Fiscal Year 2006 SuperNOFA for HUD's Discretionary Programs, 11712-12069 [06-1869]
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Federal Register / Vol. 71, No. 45 / Wednesday, March 8, 2006 / Notices
DEPARTMENT OF HOUSING AND
URBAN DEVELOPMENT
[Docket No. FR–5030–N–01A]
Fiscal Year 2006 SuperNOFA for HUD’s
Discretionary Programs
Office of the Secretary, HUD.
Notice of HUD’s Fiscal Year
(FY) 2006 Notice of Funding
Availability (NOFA) for HUD’s
Discretionary Programs (SuperNOFA).
AGENCY:
ACTION:
SUMMARY: On January 20, 2006, HUD
published its Notice of Fiscal Year 2006
Notice of Funding Availability Policy
Requirements and General Section to
the SuperNOFA (General Section). In
that publication, HUD announced it was
publishing the General Section of the
FY2006 SuperNOFA in advance of the
individual NOFAs in order to give
prospective applicants sufficient time to
begin preparing their applications, and
to register early with Grants.gov to
facilitate their application submission
process. This publication contains the
39 funding opportunities that constitute
HUD’s FY2006 SuperNOFA.
DATES: The key dates that apply to all
HUD federal financial assistance made
available through HUD’s FY2006
SuperNOFA are found in each
individual program NOFA and in
Appendix A to this notice.
FOR FURTHER INFORMATION CONTACT: The
individual program NOFAs will identify
the applicable agency contacts for each
program. Questions regarding this
Introduction should be directed to the
NOFA Information Center between the
hours 10 a.m. and 6:30 p.m. Eastern
Time at 800–HUD–8929. Hearingimpaired persons may call 800–HUD–
2209. Questions regarding specific
program requirements should be
directed to the agency contacts
identified in each program NOFA.
SUPPLEMENTARY INFORMATION:
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Introduction (Supplemental General
Section)
This publication follows HUD’s
publication of the General Section of the
FY2006 SuperNOFA on January 20,
2006 (71 FR 3382), and presents the 39
individual funding opportunities that
constitute HUD’s FY2006 SuperNOFA.
HUD makes available through today’s
FY2006 SuperNOFA publication
approximately $2.2 billion in assistance.
While each program NOFA provides
the statutory and regulatory
requirements, threshold requirements,
and rating factors applicable to funding
made available through the individual
NOFA, applicants must also refer to the
January 20, 2006, General Section of the
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FY2006 SuperNOFA for important
application information and
requirements, including submission
requirements, which have changed this
year.
Appendix A to the January 20, 2006,
General Section identified the funding
opportunities anticipated to be included
in the FY2006 SuperNOFA. HUD is
revising and republishing Appendix A
(Revised Appendix A) as part of today’s
FY2006 SuperNOFA publication.
Revised Appendix A provides an up-todate funding chart that lists the funding
opportunities included in today’s
FY2006 SuperNOFA publication, along
with the application deadline for receipt
of applications. In reviewing Revised
Appendix A, applicants should note
that the HOPE VI Main Street Program
NOFA is not part of today’s FY2006
SuperNOFA publication. This NOFA
will be published separately, together
with the HOPE VI Revitalization NOFA.
In addition, the Self Help
Homeownership Opportunity Program
(SHOP) is part of today’s FY2006
SuperNOFA publication and is included
in Revised Appendix A.
In addition to Revised Appendix A,
this notice makes one clarification
regarding the discussion of the Logic
Model in Section VI.C. entitled
‘‘Reporting’’ of the January 20, 2006,
General Section (see 71 FR 3398).
Although the Logic Model is to be
completed by applicants, the Return on
Investment (ROI) Statement referenced
in the discussion of the Logic Model
only applies to grantees, i.e., applicants
selected for funding under the NOFAs.
Applicants are not to complete the ROI
statement. Additionally, for FY2006, the
ROI concept is a new concept for the
Logic Model. HUD is considering this
new concept and will issue a separate
notice within the next few weeks that
further addresses the ROI concept.
HUD published the General Section of
the FY2006 SuperNOFA early to
provide its applicant community with
the opportunity to become familiar with
cross cutting requirements, and to
remind prospective applicants to
register or renew their registration in
order to successfully submit an
application via Grants.gov.
Applicants are required to complete a
five-step registration process in order to
submit their applications electronically.
The registration process is outlined in
HUD’s Notice of Opportunity to Register
Early for Electronic Submission of Grant
Applications for Funding Opportunities,
published in the Federal Register on
December 9, 2006 (70 FR 73332), and
the brochure entitled ‘‘STEP BY STEP:
Your Guide to Registering for Grant
Opportunities,’’ located at https://
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www.hud.gov/offices/adm/grants/
fundsavail.cfm. HUD also has a new
brochure titled, ‘‘Finding and Applying
for Grant Opportunities,’’ dated
February 2006, which walks you
through the process of finding and
applying for grant opportunities. This
brochure also contains Registration Tips
that will help applicants who
successfully submitted a grant
application last year to determine if
their registration is active and if they are
ready to submit a grant application to
Grants.gov.
HUD has received a number of
questions regarding what to do if an
Authorized Organization Representative
(AOR) has left the organization. An
excerpt from the ‘‘Finding and Applying
for Grant Opportunities Brochure,’’
dated February 2006 and describes the
steps that are needed in such situations
and also provides other pertinent
registration information. This excerpt
can be found on HUD’s Web site at
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm under the title
‘‘Registration Tips.’’
In FY2006, HUD intends to continue
to require its applicants to submit their
applications electronically through
Grants.gov. For FY2006, only the
Continuum of Care program will remain
a paper application process. It is HUD’s
intent, however, to move the Continuum
of Care program to electronic
application submission in FY2007. As a
result, HUD continues to encourage
Continuum of Care agencies to become
familiar with Grants.gov requirements to
facilitate this transition.
If you have questions concerning the
registration process, registration
renewal, assigning a new AOR, or have
a question about a NOFA requirement,
please feel free to contact HUD staff
listed in the NOFA. HUD staff cannot
help you write your application, but can
clarify requirements that are contained
in this Notice and HUD’s registration
materials.
Applicants are also encouraged to
participate in HUD’s satellite training
and web cast sessions designed to
provide a detailed explanation of the
general section and program section
requirements for each of the
SuperNOFA programs. The interactive
broadcasts provide you an opportunity
to ask questions of HUD staff. These
broadcasts are also achieved and
accessible from HUD’s Grants page at
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm. Applicants should
bookmark the Grants page as it provides
a wealth of information including
responses to frequently asked questions
that arise during the funding application
period.
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Modifications to any of the NOFAs or
the application are posted to
www.Grants.gov as soon as they are
available. Applicants should subscribe
to the Grants.gov free notification
service. By doing so, you will receive an
e-mail notification as soon as items are
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posted to Grants.gov. The address to
subscribe to this service is https://
www.grants.gov/search/email.do.
HUD reiterates the statement made in
the publication of the General Section
on January 20, 2006, and that is, HUD
hopes the steps that it has taken to
provide information early on the
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FY2006 funding process and
SuperNOFA requirements are of benefit
to applicants.
Dated: February 22, 2006.
Roy A. Bernardi,
Deputy Secretary.
BILLING CODE 4210–01–P
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Federal Register / Vol. 71, No. 45 / Wednesday, March 8, 2006 / Notices
Full Text of Announcement
Community Development Technical
Assistance
Overview Information
A. Federal Agency Name. Department
of Housing and Urban Development,
Office of Community Planning and
Development.
