organizations (including local
independent living centers; a list of
such can be obtained from the local
HUD office) that will not be directly
participating in your project, but with
which you share common goals and
objectives and are working toward
meeting these goals and objectives in a
holistic and comprehensive manner.
i. (1 point) You consulted with the
Continuum of Care organizations in the
community in which your proposed
project will be located and have
developed ways in which the proposed
project will assist persons with
disabilities who have been experiencing
chronic homelessness become more
productive members of society. Refer to
the General Section of the SuperNOFA
for further information.
j. (2 points) The extent to which the
jurisdiction in which your project will
be located has undertaken successful
efforts to remove regulatory barriers to
affordable housing. (NOTE: To receive
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up to 2 points, the applicant must have
submitted the optional Form HUD–
27300, Questionnaire for HUD’s
Initiative on Removal of Regulatory
Barriers, AND provided URL references
or submitted the required documentary
evidence.)
k. (1 point) The extent to which you
will promote energy efficiency in the
design and operation of the proposed
housing. Refer to Section III.C.3.k. of
this program NOFA.
4. Rating Factor 4: Leveraging Resources
(5 Points)
This factor addresses your ability to
secure other funding sources, including
funding sources to develop a mixedfinance project for additional units over
and above the Section 811 units, if
proposed, and community resources
that can be combined with HUD’s
program resources to achieve program
purposes. Submit information
responding to this factor in accordance
with Application Submission
Requirements in Exhibits 3(a), 3(b), 3(c),
3(d), 3(e), 4(c)(iii) and 5(f) of Section
IV.B. of this program section of the
SuperNOFA.
a. (1 point) The extent of local
government support (including financial
assistance, donation of land, provision
of services, etc.) for the project.
b. (2 points) The extent of your
activities in the community, including
previous experience in serving the area
where the project is to be located, and
your demonstrated ability to enlist
volunteers and raise local funds.
c. (2 points) The extent of your plans
to develop a mixed-finance project for
additional units over and above the
Section 811 units.
(1) (1 point) The proposed project
involves mixed-financing for additional
units in which the non-Section 811
units represent 30 percent or less of the
Section 811 units in the project; OR
(2) (2 points) The proposed project
involves mixed-financing for additional
units in which the non-Section 811
units represent over 30 percent of the
Section 811 units in the project.
Note: If you are proposing a mixed-finance
project for additional units over and above
the Section 811 units, your application may
receive a maximum of 2 points under Rating
Factor 4(c). Your application will receive
either 1 or 2 points under this Rating Factor,
depending upon the number of non-Section
811 units to be developed in the project. If
your project will not involve mixed-financing
for additional units, no points will be
assigned for Rating Factor 4(c).
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5. Rating Factor 5: Achieving Results
and Program Evaluation (12 Points)
This factor reflects HUD’s goal to
embrace high standards of ethics,
management and accountability and, as
such, emphasizes HUD’s commitment to
ensuring that you keep the promises
made in your application. This factor
requires that you clearly identify the
benefits or outcomes of your project and
develop an evaluation plan to measure
performance, which includes what you
are going to measure, how you are going
to measure it, and the steps you will
have in place to make adjustments to
your project development timeline
should you not be able to achieve any
of the major milestones. Completion of
Exhibit 8(k), Logic Model, will assist
you in completing your response to this
rating factor. This rating factor also
addresses the extent to which your
project will implement practical
solutions that result in residents
achieving independent living, economic
empowerment, educational
opportunities and improved living
environments. Finally, this factor
addresses the extent to which the longterm viability of your project will be
sustained for the duration of the 40-year
capital advance period. Submit
information responding to this factor in
accordance with Application
Submission Requirements in Exhibits
3(e), 3(g), 3(h), 3(i), 6(b), and 8(k) of
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Section IV.B. of this program section of
the SuperNOFA.
a. (5 points) The extent to which your
project development timeline is
indicative of your full understanding of
the development process and will,
therefore, result in the timely
development of your project.
b. (2 points) The extent to which your
past performance evidences that the
proposed project will result in the
timely development of the project.
Evidence of your past performances
could include the development of
previous construction projects,
including but not limited to Section 202
or Section 811 projects.
c. (2 points) The extent to which your
project will implement practical
solutions that will result in assisting
residents in achieving independent
living, economic empowerment,
educational opportunities, and
improved living environments (e.g.,
activities that will improve computer
access, literacy and employment
opportunities).
d. (3 points) The extent to which you
demonstrated that your project will
remain viable as housing with the
availability of supportive services for
very low income persons with
disabilities for the 40-year capital
advance period.
6. Bonus Points (2 bonus points).
Location of proposed site in an RC/EZ/
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EC–II area, as described in the General
Section. Submit the information
responding to the bonus points in
accordance with the Application
Submission Requirements in Exhibit 8(i)
of Section IV.B. of this NOFA.
B. Reviews and Selection Process: 1.
Review for Curable Deficiencies. You
should ensure that your application is
complete before transmitting it to the
following web site: www.grants.gov/
Apply and, in the case of a waiver of the
electronic submission requirement, that
you have an original and four copies
before submitting it to the appropriate
local HUD office. Upon receipt of the
application by HUD staff, HUD will
screen all applications to determine if
there are any curable deficiencies. For
applicants receiving a waiver to submit
a paper application, submitting fewer
than the required original and four
copies of the application is not a curable
deficiency and will cause your
application to be considered nonresponsive to the NOFA and returned to
you. A curable deficiency is a missing
Exhibit or portion of an Exhibit that will
not affect the rating of the application.
Refer to the General Section for
additional information regarding
procedures for corrections to deficient
applications. The following is a list of
the only deficiencies that will be
considered curable in a Section 811
application:
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The local HUD office will notify you
in writing if your application is missing
any of the above exhibits or portions of
exhibits and will provide you with a
specified deadline to submit the
information required to cure the noted
deficiencies. The items identified by an
asterisk (*) must be dated on or before
the application submission date. If an
Exhibit or portion of an Exhibit listed
above as curable is not discovered as
missing until technical processing, HUD
will provide you with a deadline to cure
the deficiency.
2. Rating. HUD will review and rate
your application in accordance with the
Reviews and Selection Process in the
General Section of the SuperNOFA
except as described in 3. Appeal Process
below. Your application will be either
rated or technically rejected at the end
of technical review. If your application
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meets all program eligibility
requirements after completion of
technical review, including HUD
approval of you, the Section 811
applicant, based on HUD’s evaluation of
the applicant’s previous participation
activities as reported on Form HUD–
2530, Previous Participation
Certification, it will be rated according
to the rating factors in Section V.A.
above.
3. Appeal Process. HUD will not reject
your application based on technical
review without notifying you of the
rejection with all the reasons for
rejection and providing you an
opportunity to appeal. You will have 14
calendar days from the date of HUD’s
written notice to appeal a technical
rejection to the local HUD office. In
HUD’s review of any appeal, it should
be noted that in conformance with its
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regulations at 24 CFR part 4, subpart B,
HUD will not consider any unsolicited
information that you, the applicant, may
want to provide. The local HUD office
will make a determination on any
appeals before making its selection
recommendations.
4. Ranking and Selection Procedures.
Applications that have a total base score
of 75 points or more (without the
addition of RC/EC/EZ–II bonus points)
and meet all of the applicable threshold
requirements in the General Section of
the SuperNOFA and this program
NOFA will be eligible for selection and
will be placed in rank order in two
categories; Category A and Category B.
Category A will consist of approvable
applications that contain acceptable
evidence of control of all proposed sites
and all proposed sites have been found
approvable. Category B will consist of
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the following approvable applications:
(a) Those that were submitted with
identified sites; (b) those that were
submitted with evidence of site control
where the evidence and/or any of the
proposed sites were found
unapprovable provided you indicate
your willingness to locate another site(s)
should the proposed site(s) be found
unapprovable; and (c) those that were
submitted with a combination of sites
under control and identified sites. Each
HUD Multifamily Program Center will
select applications, after adding any
bonus points for RC/EC/EZ–II, based on
rank order, from Category A first that
most closely approximates the capital
advance authority available in its
allocation. If capital advance authority
remains after selecting all approvable
applications from Category A, each HUD
Multifamily Program Center shall then
select applications, in rank order, from
Category B that most closely
approximates the capital advance
authority remaining in its allocation.
HUD Multifamily Program Centers will
not skip over any applications in order
to select one based on the funds
remaining. After making the initial
selections from the applicable category,
however, HUD Multifamily Program
Centers may use any residual funds to
select the next rank-ordered application
in that category by reducing the number
of units by no more than 10 percent,
rounded to the nearest whole number,
provided the reduction will not render
the project infeasible. For this purpose,
however, HUD will not reduce the
number of units in projects of five units
or less.
After the HUD Multifamily Program
Centers have funded all possible
projects based on the process above,
residual funds from all HUD
Multifamily Program Centers within
each Multifamily Hub will be combined.
First, these funds will be used to restore
units to projects reduced by HUD
Multifamily Program Centers based on
the above instructions. Second,
additional approvable applications
within each Multifamily Hub will be
selected in rank order, first from
Category A, and if sufficient funds
remain, from Category B, with only one
application selected per HUD
Multifamily Program Center. More than
one application may be selected per
HUD Multifamily Program Center if
there are no approvable applications in
other HUD Multifamily Program Centers
within the Multifamily Hub. This
process will continue until there are no
more approvable applications within
the Multifamily Hub that can be
selected with the remaining funds.
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Applications may not be skipped over to
select one based on funds remaining.
However, the Multifamily Hub may use
any remaining residual funds to select
the next rank-ordered application in the
applicable category by reducing the
number of units by no more than 10
percent rounded to the nearest whole
number, provided the reduction will not
render the project infeasible or result in
the project being less than 5 units.
Funds remaining after the Multifamily
Hub selection process is completed will
be returned to Headquarters. HUD
Headquarters will use these residual
funds first to restore units to projects
reduced by HUD Multifamily Program
Center or Multifamily Hub as a result of
the instructions for using their residual
funds. Second, HUD Headquarters will
use these funds for selecting
applications based on HUD Program
Centers’ rankings, beginning with the
highest rated application nationwide in
Category A. Only one application will
be selected per HUD Multifamily
Program Center in Category A from the
national residual amount, excluding the
Columbia Multifamily Program Center,
already funded. If there are no
approvable applications in Category A
in other HUD Multifamily Program
Centers, then the next highest rated
application in Category B in another
HUD Multifamily Program Center will
be selected, excluding the Columbia
Multifamily Program Center, already
funded. This process will begin again
with the selection of the next highest
rated application in Category A
nationwide. Once each HUD
Multifamily Program Center that has
approvable applications in Category A
receives another selection then the next
highest rated application in Category B
will be selected. This process will
continue until all approvable
applications are selected using the
available remaining funds. Headquarters
may skip over a higher rated application
in order to use as much of the available
remaining funds as possible.
5. HUD Error. In the event HUD
commits an error that, when corrected,
would have resulted in the selection of
an otherwise eligible applicant during
the funding round of the SuperNOFA,
HUD may select that applicant when
sufficient funds become available.
VI. Award Administration Information
A. Award Notices
1. Agreement Letter. If you are
selected to receive a Section 811 fund
reservation, you will receive an
Agreement Letter that stipulates the
terms and conditions for the Section 811
fund reservation award as well as the
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submission requirements following the
fund reservation award. The duration of
the fund reservation award for the
capital advance is 18 months from the
date of issuance of the fund reservation.
Immediately upon your acceptance of
the Agreement Letter, you are expected
to begin work towards the submission of
a Firm Commitment Application, which
is the next application submission stage.
You are required to submit a Firm
Commitment Application to the local
HUD office within 180 days from the
date of the Agreement Letter. Initial
closing of the capital advance and start
of construction of the project are
expected to be accomplished within the
duration of the fund reservation award.
Final closing of the capital advance is
expected to occur no later than six
months after completion of project
construction.
2. Non-selection Letter. If your
application is approvable but unfunded
due to insufficient funds or receives a
rating that is below the minimum
threshold score established for funding
eligibility, you will receive a letter to
this effect.
3. Debriefing. Refer to the General
Section for further information
regarding debriefings except that the
request must be made to the Director of
Multifamily Housing in the appropriate
local HUD office.
B. Administrative and National Policy
Requirements
1. Ensuring the Participation of Small
Businesses, Small Disadvantaged
Businesses, and Women-Owned
Businesses. Although the Section 811
program is not subject to the provisions
of 24 CFR 85.36(e) as described in the
corresponding paragraph in the General
Section of the SuperNOFA, you are
required to comply with Executive
Order 12432, Minority Business
Enterprise Development and Executive
Order 11625, Prescribing Additional
Arrangements for Developing and
Coordinating a National Program for
Minority Business Enterprise as they
relate to the encouragement of HUD
grantees to utilize minority business
enterprises.
2. Acquisition and Relocation. You
must comply with the Uniform
Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as
amended (49 CFR part 24 and 24 CFR
part 891.155(e)) (URA), which covers
the acquisition of sites, with or without
existing structures, and with 24 CFR
8.4(b)(5) of the Section 504 regulations
which prohibits discrimination based
on disability in determining the site or
location of a federally-assisted facility.
However, you are exempt from
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complying with the site acquisition
requirements of the URA if you do not
have the power of eminent domain and
prior to entering into a contract of sale,
option to purchase or any other method
of obtaining site control, you inform the
seller of the land in writing: (1) That you
do not have the power of eminent
domain and, therefore, you will not
acquire the property if negotiations fail
to result in an amicable agreement, and
(2) of the estimate of the fair market
value of the property. An appraisal is
not required to meet this requirement;
however, your files must include an
explanation, (with reasonable evidence)
of the basis for the estimate. Evidence of
compliance with this advance notice
requirement must be included in Exhibit
4(d)(iv) of your application.
3. Flood Disaster Protection Act of
1973 and Coastal Barriers Resources
Act. You must comply with the
requirements under the Flood Disaster
Protection Act of 1973 (42 U.S.C. 4001–
4128) and the Coastal Barrier Resources
Act (16 U.S.C. 3601).
C. Reporting
1. The Program Outcome Logic Model
(Form HUD–96010) must be completed
indicating the results achieved against
the proposed output goal(s) and
proposed outcome(s) which you stated
in your approved application and
agreed upon by HUD.
2. The Regulatory Agreement (Form
HUD–92466–CA) requires the Owner of
the Section 811 project to submit an
annual financial statement for the
project. This financial statement must
be audited by an Independent Public
Accountant who is a Certified Public
Accountant or other person accepted by
HUD and filed electronically with
HUD’s Real Estate Assessment Center
(REAC) through the Financial
Assessment Subsystem for Multifamily
Housing (MF–FASS). The submission of
annual financial statements is required
throughout the 40-year term of the
mortgage.
3. HUD requires that funded
recipients collect racial and ethnic
beneficiary data. It has adopted the
Office of Management and Budget’s
Standards for the Collection of Racial
and Ethnic Data. In view of these
requirements, you should use Form
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HUD–27061, Racial and Ethnic Data
Reporting Form (and instructions for its
use), found at: www.hudclips.org, a
comparable program form, or a
comparable electronic data system for
this purpose.
VII. Agency Contact(s)
For Technical Assistance. For
technical assistance in downloading an
application package from https://
www.grants.gov/Apply, contact the
Grants.gov help desk at 800–518–Grants
or by sending an email to
support@grants.gov. For programmatic
information, you may contact the
appropriate local HUD office, or Frank
Tolliver at HUD Headquarters at (202)
708–3000 (this is not a toll-free
number), or access the Internet at: http:/
/www.hud.gov/offices/adm/grants/
fundsavail.cfm. Persons with hearing
and speech impairments may access the
above number via TTY by calling the
toll-free Federal Relay Service at 800–
877–8339.
VIII. Other Information
A. Field Office Workshop. HUD
encourages minority organizations and
grassroots organizations (e.g., civic
organizations, faith-communities and
grassroots faith-based and other
community-based organizations) to
participate in this program and strongly
recommends prospective applicants
attend the local HUD office workshop.
At the workshops, HUD will explain
application procedures and
requirements, as well as address
concerns such as local market
conditions, building codes and
accessibility requirements,
contamination identification and
remediation, historic preservation,
floodplain management, other
environmental requirements,
displacement and relocation, zoning,
and housing costs. If you are interested
in attending the workshop, make sure
that your name, address and telephone
number are on the appropriate local
HUD office’s mailing list so that you
will be informed of the date, time and
place of the workshop. Persons with
disabilities should call the appropriate
local HUD office to assure that any
necessary arrangements can be made to
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enable their attendance and
participation in the workshop.
If you cannot attend the workshop,
call the appropriate local HUD office if
you have any questions regarding the
submission of applications to that
particular office and to request any
materials distributed at the workshop.
B. Satellite Broadcast. HUD will hold
an information broadcast via satellite for
potential applicants to learn more about
the program and preparation of the
application. It is strongly recommended
that potential applicants, especially
those who may be applying for Section
811 funding for the first time, tune in to
this broadcast, if at all possible. Copies
of the broadcast tapes are also available
from the NOFA Information Center. For
more information about the date and
time of the broadcast, you should
consult the HUD web site at: https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm.
C. Related Programs. Section 811
funding for tenant-based assistance is
administered by public housing
agencies and nonprofit organizations
through the Mainstream Housing
Opportunities for Persons with
Disabilities Program.
D. Paperwork Reduction Act. The
information collection requirements
contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
number 2502–0462. In accordance with
the Paperwork Reduction Act, HUD may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless the collection
displays a currently valid OMB number.
Public reporting burden for the
collection of information is estimated to
average 35.92 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, semi-annual
reports and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits derived.
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Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 / Notices
Continuum of Care Homeless
Assistance Programs
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Community Planning and
Development.
B. Funding Opportunity Title:
Funding Availability for Continuum of
Care (CoC) Homeless Assistance
Programs.
C. Announcement Type: Initial
Announcement.
D. Funding Opportunity Number: The
Federal Register number is FR–4950–
N–15. The OMB Approval number is
pending.
E. Catalog of Federal Domestic
Assistance (CFDA) Numbers:
1. 14.235, Supportive Housing
Program (SHP)
2. 14.238, Shelter Plus Care (S+C) and
3. 14.249, Section 8 Moderate
Rehabilitation Single Room Occupancy
(SRO).
F. Dates: Application Submission
Date: Applications should be submitted
no later than June 10, 2005. Please see
the General Section for detailed
instructions and Section IV of this
NOFA for application submission and
timely receipt requirements.
G. Additional Overview Content
Information:
1. Purpose of the Programs: The
purpose of the CoC Homeless Assistance
Programs is to assist homeless persons
to move to self-sufficiency and
permanent housing.
2. Available Funds: Approximately $1
billion is available for funding.