B. Funding Opportunity Title.
Community Development Technical
Assistance (CD–TA).
C. Announcement Type. Initial
Announcement.
D. Funding Opportunity Number. The
Federal Register number for this NOFA
is FR–5030–N–08. The OMB approval
numbers are: 2506–0166 for HOME
Investment Partnerships Program
(HOME), HOME Investment
Partnerships Program for Community
Housing Development Organizations
[CHDO (HOME)], and McKinney-Vento
Homeless Assistance (Homeless), 2506–
0133 for Housing Opportunities for
Persons With AIDS (HOPWA), and
2506–0142 for Youthbuild.
E. Catalog of Federal Domestic
Assistance (CFDA) Numbers. The
HOME and CHDO (HOME) CFDA
number is 14.239; Homeless is 14.235;
HOPWA is 14.241; Youthbuild is
14.243.
F. Dates. The application submission
date is May 18, 2006.
G. Additional Overview and Content
Information. Applicants interested in
providing technical assistance to
entities participating in HUD’s
community development programs
should carefully review the General
Section and the information listed in
this CD–TA NOFA. Funds are available
to provide technical assistance for five
separate program areas: HOME, CHDO
(HOME), Homeless, HOPWA, and
Youthbuild. Applicants may apply for
one, two, three, four, or all five CD–TA
program areas. The application
submission information is contained in
this CD–TA NOFA at Section IV.B.
Approximately $19.7 million is
available. No cost sharing is required.
Grants will be administered under
cooperative agreements with significant
HUD involvement (see Section II.C of
this NOFA).
I. Funding Opportunity Description
A. CD–TA Purpose. The purpose of
the CD–TA program is to provide
assistance to achieve the highest level of
performance and results for five
separate community development
program areas: (1) HOME; (2) CHDO
(HOME); (3) Homeless; (4) HOPWA; and
(5) Youthbuild. Information about the
five community development programs
and their missions, goals, and activities
can be found on the HUD Web site at
https://www.hud.gov.
B. Description of National TA and
Local TA. There are two types of
technical assistance (TA) funding
available in this NOFA: National TA
and Local TA.
National TA activities are those that
address, at a nationwide level, one or
more of the CD–TA program activities
and/or priorities identified in Section
III.C of this NOFA. National TA
activities may include the development
of written products, development of online materials, development of training
courses, delivery of training courses
previously approved by HUD,
organization and delivery of workshops
and conferences, and delivery of direct
TA as part of a national program.
Applicants for National TA must also be
willing to work in any HUD field office
area, although work in the field office
areas is likely to be a negligible portion
of National TA activities. National TA
activities are administered by a
Government Technical Representative
(GTR) and Government Technical
Monitor (GTM) at HUD Headquarters.
Local TA activities also must address
the CD–TA program activities and/or
priorities identified in this NOFA,
however the Local TA is targeted to the
specific needs of the HUD community
development program recipients in the
field office area in which the TA is
proposed. Local TA activities are
limited to the development of need
assessments, direct TA to HUD
community development program
recipients, organization and delivery of
workshops and conferences, and
customization and delivery of
previously HUD-approved trainings.
Local TA will be administered by a GTR
and GTM in the respective HUD field
office.
C. Authority. HOME TA is authorized
by the HOME Investment Partnerships
Act (42 U.S.C. 12781–12783); 24 CFR
part 92. CHDO (HOME) TA is
authorized by the HOME Investment
Partnerships Act (42 U.S.C. 12773); 24
CFR part 92. For the McKinney-Vento
Act Homeless Assistance Programs TA,
the Supportive Housing Program is
authorized under 42 U.S.C. 11381 et
seq.; 24 CFR 583.140; Emergency
Shelter Grants, Section 8 Moderate
Rehabilitation Single Room Occupancy
Program, and Shelter Plus Care TA are
authorized by the FY2006 HUD
Appropriations Act. HOPWA TA is
authorized under the FY2006 HUD
Appropriations Act. Youthbuild TA is
authorized under Title IV of the
Cranston-Gonzalez National Affordable
Housing Act, as amended by the
Housing and Community Development
Act of 1992 (42 U.S.C. 12899g); 24 CFR
part 585.
II. Award Information
A. Available Funds. Approximately
$19.7 million is available for the CD–TA
program. Additional funds may become
available as a result of recapturing
unused funds. This chart shows how the
funds are divided among National TA
and Local TA activities:
Program
National TA
HOME ...............
CHDO (HOME)
Homeless ..........
HOPWA ............
Youthbuild .........
$1,980,000
2,920,000
3,501,085
900,000
2,475,000
CHDO
(HOME)
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Alabama ...........................................................................................................................................................................
Alaska ..............................................................................................................................................................................
Arkansas ..........................................................................................................................................................................
California—Northern and Arizona, Nevada .....................................................................................................................
California—Southern ........................................................................................................................................................
Caribbean ........................................................................................................................................................................
Colorado and Montana, North Dakota, South Dakota, Utah, Wyoming .........................................................................
Connecticut ......................................................................................................................................................................
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$0
5,000,000
3,000,000
0
0
The Local TA funds are divided
among HUD’s field office jurisdictions
for the CHDO (HOME) and Homeless
programs. No Local TA funds are
available for HOPWA, Youthbuild, or
HOME. In the case of the national
CHDO (HOME) program, if less than the
total amount of available funds is
awarded, the balance may be used to
make awards under the national HOME
TA program.
The chart below shows the amounts
available in dollars for Local TA by CD–
TA program:
Local TA area
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Local TA
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$75,000
30,000
30,000
300,000
400,000
75,000
170,000
55,000
Homeless
$40,000
30,000
40,000
300,000
275,000
40,000
60,000
40,000
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Local TA area
CHDO
(HOME)
District of Columbia area .................................................................................................................................................
Florida—Southern ............................................................................................................................................................
Florida—Northern ............................................................................................................................................................
Georgia ............................................................................................................................................................................
Hawaii ..............................................................................................................................................................................
Illinois ...............................................................................................................................................................................
Indiana .............................................................................................................................................................................
Kansas and Missouri—Western ......................................................................................................................................
Missouri—Eastern ............................................................................................................................................................
Kentucky ..........................................................................................................................................................................
Louisiana ..........................................................................................................................................................................
Maryland, except District of Columbia area ....................................................................................................................
Massachusetts, Maine, New Hampshire, Rhode Island, Vermont ..................................................................................
Michigan ...........................................................................................................................................................................
Minnesota ........................................................................................................................................................................
Mississippi ........................................................................................................................................................................
Nebraska and Iowa ..........................................................................................................................................................
New Jersey ......................................................................................................................................................................
New Mexico .....................................................................................................................................................................
New York—Downstate .....................................................................................................................................................
New York—Upstate .........................................................................................................................................................
North Carolina ..................................................................................................................................................................
Ohio .................................................................................................................................................................................
Oklahoma .........................................................................................................................................................................
Oregon and Idaho ............................................................................................................................................................
Pennsylvania—Eastern and Delaware ............................................................................................................................
Pennsylvania—Western and West Virginia .....................................................................................................................
South Carolina .................................................................................................................................................................
Tennessee .......................................................................................................................................................................
Texas—Northern ..............................................................................................................................................................
Texas—Southern .............................................................................................................................................................
Virginia, except District of Columbia area .......................................................................................................................
Washington ......................................................................................................................................................................
Wisconsin .........................................................................................................................................................................
50,000
60,000
100,000
75,000
....................
125,000
50,000
75,000
55,000
150,000
50,000
50,000
250,000
225,000
140,000
125,000
40,000
25,000
225,000
482,000
60,000
150,000
116,000
40,000
130,000
75,000
158,000
34,000
150,000
250,000
20,000
80,000
50,000
200,000
1. Demand-Response System
the jurisdictions in which the assistance
will be delivered;
b. Respond to requests for assistance
from the GTR;
c. When requested by a GTR, conduct
a needs assessment to identify the type
and nature of the assistance needed by
the recipient of the assistance;
d. Obtain the local HUD field office’s
approval before responding to direct
requests for technical assistance from
HOME Participating Jurisdictions (PJs),
Community Housing Development
Organizations (CHDOs), and McKinneyVento Act Homeless Assistance and
HOPWA grantees; and
e. For CHDO (HOME) TA providers,
secure a letter from a PJ stating that a
CHDO, or prospective CHDO to be
assisted by the provider, is a recipient
or intended recipient of HOME funds
and indicating, at its option, subject
areas of assistance that are most
important to the PJ.
All CD–TA awardees must operate
within the structure of the demandresponse system. Under the demandresponse system, TA providers are
required to:
a. When requested by a GTR, market
the availability of their services to
existing and potential recipients within
2. Training
When conducting training sessions as
part of its CD–TA activities, CD–TA
providers are required to:
a. Design the course materials as
‘‘step-in’’ packages so that HUD or other
CD–TA providers may independently
conduct the course on their own;
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B. Performance Period. Awards will
be for a period of up to 36 months.
HUD, however, reserves the right to
withdraw funds from a specific TA
provider if HUD determines that the
urgency of need for the assistance is
greater in other field office jurisdictions
or the need for assistance is not
commensurate with the award.
C. Terms of Award. HUD will enter
into a cooperative agreement with
selected applicants for the performance
period. Because CD–TA awards are
made as cooperative agreements,
implementation entails significant HUD
involvement. Significant HUD
involvement is required in all aspects of
TA planning, delivery, and follow-up.
In addition to the requirements listed
in the General Section, selected
applicants are subject to the following
requirements:
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Homeless
50,000
50,000
70,000
50,000
40,000
145,000
25,000
50,000
40,000
40,000
40,000
40,000
200,000
138,000
52,000
50,000
40,000
25,000
50,000
250,000
35,000
40,000
125,000
40,000
30,000
50,000
57,000
40,000
40,000
88,000
40,000
40,000
50,000
55,000
b. Make the course materials available
to the GTR in sufficient time for review
(minimum of three weeks) and receive
concurrence from the GTR on the
content and quality prior to delivery;
c. Provide all course materials in an
electronic format that will permit wide
distribution among TA providers, field
offices, and HUD grantees;
d. Arrange for joint delivery of the
training with HUD participation when
requested by the GTR;
e. Deliver HUD-approved training
courses that have been designed and
developed by others on a ‘‘step-in’’ basis
when requested; and
f. Send trainers to approved ‘‘trainthe-trainers’’ sessions.
3. Field Office Involvement Under
National TA Awards
When National TA providers are
undertaking activities in field office
jurisdictions, the National TA providers
must work cooperatively with HUD
field offices. Providers must notify the
applicable HUD field office of the
planned activities; consider the views or
recommendations of that office, if any;
follow those recommendations, to the
degree practicable; and report to the
applicable field office on the
accomplishments of the assistance.
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III. Eligibility Information
A. Eligible Applicants
The eligible applicants for each of the
five CD–TA programs are listed in the
chart below. In accordance with the
President’s faith-based initiative, HUD
welcomes the participation of eligible
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faith-based and other community
organizations in the CD–TA programs.
Program
Eligible applicants
HOME ..........................
A for-profit or nonprofit professional and technical services company or firm that has demonstrated knowledge of the
HOME program and the capacity to provide technical assistance services;
A HOME Participating Jurisdiction (PJ);
A public purpose organization, established pursuant to state or local legislation, responsible to the chief elected officer
of a PJ;
An agency or authority established by two or more PJs to carry out activities consistent with the purposes of the
HOME program; or
A national or regional nonprofit organization that has membership comprised predominantly of entities or officials of entities of PJs or PJs’ agencies or established organizations.
A public or private nonprofit intermediary organization that customarily provides services, in more than one community,
related to the provision of decent housing that is affordable to low-income and moderate-income persons or related
to the revitalization of deteriorating neighborhoods; has demonstrated experience in providing a range of assistance
(such as financing, technical assistance, construction and property management assistance) to CHDOs or similar organizations that engage in community revitalization; and has demonstrated the ability to provide technical assistance
and training for community-based developers of affordable housing.
Note: Any organization funded to assist CHDOs under CD–TA may not undertake CHDO set-aside activities itself within its service area while under cooperative agreement with HUD.
A state;
A unit of general local government;
A public housing authority; or
A public or private nonprofit or for-profit organization, including educational institutions and area-wide planning organizations.
A for-profit or nonprofit organization;
A state; or
A unit of general local government.
A public or private nonprofit agency that has significant prior experience in the operation of projects similar to the
Youthbuild program and that has the capacity to provide effective technical assistance.
CHDO (HOME) ...........
Homeless ....................
HOPWA .......................
Youthbuild ...................
Applicants must also meet the
threshold requirements of the General
Section, including the Civil Rights
threshold in Section III (C).
A consortium of organizations may
apply for one or more CD–TA programs,
but one organization must be designated
as the applicant.
Applicants may propose assistance
using in-house staff, sub-contractors,
sub-recipients, and local organizations
with the requisite experience and
capabilities. Where appropriate,
applicants should make use of TA
providers located in the field office
jurisdiction receiving services.
B. Cost Sharing or Matching
None.
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C. Other
1. Eligible Activities and Priorities
Funds may be used to provide TA to
grantees, prospective applicants, and
project sponsors of the HOME, CHDO
(HOME), Homeless, HOPWA, and
Youthbuild programs. The TA activities
may include but are not limited to
written information such as papers,
manuals, guides, and brochures;
assistance to individual communities;
needs assessments; and training. The
priority TA areas for each of the five
program areas are:
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a. HOME TA. HUD has identified four
HOME program technical assistance
priorities. These priorities that result in
measurable performance outputs and
outcomes are:
(1) Improve the ability of PJs to design
and implement housing programs that
reflect sound underwriting,
management, and fiscal controls;
demonstrate measurable outcomes in
the use of public funds; and provide
accurate and timely reporting of HOME
program accomplishments.
(2) Encourage public-private
partnerships that yield an increase in
the amount of private dollars leveraged
for HOME-assisted projects and result in
an increase in the commitment and
production of HOME-assisted units.
(3) Assist PJs in developing strategies
that ameliorate the affordability gap
between rapidly increasing housing
costs and the less rapid growth in
incomes among low-income
households, especially among
underserved populations (e.g., residents
of the Colonias, homeless persons,
persons with disabilities, and residents
of an empowerment zone (EZ)
designated by HUD or the United States
Department of Agriculture (USDA), an
urban or rural renewal community
designated by HUD (RC), or an
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enterprise community designated in
round II by USDA (EC–II).