3. Eligible Applicants: The program
summary chart in Section III.A.3
identifies the eligible applicants for
each of the three programs under the
CoC Homeless Assistance Programs.
4. Match: Matching funds are required
from local, state, federal or private
resources.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description
1. Overview
a. The purpose of the CoC Homeless
Assistance Programs is to reduce the
incidence of homelessness in CoC
communities by assisting homeless
individuals and families to move to selfsufficiency and permanent housing.
Projects that sustain current successful
interventions and fill gaps in locally
developed CoC systems will be funded.
To help meet the Administration’s goal
of ending chronic homelessness,
priority will be placed on programs that
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target the supportive housing needs of
chronically homeless persons.
2. The authorizing legislation and
implementing regulations for all
programs covered by this NOFA are
outlined on the chart in Section III.A.3.
HUD published a proposed rule
updating the Supportive Housing
Program at 69 FR 43488 on July 20, 2004
and is currently considering the public
comments received. HUD expects to
publish a final rule based on the
proposed rule and comments in 2005. If
a final rule is published before
announcement of awards under this
NOFA, the new final rule will apply to
those awards.
3. Changes for 2005. These changes
include, but are not limited to, the
following:
A. CoC Hold Harmless Amount. This
is the total of the one-year amount of all
SHP projects eligible for renewal. CoC’s
shall receive the higher of: (1) the
preliminary pro rata need (PRN) or (2)
the CoC hold harmless amount. In the
past, HUD awarded a renewal
adjustment when the amount needed to
fund all eligible renewals for one year
exceeded the preliminary pro rata need.
An unintended consequence of this
policy resulted in CoCs having to
request renewal of projects that in their
judgment did not best reflect the current
needs of the community. CoCs receiving
the CoC hold harmless amount will now
have the opportunity to reallocate their
PRN funds in order to create new
permanent supportive housing projects.
This will provide them with the same
flexibility that CoCs without excessive
SHP renewals have. See Section V.A.2.b
of this program section for this
significant change.
b. Samaritan Housing Initiative. The
Samaritan Initiative (formerly known as
the Permanent Housing Bonus) will be
integrated into this NOFA as part of the
larger CoC process and is only for
projects serving exclusively chronically
homeless persons. It is 15 percent of a
CoC’s preliminary PRN amount or $6
million, whichever is less. Applicants
may use no more than 20 percent of this
bonus for case management costs. See
Section V.A.2.b(3) for additional
information on this subject.
c. Grant Terms. The grant terms for all
newly proposed SHP projects are two
(2) or three (3) years. See Section II.A.3
for additional information on this
subject.
d. Participant Eligibility for
Permanent Housing. The only persons
who may be served by permanent
housing projects (both new and
renewal) are those who come from the
streets, emergency shelters, or
transitional housing. People who are
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currently housed but may become
homeless within seven days, remain
eligible for transitional housing and
emergency shelters. Please see Section
III.C.2.a(3) and the Questions and
Answers Supplement for further
information.
e. Pro Rata Need. Any project not
falling fully within the 40 need point
range will receive 10 need points. Please
see Section V.A.2.b(4) for more
information.
f. Fair Market Rent (FMR) Updates.
HUD will select projects using the FMRs
in place at the time of application. HUD
will then apply the FMRs in place at the
time of award. See V.A.2.b(3) for more
information.
g. Conducting Business In Accordance
with Core Values and Ethical Standards.
All applicants will be required, prior to
entering into an agreement with HUD, to
submit a copy of their Code of Conduct.
Refer to the General Section for detailed
instructions regarding this requirement.
h. Form HUD 96010, Logic Model.
Applicants must submit a Logic Model
for each project, new and renewal. Refer
to the General Section for instructions
and a copy of this form.
i. CoC Planning Process
Organizations. A description of the
‘‘level of participation’’ has been
included for the list of organizations
involved in your CoC planning efforts.
See Exhibit 1, Form HUD–40076 CoC–
B.
j. The Discharge Planning Policy
narrative has been replaced with a chart.
See Exhibit 1, Form HUD–40076 CoC–
D.
k. The Service Activity Chart has been
streamlined to reflect an inventory of
supportive services and the agencies
providing these services. The
description of planned services and how
participants access/receive assistance is
no longer required. See Exhibit 1, Form
HUD–40076 CoC–F.
l. The Housing Gaps Analysis Chart
has been eliminated. That information is
now reported in the Housing Activity
Charts, which have been substantially
revised. See Exhibit 1, Form HUD–
40076 CoC–G.
m. Participation in Energy Star. Form
HUD–40076 CoC–H has been changed to
capture CoCs’ efforts to promote energy
efficiency in HUD assisted programs.
See Exhibit 1.
n. The Homeless Management
Information System (HMIS) Section has
been revised to capture more
information on HMIS implementation
efforts. See Exhibit 1, Form HUD–40076
CoC–J.
o. The Project Priorities Section has
been updated to include a Reallocation
Chart and required narrative response.
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See Exhibit 1, Form HUD–40076 CoC–
K.
p. The Continuum of Care Use of
Other Resources Chart has been
eliminated.
q. Audits. The Reporting Section has
been updated to reflect the requirement
for annual audits for those grantees that
expend more than $500,000 in Federal
funds. See Section VI.C for additional
information on this subject.
r. Appropriate Discharge Planning
and Coordination and Integration of
Mainstream Programs are still required,
but the Special Project Certifications
have been eliminated.
s. The ‘‘Housing Emphasis’’ scoring
has been increased from 10 to 12 points.
See Section V.A.2.a.(5) for additional
information on this subject.
t. The ‘‘Performance Measurement’’
scoring has been increased from 5 to 8
points. See Section V.A.2.a.(6) for
additional information on this subject.
u. The ‘‘Leveraging Supplemental
Resources’’ scoring has been reduced
from 13 to 8 points. See Section
V.A.2.a.(4) for additional information on
this subject.
v. The ‘‘Questions and Answers
Supplement’’ should be thoroughly
reviewed and is now available on the
web at www.hud.gov/offices/adm/
grants/fundsavail.cfm. Please see
Section IV.A.
4. Developing and Coordinating CoC
Systems: Developing a CoC system
should be an inclusive process that
brings together participants from the
state, local, private and nonprofit
sectors to assist homeless persons. It
should be coordinated and consistent
with the community’s larger effort of
developing a HUD required
Consolidated Plan. The Consolidated
Plan serves as the vehicle for a
community to comprehensively identify
each of its needs and to coordinate a
plan of action for addressing them. State
and local 10-year plans to end chronic
homelessness must be aligned with (if
not identical to) the CoC plan to end
chronic homelessness. For a community
to successfully address the complex and
interrelated problems related to
homelessness, the community must
marshal its varied resources—
community and economic development
resources, social service resources,
housing and homeless assistance
resources—and use them in a
coordinated and effective manner.
5. CoC Components. A CoC system
consists of five basic components:
a. A system of outreach and
assessment for determining the needs
and conditions of an individual or
family who is homeless;
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b. Emergency shelters with
appropriate supportive services to help
ensure that homeless individuals and
families receive adequate emergency
shelter and referral to necessary service
providers or housing search counselors;
c. Transitional housing with
appropriate supportive services to help
those homeless individuals and families
who are not prepared to make the
transition to permanent housing and
independent living; and
d. Permanent housing, or permanent
supportive housing, to help meet the
long-term needs of homeless individuals
and families.
e. Prevention strategies play an
integral role in a community’s plan to
eliminate homelessness. By law,
prevention activities are ineligible
activities in the three programs for
which funds are awarded in this
competition but are eligible for funding
under the Emergency Shelter Grants
block grant program.
6. CoC Planning Process. A CoC
system is developed through a
community-wide or region-wide process
involving nonprofit organizations
(including those representing persons
with disabilities), government agencies,
public housing authorities, community
and faith-based organizations, other
homeless providers, housing developers
and service providers, private
businesses and business associations,
law enforcement agencies, private
funding providers, and homeless or
formerly homeless persons. A CoC
system should address the specific
needs of each homeless subpopulation:
those experiencing chronic
homelessness, veterans, persons with
serious mental illnesses, persons with
substance abuse issues, persons with
HIV/AIDS, persons with co-occurring
diagnoses (may include diagnoses of
multiple physical disabilities or
multiple mental disabilities or a
combination of these two types), victims
of domestic violence, youth, and any
others. To ensure that the CoC system
addresses the needs of homeless
veterans, it is particularly important that
you involve veteran service
organizations with specific experience
in serving homeless veterans.
7. CoC Funding is provided through
the programs briefly described below.
Please refer to the CoC Homeless
Assistance Programs Chart in Section
III.A.3 for a more detailed description of
each program:
a. The Supportive Housing Program
(SHP) provides funding for the
development of transitional and
permanent supportive housing and
services that help homeless persons
transition from homelessness to living
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as independently as possible. Some
services are also funded to assist in
achieving the goal of self-sufficiency.
b. The Shelter Plus Care (S+C)
Program provides funding for rental
assistance and requires grantees to
identify service dollars. This gives
applicants flexibility in devising
appropriate housing and supportive
services for homeless persons with
disabilities.
c. The Section 8 Moderate
Rehabilitation Single Room Occupancy
(SRO) Program provides rental
assistance on behalf of homeless
individuals in connection with the
moderate rehabilitation of SRO
dwellings.
8. Glossary of Terms: a. Applicant. An
entity that applies to HUD for funds. See
the CoC Homeless Assistance Programs
Chart in Section III.A.3 for a list of
entities that are eligible. An applicant
must submit a SF–424. If selected for
funding, the applicant becomes the
grantee and is responsible for the overall
management of the grant, including
drawing grant funds and distributing
them to project sponsors. The applicant
is also responsible for supervision of
project sponsor compliance with grant
requirements. The applicant may also be
a project sponsor.
b. Applicant Certification. The form,
required by law, in which an applicant
certifies that it will adhere to certain
statutory requirements, such as the Civil
Rights Act of 1964.
c. Chronically Homeless Person. An
unaccompanied homeless individual
with a disabling condition who has
either been continuously homeless for a
year or more OR has had at least four
(4) episodes of homelessness in the past
three (3) years. A disabling condition is
defined as ‘‘a diagnosable substance use
disorder, serious mental illness,
developmental disability, or chronic
physical illness or disability, including
the co-occurrence of two or more of
these conditions.’’ In defining the
chronically homeless, the term
‘‘homeless’’ means ‘‘a person sleeping in
a place not meant for human habitation
(e.g., living on the streets) or in an
emergency homeless shelter.’’
d. Consolidated Plan. A long-term
housing and community development
plan developed by state and local
governments and approved by HUD.
The Consolidated Plan contains
information on homeless populations
and should be coordinated with the CoC
plan. It can be a source of information
for the Unmet Need sections of the
Housing Activities Chart. The plan
contains both narratives and maps, the
latter developed by localities using
software provided by HUD.
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e. Consolidated Plan Certification.
The form, required by law, in which a
state or local official certifies that the
proposed activities or projects are
consistent with the jurisdiction’s
Consolidated Plan and, if the applicant
is a state or unit of local government,
that the jurisdiction is following its
Consolidated Plan.
f. Continuum of Care. A collaborative
funding approach that helps
communities plan for and provide a full
range of emergency, transitional, and
permanent housing and service
resources to address the various needs
of homeless persons.
g. Current Inventory. A complete
listing of the community’s existing beds
and supportive services.
h. Homeless Management Information
Systems (HMIS). An HMIS is a
computerized data collection
application designed to capture clientlevel information over time on the
characteristics and service needs of
men, women, and children experiencing
homelessness, while also protecting
client confidentiality. It is designed to
aggregate client-level data to generate an
unduplicated count of clients served
within a community’s system of
homeless services. An HMIS may also
cover a statewide or regional area, and
include several CoCs. The HMIS can
provide data on client characteristics
and service utilization.
i. Homeless Person means a person
sleeping in a place not meant for human
habitation or in an emergency shelter;
and a person in transitional housing for
homeless persons who originally came
from the street or an emergency shelter.
For a more detailed discussion, see the
Questions and Answers Supplement
available on the web at www.hud.gov/
offices/adm/grants/fundsavail.cfm. The
programs covered by this NOFA are not
for populations who are at risk of
becoming homeless.
j. NOFA. Notice of Funding
Availability, published in the Federal
Register to announce available funds
and application requirements.
k. Private Nonprofit Status. Private
nonprofit status is documented by
submitting either: (1) a copy of the
Internal Revenue Service (IRS) ruling
providing tax-exempt status under
Section 501(c)(3) of the IRS Code; or (2)
documentation showing that the
applicant is a certified United Way
agency; or (3) a certification from a
designated official of the organization
that no part of the net earnings of the
organization inures to the benefit of any
member, founder, contributor, or
individual; that the organization has a
voluntary board; that the organization
practices nondiscrimination in the
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provision of assistance; and that the
organization has a functioning
accounting system that provides for
each of the following (mention each in
the certification):
(1) Accurate, current and complete
disclosure of the financial results of
each federally sponsored project.
(2) Records that identify adequately
the source and application of funds for
federally sponsored activities.
(3) Effective control over and
accountability for all funds, property
and other assets.
(4) Comparison of outlays with budget
amounts.
(5) Written procedures to minimize
the time elapsing between the transfer of
funds to the recipient from the U.S.
Treasury and the use of the funds for
program purposes.
(6) Written procedures for
determining the reasonableness,
allocability and allowability of costs.
(7) Accounting records, including cost
accounting records, which are
supported by source documentation.
1. Public Nonprofit Status. Public
nonprofit status is documented for
community mental health centers by
including a letter or other document
from an authorized official stating that
the organization is a public nonprofit
organization.
m. Project Sponsor. The organization
that is responsible for carrying out the
proposed project activities. A project
sponsor does not submit a SF–424,
unless it is also the applicant. To be
eligible to be a project sponsor, you
must meet the same program eligibility
standards as applicants do, as outlined
in Section III.A.3, except in the
Sponsor-based rental assistance (SRA)
component of the S+C Program. Eligible
sponsors for the SRA component are
statutorily precluded from also applying
for S+C funding.
n. SF 424. The application cover sheet
required to be submitted by applicants
requesting HUD Federal Assistance.
o. Safe Haven. A Safe Haven is a form
of supportive housing funded and
administered under the Supportive
Housing Program serving hard-to-reach
homeless persons with severe mental
illness and other debilitating behavioral
conditions who are on the streets and
have been unwilling or unable to
participate in supportive services. Safe
Havens may be transitional supportive
housing, or permanent supportive
housing if it has the characteristics of
permanent housing and requires
participants to sign a lease.
9. Applicant Roles and
Responsibilities. An applicant will be
responsible for the overall management
and administration of a particular grant,
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including drawing down the grant
funds, distributing them to the project
sponsors, overseeing project sponsors,
collecting and disseminating
community-level data, and reporting to
HUD. Applicants can submit
applications for projects on behalf of
project sponsors, who will actually
carry out the proposed project activities.
Applicants can also carry out their own
projects. In these cases, the applicant is
responsible for both administering and
managing a grant (as the grantee) and
carrying out the project activities (as the
project sponsor).
II. Award Information
A. Amount Allocated. Approximately $1
billion is available for this CoC
competition in FY 2005. Any
unobligated funds from previous CoC
competitions or additional funds that
may become available as a result of
deobligations or recaptures from
previous awards or budget transfers may
be used in addition to FY 2005
appropriations to fund applications
submitted in response to this NOFA.
The FY 2005 Consolidated
Appropriations Act requires HUD to
obligate all CoC homeless assistance
funds by September 30, 2007. These
funds will remain available for
expenditure for five (5) years following
that date, except as provided by the
2005 Consolidated Appropriations Act,
including up to $20 million awarded for
the Section 8 Moderate Rehabilitation
Single Room Occupancy (SRO) Program
to be available until expended. The
funds available for the CoC competition
can be used under any of the three
programs that can assist in creating
community systems for combating
homelessness.
1. Distribution of Funds: As in
previous NOFAs for the CoC Homeless
Assistance Programs, HUD will not
specify amounts for each of the three
programs this year. Instead, the
distribution of funds among the three
programs will depend largely on locally
determined priorities and overall
demand.
a. Permanent Housing Requirement.
Local priorities notwithstanding, the FY
2005 Consolidated Appropriations Act
requires that not less than 30 percent of
this year’s Homeless Assistance Grants
(HAG) appropriation, excluding
amounts provided for one-year renewals
under the Shelter Plus Care Program,
must be used for permanent housing
projects for all homeless populations.
b. Chronic Homelessness
Requirement. The Administration has
established as a policy priority the goal
of ending chronic homelessness. CoCs
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are strongly encouraged to use the funds
available in this NOFA to target persons
experiencing chronic homelessness in
their communities. HUD encourages
communities to select projects that will
contribute to the achievement of this
important goal. CoCs should work
closely with appropriate state and local
governments and interagency councils
on homelessness that are establishing
their own ten-year plan for eliminating
chronic homelessness. All these efforts
should be coordinated and consistent
with the community’s HUD
Consolidated Plan as well as the CoC’s
plan to end chronic homelessness. To
work towards this goal, HUD is targeting
the Samaritan Initiative for projects that
exclusively serve individuals who are
experiencing chronic homelessness. In
addition, at least 10 percent of the
appropriation will be awarded to new or
renewal, transitional or permanent
housing projects where at least 70
percent of the project’s clients are
expected to be chronically homeless (as
defined by HUD) immediately prior to
entry into the project. Housing projects
include: SHP transitional housing,
permanent housing and Safe Havens;
S+C; and SRO projects. Since the
housing funding allocation set-aside
requirements are expected to continue
in future competitions and may affect
project funding selections, you are
strongly encouraged to begin planning
for new housing projects, particularly
those serving individuals experiencing
chronic homelessness, and include
them as part of your submission in this
competition. See Section V.B.3.a and
V.B.3.b of this NOFA for additional
information on the permanent housing
and chronic homeless requirements.
c. Lower-rated SHP Renewals. HUD
reserves the authority to conditionally
select for one year of funding lowerrated eligible SHP renewal projects that
are assigned 40 need points in a CoC
application receiving at least 25 points
under the CoC scoring factor that would
not otherwise receive funding for these
projects. (See Section V.A.2.a and
V.A.2.b of this NOFA for information on
project rating and scoring.) Therefore,
the projects must receive a minimum
score of 65 points. Although these
lower-rated SHP renewal projects will
have scored below the otherwise
recognized funding line, their funding
allows homeless persons to continue to
be served and move towards selfsufficiency. Not renewing these projects
would likely result in the closure of
these projects and displacement of the
homeless people being served.