(4) Assist PJs in developing strategies
that increase and help sustain
homeownership opportunities for lowincome households—particularly lowincome, minority households—and
directly result in the commitment and
completion of HOME-assisted units.
Some examples of measurable
performance outputs and outcomes are
given in Rating Factor 4.
b. CHDO (HOME) TA (1) HUD has
identified three CHDO-specific
technical assistance priorities. These
priorities that result in measurable
performance outputs and outcomes are:
(a) Assist new CHDOs and potential
CHDOs in developing the organizational
capacity to own, develop, and sponsor
HOME-assisted projects. A new CHDO
is defined as a nonprofit organization
that within three years of the
publication of this NOFA was
determined by a PJ to qualify as a
CHDO. A potential CHDO is defined as
a nonprofit organization that is expected
by the PJ to qualify as a CHDO and is
expected to enter into a written
agreement with that PJ to own, develop,
or sponsor HOME-assisted housing
within 24 months of the PJ determining
the organization qualifies as a CHDO.
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(b) Improve the HOME program
production and performance of existing
CHDOs in the areas of:
(i) Program design and management,
including underwriting, project
financing, property management, and
compliance; and
(ii) Organizational management and
capacity, including fiscal controls,
board development, contract
administration, and compliance
systems.
(c) Provide organizational support,
technical assistance, and training to
community groups for the establishment
of community land trusts, as defined in
section 233(f) of the Cranston-Gonzales
National Affordable Housing Act.
(2) Additional CHDO (HOME) eligible
activities are:
(a) Under the ‘‘Pass-Through’’
provision, CD–TA providers may
propose to fund various operating
expenses for eligible CHDOs that own,
develop, or sponsor HOME-assisted
housing. Such operating expenses may
include reasonable and necessary costs
for the operation of the CHDO including
salaries, wages, and other employee
compensation and benefits; employee
education, training and travel; rent;
utilities; communication costs; taxes;
insurance; equipment, materials, and
supplies.
(b) CD–TA providers must establish
written criteria for selection of CHDOs
receiving pass-through funds. PJs must
designate the organizations as CHDOs;
and, generally, the organizations should
not have been in existence more than
three years.
CD–TA providers must enter into an
agreement with the CHDO that the
agreement and pass-through funding
may be terminated at the discretion of
HUD if no written legally binding
agreement to provide assistance for a
specific housing project (for acquisition,
rehabilitation, new construction, or
tenant-based rental assistance) has been
made by the PJ with the CHDO within
24 months of initially receiving passthrough funding. The pass-through
amount, when combined with other
capacity building and operating support
available through the HOME program,
cannot exceed the greater of 50 percent
of the CHDO’s operating budget for the
year in which it receives funds, or
$50,000 annually.
c. Homeless TA. Homeless TA funds
are available to provide McKinneyVento Homeless Assistance Act, HUDfunded grantees, project sponsors, and
potential recipients with skills and
knowledge needed to develop and
operate projects and activities. The
assistance may include, but is not
limited to, developing and
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disseminating written information such
as papers, monographs, manuals,
curriculums, guides, and brochures; and
person-to-person exchanges,
conferences, training and use of
technology. TA activities are focused on
these priorities that result in measurable
performance outputs and outcomes:
(1) Continue the integration of the
Technical Assistance Catalog and the
Homelessness Resource Exchange
through the development of new
materials and dissemination of
curriculums for defined audiences
including existing technical assistance
materials and newly created technical
assistance materials. All curriculum
dissemination may include training,
conferences, and use of technology, as
well as written materials.
(2) Develop curriculums to improve
Continuum of Care (CoC) governance,
development, organizational capacity,
planning, and five-year renewal burden
assessment, and to assist in developing
strategies to eliminate chronic
homelessness and increase access to
mainstream services for homeless
persons.
(3) Assist CoCs with Homeless
Management Information System
(HMIS) implementation. National
technical assistance will relate to data
collection, data quality, data analysis,
provider participation, reporting,
performance measurement, data
warehousing, and HMIS Data and
Technical Standards.
(4) Maintain and enhance the HMIS
website portal as the vehicle for
collection and dissemination of HMIS
information. (5) Support collaboration
between metropolitan, regional and
statewide HMISs. Assistance may
include providing state and/or regional
HMIS technical assistance coordinators
and/or technology to promote
effectuating long-distance meeting,
conferencing and networking. (6)
Support collaboration between
metropolitan, regional, and statewide
HMISs for use in disaster preparedness
and recovery efforts, utilizing the
experience of communities that
experienced Hurricanes Katrina and
Rita.
(7) Improve participation in the
Annual Homeless Assessment Report
(AHAR) by CoCs and providers in their
geographic areas through outreach and
capacity building. Develop materials
and training for: Reporting bed
coverage; extrapolation and data
analysis methodologies and documents;
data integration; data quality
assessments; utilization of AHAR data at
the program and/or CoC level; and the
collection and analysis of CoC data for
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Congressionally-directed HMIS-related
reports to Congress.
(8) Develop curriculums for grantees
and project sponsors on implementing
and achieving long-term performance
outcome measures that promote housing
stability, reduce the risk of
homelessness, and improve access to
mainstream systems of care.
(9) Develop curriculums on program
requirements and monitoring standards
for McKinney-Vento Act funded grant
recipients, including sound fiscal and
financial management practices,
assessment of sub-recipients and
activities, and reporting in IDIS and via
Annual Progress Reports.
(10) Develop curriculums to improve
the ability of grantees to establish
comprehensive housing development
strategies for homeless persons through
collaborative public and private
partnerships. Such curriculums may
include educational components on the
availability and use of tax incentive
programs that increase access to private
capital (e.g., Low Income Housing Tax
Credit, the Historic Preservation
Investment Tax Credit, Renewal
Communities and Empowerment Zones
tax incentives, and New Markets Tax
Credit).
(11) Develop curriculums for
homelessness prevention strategies,
including discharge planning.
(12) Assist CoC applicants with
understanding the Grants.gov
registration and application submission
process so they are prepared to submit
electronic applications in 2007 and
assist HUD in increasing the number of
McKinney Vento applicants fully
registered at Grants.gov.
(A person experiencing chronic
homelessness is defined as an
unaccompanied individual with a
disabling condition who has been
continuously homeless for a year or
more or has experienced four or more
sustained episodes of homelessness over
the last three years.)
d. HOPWA TA. HOPWA funds are
available for technical assistance,
training, and oversight activities which
can be used to provide grantees, project
sponsors, and potential recipients with
the skills and knowledge to effectively
develop, operate, and support HOPWAeligible project activities that result in
measurable performance outputs and
outcomes. TA activities are focused on
these priorities:
(1) Improve the ability of state and
local governments to develop
comprehensive and coordinated
housing strategies in identifying and
addressing the housing needs of low
income persons living with HIV/AIDS
that promote housing stability which
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reduces the risk of homelessness and
improves access to healthcare and other
needed support.
(2) Develop national models that
effectively integrate AIDS housing
strategies into consolidated planning
and Continuum of Care planning
processes.
(3) Facilitate the development of
collaborative endeavors that coordinate
mainstream resources including federal
HOPWA and Ryan White CARE Act
resources, state, local, private, and
philanthropic grant resources that
promote the sustainability of permanent
supportive housing, and develop
regional training sessions that educate
and instruct AIDS housing providers in
implementing these collaborative
efforts.
(4) Develop creative housing models
that address the housing and supportive
service needs of chronically homeless
individuals and those who are multiple
diagnosed living with HIV/AIDS, and
that provide emergency and transitional
housing that results in the provision of
permanent supportive housing.
(5) Develop written materials that
promote the utilization and
coordination of Homeless Management
Information Systems in the provision of
HOPWA-assisted housing and
supportive services for homeless
persons.
(6) Develop technical assistance plans
in collaboration with HUD field office
oversight for local HOPWA-assisted
housing programs. It is estimated that
up to 40 percent of HOPWA TA funds
will be made available for this purpose.
(7) Develop a strategy to facilitate
implementation of the HUD-IRS
agreement that promotes the Earned
Income Tax Credit. Disseminate
information that will enable HOPWA
grantees and AIDS housing and service
organizations to assist low-income
persons in receiving the financial
savings on their annual taxes.
e. Youthbuild TA. Youthbuild TA
funds are available to provide
appropriate training, information, and
technical assistance to federally funded
Youthbuild programs and to assist HUD
in the management, supervision, and
coordination of such Youthbuild
programs. If the youth population
includes persons who are limited
English proficient, instructional
materials for distribution may need to
be translated in other languages than
English. If translated documents are
unavailable, oral interpreters should be
provided during on-site and telephone
assistance and while conducting
training. TA activities that result in
measurable performance outputs and
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outcomes are focused on the following
priorities:
(1) Improve the management and
implementation of Youthbuild programs
by providing on-site and telephone
assistance, preparing appropriate
instruction materials, and conducting
training workshops on key aspects of
the Youthbuild program.
(2) Improve Youthbuild program
applications by providing assistance to
eligible applicants in the preparation of
their grant applications, giving priority
to community-based organizations in
the provision of this assistance.
(3) Strengthen Youthbuild program
design by facilitating peer-to-peer
assistance for Youthbuild grantee staff
and disseminating best program
practices that are identified through
training workshops, peer-to-peer
assistance, and on-site TA.
(4) Assist HUD in the management,
supervision, and coordination of
Youthbuild programs by preparing
handbooks or printed materials to
provide guidance to Youthbuild
grantees and by collecting and analyzing
performance evaluation data from
Youthbuild grantees.
(5) Assist Youthbuild applicants with
understanding the Grants.gov
registration and application submission
process so they are prepared to submit
electronic applications and assist HUD
in increasing the number of applicants
fully registered at Grants.gov.
2. DUNS Requirement
Refer to the General Section for
information regarding the DUNS
requirement. Applicants need to obtain
a DUNS number to receive an award
from HUD.
3. Other Eligibility Requirements
All applicants requesting funding
from programs under this NOFA must
be in compliance with the applicable
threshold requirements found in the
General Section. Applicants that do not
meet these requirements will be
ineligible for funding.
4. False Statements
An applicant’s false statement in an
application is grounds for denial or
termination of an award and grounds for
possible punishment as provided in 18
U.S.C. 1001.
5. Environmental Review
Most activities under the CD–TA
program are categorically excluded and
not subject to environmental review
under 24 CFR 50.19(b)(9) or (13), but in
the case of CHDO (HOME) TA eligible
activities, a proposal for payment of rent
as part of CHDO operational costs will
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be subject to environmental review by
HUD under 24 CFR part 50. If an
applicant proposes to assist CHDO
operating expenses that include rent,
the application constitutes an assurance
that the applicant and CHDO will assist
HUD to comply with 24 CFR part 50;
will supply HUD with all available and
relevant information to perform an
environmental review for the proposed
property to be rented; will carry out
mitigating measures required by HUD or
select an alternate property; and will not
lease or rent, construct, rehabilitate,
convert or repair the property, or
commit or expend HUD or non-HUD
funds for these activities on the property
to be rented, until HUD has completed
an environmental review to the extent
required by 24 CFR part 50. The results
of the environmental review may
require that the proposed property be
rejected.
IV. Application and Submission
Information
A. Addresses to Request Application
Package. Applications must be received
and validated by Grants.gov no later
than 11:59:59 PM Eastern time on the
application due date of May 18, 2006.
HUD must receive paper copy
applications from applicants that
received a waiver no later than 11:59:59
PM on the application deadline date.
See the General Section for application
submission and timely receipt
procedures and for instructions on how
to request a waiver. Paper applications
will not be accepted unless the
applicant has received a waiver of the
electronic submission requirement.
B. Content and Form of Application
Submission. Applicants must submit a
separate application for each National
TA and Local TA area program for
which they are applying. For example,
an applicant for National TA for HOME
and for Local TA in three field office
jurisdictions would submit four separate
and distinct applications.
A completed application consists of
an application submitted by an
authorized official of the organization
and contains all relevant sections of the
application, as shown in the checklist
below in Section IV.B.4.
1. Number of Copies
See General Section. This information
will be included in approval letters to
applicants submitting a waiver request.
2. Page Limitation
Narratives addressing Factors 1–5 are
limited to no more than 25 typed pages.
That is, reviewers will not review more
than 25 pages for all five factors
combined, except that the page limit
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does not include the Form HUD–96010,
Logic Model.
3. Prohibition on Materials Not
Required
Materials other than what is requested
in this NOFA are prohibited. Reviewers
will not consider resumes, charts,
letters, or any other documents attached
to the application.
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4. Checklist for Application Submission
Applicants submitting electronic
copies should follow the procedures in
Section IV.F. of the General Section.
The following checklist is provided as a
guide to help ensure that you submit all
the required elements. For applicants
receiving a waiver of the electronic
submission, the paper submission must
be in the order provided below. All
applicants should enter the applicant
name, DUNS number, and page
numbers on the narrative pages of the
application.
—SF–424, Application for Federal
Assistance (from General Section)
—An Application Cover Page indicating
in bold (a) the type of TA proposed
in the application whether HOME
National, CHDO National, CHDO
Local, Homeless National, Homeless
Local, HOPWA National, or
Youthbuild National; (b) the amount
of funds requested; and (c) for Local
TA, the jurisdiction proposed in the
application.
—A one-page Summary describing (a)
each major component of the
proposed TA approach; (b) the
proposed cost of each major
component; and (c) whether the
component is integrally related to
another component in order to be
successful.
—Narrative addressing Factors 1–5
—HUD–96010, Logic Model
—HUD–424–CB, Grant Application
Detailed Budget Form (from General
Section)
—HUD–424–CBW, Detailed Budget
Worksheet for Non-Construction
Projects (from General Section)
—If applying for CHDO (HOME) TA,
statement as to whether the
organization proposes to pass through
funds to new CHDOs.
—If applying for the CHDO (HOME) TA,
a certification as to whether the
organization qualifies as a primarily
single-state provider under section
233(e) of the Cranston-Gonzales
Affordable Housing Act.
—SF–LLL, Disclosure of Lobbying
Activities (from General Section)
—HUD–2880, Applicant/Recipient
Disclosure/Update Report (from
General Section)
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—SF–424, Supplement, Survey on
Equal Opportunity for Applicants
—HUD–96011, FacsimileTransmittal
(required for electronic submissions
of third party documents)
C. Submission Dates and Times. The
application submission date is May 18,
2006.
D. Intergovernmental Review.
Intergovernmental review is not
applicable to CD–TA applications.
E. Funding Restrictions. An
organization may not provide assistance
to itself. An organization may not
provide assistance to another
organization with which it contracts or
sub-awards funds to carry out activities
under the TA award.