2. Prioritizing Projects for Funding.
Project priority decisions are best made
by members of the local community,
including local government and
community and faith-based
organizations, which represent the
various economic, housing and social
resources within that community. For
example, if HUD has funds available
only to award 8 of 10 proposed projects,
then it will award funding to the first 8
eligible projects listed, except as may be
necessary to achieve the 30 percent
overall permanent housing and the 10
percent chronic homelessness
requirements; see Section V.B.3.a. and
V.B.3.b. of this NOFA for additional
information. In such cases, higher
priority non-permanent housing projects
may be de-selected to fund lower
priority permanent housing projects and
housing projects predominantly serving
those persons experiencing chronic
homelessness.
3. Grant Term. See chart in Section
III.A.3. of this NOFA for information on
the term of assistance for each of the
three CoC programs covered in this
NOFA.
III. Eligibility Information
A. Eligible Applicants
1. Eligible applicants for each
program are those identified in the
following chart.
2. Renewal Applicants. As a project
applicant, you are eligible to apply for
renewal of a grant only if you have
executed a grant agreement for the
project directly with HUD for SHP or
S+C programs under a CoC NOFA. If
you are a project sponsor or subrecipient who has not signed such an
agreement, you are not eligible to apply
for renewal of these projects.
3.—CONTINUUM OF CARE HOMELESS ASSISTANCE PROGRAMS
Elements
Supportive housing
Shelter plus care
Section 8 SRO
AUTHORIZING LEGISLATION ......
Subtitle C of Title IV of the McKinney-Vento Homeless Assistance Act, 42 U.S.C. 11381.
24 CFR part 583 ...........................
Subtitle F of Title IV of the McKinney-Vento Homeless Assistance Act, 42 U.S.C. 11403.
24 CFR part 582 ...........................
• States ........................................
• Units of general local government.
• Special purpose units of government, e.g. PHAs.
• Private nonprofit organizations
• Community Mental Health Centers that are public nonprofit organizations.
• Transitional housing ..................
• Permanent housing for disabled
persons only.
• Supportive services not in conjunction with supportive housing.
• Safe Havens .............................
• Innovative supportive housing ..
• Homeless Mngt. Info. System
(HMIS).
• States ........................................
• Units of general local government.
• PHAs .........................................
Section 441 of the McKinneyVento Homeless Assistance
Act, 42 U.S.C. 11401.
24 CFR part 882, subpart H, except that all persons receiving
rental assistance must meet the
McKinney-Vento definition of
homelessness.
• PHAs
• Private nonprofit organizations.
IMPLEMENTING REGULATIONS
ELIGIBLE APPLICANT(S) .............
ELIGIBLE COMPONENTST ..........
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•
•
•
•
Tenant-based housing ..............
Sponsor-based housing ............
Project-based housing ..............
SRO-based housing ..................
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3.—CONTINUUM OF CARE HOMELESS ASSISTANCE PROGRAMS—Continued
Elements
Supportive housing
ELIGIBLE ACTIVITIES (See footnotes 1,2 and 3).
ELIGIBLE POPULATIONS
footnote 2).
(See
•
•
•
•
•
•
•
Acquisition .................................
Rehabilitation ............................
New construction ......................
Leasing ......................................
Operating costs .........................
Supportive services ...................
Homeless individuals and families.
POPULATIONS GIVEN SPECIAL
CONSIDERATION.
• Homeless persons with disabilities.
• Homeless families with children
INITIAL TERM OF ASSISTANCE
2 or 3 years for new SHP 1, 2 or
3 years for new HMIS.
Shelter plus care
Section 8 SRO
• Rental assistance ......................
• Rental assistance.
• Homeless disabled individuals ..
• Homeless disabled individuals
& their families.
• Homeless persons who are seriously mentally ill, Have chronic
problems with alcohol and/or
drugs, Have AIDS & related diseases..
5 years: TRA, SRA, and PRA if
no rehab, 10 years: SRO, and
PRA with rehab.
• Homeless individuals.
• N/A.
10 years.
Footnote 1: Homeless prevention activities are statutorily ineligible under these programs.
Footnote 2: Persons at risk of homelessness are statutorily ineligible for assistance under these programs.
Footnote 3: Acquisition, construction, rehabilitation, leasing, and operating costs for emergency shelters are statutorily ineligible for assistance
under Shelter Plus Care and Section 8 SRO.
B. Matching (Cost Sharing)
You must match Supportive Housing
Program funds provided for acquisition,
rehabilitation, and new construction
with an equal amount of cash from other
sources. Since SHP by statute can pay
no more than 75 percent of the total
operating budget for supportive
housing, you must provide at least a 25
percent cash match of the total annual
operating costs. In addition, for all SHP
funding for supportive services and
Homeless Management Information
Systems (HMIS) you must provide a 25
percent cash match. This means that of
the total supportive services budget line
item, no more than 80 percent may be
from SHP grant funds. The cash source
may be your agency, other Federal
programs, state and local governments,
or private resources.
You must match rental assistance
provided through the Shelter Plus Care
Program in the aggregate with
supportive services. Shelter Plus Care
requires a dollar for dollar match; the
recipient’s match source can be cash or
in kind from any of the sources above.
Documentation of the match
requirement must be maintained in the
grantee’s financial records on a grantspecific basis.
C. Other
1. Eligible Activities. Eligible activities
for the SHP, S+C, and SRO Programs are
outlined in the preceding CoC Homeless
Assistance Programs Chart at Section
III.A.3.
2. Threshold Requirements. a. Project
Eligibility Threshold. HUD will review
projects to determine if they meet the
following eligibility threshold
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requirements. If HUD determines the
following standards are not met by a
specific project or activity, the project or
activity will be rejected from the
competition.
(1) Applicants and sponsors must
meet the eligibility requirements of the
specific program as described in
program regulations and provide
evidence of eligibility and appropriate
certifications as specified by the
attachments in Section VIII.
(2) The population to be served must
meet the eligibility requirements of the
specific program as described in the
program regulations and the application
must clearly establish eligibility of
program participants to be served
pertaining to homelessness and
disability status.
(3) New this year, the only persons
who may be served by new and renewal
permanent housing projects are those
who come from the streets, emergency
shelters, or transitional housing. As
participants leave currently operating
projects, participants who meet this new
eligibility standard must replace them.
(4) Projects that involve rehabilitation
or new construction must meet the
accessibility requirements of Section
504 of the Rehabilitation Act of 1973,
the design and construction
requirements of the Fair Housing Act
and the accessibility requirements of the
Americans with Disabilities Act, as
applicable.
(5) The project must be cost-effective,
including costs associated with
construction, operations and supportive
services with such costs not deviating
substantially from the norm in that
locale for the type of structure or kind
of activity.
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(6) For those applicants applying for
the Innovative component of SHP,
whether or not a project is considered
innovative will be determined on the
basis that the particular approach
proposed is new and can be replicated.
(7) S+C renewal applications that are
not submitted as part of a CoC
application will not be considered as
eligible for funding.
(8) Under the Sponsor-based rental
assistance S+C component, an applicant
must subcontract the funding awarded
with an eligible sponsor: a private
nonprofit organization or a community
mental health agency established as a
public nonprofit organization, that owns
or leases the housing where participants
will reside..
(9) For the Section 8 SRO program,
only individuals meeting HUD’s
definition of homeless are eligible to
receive rental assistance. Therefore, any
individual occupying a unit at
commencement of the unit’s
rehabilitation will not receive rental
assistance if they return to their unit (or
any other) upon completion of its
rehabilitation.
(10) Applicants agree to participate in
a local HMIS system when it is
implemented in their community.
b. Project Quality Threshold. HUD
will review projects to determine if they
meet the following quality threshold
requirements. A S+C or SHP project
renewal will be considered as having
met these requirements through its
previously approved grant application
unless information to the contrary is
received. The housing and services
proposed must be appropriate to the
needs of the program participants and
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the community. HUD will assess the
following:
(1) The type, scale and general
location of the housing fit the needs of
the participants and that the housing is
readily accessible to community
amenities.
(2) That the vast majority of the
proposed participants come from the
streets or homeless shelters or
transitional housing for homeless
persons.
(3) The type, scale and location of the
supportive services fit the needs of the
participants and the mode of
transportation to those services is
described.
(4) The specific plan for ensuring
clients will be individually assisted to
obtain the benefits of the mainstream
health, social service, and employment
programs for which they are eligible is
provided.
(5) How participants are helped to
obtain and remain in permanent
housing is described.
(6) How participants are assisted to
both increase their incomes and live
independently is provided.
(7) Applicants and sponsors must
evidence satisfactory performance for
existing grant(s).
c. Project Renewal Threshold. Your
local needs analysis process must
consider the need to continue funding
for projects expiring in calendar year
2006. HUD will not fund competitive
renewals out of order on the priority list
except as may be necessary to achieve
the 30 percent overall permanent
housing requirement and the 10 percent
requirement for individuals
experiencing chronic homelessness
requirement. It is important that SHP
renewals and S+C non-competitive
renewals meet minimum project
eligibility, capacity and performance
standards identified in this NOFA or
they will be rejected from consideration
for either competitive or noncompetitive funding.
d. Civil Rights Thresholds: Applicants
and the project sponsors must be in
compliance with applicable civil rights
laws and Executive Orders, and must
meet the threshold requirements of the
General Section.
(1) Projects funded under this NOFA
shall operate in a fashion that does not
deprive any individual of any right
protected by the Fair Housing Act (42
U.S.C. 3601–19), Section 504 of the
Rehabilitation Act of 1973 (29 U.S.C.
794), the Americans with Disabilities
Act of 1990 (42 U.S.C. 12101 et seq.),
Title VI of the Civil Rights Act of 1964
(42 U.S.C. 2000d) or the Age
Discrimination Act of 1975 (42 U.S.C.
6101).
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(2) Local Resident Employment. To
the extent that any housing assistance
(including rental assistance) funded
through this NOFA is used for housing
rehabilitation (including reduction and
abatement of lead-based paint hazards,
but excluding routine maintenance,
repair, and replacement) or housing
construction, then it is subject to section
3 of the Housing and Urban
Rehabilitation Act of 1968, and the
implementing regulations at 24 CFR part
135. Section 3, as amended, requires
that economic opportunities generated
by certain HUD financial assistance for
housing and community development
programs shall, to the greatest extent
feasible, be given to low- and very lowincome persons, particularly those who
are recipients of government assistance
for housing, and to businesses that
provide economic opportunities for
these persons.
(3) Relocation. The SHP, S+C, and
SRO programs are subject to the
requirements of the Uniform Relocation
Assistance and Real Property
Acquisition Policies Act of 1970, as
amended (URA). These requirements are
explained in HUD Handbook 1378,
Tenant Assistance, Relocation and Real
Property Acquisition. Also see General
Section.
(4) Environmental Reviews. All CoC
assistance is subject to the National
Environmental Policy Act and
applicable related Federal
environmental authorities. Conditional
selection of projects under the CoC
Homeless Assistance competition is
subject to the environmental review
requirements of 24 CFR 582.230,
583.230 and 882.804(c), as applicable.
The recipient, its project partners and
their contractors may not acquire,
rehabilitate, convert, lease (under S+C/
TRA where participants are required to
live in a particular structure or area as
described in Section III.C.3.e(3)(a)),
repair, dispose of, demolish or construct
property for a project under this CoC
NOFA, or commit or expend HUD or
local funds for such eligible activities,
until the responsible entity has
completed the environmental review
procedures required by Part 58 and the
environmental certification and Request
for Release of Funds (RROF) have been
approved or HUD has performed an
environmental review under Part 50 and
the recipient has received HUD
approval of the property. The
expenditure or commitment of
Continuum of Care assistance or
nonfederal funds for such activities
prior to this HUD approval may result
in the denial of assistance for the project
under consideration.
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3. Program Requirements. a. CoC
Geographic Area. In deciding what
geographic area you will cover in your
CoC strategy, you should be aware that
the single most important factor in being
awarded funding under this competition
will be the strength of your CoC strategy
when measured against the CoC rating
factors described in this NOFA. When
you determine what jurisdictions to
include in your CoC strategy area,
include only those jurisdictions that are
fully involved in the development and
implementation of the CoC strategy.
The more jurisdictions you include in
the CoC strategy area, the larger the pro
rata need share that will be allocated to
the strategy area (as described in Section
V.B.2.b. of this NOFA). If you are a rural
county, you may wish to consider
working with larger groups of
contiguous counties to develop a regionwide or multi-county CoC strategy
covering the combined service areas of
these counties. The areas covered by
CoC strategies should not overlap.
b. Expiring/Extended Grants. If your
SHP or S+C Program grant will be
expiring in calendar year 2006, or if
your S+C Program grant has been
extended beyond its original five-year
term and is projected to run out of funds
in FY 2006, you must apply as a
renewal under this CoC NOFA to get
continued funding.
c. Coordination with Mainstream
Resources. If your project is selected for
funding as a result of the competition,
you will be required to coordinate and
integrate your homeless program with
other mainstream (non-homeless
targeted) health, social services, and
employment programs for which
homeless populations may be eligible,
including Medicaid, Children’s Health
Insurance Program, Temporary
Assistance for Needy Families, Food
Stamps, and services funded through
the Mental Health Block Grant and
Substance Abuse Block Grant,
Workforce Investment Act, Welfare-toWork grant program and Veterans
Health Care.
d. Prevention Strategies and
Discharge Policies. In addition, as a
condition for award, any governmental
entity serving as an applicant must
agree to develop and implement, to the
maximum extent practical and where
appropriate, policies and protocols for
the discharge of persons from publicly
funded institutions or systems of care
(such as health care facilities, foster care
or other youth facilities, or correction
programs and institutions) in order to
prevent such discharge from
immediately resulting in homelessness
for such persons. While the state or
local governmental entity having
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jurisdiction in the area of the
Continuum’s application has the formal
responsibility to enact the discharge
policy, the Continuum is expected to
actively involve itself in the planning
and implementation of the discharge
policy. This condition for award is
intended to emphasize that states and
units of general local government are
primarily responsible for the care of
these individuals, and to forestall
attempts to use scarce McKinney-Vento
Act homeless assistance funds to assist
such persons in lieu of state and local
resources.
e. Program-Specific Requirements.
Please be advised that where an
applicant for the SHP funding is a state
or unit of general local government that
utilizes one or more nonprofit
organizations to administer the
homeless assistance project(s),
administrative funds provided as part of
the SHP grant must be passed on to the
nonprofit organization(s) in proportion
to the administrative burden borne by
them for the SHP project(s). HUD will
consider states or units of general local
government that pass on at least 50
percent of the administrative funds
made available under the grant as
having met this requirement. This
requirement does not apply to either the
SRO Program, since only PHAs
administer the SRO rental assistance, or
to the S+C Program, since paying the
costs associated with the administration
of these grants is ineligible by
regulation.
(1) SHP—New Projects
(a) Please note that the grant term for
new SHP projects is two (2) or three (3)
years.
(b) HUD will require recordation of a
HUD-approved use and repayment
covenant (a form may be obtained from
your field office) for all grants of funds
for acquisition, rehabilitation or new
construction. The covenant will enforce
the use and repayment requirements
found at section 423(b)(1) and (c) of the
McKinney-Vento Act and must be
approved by HUD counsel before
execution and recordation. Proof of
recordation must be provided to HUD
counsel before funds for rehabilitation
or new construction may be drawn
down.
(c) All project sponsors must meet
applicant eligibility standards as
described in Section III.A.3. As in past
years, HUD will review sponsor
eligibility as part of the selection
process. Project sponsors are required to
submit evidence of their eligibility with
the application (See Section
IV.B.1.(3)(a).
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(2) SHP—Renewal Projects
(a) For the renewal of a SHP project,
you may request funding for one (1),
two (2) or three (3) years.
(b) The total request for each
renewable project cannot exceed the
average yearly amount received in your
current grant for that project, plus up to
five percent for administration. Projects
proposing both to renew the existing
project and expand the number of units
or number of participants receiving
services must submit a new project
proposal for the expansion portion of
the project. HMIS activities being
renewed should be included on the
HMIS budget chart.
(c) HUD will recapture SHP grant
funds remaining unspent at the end of
the previous grant period when it
renews a grant.
(3) S+C—New Projects
(a) A project may not include more
than one component, e.g., combining
Tenant-based Rental Assistance (TRA)
with Sponsor-based Rental Assistance
(SRA) is prohibited within the same
grant. Under the TRA component, in
order to help provide supportive
services or for the purposes of
controlling housing costs, a grantee may
require participants to live in a
particular structure for the first year of
assistance or to live in a particular area
for the entire rental assistance period.
Where this option is exercised, an
environmental review and clearance
must be performed prior to any
commitment to lease a particular
structure or unit for participant
occupancy as described in Section
III.C.2.d.(4), Environmental Reviews.
(b) S+C/SRO Component. If you are a
state or a unit of general local
government, you must subcontract with
a Public Housing Authority to
administer the S+C assistance. Also, no
single project may contain more than
100 units.
(c) S+C SRA Component. Project
sponsors must submit proof of their
eligibility to serve as a project sponsor.
(4) S+C Renewal Projects
HUD encourages the consolidation of
appropriate S+C renewal grants when
the grants are under the same grantee,
same component and expire in the same
year. However, renewal requests for
expiring S+C grants should still be
listed individually on the CoC priority
list and will be awarded as individual
renewal grants. Where the grantee
wishes to consolidate the renewal
grants, this action may be subsequently
accomplished by the field office at the
point of renewal grant agreement
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14279
execution. The field office will receive
instructions for this process in the S+C
Operating Procedures guidance for 2005
awards.
(a) For the renewal of a S+C project,
including S+C SROs, the grant term will
be one (1) year, as specified by
Congress. For the renewal of S+C rental
assistance that is Tenant-based (TRA),
Sponsor-based (SRA) or Project-based
(PRA), you may request up to the
amount determined by multiplying the
number of units under lease at the time
of your application for renewal funding
by the applicable 2005 Fair Market
Rent(s) by 12 months. Current FMRs can
be found at www.hudclips.org. For S+C
grants having been awarded one year of
renewal funding in 2004, the number of
units requested for renewal this year
must not exceed the number of units
funded in 2004. As is the case with
SHP, HUD will recapture S+C grant
funds remaining unspent at the end of
the previous grant period when it
renews a grant. The one-year term of
non-competitively awarded S+C
renewal projects may not be extended.
(b) The renewal of S+C SROs expiring
in 2006 will also be non-competitively
awarded under this NOFA. For the
renewal of S+C SRO rental assistance,
you may request up to the amount
determined by multiplying the number
of units under contract at the time of
your application for renewal funding by
the contract rent at the time of
expiration by 12 months.