Funding from HOME and from CHDO
(HOME) TA to any single eligible
organization (excluding funds for
organizational support and housing
education ‘‘passed through’’ to CHDOs),
whether as an applicant or sub-recipient
is limited to not more than 20 percent
of the operating budget of the recipient
organization for any one-year period of
each cooperative agreement. In addition,
funding under either HOME or CHDO
(HOME) TA to any single organization
is limited to 20 percent of the
$9,900,000 made available for HOME
and CHDO (HOME) TA in FY2006.
Not less than 40 percent of the
approximately $7,920,000 for CHDO
(HOME) shall be made available for
eligible TA providers that have worked
primarily in one state. HUD will
consider an applicant as a primarily
single state TA provider if it can
document that more than 50 percent of
its past activities in working with
CHDOs or similar nonprofit and other
organizations (on the production of
affordable housing, revitalization of
deteriorating neighborhoods, and /or the
delivery of technical assistance to these
groups) was confined to the geographic
limits of a single state.
No fee or profit may be paid to any
recipient or sub-recipient of an award
under this CD–TA NOFA.
F. Other Submission Requirements.
The General Section describes
application submission procedures and
how applicants may obtain proof of
timely submission.
V. Application Review Information
A. Criteria. The maximum number of
points to be awarded for a CD–TA
application is 100. The minimum score
for an application to be considered for
funding is 75 with a minimum of 20
points on Factor 5. The CD–TA program
is not subject to bonus points, as
described in the General Section.
Points are assigned on five factors.
When addressing Factors 1–4,
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applicants should discuss the specific
TA activities that will be carried out
during the term of the cooperative
agreement. Applicants should provide
relevant examples to support the
proposal, where appropriate. Applicants
should also be specific when describing
the communities, populations, and
organizations that they propose to serve
and the specific outcomes expected as a
result of the TA.
Factor 5 relates to the capacity of the
applicant and its relevant organizational
experience. Rating of the ‘‘applicant’’ or
the ‘‘applicant’s organization and staff’’
includes in-house staff and any subcontractors and sub-recipients which
are firmly committed to the project. In
responding to Factor 5, applicants
should specify the experience,
knowledge, skills, and abilities of the
applicant’s organization and staff, and
any persons and organizations firmly
committed to the project.
1. Rating Factor 1: Need/Extent of the
Problem (10 Points)
a. For National TA applications:
Sound and extensive understanding of
need for TA in relation to the priorities
listed in Section III C of this NOFA as
demonstrated by objective information
and/or data, such as information from
HOME Snapshots, current census data,
the American Housing Survey, or other
relevant data sources.
b. For Local TA applications: Sound
and extensive understanding of high
priority needs for TA in the jurisdiction
as demonstrated by objective
information and/or data, such as
information from HOME Snapshots,
current census data, the American
Housing Survey, or other relevant data
sources.
In rating this factor, HUD will
evaluate the extent to which the
application demonstrates an
understanding of the specific needs for
TA and supports the description of need
with reliable, program-specific,
quantitative information. Applicants for
HOME should, at a minimum, draw on
HOME Snapshot information to
demonstrate PJs’ needs, in an area or
nationwide, for additional training and
capacity building. See https://
www.hud.gov/offices/cpd/
affordablehousing/programs/home/
snapshot/index.cfm.
2. Rating Factor 2: Soundness of
Approach (40 Points)
a. (25 points) (1) For National TA
applications: A sound approach for
addressing the need for eligible TA
activities in relation to the priorities
listed in Section III C of this NOFA that
will result in positive outcomes.
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(2) For Local TA applications: A
sound approach for addressing high
priority needs for TA in the jurisdiction
that will result in positive outcomes.
In rating this factor, HUD will
evaluate the extent to which the
application presents and supports a
detailed, feasible, practical approach for
addressing TA needs (Local TA
applications) or CD–TA program
priorities (National TA applications),
including techniques, timeframes, goals,
and intended beneficiaries, and the
likelihood that these activities will
result in positive outcomes.
b. (10 points) A feasible work plan for
designing, organizing, managing, and
carrying out the proposed TA activities
under the demand-response system.
In rating this factor, HUD will
evaluate the applicant’s understanding
of the demand-response system and the
extent to which the application
demonstrates the efficiency of proposed
activities.
c. (5 points) An effective assistance
program to specific disadvantaged
communities, populations, and/or
organizations which previously have
been underserved and have the
potential to participate in the CD–TA
program (such as the Colonias, an
empowerment zone (EZ) designated by
HUD or the United States Department of
Agriculture (USDA), an urban or rural
renewal community designated by HUD
(RC), an enterprise community
designated in round II by USDA (EC–II),
or homeless persons and persons with
disabilities).
In rating this factor, HUD will
evaluate the extent to which the
applicant has identified specific
disadvantaged or previously
underserved communities, populations,
and organizations and has developed an
effective strategy for engaging their
participation in the HOME, CHDO
(HOME), Homeless, HOPWA, or
Youthbuild program, as applicable.
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3. Rating Factor 3: Leveraging Resources
(10 Points)
An efficient practical method to
transfer manuals, guides, assessment
forms, other work products, models, and
lessons learned in its CD–TA activities
to other CD–TA grantees and/or HOME,
CHDO (HOME), Homeless, HOPWA, or
Youthbuild program beneficiaries.
In rating this factor, HUD will
evaluate the extent to which the
application demonstrates a costeffective means of sharing resources
developed under the CD–TA activities
with a wide audience, including sharing
information with other TA providers in
the CD–TA program.
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4. Rating Factor 4: Achieving Results
and Program Evaluation (10 Points)
a. (5 points) An effective, quantifiable
evaluation plan for measuring
performance using the Logic Model with
specific outcome measures and
benchmarks, including—for HOME
applicants—performance improvements
as measured by the HOME Snapshot
indicators.
In rating this factor, HUD will
evaluate the extent to which the
application has an evaluation plan that
includes outcomes and is specific,
measurable, and appropriate in relation
to the activities proposed.
b. (5 points) Successful past
performance in administering HUD CD–
TA programs or, for applicants new to
HUD’s CD–TA Programs, successful past
performance in providing TA in other
community development programs.
Applicants should include, as
applicable, increases in CPD or
community development program
accomplishments as a result of TA (e.g.,
number of homeless people or persons
with HIV/AIDS receiving housing and
services, efficiency or effectiveness of
administration of CPD or community
development programs, number of
affordable housing units, HOME
Snapshot indicators, timeliness of use of
CPD or community development
program funds).
In rating this factor, HUD will
evaluate the extent to which the
application demonstrates successful
past performance that was timely and
resulted in positive outcomes in the
delivery of community development
TA. HUD will also consider past
performance of current CD–TA
providers, including financial and other
information in HUD’s files.
5. Rating Factor 5: Capacity of the
Applicant and Relevant Organizational
Experience (30 Points) (Minimum for
Funding Eligibility—20 Points)
a. (10 points) Recent and successful
experience of the applicant’s
organization in providing TA in eligible
activities and to eligible entities for the
HOME, CHDO (HOME), Homeless,
HOPWA, or Youthbuild CD–TA
programs, as applicable.
In rating this factor, HUD will
consider the extent to which the
application demonstrates successful
experience within the last four years of
providing TA related to the applicable
CD–TA program.
b. (10 points) Depth of experience in
managing multiple TA tasks, to multiple
entities, and in more than one
geographic area.