(c) Under the FY 2005 Consolidated
Appropriations Act, eligible S+C
Program grants whose terms are
expiring in 2006, and S+C Program
grants that have been extended beyond
their original five-year terms but which
are projected to run out of funds in
2006, will be renewed for one year
provided that they are determined to be
needed by the CoC as evidenced by their
inclusion on the priority chart. These
projects must also demonstrate that
their applicant and sponsor meet
eligibility, capacity and performance
requirements described in Section V.A.1
of this NOFA. Non-competitive S+C
renewals should be submitted by the
application deadline. These S+C
renewal projects will not count against
a continuum’s pro rata need amount,
but should be numbered, continuing the
priority sequence, on the CoC Priority
Chart. On the other hand, no
community hold harmless amount will
be computed for any CoC using S+C
renewal amounts since these projects
are being funded outside of the
competition.
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(5) Section 8 Moderate Rehabilitation
SRO Program—New Projects
As an applicant, the following
limitations apply to the Section 8 SRO
program:
(a) Under section 8(e)(2) of the United
States Housing Act of 1937, no single
project may contain more than 100
assisted units.
(b) Under 24 CFR 882.802, applicants
that are private nonprofit organizations
must subcontract with a Public Housing
Authority to administer the SRO
assistance.
(c) Under section 8(e)(2) of the United
States Housing Act of 1937 and 24 CFR
882.802, rehabilitation must involve a
minimum expenditure of $3,000 for a
unit, including its prorated share of
work to be accomplished on common
areas or systems, to upgrade conditions
to comply with the Physical Condition
Standards.
(d) Under section 441(e) of the
McKinney-Vento Act and 24 CFR
882.805(d)(1), HUD publishes the SRO
per unit rehabilitation cost limit each
year to take into account changes in
construction costs. This cost limitation
applies to rehabilitation that is
compensated for in a Housing
Assistance Payments (HAP) Contract.
For purposes of Fiscal Year 2005
funding, the cost limitation is raised
from $19,500 to $20,000 per unit to take
into account increases in construction
costs during the past 12-month period.
(e) The SRO Program is subject to the
Federal standards at 24 CFR part 882,
subpart H.
(f) Individuals assisted through the
SRO Program must meet the definition
of homeless individual found at section
103 of the McKinney-Vento Act.
(g) Resources outside the program pay
for the rehabilitation, and rehabilitation
financing. The rental assistance covers
operating expenses of the SRO housing,
including debt service for rehabilitation
financing. Units may contain food
preparation or sanitary facilities or both.
(6) Section 8 Moderate Rehabilitation
SRO Program—Renewals
This program section of the NOFA is
not applicable to the renewal of funding
under the Section 8 SRO program. The
renewal of expiring Section 8 SRO
projects is not part of the competitive
CoC NOFA process. Rather, expiring
Section 8 SROs will be identified at the
beginning of the applicable year by the
public housing authority and HUD field
office. One-year renewal funds for
expiring Section 8 SRO HAP contracts
will be provided by HUD under a
separate, non-competitive process. For
further guidance on Section 8 SRO
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renewals, please contact your local HUD
field office.
f. Timeliness Standards. As an
applicant, you are expected to initiate
your approved projects promptly in
accordance with Section VI.A of this
NOFA. In addition, HUD will take
action if you fail to satisfy the following
timeliness standards:
(1) SHP: HUD will deselect your
award if you do not demonstrate site
control within one (1) year of the date
of your grant award letter, as required
by the McKinney-Vento Act (see 42
U.S.C. 11386(a)(3)) and implemented in
program regulations at 24 CFR
583.320(a). Subsequent loss of site
control beyond the 12-month statutory
limit will be cause for cancellation of
the award and recapture of funds. HUD
may deobligate SHP funds if the
following additional timeliness
standards are not met:
(a) You must begin construction
activities within eighteen (18) months of
the date of HUD’s grant award letter and
complete them within thirty-six (36)
months after that notification.
(b) For activities that cannot begin
until construction activities are
completed, such as supportive service
or operating activities that will be
conducted within the building being
rehabilitated or newly constructed, you
must begin these activities within three
(3) months after you complete
construction.
(c) You must begin all activities that
may proceed independent of
construction activities, including HMIS,
within twelve (12) months of the date of
HUD’s grant award letter. HUD may
reduce a grant agreement term to one (1)
year where implementation delays have
reduced the amount of funds that
reasonably can be used in the original
term.
(2) S+C Except SRO Component. HUD
may deobligate S+C funds if you do not
meet the following timeliness standards:
(a) For Tenant-based Rental
Assistance, for Sponsor-based Rental
Assistance, and for Project-based Rental
Assistance without rehabilitation, you
must start the rental assistance within
twelve (12) months of the date of HUD’s
grant award letter.
(b) For Project-based Rental
Assistance with rehabilitation, you must
complete the rehabilitation within
twelve (12) months of the date of HUD’s
grant award letter.
(3) Section 8 Moderate Rehabilitation
SRO Program and SRO Component of
the S+C Program. For projects carried
out under the Section 8 SRO program
and the SRO component of the S+C
program, the rehabilitation work must
be completed and the HAP contract
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executed within twelve (12) months of
execution of the Annual Contributions
Contract. HUD may reduce the number
of units or the amount of the annual
contribution commitment if, in HUD’s
determination, the Public Housing
Authority fails to demonstrate a good
faith effort to adhere to this schedule.
IV. Application and Submission
Information
A. Addresses to Request Application
Package. A checklist of forms needed to
complete the application is provided.
Exhibits 1–4 and the Applicant
Certifications are attachments as
described in Section VIII below. The
Exhibits, Geographic Codes, Initial Pro
Rata Need Amounts, Applicant
Certifications, and the Questions and
Answers Supplement can be accessed at
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm. An applicant may also
obtain a copy of the SuperNOFA by
calling the NOFA Information Center at
1–800–HUD–8929 (voice) (this is a toll
free number) or you may download it
from the web site at https://
www.grants.gov. Please note that all
sections of the SuperNOFA are critical
and must be carefully reviewed to
ensure your application can be
considered for funding.
B. Content and Form of Application
Submission. The only option for
submitting a viable application under
this NOFA is to submit the entire
Continuum of Care application, with all
of its projects, together in a single
package mailed to HUD. Each
application will consist of one
Continuum of Care Exhibit and
submissions from one or more
applicants and project sponsors.
Although HUD will accept an
application for a project exclusive of
participation in any community-wide or
region-wide CoC development process,
projects will receive few, if any, points
under the CoC rating factors and are
very unlikely to be funded. To ensure
that no applicant is afforded an
advantage in the rating of the CoC
element (described in Section V.A.2.a.)
HUD is establishing a limitation of 30
pages, excluding required multiple page
tables or charts but including any
attachments, on the length of Exhibit 1
of any application submitted in
response to this NOFA. HUD will not
consider the contents of any pages
exceeding this limit when rating the
Continuum of Care element of any
application. Please note Exhibit 1, as
well as Exhibits 2–4, should only
include the actual application questions
and responses being provided and
should not include the HUD application
instructions or any blank tables and
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charts. The General Section contains
certifications that the applicant will
comply with fair housing and civil
rights requirements, program
regulations, and other Federal
requirements, and (where applicable)
that the proposed activities are
consistent with the HUD-approved
Consolidated Plan of the applicable
state or unit of general local
government. Attachment 7 to this NOFA
contains program-specific Applicant
Certifications.
1. Application Submission
Requirements:
a. A completed application will
include one Exhibit 1 (CoC) and any
number of Exhibits 2 (SHP New), 2R
(SHP Renewal), 3 (S+C New), 3R (S+C
Renewal) and 4 (SRO New), depending
on the number of projects and type of
programs proposed for funding. For
example, if you were proposing five
SHP Renewal projects and one S+C New
project, then you would submit one
Exhibit 1, five Exhibits 2R and one
Exhibit 3. No submission would be
necessary for Exhibit 4 because funding
is not being requested under the Section
8 SRO program in this example. Refer to
Assembly Order below for full
assembling instructions.
b. Assembly Order: Each CoC must
submit the entire CoC application, with
all of its parts, in a single package to
HUD. There are three separate sections
to a CoC submission: The CoC Exhibit
1, all applicant documentation, and all
project documentation. The application
must be assembled in the following
order:
(1) Section I—Exhibit 1 Narrative and
Charts
(a) Exhibit 1, the CoC plan with Forms
CoC–A through N;
(b) HUD–27300, Questionnaire for
HUD’s Initiative on Removal of
Regulatory Barriers;
(c) HUD 2993, Acknowledgment of
Application Receipt; and
(d) HUD 2994, Client Comments and
Suggestions (optional).
(2) Section II—Applicant
Documentation
(a) SF–424 Application for Federal
Assistance. Submit one SF–424 for each
applicant in the Continuum. Attached to
each SF–424 must be a list of all the
applicant’s projects in priority number
order, with project name and requested
amount. Each SF–424 must also include
the applicant’s DUNS number. Please
see the General Section for more
information on obtaining a DUNS
number. The SF–424 SUPP, Survey on
Ensuring Equal Opportunity for
Applicants, is for private nonprofits
applicants only and completion/
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submission of this survey is voluntary.
Additionally, each applicant must
attach the following documentation (i-v)
to its SF–424:
(i) Documentation of Applicant
Eligibility. Only applicants for new
projects must include documentation of
eligibility as defined in the chart in
Section III.A.3. Also, see Section I.A.8.k.
& l. of this NOFA for information on the
documentation required to validate nonprofit status.
(ii) SF–LLL, Disclosure of Lobbying
Activities, where applicable.
(iii) Applicant Code of Conduct. (New
applicants and applicants awarded HUD
funding prior to 2005).
(iv) HUD 40076–CoC, Applicant
Certifications, located in Attachment 7
of this NOFA.
(3) Section III—Project
Documentation: Each project applying
under Exhibits 2–4 must be submitted
in its priority list order with all required
forms for that exhibit. The following
documentation must be included after
each project submission:
(a) Documentation of Sponsor
Eligibility. Only sponsors for new
projects must include documentation of
eligibility as defined in the chart in
Section III.A.3. See also Section I.A.8.m.
for information on the documentation
required to validate sponsor eligibility.
(b) HUD–96010, Logic Model;
(c) HUD–2880, Applicant/Recipient
Disclosure/Update Report;
(d) HUD–2991, Certification of
Consistency with the Consolidated Plan;
and
(e) SF 424–SUPP, Survey on Ensuring
Equal Opportunity for Applicants (for
private nonprofit applicants only—
completion of survey is voluntary).
2. Assembly Format
a. The standard font to be used for
narratives is Times New Roman, size 12
(pitch). Number all pages within each
exhibit sequentially and insert tabs
marking each exhibit. For Exhibit 1, CoC
narrative, number pages from 1 up to 30
using letter suffixes where appropriate
to indicate pages that do not count
toward the 30 page limit as per the
instructions for completing the CoC
narrative. For example, the first page of
a 4 page project leveraging chart would
be numbered 23 while the next 3 pages
of the chart would be numbered 23–A,
23–B, and 23–C.
b. Please use a two-hole punch to
insert holes at the top of your
application.
c. Please do not bind your
application, since this impedes
processing.
C. Submission Dates and Times: 1.
Application Submission Date. Your
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completed application should be
submitted on or before June 10, 2005 to
the addresses shown below. HUD will
not accept faxed or hand delivered
applications.
a. Timeliness. Your application will
be considered timely filed if your
application is postmarked on or before
11:59:59 on the application submission
date and received by HUD on or within
fifteen (15) days of the application
submission date. Applicants mailing
their applications must take their
application to a post office to get a
receipt of mailing that provides the date
and time the package was submitted to
the USPS. Postal Service rules now
require that large packages must be
brought to a postal facility for mailing.
In many areas, the USPS has made a
practice of returning to the sender, large
packages that have been dropped in a
mail collection box. Paper copy
applications submitted to the USPS by
the submission date and time and
received by HUD no later than 15 days
after the established submission date
will receive funding consideration.
Applicants should request a receipt for
mailing their application submission,
which shows the date and time it was
received by the Postal Service. If the
USPS does not have a receipt showing
a digital time stamp to record the
submission time, HUD will also accept
USPS Form 3817, Certificate of Mailing,
date stamped by the Postal Service.
Applicants may use any type of mail
service provided by the USPS to have
their application package delivered to
HUD in time to meet the timely
submission requirements. Applicants
whose applications are determined to be
late, who cannot furnish HUD with a
receipt from the USPS that verifies the
package was submitted to the USPS
prior to the submission due date and
time, will not receive funding. If your
application is sent by overnight delivery
or express mail, other than the United
States Postal Service, your application
will be timely filed if it is placed in
transit with the overnight/express mail
service on or before the application due
date. Applicants should retain a receipt
from these services showing that it was
submitted for delivery by the
application submission date and time.
b. Field Office Copies. The HUD Field
Office must also receive one copy of
your application, with the same due
date and timely filed requirements as
described in Section IV.C.1.a above. The
General Section provides for a process
to use the HUD Field Office copy of the
application when a portion may be
missing from the HUD Headquarters
copy. To supplement that guidance, in
the rare event that a CoC’s entire
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application is not received at HUD
Headquarters on time, HUD may
similarly request proof that the
Headquarters and Field Office copy was
timely filed and, if so, may use the copy
received by the Field Office for review.
D. Intergovernmental Review. Not
applicable. This funding opportunity is
not subject to Executive Order (EO)
12372.
E. Funding Restrictions. Funding
Restrictions are outlined in Sections
V.B.3.a and V.B.3.b.
F. Other Submission Requirements:
1. Addresses for Submitting
Applications
a. To HUD Headquarters. Submit your
original completed application (the
application with the original signed
documentation) and one additional
copy of Exhibit 1 only to: HUD
Headquarters, Robert C. Weaver
Building, 451 Seventh Street, SW.,
Room 7270, Washington, DC 20410,
Attention: Continuum of Care Programs.
b. To the Appropriate CPD Field
Office. Also submit one copy of your
completed application to the
Community Planning and Development
Division of the appropriate HUD Field
Office for your jurisdiction. Please see
the General Section for Field Office
addresses.
2. Security Procedures. HUD
recommends that applications be mailed
or shipped express using the United
States Postal Service (USPS). However,
applications shipped via United Parcel
Service (UPS), FedEX, DHL, or Falcon
Carrier will also be accepted. Due to
HUD security regulations, no other
delivery service is permitted into HUD
Headquarters without escort. You must,
therefore, use one of the four carriers
listed above. HUD will not be
responsible if a carrier other than one of
the named carriers is unable to deliver
your application.
V. Application Review Information
A. Criteria. Your application will
receive a higher score under the CoC
scoring factors if the application
demonstrates the achievement of three
basic goals:
—One, that you have provided
maximum participation in the
planning process by nonprofit
organizations (including those
representing persons with
disabilities), government agencies,
public housing authorities, faithbased and other community-based
organizations, other homeless
providers, housing developers and
service providers, private businesses
and business associations, law
enforcement agencies, funding
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providers, and homeless or formerly
homeless persons. Also, you ensure
that other 10 year plans within your
CoC’s geographic area are aligned
with the CoC plan;
—Two, that you have created,
maintained, and built upon a
community-wide inventory of
housing and services for homeless
families and individuals (both HUD
and non-HUD funded); identified the
full spectrum of needs of homeless
families and individuals; and
coordinated efforts to fill gaps
between the current inventory and
existing needs. This coordinated effort
must appropriately address all aspects
of the continuum, especially
permanent housing; and
—Three, that you have instituted a CoCwide strategy to coordinate homeless
assistance with mainstream health,
social services and employment
programs for which homeless
individuals and families may be
eligible. These programs include, but
are not limited to, Medicaid,
Children’s Health Insurance Program,
Temporary Assistance for Needy
Families, Food Stamps, and services
funded through the Mental Health
Block Grant and Substance Abuse
Block Grant, Workforce Investment
Act, Welfare-to-Work grant program,
and Veterans Health Care.
1. Applicant and sponsor eligibility,
capacity and performance: HUD will
review applications to ensure that the
applicant and project sponsor meet the
eligibility and capacity standards
outlined in this section. If HUD
determines these standards are not met,
the project will be rejected from the
competition. The eligibility, capacity
and performance standards are as
follows:
a. You must be eligible to apply for
the specific program.
b. You must demonstrate ability to
carry out the project(s). With respect to
each proposed project, this means that,
in addition to knowledge of and
experience with homelessness in
general, the organization carrying out
the project, its employees, or its
partners, must have the necessary
experience and knowledge to carry out
the specific activities proposed, such as
housing development, housing
management, and service delivery.
c. If you or the project sponsor is a
current or past recipient of assistance
under a HUD McKinney-Vento Act
program, there must have been no delay
in meeting applicable program
timeliness standards unless HUD
determines the delay in project
implementation is beyond your or the
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project sponsor’s control, there are no
serious unresolved HUD monitoring
finding, and no outstanding audit
finding of a material nature regarding
the administration of the program.
2. Review, Rating and Conditional
Selection. HUD will use the same
review, rating, and conditional selection
process for all three programs (SHP, S+C
and SRO). The standard factors for
award identified in the General Section
have been modified in this NOFA as
described below. Only the factors
described in this NOFA—Continuum of
Care and Need—will be used to assign
points. Paragraphs 2a and 2b in this
section describe selection factors. Up to
100 points will be assigned using these
factors, including rating points for
HUD’s policy priority of ending chronic
homelessness by 2012; and the policy
priority for removing regulatory barriers
to affordable housing (see Section
V.A.2.a.(1)(c) and (d) below on both
policy priorities). There are no bonus
points for proposing projects in an RC/
EZ/EC–IIs.
a. Continuum of Care. HUD will
award up to 60 points as follows:
(1) Process and Strategy: HUD will
award up to 17 points based on the
extent to which your application
demonstrates:
(a) The existence of a coordinated and
inclusive community process, including
organizational structure(s), for
developing and implementing a CoC
strategy which includes nonprofit
organizations (such as veterans service
organizations, organizations
representing persons with disabilities,
faith-based and other community-based
organizations, and other groups serving
homeless and other low-income
persons), state and local governmental
agencies, public housing authorities,
housing developers and service
providers, law enforcement, hospital
and medical entities, funding providers,
local businesses and business
associations, and homeless or formerly
homeless persons; and
(b) That a well-defined and
comprehensive strategy has been
developed which addresses the
components of a CoC system (i.e.,
prevention, outreach, intake, and
assessment; emergency shelter;
transitional housing; permanent
independent housing; and permanent
supportive housing) and that strategy
has been designed to serve all homeless
subpopulations in the community (e.g.,
seriously mentally ill, persons with
multiple diagnoses, veterans, persons
with HIV/AIDS), including those
persons living in emergency shelters,
supportive housing for homeless
persons, or in places not designed for,
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or ordinarily used as, a regular sleeping
accommodation for human beings.
(c) The existence of a realistic strategy
for ending chronic homelessness that
establishes past performance, future
goals and action steps. It should be
aligned with other 10-year plans in the
community to eliminate chronic
homelessness (if applicable), and the
local HUD Consolidated Plan.
(d) A local plan and/or existing policy
to remove regulatory barriers to the
production of affordable housing. As
provided for in the General Section,
HUD will award up to 2 points, within
the 17 points for this rating factor, based
on the extent that the CoC’s application
demonstrates a local plan to remove
regulatory barriers to affordable
housing. Applicable activities include
the support of state and local efforts to
streamline processes, eliminate
redundant requirements, statutes,
regulations, and codes that impede the
availability of affordable housing. The
response (one questionnaire per CoC)
should be submitted for consideration
as a completed HUD Form 27300,
Questionnaire for HUD’s Initiative on
Removal of Regulatory Barriers. The
continuum should submit the
questionnaire for the local jurisdiction
where the majority of its CoC assistance
will be provided. Please identify the
name of the jurisdiction reported on the
top of the first page of the returned
questionnaire. This questionnaire can be
found in the attachments to the General
Section and should be submitted with
Exhibit 1.
(e) Participation in Energy Star. In
keeping with the Administration’s
policy priority of promoting energy
efficient housing while protecting the
environment, applicants applying for
new construction or rehabilitation
funding, who maintain housing or
community facilities or provide services
in those facilities, are encouraged to
promote energy efficiency and are
specifically encouraged to purchase and
use Energy Star labeled products. Refer
to the General Section for detailed
information.
(f) Your Continuum’s progress in
working with the appropriate local
government entity to develop and
implement a discharge policy for
persons leaving publicly funded
institutions or systems of care (such as
health care facilities, foster care or other
youth facilities, or correction programs
and institutions) in order to prevent
such discharge from immediately
resulting in homelessness for such
persons.
(2) HMIS Implementation. HUD will
award up to 5 points based upon the
extent to which your application
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demonstrates progress in the planning,
implementation and operation of an
HMIS system covering at a minimum all
street outreach, emergency shelters and
transitional housing programs so that a
reliable, unduplicated count of
homeless persons on the street and in
shelters may be conducted.
(3) Gaps and Priorities: HUD will
award up to 10 points based on the
extent to which your application:
(a) Describes the gap analysis
performed, uses reliable information
and sources that are presented
completely and accurately; and
(b) Proposes projects that are not
inconsistent with the unmet need
described in the CoC strategy, describes
a fair project selection process, explains
how gaps identified through the
analysis are being addressed, and
correctly completes the priority chart.
(4) Leveraging Supplemental
Resources: HUD will award up to 8
points based on the extent to which
your application demonstrates
leveraging of funds requested under this
NOFA with other resources, including
private, other public, and mainstream
services and housing programs, for
proposed projects and ongoing efforts.
To achieve the highest rating for this
factor, applicants must evidence explicit
Continuum-wide strategies to
coordinate homeless assistance with
mainstream health, social services and
employment programs for which
homeless populations may be eligible,
and to use those benefits as appropriate
and practicable to help offset supportive
service costs of the programs that would
otherwise be paid for with HUD
funding. These include, but are not
limited to, Medicaid, Children’s Health
Insurance Program, Temporary
Assistance for Needy Families, Food
Stamps, and services funding through
the Mental Health Block Grant and
Substance Abuse Block Grant,
Workforce Investment Act, the Welfareto-Work grant program, and Veterans
Health Care.
(5) Emphasis on Housing Activities:
HUD will award up to 12 points based
upon the relationship between funds
requested for housing activities (i.e.,
transitional and permanent) and funds
requested for supportive service
activities among projects assigned 40
need points (excluding S+C renewals).
Points will be awarded on a sliding
scale with the Continuums with the
highest percentage of approvable
requests for funds for housing activities
receiving the highest points. HUD will
count as housing activity all approvable
requests for funds for rental assistance
and approvable requests for funds for
acquisition, rehabilitation, construction,
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leasing and operations when used in
connection with housing. HMIS costs
and administrative costs will be
excluded from this calculation as either
a housing or supportive service cost.
(6) Performance Measurement: HUD
will award up to 8 points based upon
the CoC’s progress in reducing
homelessness. This will be measured by
program participants’ success in moving
to and maintaining permanent housing
as reported in the most recent APR.
HUD will also be assessing the extent to
which participants successfully become
employed and access mainstream
programs. These measures emphasize
HUD’s determination to assess grantees’
performance in the prior program year
and to determine if they are meeting the
overall goal of the Homeless Assistance
Grants under which they are funded.
Both housing and supportive services
only projects will be assessed, using the
data submitted in the Exhibit 1 CoC
Project Performance on Form HUD
40076 CoC–M.
b. Need: HUD will award up to 40
points for need. There is a three-step
approach to determining the need scores
to be awarded to projects
(1) Step 1—HUD’s Determination of
preliminary pro rata need: To determine
the homeless assistance need of a
particular jurisdiction, HUD will use
nationally available data, including the
following factors as used in the
Emergency Shelter Grants (ESG)
program; data on poverty, housing
overcrowding, population, age of
housing, and growth lag. Applying those
factors to a particular jurisdiction
provides an estimate of the relative need
index for that jurisdiction compared to
other jurisdictions applying for
assistance under this NOFA.
(2) Step 2—Determining CoC hold
harmless pro rata need: In CoCs where
the total amount needed to fund, for one
year, all SHP grants eligible for renewal
in this competition exceeds the
preliminary pro rata need amount for
that CoC, the CoC will receive this
higher amount, referred to as the CoC
hold harmless amount. This adjustment
was formerly known as the renewal
bonus. SHP grants eligible for renewal
are those that expire between January 1,
2006 and December 31, 2006. No
adjustment will be made for S+C
renewals. To provide communities with
maximum flexibility in addressing
current needs, CoCs have the discretion
to not fund or to reduce one or more
SHP renewal project applications and
still receive the benefit of the hold
harmless amount if the CoC proposes to
use that amount of reduced renewal
funds for new permanent supportive
housing projects. . Please be advised
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that the new projects (and the renewal
dollars attached) proposed through this
reallocation are subject to the
competitive process, i.e., the CoC must
score above the national funding line for
the projects to be funded.
(3) Step 3—Samaritan Housing
Initiative: Formerly referred to as the
Permanent Housing Bonus, this special
incentive to promote permanent
supportive housing for the chronically
homeless is provided to CoC systems
that place an eligible, new permanent
housing project in the number one
priority position on the priority list. If
the number one priority project qualifies
as an eligible, new permanent housing
project exclusively serving the
chronically homeless, then the full
amount of that project’s eligible housing
activities, up to a maximum 15 percent
of the CoC’s preliminary pro rata need,
will be added to the pro rata need
amount for the Continuum. The only
eligible activities that will be counted
toward this bonus are housing activities
and for SHP, case management, and
administration. Applicants may use no
more than 20 percent of this bonus for
case management costs. Please note: any
amount of the proposed project exceeds
the limitations described above will be
applied against the pro rata need for the
CoC. For the SHP program, housing
activities are acquisition, new
construction, rehabilitation, leasing of
housing and operating costs when used
in connection with housing. S+C and
SRO rental assistance are defined as
housing activities and are eligible under
the incentive as well. HMIS costs will
be excluded from this calculation as
either a housing or supportive service
cost.
The dollar amount determined after
application of each of these steps, as
applicable, is referred to as the ‘‘final
pro rata need amount.’’ Please be
advised that the final funding amount
awarded to Shelter Plus Care or Section
8 SRO projects may be different from
the requested amount due to changes in
the FMRs. HUD will apply FMR changes
after selection.
(4) Awarding need points to projects:
Once HUD establishes the final pro rata
need, HUD will apply it against the
priority project list in the application.
Starting from the highest priority
project, HUD will proceed down the list
to award need points to each project.
Any project not falling fully within the
40 point need range will receive 10 need
points. Thereafter, HUD will proceed
further down the priority project list
and award 10 points for need to each
project if it falls fully within the
‘‘second level’’ of pro rata need amount
for that CoC. The ‘‘second level’’ is the
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amount between the pro rata need and
twice the pro rata need for the CoC.
Remaining projects each receive 5
points. If the projects for the Continuum
are not prioritized, then all projects will
receive 0 points for Need.
B. Reviews and Selection Process. 1.
Review, Rating and Ranking. HUD may
employ rating panels to review and rate
applications. See the General Section for
more information on rating panels. Two
types of reviews will be conducted—
threshold review and selection factor
(CoC and Need) rating. Applicant and
Sponsor Eligibility and Capacity as well
as Project Eligibility and Project Quality
are threshold reviews. Threshold
reviews are explained in Section III.C.2
of this NOFA, which covers eligible
applicants and projects. HUD will add
the score for the CoC to the Need score
to obtain a total score for each project.
The projects will then be ranked
nationally from highest to lowest
according to the total combined score.
2. Conditional Selection and
Adjustments to Funding. a. Conditional
Selection. Whether a project is
conditionally selected, as described in
Section VI.A, will depend on its overall
ranking compared to others, except that
HUD reserves the right to select lower
rated eligible projects in order to meet
the 30 percent overall permanent
housing requirement, as well as the 10
percent chronic homeless requirement.
Projects that are included in the 10
percent chronic homeless requirement
may also be part of the 30 percent
overall permanent housing requirement.
(See Section V.B.3 for additional
selection considerations regarding these
requirements.)
When insufficient funds remain to
fund all projects in the competition
having the same total score, HUD will
first fund permanent housing projects if
necessary to achieve the 30 percent
overall permanent housing requirement.
HUD will then fund non-permanent
housing, safe haven-TH and transitional
housing projects that predominantly
serve individuals experiencing chronic
homelessness in order to achieve the 10
percent chronic homeless requirement.
HUD will then break ties among the
remaining projects with the same total
score by comparing scores received by
the projects for each of the following
scoring factors, in the order shown:
Need, Overall CoC score, CoC Process
and Strategy, CoC Gaps and Priorities,
CoC Supplemental Resources, Housing
Emphasis and Performance. The final
tie-breaking factor is the priority
number of the competing projects on the
applicable CoC priority list(s).
HUD has determined that the
Congressional goal of enhancing
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homeless data collection at the CoC
level is best achieved by assisting CoCs
seeking dedicated Homeless
Management Information Systems
(HMIS) to receive Supportive Housing
Program funds. To this end, HUD
reserves the right to fund for at least one
year lower rated eligible dedicated
HMIS projects receiving 40 need points
and at least 25 Continuum points.
b. Adjustments to Funding: HUD has
determined that geographic diversity is
an appropriate consideration in
selecting homeless assistance projects in
the competition. HUD believes that
geographic diversity can be achieved
best by awarding grants to as many CoCs
as possible. To this end, in instances
where any of the 50 States, the District
of Columbia, the Commonwealth of
Puerto Rico, Guam, the Northern
Mariana Islands, the Virgin Islands, and
American Samoa does not have at least
one funded CoC, HUD reserves the right
to fund eligible project(s) receiving 40
Need points in the CoC with the highest
total score in that jurisdiction. To
qualify for funding, the total score for
these first level projects on the CoC
priority list must be at least 65 points.
In the case of two or more CoCs with the
same total score, HUD will use the tiebreaking rules described above. In
addition, if the highest priority project
passing threshold requirements within a
CoC fails to meet the criteria for
receiving 40 Need points, HUD reserves
the right to reduce the total requested
amount for that project to allow it to
qualify for 40 Need points. If you do not
submit clear project priority
designations for the Continuum or if
HUD, at its sole discretion, cannot
determine the CoC’s priority
designations, then HUD will give all
such projects 0 Need points. If the CoC
requests a new permanent housing
project as the highest priority, and HUD
determines that it is not a permanent
housing project, HUD reserves the right
to not award funds to that project rather
than reclassify the component. The
intent of this provision is to preserve
PRN for lower ranking projects. Finally,
if the total amount that would be
awarded for first level projects in a CoC
exceeds the final pro rata need amount
for that CoC, the lowest priority first
level project being selected for funding
will be reduced to the amount that is
wholly within the higher need level.
HUD may otherwise adjust funding of
applications in accordance with the
provisions of the General Section. In
addition, HUD reserves the right to
ensure that a project that is applying for,
and eligible for, selection under this
competition is not awarded funds that
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duplicate activities. If the geography
included in your CoC strategy
substantially overlaps that of another
application, projects within the CoC
application that receive the highest CoC
score will be eligible for up to 40 Need
points. Projects in the competing CoC
application with the lower CoC score
will receive 0 need points. In no case
will the same geographical area be used
more than one time in assigning Need
points. The local HUD Field Office can
help you determine if any of the areas
proposed for inclusion by your CoC
system is also likely to be claimed under
another CoC system in this competition.
3. Additional Selection
Considerations. HUD also will apply the
limitations on funding described below
in making conditional selections.
a. Thirty Percent Permanent Housing
Requirement. In accordance with the
appropriation for homeless assistance
grants in the Fiscal Year 2005
Consolidated Appropriations Act, HUD
will use not less than 30 percent of the
total FY 2005 Homeless Assistance
Grants appropriation, excluding
amounts provided for renewals under
the S+C Program, to fund projects that
meet the definition of permanent
housing. Projects meeting the definition
of permanent housing for this purpose
are:
(1) New and renewal projects under
the SHP that are designated as either
permanent housing for homeless
persons with disabilities or Safe Haven
projects designated as having the
characteristics of permanent housing for
homeless persons with disabilities,
including having leases with all
program participants. All such
permanent housing projects chosen for
this purpose must have received at least
10 Need points, and must be submitted
as part of a CoC application receiving at
least 25 points under the CoC scoring
factor. However, no CoC applicant may
receive more than 30 percent of its pro
rata need, up to $3 million, for ‘‘secondlevel’’ permanent housing projects
assigned 10 Need points that are
selected for funding under this
procedure. (See Section V.A.2.b (4) for
definition of ‘‘second-level’’.) HUD will
award no less than 30 percent of the
total FY 2005 Homeless Assistance
Grants appropriation, excluding
amounts for S+C renewals, for
permanent housing projects unless an
insufficient number of approvable
permanent housing projects are
submitted. In order to meet this
permanent housing funding requirement
and stay within the total funding
amount available, initially selected
Supportive Service Only (SSO) and nonpermanent housing projects will be
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deselected if necessary to add an
adequate number of permanent housing
projects, even if they are lower scoring
housing projects. HUD will, if
necessary, first proceed to de-select new
SSO projects initially selected, starting
with lowest scoring new projects and
proceeding to higher scoring new SSO
projects initially selected. If the funding
line is still exceeded, HUD will proceed
to de-select the lowest scoring new nonpermanent housing projects initially
selected and proceed to higher scoring
new non-permanent housing projects.
Finally, if the funding line is still
exceeded HUD will proceed to de-select
SSO and then other non-permanent
housing renewal projects until all
selected projects are within the funding
line.
(2) New S+C projects; and
(3) SRO projects.
b. Ten Percent Housing for Chronic
Homeless Requirement: HUD has
implemented a requirement that at least
10 percent of the appropriation must be
awarded for projects predominantly
serving individuals experiencing
chronic homelessness. To be considered
predominantly serving chronically
homeless people, at least 70 percent of
the persons served in this project must
meet HUD’s definition of chronic
homelessness. Permanent housing,
transitional and safe haven housing
projects, whether new or renewal, that
commit to predominantly serving
persons experiencing chronic
homelessness will be counted for this
purpose. To meet this requirement,
HUD will also include permanent
housing projects selected for the 30
percent requirement that predominantly
serve chronically homeless persons.
S+C renewals will then be screened to
count projects predominantly serving
chronically homeless persons. If the 10
percent requirement is not yet met,
permanent, transitional and safe haven
housing projects below the funding line
that predominantly serve chronically
homeless persons will also be selected
to achieve this requirement.
c. Distribution of Selections: In
accordance with section 429 of the
McKinney-Vento Act, HUD will award
Supportive Housing Program funds as
follows: not less than 25 percent for
projects that primarily serve homeless
families with children; not less than 25
percent for projects that primarily serve
homeless persons with disabilities; and
not less than 10 percent for supportive
services not provided in conjunction
with supportive housing. After projects
are rated and ranked, based on the
factors described above, HUD will
determine if the conditionally selected
projects achieve these minimum
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percentages. If not, HUD will skip
higher-ranked projects in order to
achieve these minimum percentages.
In accordance with section 463(a) of
the McKinney-Vento Act, as amended
by the Housing and Community
Development Act of 1992, at least 10
percent of S+C funds will be awarded
for each of the four components of the
program: Tenant-based Rental
Assistance; Sponsor-based Rental
Assistance; Project-based Rental
Assistance; and Single Room
Occupancy (provided there are
sufficient numbers of approvable
projects to achieve these percentages).
After projects are rated and ranked,
based on the factors described above,
HUD will determine if the conditionally
selected projects achieve these
minimum percentages. If necessary,
HUD will skip higher-ranked projects in
order to achieve these minimum
percentages.
In accordance with section 455(b) of
the McKinney-Vento Act, no more than
10 percent of the assistance made
available for S+C in any fiscal year may
be used for programs located within any
one unit of general local government. In
accordance with section 441(c) of the
McKinney-Vento Act, no city or urban
county may have SRO Section 8 projects
receiving a total of more than 10 percent
of the assistance made available under
this program. HUD is defining the 10
percent availability this fiscal year as
$10 million for S+C and $10 million for
Section 8 SRO. However, if the amount
awarded under either of these two
programs exceeds $100 million, then the
amount awarded to any one unit of
general local government (for purposes
of the S+C Program) or city or urban
county (for the purposes of the Section
8 SRO Program) could be up to 10
percent of the actual total amount
awarded for that program.
Lastly, HUD reserves the right to
reduce the amount of a grant if
necessary to ensure that no more than
10 percent of assistance made available
under this NOFA will be awarded for
projects located within any one unit of
general local government or within the
geographic area covered by any one
Continuum of Care. If HUD exercises a
right it has reserved under this NOFA,
that right will be exercised uniformly
across all applications received in
response to this NOFA.
4. Corrections to Deficient
Applications. The General Section
provides the procedures for corrections
to deficient applications.
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VI. Award Administration Information
A. Award Notices
1. Action on Conditionally Selected
Applications. HUD will notify
conditionally selected applicants in
writing. HUD may subsequently request
them to submit additional project
information, which may include
documentation to show the project is
financially feasible; documentation of
firm commitments for cash match;
documentation showing site control;
information necessary for HUD to
perform an environmental review; a
copy of your Code of Conduct; and such
other documentation as specified by
HUD in writing to the applicant, that
confirms or clarifies information
provided in the application. HUD will
notify SHP, SRO, S+C and S+C/SRO
applicants of the deadline for
submission of such information. If an
applicant is unable to meet any
conditions for fund award within the
specified timeframe, HUD reserves the
right not to award funds to the applicant
and add them to funds available for the
next competition for the applicable
program.