In rating this factor, HUD will
consider the extent to which the
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application demonstrates ability to
manage TA assignments effectively.
c. (10 points) Knowledgeable key
personnel skilled in providing TA in
one or more of the eligible activities for
HOME, CHDO (HOME), Homeless,
HOPWA, and/or Youthbuild programs,
as applicable; a sufficient number of
staff or ability to procure qualified
experts or professionals with the
knowledge, skills, and abilities to
deliver the proposed level of TA in the
proposed service area in a timely and
effective fashion; and an ability to
provide CD–TA in a geographic area
larger than a single city or county.
In rating this factor, HUD will
consider the extent to which the
application demonstrates the
organization has an adequate number of
key staff or ability to procure
individuals with the knowledge of
effective TA approaches and knowledge
of HOME, CHDO (HOME), Homeless,
HOPWA, or Youthbuild program, as
applicable.
B. Review and Selection Process
1. Review Types
Two types of reviews will be
conducted. First, HUD will review each
application to determine whether it
meets threshold eligibility requirements.
Second, HUD will review and assign
scores to applications using the Factors
for Award noted in Section V.A.
2. Rank Order
a. Once rating scores are assigned,
rated applications submitted for each
National TA program and for each Local
TA program will be listed in rank order.
Applications within the fundable range
(score of 75+ points with 20+ points for
Factor 1) may then be funded in rank
order under the CD–TA program and
service area for which they applied.
b. For purposes of coordinating
activities on a national basis, HUD
reserves the right to select a single
national provider to carry out activities,
as follows:
(1) One for HOPWA technical
assistance activities, including national
products and local support;
(2) One for Continuum of Care
technical assistance activities that
primarily focus on HMIS support;
(3) One for HOME and one for CHDO
technical assistance activities.
3. Threshold Eligibility Requirements
All applicants requesting CD–TA
must be in compliance with the
applicable threshold requirements
found in the General Section and the
eligibility requirements listed in Section
III of this NOFA in order to be reviewed,
scored, and ranked. Applications that
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do not meet these requirements and
applications that were received after the
submission deadline (see Section IV.F of
the General Section) will be considered
ineligible for funding.
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4. Award Adjustment
In addition to the funding adjustment
authority provided for in the General
Section, HUD reserves the right to adjust
funding amounts for each CD–TA
selectee. The amounts listed in the
charts in Section II.A are provided to
assist applicants to develop Local TA or
National TA budgets and do not
represent the exact amounts to be
awarded. Once TA applicants are
selected for award, HUD will determine
the total amount to be awarded to any
selected applicant based upon the size
and needs of each of the selected
applicant’s service areas, the funds
available for that area and CD–TA
program, the number of other CD–TA
applicants selected in that area or CD–
TA program, and the scope of the TA to
be provided.
Additionally, HUD may reduce the
amount of funds allocated for field
office jurisdictions to fund National CD–
TA providers and other CD–TA
providers for activities that cannot be
fully budgeted for or estimated by HUD
Headquarters or field offices at the time
this NOFA was published. HUD may
also require selected applicants, as a
condition of funding, to provide
coverage on a geographically broader
basis than proposed in order to
supplement or strengthen the CD–TA
network in terms of the size of the area
covered and types and scope of TA
proposed.
If funds remain after all selections
have been made, the remaining funds
may be distributed among field offices
for Local TA and/or used for National
TA, or made available for other CD–TA
program competitions.
VI. Award Administration Information
A. Award Notices. HUD will send
written notifications to both successful
and unsuccessful applicants. A
notification sent to a successful
applicant is not an authorization to
begin performance.
After selection, HUD requires that all
selected applicants participate in
negotiations to determine the specific
terms of the cooperative agreement,
including the budget. Costs may be
denied or modified if HUD determines
that they are not allowable, allocable,
and/or reasonable. In cases where HUD
cannot successfully conclude
negotiations with a selected applicant or
a selected applicant fails to provide
HUD with requested information, an
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award will not be made to that
applicant. In this instance, HUD may
offer an award, and proceed with
negotiations with the next highestranking applicant.
After selection for funding but prior to
executing the cooperative agreement,
the selected applicant must develop in
consultation with the GTR, a Technical
Assistance Delivery Plan (TADP) for
each National TA award. The TADP
must be approved by the GTR and
delineate the tasks for each CD–TA
program the applicant will undertake
during the performance period. For
Local TA awards and generally for
National TA awards, prior to
undertaking individual tasks, the
selected applicant must develop in
consultation with the GTR a Work Plan
for specific activities. The TADP and the
Work Plans must specify the location of
the proposed CD–TA activities, the
amount of CD–TA funding and
proposed activities by location, the
improved program performance or other
results expected from the CD–TA
activities, and the methodology to be
used for measuring the success of the
CD–TA. A detailed time schedule for
delivery of the activities, budget
summary, budget-by-task, and staffing
plan must be included in the TADP and
Work Plans.
After selection, but prior to award,
applicants selected for funding will be
required to provide HUD with their
written Code of Conduct if they have
not previously done so and it is
recorded on the HUD Web site at
https://www.hud.gov/offices/adm/grants/
codeofconduct/sconduct.cfm.
B. Administrative and National Policy
Requirements. After selection for
funding but prior to award, applicants
must submit financial and
administrative information to comply
with applicable requirements. These
requirements are found in 24 CFR part
84 for all organizations except states and
local governments whose requirements
are found in 24 CFR Part 85. Cost
principles requirements are found at
OMB Circular A–122 for nonprofit
organizations, OMB Circular A–21 for
institutions of higher education, OMB
Circular A–87 for states and local
governments, and at 48 CFR 31.2 for
commercial organizations. Applicants
must submit a certification from an
Independent Public Accountant or the
cognizant government auditor, stating
that the applicant’s financial
management system meets prescribed
standards for fund control and
accountability.
See the General Section for
requirements for Procurement of
Recovered Materials.
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The requirements to Affirmatively
Further Fair Housing do not apply.
C. Reporting. CD–TA awardees will be
required to report to the GTR on, at a
minimum, a quarterly basis unless
otherwise specified in the cooperative
agreement. As part of the required
report to HUD, grant recipients must
include a completed Logic Model (HUD
96010), which identifies output and
outcome achievements.
VII. Agency Contacts
A. For Assistance. Applicants may
contact HUD Headquarters at 202–708–
3176, or they may contact the HUD field
office serving their area shown in
Section VII.C. Persons with hearing and
speech challenges may access the above
numbers via TTY (text telephone) by
calling the Federal Relay Service at 800–
877–8339 (this is a toll-free number).
Information may also be obtained
through the HUD website on the
Internet at https://www.hud.gov.
B. List of Field Office Addresses.
Applicants that receive a waiver of the
electronic application submission
requirements and need to submit copies
of their application to HUD field offices
should consult the following website for
a listing of the HUD field office
addresses to send Local TA
applications: https://www.hud.gov/
offices/cpd/about/staff/fodirectors/
index.cfm.
At the site, the map allows the user
to click on an area to obtain the field
office address and other contact
information.
VIII. Other Information
A. Paperwork Reduction Act. The
information collection requirements
contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
numbers 2506–0166 and 2506–0133. In
accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 60 hours for the application and
grant administration. This includes the
time for collecting, reviewing, and
reporting the data. The information will
be used for grantee selection and
monitoring the administration of funds.