2. Applicant Debriefing: See the
General Section for applicant debriefing
procedures.
3. Appeals Process: Applicants may
appeal the results of HUD’s review and
selection process if they believe a HUD
error has occurred. Appeals must be
submitted in writing to the Assistant
Secretary for Community Planning and
Development and must state what HUD
error the applicant believes has
occurred.
B. Administrative and National Policy
Requirements
1. Administrative Requirements. a.
The Government Performance and
Results Act (GPRA) require Federal
agencies to measure the performance of
their programs. HUD captures this
information not only from monitoring
visits and APRs, but also on the data
gathered in annual competitions. For
example, the description of methods
used in determining the project priority
order submitted in Exhibit 1, Form HUD
40076 CoC-K, Project Priorities Chart,
provides verification that projects are
performing satisfactorily and are
effectively addressing the needs for
which they were designed. HUD’s
homeless assistance programs are
measured in 2005 by the objective to
‘‘end chronic homelessness and to move
homeless families and individuals to
permanent housing.’’ This objective has
a number of measurable indicators, five
of which relate directly to the
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Continuum of Care homeless assistance
programs. These five indicators are:
(1) At least 386 functioning CoC
communities or 93 percent of our
continuums will have a Homeless
Management Information System
(HMIS) in 2005. This information is
collected via Exhibit 1, Form HUD
40076 CoC-J, HMIS;
(2) The number of persons
experiencing chronic homelessness
declines by up to 50 percent by FY
2008. This information is captured in
Exhibit 1, Form HUD 40076 CoC-I,
Homeless Population and
Subpopulations Chart;
(3) The percentage of formerly
homeless individuals who remain
housed in HUD permanent housing
projects for at least 6 months will be 70
percent. Stability in this permanent
housing is addressed in Exhibit 1, Form
HUD 40076 CoC-M, CoC Project
Performance;
(4) The percentage of homeless
persons who have moved from HUD
transitional housing to a form of
permanent housing will be 60 percent.
The success of transitional housing is
addressed in Exhibit 1, Form HUD
40076 CoC-M, CoC Project Performance;
and
(5) The employment rate of persons
exiting HUD homeless assistance
projects will be 10 percentage points
greater than the employment rate of
those entering. Obtaining employment
is addressed in Exhibit 1, Form HUD
40076 CoC-M, Project Performance
Chart.
b. To achieve this objective and each
of these measurable indicators, HUD
needs your community’s help. The
emphasis in this year’s competition on
housing chronically homeless persons,
using HUD funds for transitional and
especially permanent housing, helping
clients access mainstream service
programs and jobs, and implementing
HMIS are all aligned with this GPRA
objective and its performance
indicators.
2. Sanctions. Should HUD determine,
in its sole discretion, that sufficient
evidence exists to confirm that the
entity responsible for convening and
managing the CoC process in a
community has failed to follow locally
established or accepted procedures
governing the conduct of that process or
has failed to provide for a fair process,
including a project priority selection
process that gives equal consideration to
projects proposed by nonprofit
organizations, HUD reserves the
authority to impose sanctions up to and
including a prohibition on that entity
and the individuals comprising that
entity from participating in that capacity
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in the future. In making this
determination, HUD will consider as
evidence court proceedings and
decisions, or the determinations of other
independent and impartial review
bodies. This authority cannot be
exercised until after a description of
procedural safeguards, including an
opportunity for comment and appeal,
and the specific process and procedures
for imposing a prohibition or
debarment, have been published in the
Federal Register.
C. Reporting: Once conditionally
selected applications advance to full
award and execution of a grant
agreement, grantees are required to
submit an Annual Progress Report
(APR) and a completed Logic Model
showing outputs and outcomes
achieved for the year to both HUD
Headquarters and the respective Field
Office each year. Also, Grantees who
expend $500,000 or more in a year in
Federal awards are reminded they must
have a single or program-specific audit
for that year in accordance with the
provisions of 24 CFR 45 and OMB
Circular No. A–133. The APR for HUD’s
competitive homeless programs
provides information to HUD necessary
for program monitoring and evaluation.
A key element that has been recently
added to the APR is measuring the
incidence of chronic homelessness and
your Continuum’s progress in moving
individuals into permanent housing.
The process of gathering and analyzing
the information needed to complete the
APR also assists local projects with their
own program evaluation. The APR is the
mechanism used by HUD Headquarters
and Field Offices to review the
performance of funding recipients on an
annual basis. The reports permit HUD to
understand what types of clients are
being served in its homeless assistance
programs and what the programs’
success rate is in helping homeless
families and individuals achieve
residential stability and increase their
skills and/or incomes. For the SHP and
S+C programs, the APR also reports to
HUD the amount of local match that has
been provided to fulfill statutory and
regulatory requirements. The
Department has used the reports to
monitor grant execution and to evaluate
the eligibility of the population being
served and housed, as well as the
supportive services offered to the
participants. The APR helps identify
how effective the grantee has been in
helping program participants achieve
residential stability, greater selfdetermination, and increase skills or
income which are our program goals
and objectives. This also allows the
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agreement or Annual Contributions
Contract by HUD. However, between the
application deadline and the
VII. Agency Contacts
announcement of conditional selections,
A. For Further Information. You may
HUD will accept no information that
contact the HUD Field Office serving
would improve the substantive quality
your area, at the telephone number
of your application pertinent to HUD’s
shown in the General Section, or you
funding decision.
may contact the NOFA Information
C. Satellite Broadcast. HUD will hold
Center at 1–800–483–8929 or by Internet one or more information broadcasts via
at: https://www.hud.gov. Individuals who satellite for potential applicants to learn
are hearing-or speech-impaired should
more about the program and preparation
use the Information Relay Service at 1–
of the application. Viewing of these
800–877–8339 (these are toll-free
broadcasts, which will provide critical
numbers).
information on the application process,
B. For Technical Assistance. Before
is highly recommended. For more
the application deadline, HUD staff will
information about the date and time of
be available to provide you with general
the broadcast, you should consult the
guidance. HUD staff, however, cannot
HUD Web site at https://www.hud.gov.
provide you with guidance in actually
preparing your application. HUD Field
VIII. Other Information
Office staff also will be available to help
A. Paperwork Reduction Act
you identify organizations in your
The information collection
community that are involved in
requirements contained in this
developing the CoC system. Following
document have been submitted to the
conditional selection of applications,
Office of Management and Budget
HUD staff will be available to assist
(OMB) for approval under the
selected applicants in clarifying or
Paperwork Reduction Act of 1995 (44
confirming information that is a
U.S.C. 3501–3520) and OMB approval is
prerequisite to the offer of a grant
grantee to revise or set goals for the next
year.
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pending. In accordance with the
Paperwork Reduction Act, HUD may not
conduct or sponsor, and a person is not
required to respond to, a collection of
information unless the collection
displays a currently valid OMB control
number. Public reporting burden for the
collection of information is estimated to
average 44 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, semi-annual
reports and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
B. This final section lists the
attachments that are critical to the
application process. Please see Section
IV.B.1.b of this NOFA for a complete
description of the forms and
certifications required and the order of
assembly. In addition to applicant and
sponsor documentation of eligibility,
please provide:
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[FR Doc. 05–5041 Filed 3–18–05; 8:45 am]
]]>Agencies
[Federal Register Volume 70, Number 53 (Monday, March 21, 2005)]
[Notices]
[Pages 13976-14383]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-5041]
[[Page 13575]]
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Part II
Department of Housing and Urban Development
-----------------------------------------------------------------------
Notice of HUD's Fiscal Year 2005 Notice of Funding Availability Policy
Requirements and General Section to the SuperNOFA for HUD's
Discretionary Programs; Notice
Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 /
Notices
[[Page 13576]]
-----------------------------------------------------------------------
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4950-N-01]
Notice of HUD's Fiscal Year 2005 Notice of Funding Availability
Policy Requirements and General Section to the SuperNOFA for HUD's
Discretionary Programs
AGENCY: Office of the Secretary, HUD.
ACTION: Notice of HUD's fiscal year (FY) 2005 Notice of Funding
Availability (NOFA) policy requirements and general section to the
FY2005 SuperNOFA for HUD's discretionary programs (notice).
-----------------------------------------------------------------------
Overview Information
A. Federal Agency Name: Department of Housing and Urban Development
(HUD), Office of the Secretary.
B. Funding Opportunity Title: Policy requirements applicable to all
HUD Federal financial assistance programs issued through a NOFA during
FY2005.
C. Announcement Type: Initial announcement of the general policy
requirements that apply to all HUD federal financial assistance NOFAs
for FY2005 issued simultaneously with or after the publication of this
notice.
D. Funding Opportunity Number: FR 4950-N-01.
E. Catalog of Federal Domestic Assistance (CFDA) Number: A CFDA
number is provided for each HUD federal financial assistance program.
When using ``Apply Step 1'' on the Grants.gov Web site to download an
application you will be asked for the CFDA number. Please refer to the
program NOFA for the CFDA number assigned to the program(s) for which
you wish to apply.
F. Dates: The key dates that apply to all HUD federal financial
assistance made available through HUD's FY2005 NOFAs are found in each
individual program NOFA and Appendix A to this General Section.
G. Optional, Additional Overview Content Information: Unless
otherwise stated, HUD's general policy requirements set forth in this
notice apply to all HUD federal financial assistance made available
through HUD's FY2005 NOFAs. These policies cover those NOFAs issued
through this SuperNOFA as well as those issued after publication of
this SuperNOFA in the Federal Register.
Full Text of Announcement
I. Funding Opportunity Description
This notice provides information regarding HUD's FY2005 policy
requirements applicable to all of HUD's Federal financial assistance
programs announced through NOFAs published along with this notice and
any subsequent NOFA published for FY2005. Each such NOFA will provide a
description of the specific requirements for the program for which
funding is made available and each will refer to applicable policies
contained in this notice. Each program NOFA will also describe
additional procedures and requirements that apply to the individual
program NOFA, including a description of the eligible applicants,
eligible activities, threshold requirements, factors for award, and any
additional program requirement or limitation. To ensure that you are
able to adequately address all of the application requirements for any
program for which you intend to apply, please be sure you carefully
read and respond to both this notice of HUD's NOFA policy requirements
and the individual program NOFAs.
Authority. HUD's authority for making funding available under its
FY2005 programs is identified in each program NOFA under the section
entitled ``Funding Opportunity Description.''
II. Award Information
Funding Available. Each program NOFA will identify the estimated
amount of funds available in FY2005, either as a result of the
enactment of a HUD appropriations act or based upon available
appropriations and any funds from previous years available for award in
FY2005. The FY2005 SuperNOFA contains 53 funding opportunities composed
of programs and program components totaling approximately $2.26
billion. As a service to our customers, Appendix A of this notice
contains a chart of the estimated amount of funds being made available
in HUD's SuperNOFA for FY2005. If HUD recaptures funds in any program,
HUD reserves the right to increase the available funding for the
applicable program by those amounts. Note that additional NOFAs may be
issued separately from the issuance of the FY2005 SuperNOFA.
III. Eligibility Information
A. Eligible Applicants
The individual program NOFAs describe the eligible applicants and
eligible activities for each program.
B. Cost Sharing or Matching
The individual program NOFAs describe the applicable cost sharing,
matching requirements, or leveraging requirements related to each
program, if any.
C. Other Requirements and Procedures Applicable to All Programs
Except as may be modified in the individual program NOFAs in
FY2005, the requirements, procedures, and principles listed below apply
to all programs in FY2005 for which funding is announced via NOFA and
published in the Federal Register. Please read the individual program
NOFAs for additional requirements or information.
1. Statutory and Regulatory Requirements
To be eligible for funding under HUD NOFAs issued during FY2005,
you, the applicant, must meet all statutory and regulatory requirements
applicable to the program or programs for which you seek funding. If
you need copies of the program regulations, they are available from the
NOFA Information Center or through HUD's Grants Web site at https://
www.hud.gov/offices/adm/grants/fundsavail.cfm. See the individual
program NOFAs for instructions on how HUD will respond to proposed
activities that are ineligible.
2. Threshold Requirements
a. Ineligible Applicants. HUD will not consider an application from
an ineligible applicant.
b. Dun and Bradstreet Data Universal Numbering System (DUNS) Number
Requirement. Any applicant seeking funding directly from HUD or other
federal agencies must obtain a DUNS number and include the number in
its Application for Federal Assistance submission. Failure to provide
HUD a DUNS number will prevent you from obtaining an award, regardless
of whether it is a new award or renewal of an existing award.
Individuals who personally apply for Federal financial assistance,
apart from any governmental, business, or nonprofit organization they
may represent, are excluded from the requirement to obtain a DUNS
number. This policy is pursuant to the Office of Management and Budget
(OMB) Policy issued in the Federal Register on June 27, 2003 (68 FR
38402). HUD's regulation implementing the DUNS Number requirement for
its programs was issued on an interim basis in the Federal Register on
March 26, 2004 (69 FR 15671) and published as a final rule on November
9, 2004 (69 FR 65024). A copy of the OMB Federal Register notice and
HUD's regulation implementing the DUNS number can be found on HUD's Web
site at https://www.hud.gov/offices/adm/grants/
[[Page 13577]]
duns.cfm. Applications received electronically cannot be submitted
without a DUNS number entry. For applicants that are provided a waiver
to the requirement for electronic submission, failure to provide a DUNS
number with the application submission will be treated as a technical
deficiency to the application. If the DUNS number is not provided
within the cure period (see Section V.B.4, ``Corrections to Deficient
Applications''), the application will not be funded. Also, see Section
IV.F, ``Other Submission Requirements,'' for additional information
regarding the DUNS requirement. The Web site at https://www.grants.gov/
GetStarted provides step-by-step instructions for obtaining a DUNS
number as well as procedures for registering in the Central Contractor
Registry and receiving credentials from the Grants.gov E-Authentication
provider. The registration in the Central Contractor Registry and the
E-Authentication credentials are not necessary for submitting a paper
copy application to HUD; only the DUNS number is required. Central
Contractor Registration is required for submittal of electronic grant
applications through the Grants.gov portal. For FY2005 electronic
submission is mandatory unless the applicant receives a waiver of the
requirement. Procedures for obtaining a waiver are contained in Section
IV, Application and Submission Information, of this General Section.
The Continuum of Care NOFA is the only program in the SuperNOFA
that has retained the paper application process in 2005. Applicants for
the Continuum of Care NOFA should follow the submission and timely
receipt requirements in the Continuum of Care Program Section of the
SuperNOFA.
c. Compliance with Fair Housing and Civil Rights Laws. (1) With the
exception of federally recognized Indian tribes and their
instrumentalities, all applicants must comply with all applicable fair
housing and civil rights requirements in 24 CFR 5.105(a), as
applicable. If you are a federally recognized Indian tribe, you must
comply with the nondiscrimination provisions enumerated at 24 CFR
1000.12, as applicable. In addition to these requirements, there may be
program-specific threshold requirements identified in the individual
program NOFAs.
(2) If you, the applicant:
(a) Have been charged with an ongoing systemic violation of the
Fair Housing Act; or
(b) Are a defendant in a Fair Housing Act lawsuit filed by the
Department of Justice alleging an ongoing pattern or practice of
discrimination; or
(c) Have received a letter of findings identifying ongoing systemic
noncompliance under Title VI of the Civil Rights Act of 1964, Section
504 of the Rehabilitation Act of 1973, or Section 109 of the Housing
and Community Development Act of 1974, and the charge, lawsuit, or
letter of findings referenced in subparagaph (a), (b), or (c) above has
not been resolved to HUD's satisfaction before the application
deadline, then you are ineligible and HUD will not rate and rank your
application. HUD will determine if actions to resolve the charge,
lawsuit, or letter of findings taken prior to the application deadline
are sufficient to resolve the matter.
Examples of actions that would normally be considered sufficient to
resolve the matter include, but are not limited to:
(i) A voluntary compliance agreement signed by all parties in
response to a letter of findings;
(ii) A HUD-approved conciliation agreement signed by all parties;
(iii) A consent order or consent decree; or
(iv) An issuance of a judicial ruling or a HUD Administrative Law
Judge's decision.
d. Conducting Business in Accordance with Core Values and Ethical
Standards. Entities subject to 24 CFR parts 84 and 85 (most nonprofit
organizations and state, local, and tribal governments or government
agencies or instrumentalities that receive federal awards of financial
assistance) are required to develop and maintain a written code of
conduct (see 24 CFR 84.42 and 85.36(b)(3)). Consistent with regulations
governing specific programs, your code of conduct must prohibit real
and apparent conflicts of interest that may arise among officers,
employees, or agents; prohibit the solicitation and acceptance of gifts
or gratuities by your officers, employees, or agents for their personal
benefit in excess of minimal value; and outline administrative and
disciplinary actions available to remedy violations of such standards.
If awarded assistance under a HUD program NOFA announced in FY2005, you
will be required, prior to entering into an agreement with HUD, to
submit a copy of your code of conduct and describe the methods you will
use to ensure that all officers, employees, and agents of your
organization are aware of your code of conduct. Failure to meet the
requirement for a code of conduct will prohibit you from receiving an
award of funds from HUD. If you submitted an application to HUD during
FY2004 that included a code of conduct , and it has been identified by
HUD on its Web site at https://www.hud.gov/grants/index.cfm, and if that
information is still valid, you will not have to resubmit another copy.
However, if your code of conduct is not listed as received on the HUD
Web site, or if the information you submitted has changed (e.g., the
person who submitted the previous application is no longer your
authorized organization representative, the organization has changed
its legal name or merged with another organization, or the address of
the organization has changed, etc.), you must submit your current code
of conduct with your 2005 application for assistance.
e. Delinquent Federal Debts. Consistent with the purpose and intent
of 31 U.S.C. 3720B and 28 U.S.C. 3201(e), no award of federal funds
will be made to an applicant that has an outstanding delinquent federal
debt unless (1) the delinquent account is paid in full, (2) a
negotiated repayment schedule is established and the repayment schedule
is not delinquent, or (3) other arrangements satisfactory to HUD are
made prior to the deadline submission date.
f. Pre-Award Accounting System Surveys. HUD may arrange for a pre-
award survey of the applicant's financial management system in cases
where the recommended applicant has no prior federal support, HUD's
program officials have reason to question whether the applicant's
financial management system meets federal financial management
standards, or the applicant is considered a high risk based upon past
performance or financial management findings. HUD will not disburse
funds to any applicant that does not have a financial management system
that meets federal standards.
g. Name Check Review. Recommended applicants are subject to a name
check review process. Name checks are intended to reveal matters that
significantly reflect on the applicant's management and financial
integrity, or if any key individual has been convicted or is presently
facing criminal charges. If the name check reveals significant adverse
findings that reflect on the business integrity or responsibility of
the applicant or any key individual, HUD reserves the right to (1) deny
funding or consider suspension or termination of an award immediately
for cause, (2) require the removal of any key individual from
association with management or implementation of the award, and (3)
make appropriate provisions or revisions with respect to the method of
[[Page 13578]]
payment or financial reporting requirements.
h. False Statements. A false statement in an application is ground
for denial or termination of an award and grounds for possible
punishment as provided in 18 U.S.C. 1001.
i. Prohibition Against Lobbying Activities. You, the applicant, are
subject to the provisions of Section 319 of Public Law 101-121
(approved October 23, 1989) (31 U.S.C. 1352) (the Byrd Amendment),
which prohibits recipients of federal contracts, grants or loans from
using appropriated funds for lobbying the executive or legislative
branches of the federal government in connection with a specific
contract, grant, or loan. In addition, you must disclose, using
Standard Form LLL, ``Disclosure of Lobbying Activities,'' any funds,
other than federally appropriated funds, that will be or have been used
to influence federal employees, members of Congress, or congressional
staff regarding specific grants or contracts. Federally recognized
Indian tribes and tribally designated housing entities (TDHEs)
established by federally recognized Indian tribes as a result of the
exercise of the tribe's sovereign power are excluded from coverage of
the Byrd Amendment, but state-recognized Indian tribes and TDHEs
established only under state law must comply with this requirement. You
must submit the SF-LLL if you have used or intend to use federal funds
for lobbying activities.
j. Debarment and Suspension. In accordance with 24 CFR part 24, no
award of federal funds may be made to applicants that are presently
debarred or suspended, or proposed to be debarred or suspended, from
doing business with the federal government. This requirement applies to
all lower-tier covered transactions and to all solicitations for lower-
tier covered transactions. The prohibition includes the following:
(1) Having principals who, within the previous three years, have
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (federal, state, or local)
transaction, violation of federal or state anti-trust statutes, or
commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen
property; and
(2) Charges or indictments by a governmental entity (federal,
state, or local) for commission of any of the above violations.
3. Other Threshold Requirements
The individual program NOFAs for which you are applying may specify
other threshold requirements. Additional threshold requirements may be
identified in the discussion of ``eligibility'' requirements in the
individual program NOFAs. If a program NOFA requires a certification of
consistency with the Consolidated Plan and the applicant fails to
provide a certification, and such failure is not cured as a technical
deficiency, HUD will not fund the application. If HUD is provided a
signed certification indicating consistency with the area's approved
Consolidated Plan and HUD finds that the activities are not consistent
with the Consolidated Plan, HUD will not fund the inconsistent
activities or will deny funding the application if a majority of the
activities are not consistent with the approved Consolidated Plan. The
determination not to fund an activity or to deny funding may be
determined by a number of factors including, the number of activities
being proposed, the impact of the elimination of the activities on the
proposal, or the percent of the budget allocated to the proposed
activities.
4. Additional Nondiscrimination and Other Requirements
You, the applicant, and your subrecipients must comply with:
a. Civil Rights Laws, including the Americans with Disabilities Act
of 1990 (42 U.S.C. 1201 et seq.), the Age Discrimination Act of 1974
(42 U.S.C. 6101 et seq.), and Title IX of the Education Amendments Act
of 1972 (20 U.S.C. 1681 et seq.).
b. Affirmatively Furthering Fair Housing. Under Section 808(e)(5)
of the Fair Housing Act, HUD has a statutory duty to affirmatively
further fair housing. HUD requires the same of its funding recipients.
If you are a successful applicant, you will have a duty to
affirmatively further fair housing opportunities for classes protected
under the Fair Housing Act. Protected classes include race, color,
national origin, religion, sex, disability, and familial status. Unless
otherwise instructed in the individual program NOFA, your application
must include specific steps to:
(1) Overcome the effects of impediments to fair housing choice that
were identified in the jurisdiction's Analysis of Impediments (AI) to
Fair Housing Choice;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further, you, the applicant, have a duty to carry out the specific
activities provided in your responses to the individual program NOFA
rating factors that address affirmatively furthering fair housing.
These requirements apply to all HUD programs announced via a NOFA,
unless specifically excluded in the individual program NOFA.
c. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Certain programs to be issued during FY2005 require
recipients of assistance to comply with Section 3 of the Housing and
Urban Development Act of 1968 (Section 3), 12 U.S.C. 1701u (Economic
Opportunities for Low- and Very Low-Income Persons in Connection With
Assisted Projects), and the HUD regulations at 24 CFR part 135,
including the reporting requirements at subpart E. Section 3 requires
recipients to ensure that, to the greatest extent feasible, training,
employment, and other economic opportunities will be directed to low-
and very-low-income persons, particularly those who are recipients of
government assistance for housing, and business concerns that provide
economic opportunities to low- and very low-income persons. Review the
individual program NOFAs to determine if Section 3 applies to the
program for which you are seeking funding.
d. Ensuring the Participation of Small Businesses, Small
Disadvantaged Businesses, and Women-Owned Businesses. HUD is committed
to ensuring that small businesses, small disadvantaged businesses, and
women-owned businesses participate fully in HUD's direct contracting
and in contracting opportunities generated by HUD financial assistance.
Too often, these businesses still experience difficulty accessing
information and successfully bidding on federal contracts. State,
local, and tribal governments are required by 24 CFR 85.36(e) and
nonprofit recipients of assistance (grantees and sub-grantees) by 24
CFR 84.44(b) to take all necessary affirmative steps in contracting for
the purchase of goods or services to assure that minority firms,
women's business enterprises, and labor surplus area firms are used
whenever possible or as specified in the individual program NOFAs.
e. Relocation. The relocation requirements of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970, as amended, and the implementing government-wide regulation at 49
CFR part 24 cover any person who moves permanently from real property
or moves personal property from real
[[Page 13579]]
property directly because of acquisition, rehabilitation, or demolition
for an activity undertaken with HUD assistance. Some HUD program
regulations also cover persons who are temporarily relocated. For
example, 24 CFR 570.606(b)(2)(i)(D)(1), (2), and (3) provide guidance
on temporary relocation for the Community Development Block Grants
(CDBG) program. Applicants should review the regulations for the
programs for which they are applying when planning their project.
f. Executive Order 13166, ``Improving Access to Services for
Persons With Limited English Proficiency (LEP).'' Executive Order 13166
seeks to improve access to federally assisted services, programs, and
benefits for individuals with limited English proficiency. Applicants
obtaining an award from HUD must seek to provide access to program
benefits and information to LEP individuals through translation and
interpretive services in accordance with LEP guidance published on
December 19, 2003 (68 FR 70968). For assistance and information
regarding your LEP obligation, go to https://www.lep.gov.
g. Executive Order 13279, ``Equal Protection of the Laws for Faith-
Based and Community Organizations.'' HUD is committed to full
implementation of Executive Order 13279. The Executive Order
established fundamental principles and policymaking criteria to guide
federal agencies in formulating and developing policies that have
implications for faith-based and community organizations to ensure the
equal protection for these organizations in social services programs
receiving federal financial assistance. Consistent with this order, HUD
has undertaken a review of all policies and regulations that have
implications for faith-based and community organizations and has
established a policy priority to provide full and equal access to
grassroots faith-based and other community-based organizations in HUD
program implementation. On September 30, 2003 (68 FR 56396), HUD issued
a final rule to remove barriers to the participation of faith-based
organizations in eight HUD programs. On March 3, 2004 (69 FR 10126),
HUD published a proposed rule clarifying that the requirements
contained in the September 30, 2003, final rule regarding the equal
participation of faith-based organizations in certain HUD programs also
applied to the State Community Development Block Grant (State CDBG)
Program. On July 9, 2004 (69 FR 41712), HUD issued a final rule that
extended the provisions of the equal treatment of faith-based
organizations to all HUD programs. Copies of the regulatory changes can
be found at https://www.hud.gov/offices/adm/grants/fundsavail.cfm.
h. Accessible Technology. Section 508 of the Rehabilitation Act
(Section 508) requires HUD and other federal departments and agencies
to ensure, when developing, procuring, maintaining or using electronic
and information technology (EIT), that the EIT allow, regardless of the
type of medium of technology, persons with disabilities access to and
use of information and data on a comparable basis as is made available
to and used by persons without disabilities. Section 508's coverage
includes, but is not limited to, computers (hardware, software, word-
processing, e-mail, and web pages), facsimile machines, copiers, and
telephones. Among other things, Section 508 requires that unless an
undue burden would result to the federal department or agency,
electronic and information technology allow individuals with
disabilities who are employees or members of the public seeking
information or services, to have access to and use of information and
data that is comparable to that of employees and members of the public
who are not disabled. Where an undue burden exists to the federal
department or agency, alternative means may be used to allow a disabled
individual use of the information and data. Section 508 does not
require that information services be provided at any location other
than a location at which the information services are generally
provided. HUD encourages its funding recipients to adopt the goals and
objectives of the Section 508 by ensuring, whenever EIT is used,
procured, or developed, that persons with disabilities have access to
and use of the information and data made available through the EIT on a
comparable basis as is made available to and used by persons without
disabilities. This does not affect recipients required compliance with
Section 504 of the Rehabilitation Act and, where applicable, the
American with Disabilities Act.
i. Procurement of Recovered Materials. State agencies and agencies
of a political subdivision of a state that are using assistance under a
HUD program NOFA for procurement, and any person contracting with such
an agency with respect to work performed under an assisted contract,
must comply with the requirements of Section 6002 of the Solid Waste
Disposal Act, as amended by the Resource Conservation and Recovery Act.
In accordance with Section 6002, these agencies and persons must
procure items designated in guidelines of the Environmental Protection
Agency (EPA) at 40 CFR part 247 that contain the highest percentage of
recovered materials practicable, consistent with maintaining a
satisfactory level of competition, where the purchase price of the item
exceeds $10,000 or the value of the quantity acquired in the preceding
fiscal year exceeded $10,000; must procure solid waste management
services in a manner that maximizes energy and resource recovery and
must have established an affirmative procurement program for
procurement of recovered materials identified in the EPA guidelines.
j. Participation in HUD-Sponsored Program Evaluation. As a
condition of the receipt of financial assistance under a HUD program
NOFA, all successful applicants will be required to cooperate with all
HUD staff or contractors performing HUD-funded research or evaluation
studies.
k. Executive Order 13202, ``Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects.'' Compliance
with HUD regulations at 24 CFR 5.108 that implement Executive Order
13202 is a condition of receipt of assistance under a HUD program NOFA.
l. Salary Limitation for Consultants. FY2005 funds may not be used
to pay or to provide reimbursement for payment of the salary of a
consultant whether retained by the federal government or the grantee at
more than the daily equivalent of the rate paid for level IV of the
Executive Schedule, unless specifically authorized by law.
m. OMB Circulars and Government-wide Regulations Applicable to
Financial Assistance Programs. Certain OMB Circulars also apply to HUD
programs in this SuperNOFA. The policies, guidance, and requirements of
OMB Circulars A-87 (Cost Principles Applicable to Grants, Contracts and
Other Agreements with State and Local Governments), A-21 (Cost
Principles for Education Institutions), A-122 (Cost Principles for
Nonprofit Organizations), A-133 (Audits of States, Local Governments,
and Non-Profit Organizations), and the regulations at 24 CFR part 84
(Grants and Agreements with Institutions of Higher Education,
Hospitals, and other Non-Profit Organizations), and 24 CFR part 85
(Administrative Requirements for Grants and Cooperative Agreements to
State, Local, and Federally Recognized Indian Tribal Governments), may
apply
[[Page 13580]]
to the award, acceptance, and use of assistance under the individual
program NOFAs of this SuperNOFA, and to the remedies for noncompliance,
except when inconsistent with the provisions of HUD's appropriations
act for 2005, other federal statutes or regulations, or the provisions
of this SuperNOFA notice. Compliance with additional OMB Circulars or
government-wide regulations may be specified for a particular program
in the Program Section of the Super NOFA. Copies of the OMB Circulars
may be obtained from EOP Publications, Room 2200, New Executive Office
Building, Washington, DC 20503, telephone (202) 395-3080 (this is not a
toll-free number) or (800) 877-8339 (toll-free TTY Federal Information
Relay Service) or from the Web site at https://www.whitehouse.gov/omb/
circulars/.
n. Environmental Requirements. If you become a recipient under one
of HUD's programs that assist physical development activities or
property acquisition, you are generally prohibited from acquiring,
rehabilitating, converting, demolishing, leasing, repairing, or
constructing property or committing or expending HUD or non-HUD funds
for these types of program activities, until one of the following has
occurred:
(1) HUD has completed an environmental review in accordance with 24
CFR part 50; or
(2) For programs subject to 24 CFR part 58, HUD has approved a
recipient's Request for Release of Funds (Form HUD-7015.15) following a
Responsible Entity's completion of an environmental review.
You, the applicant, should consult the individual program NOFA for
any program for which you are interested in applying to determine the
procedures for, timing of, and any exclusions from environmental review
under a particular program. For applicants applying for funding under
the Section 202 Supportive Housing for the Elderly program or Section
811 Supportive Housing for Persons with Disabilities program, please
note the environmental review requirements for these programs.
o. Conflicts of Interest. If you are a consultant or expert who is
assisting HUD in rating and ranking applicants for funding under this
SuperNOFA or future NOFAs published in FY2005, you are subject to 18
U.S.C. 208, the federal criminal conflict of interest statute, and the
Standards of Ethical Conduct for Employees of the Executive Branch
regulation published at 5 CFR part 2635. As a result, if you have
assisted or plan to assist applicants with preparing applications for
programs in this SuperNOFA or NOFAs published in FY2005, you may not
serve on a selection panel and you may not serve as a technical advisor
to HUD. All individuals involved in rating and ranking HUD FY2005 NOFAs
either published simultaneously with this notice or after the
publication of this notice, including experts and consultants, must
avoid conflicts of interest or the appearance of conflicts. Individuals
involved in the rating and ranking of applications must disclose to
HUD's General Counsel or HUD's Ethics Law Division the following
information, if applicable: how the selection or non-selection of any
applicant under this FY2005 Super NOFA will affect the individual's
financial interests, as provided in 18 U.S.C. 208, or how the
application process involves a party with whom the individual has a
covered relationship under 5 CFR 2635.502. The individual must disclose
this information prior to participating in any matter regarding a
FY2005 NOFA. If you have questions regarding these provisions or if you
have questions concerning a conflict of interest, you may call the
Office of General Counsel, Ethics Law Division, at (202) 708-3815 (this
is not a toll-free number).
p. Drug-Free Workplace. If you receive an award of funds from HUD,
you are required to provide a drug-free workplace. Compliance with this
requirement means that you will:
(1) Publish a statement notifying employees that it is unlawful to
manufacture, distribute, dispense, possess, or use a controlled
substance in the applicant's workplace and that such activities are
prohibited. The statement must specify the actions that will be taken
against employees for violation of this prohibition. The statement must
also notify employees that as a condition of employment under the
federal award that they are required to abide by the terms of the
statement and that each employee must agree to notify the employer in
writing of any violation of a criminal drug statute occurring in the
workplace no later than five calendar days after such violation;
(2) Establish an ongoing drug-free awareness program to inform
employees about:
(a) The dangers of drug abuse in the workplace;
(b) The applicant's policy of maintaining a drug-free workplace;
(c) Any available drug counseling, rehabilitation, or employee
maintenance programs; and
(d) The penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace;
(3) Notify the federal agency in writing within 10 calendar days
after receiving notice from an employee of a drug abuse conviction or
otherwise receiving actual notice of a drug abuse conviction. The
notification must be provided in writing to HUD's Office of
Departmental Grants Management and Oversight, Department of Housing and
Urban Development, 451 Seventh Street, SW., Room 3156, Washington DC
20410-3000, along with the following information:
(a) The program title and award number for each HUD award covered;
(b) The HUD staff contact name, phone, and fax numbers; and
(c) A grantee contact name, phone, and fax numbers; and
(4) Require that each employee engaged in the performance of the
federally funded award be given a copy of the drug-free workplace
statement required in item (1) and notify the employee that one of the
following actions will be taken against the employee within 30 calendar
days of receiving notice of any drug abuse conviction:
(a) Institution of a personnel action against the employee, up to
and including termination consistent with requirements of the
Rehabilitation Act of 1973, as amended; or
(b) Requiring that the employee participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a federal, state, or local health, law enforcement, or
other appropriate agency.
q. Safeguarding Resident/Client Files. In maintaining resident and
client files, HUD funding recipients shall observe state and local laws
concerning the disclosure of records that pertain to individuals.
Further, recipients are required to adopt and take reasonable measures
to ensure that resident and client files are safeguarded.
IV. Application and Submission Information
A. Addresses To Request Application Package
This section describes how you may obtain application forms,
additional information about the HUD program NOFAs, and technical
assistance. Copies of the published NOFAs and application forms for HUD
programs announced through NOFA may be downloaded from the grants.gov
Web site at https://www.grants.gov/FIND and choose from links provided
under the topic ``Search Grant Opportunities'', which allows you to do
a basic search or to browse by category or agency. If you have
difficulty accessing the
[[Page 13581]]
information, you may receive customer support from Grants.gov by
calling its help line at (800) 518-GRANTS or sending an e-mail to
support@grants.gov. The operators will assist you in accessing the
information. If you do not have Internet access and you need to obtain
a copy of the NOFA, you can contact HUD's NOFA Information Center toll-
free at (800) HUD-8929. Persons with hearing or speech impairments may
also call toll-free at (800) HUD-2209.
1. Application Kits
There are no application kits for HUD programs. All the information
you need to apply will be in the NOFA and available at https://
www.grants.gov/Apply. In response to concerns about the length of time
it takes for the publication and dissemination of application kits, HUD
has made an effort to improve the readability of its NOFAs and publish
all required forms and formats for application submission in the
Federal Register. The NOFAs and forms are available to be downloaded
from https://www.grants.gov/Apply, click on Apply Step 1. Please pay
attention to the submission requirements and format for submission
specified in each program NOFA to ensure that you have submitted all
required elements of your application.
The published Federal Register document is the official document
that HUD uses to solicit applications. Therefore, if there is a
discrepancy between any materials published by HUD in its Federal
Register publications and other information provided in paper copy,
electronic copy, or at www.grants.gov, the Federal Register publication
prevails. Please be sure to review your application submission against
the requirements in the Federal Register file of the program NOFA or
NOFAs to which you are responding by application. The instructions
incorporated into the application found on Grants.gov/Apply contain the
PDF files of the Federal Register publication. By accessing the
information from the Internet at Grants.gov you will not have to wait
for copies of the NOFAs or forms to begin to prepare your application
for funding. HUD is continuing to streamline programs and application
submission requirements and encourages the applicant community to offer
additional suggestions.
2. Guidebook and Further Information
A guidebook to HUD programs entitled, ``Connecting with
Communities: A User's Guide to HUD Programs and the FY2005 NOFA
Process,'' is available from the HUD NOFA Information Center and the
HUD Web site at https://www.hud.gov/offices/adm/grants/fundsavail.cfm.
The guidebook provides a brief description of all HUD programs,
identifies eligible applicants for the programs, and provides examples
of how programs can work in combination to serve local community needs.
You can also get a copy from the NOFA Information Center at (800) HUD-
8929, or for the hearing impaired, (800) HUD-2209 (TTY) (these are
toll-free numbers). The NOFA Information Center is open between the
hours of 10 a.m. to 6:30 p.m. Eastern time, Monday through Friday,
except on federal holidays.
3. For Technical Assistance
Before the application submission date, HUD staff will be available
to provide you with general guidance and technical assistance about
this notice or about individual program NOFAs. However, HUD staff is
not permitted to assist in preparing your application. Following
selection of applicants, but before announcement of awards are made,
HUD staff is available to assist in clarifying or confirming
information that is a prerequisite to the offer of an award or Annual
Contributions Contract (ACC) by HUD. For technical support for
downloading an application or submitting an application, please call
Grants.gov Customer Support at (800) 518-GRANTS (this is a toll-free
number) or e-mail support@grants.gov.
4. SuperNOFA Webcasts
HUD provides technical assistance and training on its programs made
available through a notice of funding availability. The NOFA broadcasts
are interactive and allow potential applicants to obtain a better
understanding of the threshold, program, and application submission
requirements for FY2005 funding. Participation in this training
opportunity is free of charge and can be accessed via HUD's Web site at
https://www.hud.gov/offices/adm/grants/fundsavail.cfm. The SuperNOFA web
cast schedule can also be found via HUD's Web site at https://
www.hud.gov/webcasts/index.cfm.
B. Content and Form of Application Submission
Be sure to read and follow the application submission requirements
published in each individual program NOFA to which you are responding
by application.
1. Forms
Each program NOFA will identify all the required forms for
submission. HUD's standard forms are identified below:
a. Application for Federal Assistance (SF-424);
b. Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement);
c. Grant Application Detailed Budget (HUD-424-CB);
d. Grant Application Detailed Budget Worksheet (HUD-424-CBW);
e. Disclosure of Lobbying Activities (SF-LLL);
f. Applicant/Recipient Disclosure/Update Report (HUD-2880);
g. Certification of Consistency with RC/EZ/EC-II Strategic Plan
(HUD-2990), if applicable;
h. Certification of Consistency with the Consolidated Plan (HUD-
2991), if applicable;
i. Acknowledgment of Application Receipt (HUD-2993);
j. Client Comments and Suggestions (HUD 2994) (Optional);
k. Program Outcome Logic Model (HUD-96010);
l. Race and Ethnic Data Reporting Form (HUD-27061);
m. America's Affordable Communities Initiative (HUD-27300), if
applicable; and
n. Facsimile Transmittal (HUD-96011).
Copies of these forms are included in Appendix B to this General
Section. Any additional program form required to be submitted to meet
specific program requirements is included with each program NOFA. The
electronic version of each NOFA contains all forms required for
submission.
2. Certifications and Assurances
The form SF-424-B, Assurances and Certifications, is no longer
required as a separate submission. However, applicants are placed on
notice that by signing the SF-424 cover page:
a. The governing body of the applicant's organization has duly
authorized the application for federal assistance. In addition, by
signing or electronically submitting the application, the Authorized
Organization Representative (AOR) certifies that the applicant:
(1) Has the legal authority to apply for federal assistance and the
institutional, managerial, and financial capacity (including funds to
pay for any non-federal share of program costs) to plan, manage, and
complete the program as described in the application; will provide HUD
any additional information it may require; and
[[Page 13582]]
(2) Will administer the award in compliance with requirements
identified and contained in the NOFA as applicable to the program for
which funds are awarded and in accordance with requirements applicable
to the program.
b. No appropriated federal funds have been paid or will be paid, by
or on behalf of the applicant, to any person for influencing or
attempting to influence an officer or employee of any agency, a Member
of Congress, or an employee of a Member of Congress, in connection with
this application for federal assistance or any award of funds resulting
from the submission of this application for federal assistance or its
extension, renewal, amendment, or modification. If funds other than
federal appropriated funds have been or will be paid for influencing or
attempting to influence the persons listed above, the applicant agrees
to complete and submit Standard Form LLL, Disclosure Form to Report
Lobbying, as part of its applications submission package. The applicant
further agrees to and certifies that it will require all subawards at
all tiers including subgrants and contracts to similarly certify and
disclose accordingly.
c. Federally recognized Indian tribes and tribally designated
housing entities (TDHEs) established by a federally recognized Indian
tribe as a result of the exercise of the tribe's sovereign power are
excluded from coverage by item b. (also known as the Byrd Amendment).
However, state-recognized Indian tribes and TDHEs established under
state law are not excluded from the statute's coverage and therefore
agree to, and must comply with item b. above.
By submitting an application, the applicant affirms its awareness
of these certifications and assurances. Applicants are also affirming
that these Certifications and Assurances are material representations
of the facts upon which HUD will rely when making an award to the
applicant. If it is later determined that the applicant knowingly made
a false certification or assurance, the applicant may be subject to
criminal prosecution, and HUD may terminate the award or pursue other
available remedies.
C. Submission Dates and Times
Applications submitted through Grants.gov must be received by
Grants.gov no later than 11:59:59 p.m. eastern time on the application
submission date. Applicants receiving a waiver of the electronic
submission requirement must submit their application to the United
States Postal Service no later than 11:59:59 p.m. on the application
submission date. Appendix A also provides a funding chart that
identifies the programs in HUD's SuperNOFA along with the application
submission dates.
D. Intergovernmental Review
Executive Order 12372, ``Intergovernmental Review of Federal
Programs,'' was issued to foster intergovernmental partnership and
strengthen federalism by relying on state and local processes for the
coordination and review of federal financial assistance and direct
federal development. HUD implementing regulations are published at 24
CFR part 52. The order allows each state to designate an entity to
perform a state review function. The official listing of State Points
of Contact (SPOC) for this review process can be found at https://
www.whitehouse.gov/omb/grants/spoc.html. States not listed on the Web
site have chosen not to participate in the intergovernmental review
process and, therefore, do not have a SPOC. If your state has a SPOC,
you should contact the SPOC to see if it is interested in reviewing
your application prior to submission to HUD.
Please make sure that you allow ample time for this review process
when developing and submitting your applications. If your state does
not have a SPOC, you can submit your application directly to HUD using
Grants.gov for electronic applications or, if you receive a waiver of
the electronic application submission requirement, you can submit your
application to HUD following the directions for the number of copies
and locations for submission found in Appendix C of this General
Section.
E. Funding Restrictions
The individual program NOFAs will describe any funding restrictions
that apply to each program.
F. Other Submission Requirements
Application Submission and Receipt Procedures. This section
provides the application submission and receipt instructions for HUD
program applications. Please read the following instructions carefully
and completely, as failure to comply with these procedures may
disqualify your application.
1. Electronic Delivery. Beginning in FY2005, HUD requires
applicants to submit their applications electronically through
Grants.gov, unless a waiver is granted.
2. The following describes what to expect when you go to apply
online using Grants.gov:
a. Get Started (https://www.grants.gov/GetStarted). Once on the
site, you will find six ``Get Started'' step-by-step instructions that
will enable you to apply for HUD funds. Applicants should read the Get
Started steps carefully. The site also contains four checklists under
the topic ``Registration Checklists'' to help you walk through the
process. HUD recommends that you download the checklists and prepare
the information requested before beginning the registration process.
Reviewing information required and assembling it before beginning the
registration process will save you time and make the process faster and
smoother.
b. DUNS Requirement. All applicants applying for funding, including
renewal funding, must have a Dun and Bradstreet Universal Data
Numbering System (DUNS) number. The DUNS number must be included in the
data entry field labeled ``Organizational Duns'' on the form SF-424.
Instructions for obtaining a DUNS number can be found at either of the
following Web sites: https://www.hud.gov/offices/adm/grants/duns.cfm or
Step 3 at https://www.grants.gov/GetStarted.
c. Central Contractor Registry and Credential Provider
Registration. In addition to having a DUNS number, applicants applying
electronically through Grants.gov must register with the Federal
Central Contractor Registry and with the credential provider for E-
Authentication. The Grants.gov Web site at www.grants.gov/GetStarted,
Step 3, provides instructions for registering in the Central Contractor
Registry and, at Step 4, for registering with the credential provider.
All applicants filing electronically must have a DUNS number before
registering with the Central Contractor Registry (CCR) and receive
credentials from the Grants.gov credential provider in order to apply
online. Failure to register with the CCR and credential provider will
result in your application being rejected by the Grants.gov portal.
The registration process is a separate process from submitting an
application. Applicants are encouraged to register early. The
registration process can take approximately two weeks to be completed.
Therefore, registration should be done in sufficient time to ensure
that it does not impair your ability to meet required submission
deadlines. You will be able to submit your application online anytime
after you receive your E-Authentication credentials.
d. Electronic Signature. Applications submitted through Grants.gov
constitute electronically signed applications. The registration and E-
Authentication
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process establishes the Authorized Organization Representative (AOR).
When you submit the application through Grants.gov, the name of your
authorized organization representative on file will be inserted into
the signature line of the application. Applicants must register the
individual who is able to make legally binding commitments for the
applicant organization as the Authorized Organization Representative
(AOR).
3. Instructions on How To Submit an Electronic Application to HUD via
www.grants.gov/Apply
a. Applying using Grants.gov. Grants.gov has a full set of
instructions on how to complete a grant application on its website at
www.grants.gov/CompleteApplication. Applicants are encouraged to read
through the ``Complete Application Package'' website. The site contains
a multimedia demonstration that guides you through the process of
completing an application package. The training demonstration is also
available in text. Grants.gov allows applicants to download the
application package, instructions, and forms that are incorporated in
the instructions, and work offline. In addition to forms that are part
of the application instructions, there will be a series of electronic
forms that are provided utilizing a PureEdgeTM reader. The
PureEdgeTM Reader is available free for download from Step 2
of www.grants.gov/Get Started. The PureEdgeTM Reader allows
applicants to read the electronic files in a form format so that they
will look like any other Standard or HUD form. The
PureEdgeTM forms have content-sensitive help. To use this
feature, click on the icon that features an arrow with a question mark
at the top of the page. This engages the content-sensitive help for
each field on the electronic form. The PureEdgeTM forms can
be downloaded and saved on your hard drive, network drive(s), or CDs.
Because of the size of the application, HUD recommends downloading the
application to your computer hard drive.
The instructions include the General and Program sections of the
Federal Register publication of the NOFA and any required form that has
not been converted to a PureEdgeTM form. Each program NOFA
also includes a checklist. Please review the checklist in the program
section to ensure that your application contains all the required
materials.
MacIntosh users will need to use the Virtual PC emulator software,
which allows PC software to run on MacIntosh platforms. More
information on PureEdgeTM Support for MacIntosh Users is
available at www.grants.gov/CompleteApplication#, located under the
topic Tips and Tools.
b. Mandatory Fields on PureEdgeTM Forms. In the
PureEdgeTM forms you will find fields with a yellow
background. These data fields are considered mandatory and must be
completed.
c. Completion of SF-424 Fields First. The PureEdgeTM
forms are designed to fill in common data such as the applicant name
and address, DUNS number, etc., on all PureEdgeTM electronic
forms. In order to trigger this function, the Standard Form 424 (SF-
424) must be completed first. Once you complete the SF-424 the
information will transfer to the other forms.
d. Submission of Narrative Statements, Third Party Letters, and
Certifications. In addition to forms, many of the NOFAs require the
submission of other documentation such as third party letters,
certifications, or program narrative statements. This section discusses
how you should submit this additional information electronically as
part of your application:
(1) Narrative Statements to the Factors for Award. If you are
required to submit narrative statements, you should submit them as an
electronic file in Microsoft Word (version 9 or earlier) or in Portable
Document Format (PDF) that is compatible with AdobeTM Reader
version 6.0 or earlier. Each response to a Factor for Award should be
developed as a separate file labeled with the appropriate factor name,
e.g., Factor 1 Capacity, and submitted as part of your electronic
application. Documents that you possess in electronic format, e.g.,
narratives you have written, or graphic images (such as Computer Aided
Design (CAD)) files from an architect), should be attached using the
``Attachments'' form included in the application package you downloaded
from Grants.gov. In order to reduce the size of your attachments, all
or several files can be compressed using a zip utility. The zipped file
can then be attached as described above.
(2) Third Party Letters, Certifications Requiring Signatures, and
Other Documentation. The following two options apply to applicants
required to submit documentation from organizations providing matching
or leveraging funds; documentation of 501(c)(3) status or incorporation
papers; documents that support the need for the program; memoranda of
understanding (MOUs); or documentation to support your organization's
claims regarding work that has been done to remove regulatory barriers
to affordable housing:
(a) Scanning Documents To Create Electronic Files. Third party
documentation can be scanned and saved as separate electronic files.
Electronic files must be labeled so that the reader will know what the
file contains. All scanned files should be placed together in a zipped
folder and attached to the application package following the directions
in paragraph d.(1), above; or
(b) Faxing Required Documentation. Applicants that do not have
scanning equipment available may submit the required documentation to
HUD via facsimile (fax). The fax method may be used only to submit
attachments that are part of your electronic application. HUD will not
accept entire applications via fax. Applications submitted entirely via
fax will be disqualified. Facsimiles submitted in response to a NOFA
must use the form HUD-96011 cover page downloaded as with the
application found on Grants.gov. Facsimiles received that do not meet
the facsimile requirements contained in this General Section will not
be accepted for review.
To submit documents using the facsimile method, applicants must use
form HUD-96011, Facsimile Transmittal, which is a cover page for the
faxed materials. The form HUD-96011 is an electronic form and is part
of the downloaded application. Each downloaded application contains an
embedded unique identifier that will be used to assist HUD in
associating an item transmitted by facsimile to its electronic
application submission. If you have downloaded an application package
from Grants.gov, be sure to save it to your system, complete the SF-
424, and then provide copies of the facsimile transmittal cover page to
all parties that need to use it to submit information pertaining to
your application. Do not download the same application package from
Grants.gov more than once. Each time the package is downloaded, the
forms are given a unique ID number. To ensure that all the forms in
your package contain the same unique ID number, after downloading your
application complete the SF-424 save the forms to your hard drive, and
use the saved forms to create your application. If you have to provide
a copy of the form HUD-96011 to another party that will be responsible
for faxing an item as part of your application, make a copy of the
facsimile transmittal cover page from your downloaded application and
provide that copy to the third party for use with the fax transmission.
Please instruct other parties to use the HUD form you have
[[Page 13584]]
provided when submitting information related to your application using
the facsimile method. Applicants must fax their information, using the
HUD-96011 facsimile transmittal cover page, to the following fax
number: (800) HUD-1010. Each document must be faxed as a separate
submission to avoid fax transmission problems. When faxing several
documents, applicants must use the Form HUD-96011 as the cover for each
document (e.g., Letter of Matching or Leveraging funds, Memorandum of
Understanding, Certification of Consistency with the Consolidated Plan,
etc.).
Your facsimile machine should provide you with a record of whether
your transmission was received by HUD. If you get a negative response
or a transmission error, you should resubmit the document until you
confirm that HUD has received your transmission. HUD will not
acknowledge that a facsimile was received successfully. HUD will
electronically receive the facsimile, read it with an optical character
reader, and attach it to the application submitted through Grants.gov.
The facsimile transmissions may be sent at any time before the
application submission date. All faxed materials must be received no
later than 11:59:59 p.m. eastern time on the application submission
date. HUD will store the information and attach it to the electronic
application when HUD receives it from Grants.gov.
(c) Submissions Using Other File Formats. If you are required to
submit files in other formats such as CAD files of architectural
drawings and blueprints, or pictures, you should attach these as
electronic files in PDF format that is compatible with
AdobeTM Reader version 6.0 or earlier. The files should be
part of the zipped folder that is attached and submitted with your
application transmission.
e. Customer Support. The grants.gov Web site provides customer
support via (800) 518-GRANTS (this is a toll-free number) or through
email at support@grants.gov. The customer support center is open from 7
a.m. to 9 p.m. eastern time, Monday through Friday, except federal
holidays, to address grants.gov technology issues. For technical
assistance to program related questions, contact the number listed in
Section VII Agency Contact in the program NOFA you are applying for.
4. Waiver of Electronic Submission Requirement
During FY2005, HUD will accept electronic applications only, and
they must be submitted through the Grants.gov portal, unless the
applicant has received a waiver from the Department. As already noted,
the Continuum of Care NOFA is the only program excepted from this
electronic submission requirement. Applications to the Continuum of
Care may be submitted by hard copy, as discussed below. HUD regulations
at 24 CFR 5.110 permit waivers of regulatory requirements to be granted
for cause. If you are unable to submit your application electronically,
you may request a waiver from this requirement. If you are seeking
funding under several HUD programs, you must submit a separate waiver
request for each program from which you are seeking funding. Your
waiver request must be in writing and state the basis for the request
and explain why electronic submission is not possible. The basis for
waivers for cause may include but are not limited to (a) lack of
available Internet access in the geographic location in which the
applicant's business office is located or (b) physical disability of
the applicant that prevents the applicant from accessing or responding
to the application electronically.
The waiver request should also include an email or name and mailing
address where responses can be directed. You must submit waiver
requests to the appropriate assistant secretary responsible for the
program from which you are seeking funding. Waiver requests will be
accepted beginning on the date of publication of the NOFA and no later
than 30 days prior to the application submission date. HUD will not
consider a waiver request that does not conform to the above
requirement. A list of HUD assistant secretaries with waiver authority,
and their related programs, can be found in Appendix C of this General
Section. To avoid a delay in the process, waiver requests should be
sent by United States Postal Service Express Mail. You, the applicant,
should retain a receipt for the mailing showing the date submitted to
the Postal Service. HUD will acknowledge receipt of the waiver request
by e-mail, if an e-mail address is provided, or by United States Postal
Service Express Mail or other available means. HUD will not make
determinations or respond to waiver requests via the telephone. Each
waiver request will be reviewed and a determination made. HUD will
inform the applicant, whether or not the waiver has been granted. In
the event a waiver is granted, the submission date for mailed
applications will be the same as the electronic application submission
receipt date. Applicants receiving a waiver will be expected to fo