Response to this request for information
is required in order to receive the
benefits to be derived.
B. HUD Reform Act. The provisions of
the HUD Reform Act of 1989 that apply
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to the CD–TA program are explained in
the General Section.
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Federal Register / Vol. 71, No. 45 / Wednesday, March 8, 2006 / Notices
Community Development Block Grant
Program for Indian Tribes and Alaska
Native Villages
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of the Assistant Secretary for
Public and Indian Housing, Office of
Native American Programs.
B. Funding Opportunity Title:
Community Development Block Grant
(ICDBG) Program for Indian Tribes and
Alaska Native Villages.
C. Announcement Type: Initial
Announcement.
D. Funding Opportunity Number: The
Federal Register number is FR 5030–N–
02. The OMB approval number is 2577–
0191.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): The
Catalog of Federal Assistance (CFDA)
Number for the Indian Community
Development Block Grant program is
14.862.
F. Dates: Application Deadline: The
application submission date is May 31,
2006.
G. Optional, Additional Overview
Content Information:
1. Applicants for funding should
carefully review the requirements
identified in this NOFA and the General
Section. Unless otherwise stated in this
NOFA, the requirements of the General
Section apply.
2. The total approximate amount of
funding available for the ICDBG
program for FY2006 is $59,400,000 less
$3,960,000 retained to fund Imminent
Threat Grants, for a total of $55,440,000.
Funds that are carried over from
previous fiscal years or are recaptured
may also be used for grant awards under
this NOFA.
3. Eligible applicants are Indian tribes
or tribal organizations on behalf of
Indian tribes. Specific information on
eligibility is located in Section III.A. of
this NOFA.
Full Text of Announcement
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I. Funding Opportunity Description
A. General. Title I of the Housing and
Community Development Act of 1974,
which authorizes Community
Development Block Grants, requires that
grants for Indian tribes be awarded on
a competitive basis. All grant funds
awarded in accordance with this NOFA
are subject to the requirements of 24
CFR part 1003. Applicants within an
Area Office of Native American
Program’s (ONAP) geographic
jurisdiction compete only against each
other for that Area ONAP’s allocation of
funds.
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B. Authority. The authority for this
program is Title I of the Housing and
Community Development Act of 1974
(42 U.S.C. 5301 et seq.) and the program
regulations in 24 CFR part 1003.
C. Program Description. The purpose
of the Community Development Block
Grant Program for Indian Tribes and
Alaska Native Villages (ICDBG) is the
development of viable Indian and
Alaska Native communities, including
the creation of decent housing, suitable
living environments, and economic
opportunities primarily for persons with
low- and moderate-incomes as defined
in 24 CFR 1003.4. The ONAP in HUD’s
Office of Public and Indian Housing
administers the program.
Projects funded by the ICDBG
program must meet the primary
objective, defined at 24 CFR 1003.2, to
principally benefit low- and moderateincome persons. Consistent with this
objective, not less than 70 percent of the
expenditures of each single purpose
grant shall be for activities which meet
the regulatory criteria at 24 CFR
1003.208 for:
1. Area Benefit Activities.
2. Limited Clientele Activities.
3. Housing Activities.
4. Job Creation or Retention Activities.
ICDBG funds may be used to improve
housing stock, provide community
facilities, improve infrastructure, and
expand job opportunities by supporting
the economic development of the
communities, especially by nonprofit
tribal organizations or local
development corporations.
ICDBG single-purpose grants are
distributed as annual competitive
grants, in response to this NOFA.
ICDBG imminent threat grants are
intended to alleviate or remove threats
to health or safety that require an
immediate solution as described at 24
CFR part 1003, subpart E. The problem
to be addressed must be such that an
emergency situation exists or would
exist if the problem were not addressed.
You do not have to submit a request
for imminent threat funds by the
deadline established in this NOFA. The
deadline applies only to applications
submitted for assistance under 24 CFR
part 1003, subpart D, single purpose
grants. Imminent threat requests may be
submitted at any time after NOFA
publication, and if the following criteria
are met, the request may be funded until
the amount set aside for this purpose is
expended:
1. Independent verification from a
third party (i.e., Indian Health Service,
Bureau of Indian Affairs) of the
existence, immediacy and urgency of
the threat must be provided;
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2. The threat must not be recurring in
nature, i.e., it must represent a unique
and unusual circumstance that has been
clearly identified by the tribe or village;
3. The threat must affect or impact an
entire service area and not solely an
individual family or household; and
4. It must be established that funds
are not available from other local, state,
or Federal sources to address the
problem. The tribe or village must verify
that Federal or local agencies that would
normally provide assistance for such
improvements have no funds available
by providing a written statement to that
effect. The tribe or village must also
verify in the form of a tribal council
resolution (or equivalent) that it has no
available funds, including Indian
Housing Block Grant Funds, for this
purpose.
If, in response to a request for
assistance, an Area ONAP issues you a
letter to proceed under the authority of
24 CFR 1003.401(a), then your
application must be submitted to and
approved by the Area ONAP before a
grant agreement may be executed.
Contact your Area ONAP office for more
information on imminent threat.
D. Definitions Used in this NOFA.
1. Adopt. To approve by formal tribal
resolution.
2. Document. To supply supporting
written information and/or data in the
application that satisfies the NOFA
requirement. Documentation should
clearly and concisely support your
response to the rating factor.
3. Entity Other than Tribe. A
distinction is made between the
requirements for point award under
Rating Factor 3 if a tribe or an entity
other than the tribe will assume
maintenance and related responsibilities
for projects other than economic
development and land acquisition to
support new housing. Entities other
than the tribe must have the following
characteristics: (a) Must be legally
distinct from the tribal government; (b)
their assets and liabilities cannot be
considered to be assets and liabilities of
the tribal government; (c) claims against
such entities cannot be made against the
tribal government; and (d) must have
governing boards, boards of directors, or
groups or individuals similar in
function and responsibility to such
boards which are separate from the
tribe’s general council, tribal council, or
business council, as applicable.
4. Homeownership Assistance
Programs. Tribes may apply for
assistance to provide direct
homeownership assistance to low- and
moderate-income households to: (a)
Subsidize interest rates and mortgage
principal amounts for low- and
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moderate-income homebuyers; (b)
finance the acquisition by low- and
moderate-income homebuyers of
housing that is occupied by the
homebuyers; (c) acquire guarantees for
mortgage financing obtained by lowand moderate-income homebuyers from
private lenders (except that ICDBG
funds may not be used to guarantee
such mortgage financing directly, and
grantees may not provide such
guarantees directly); (d) provide up to
50 percent of any down payment
required from a low- and moderateincome homebuyer; or (e) pay
reasonable closing costs (normally
associated with the purchase of a home)
incurred by a low-or moderate-income
homebuyer.
5. Leveraged Resources. Leveraged
resources are resources that you will use
in conjunction with ICDBG funds to
achieve the objectives of the project.
Leveraged resources include, but are not
limited to: tribal trust funds; loans from
individuals or organizations; business
investments; private foundations; state
or federal loans or guarantees; other
grants; and non-cash contributions and
donated services. (See Rating Factor 4
for documentation requirements for
leveraged resources.)
6. Microenterprise Programs. Tribes
may apply for assistance to operate
programs to fund the development,
expansion, and stabilization of
microenterprises. Microenterprises are
defined as commercial entities with five
or fewer employees, including the
owner. Microenterprise program
activities may entail the following
assistance to eligible businesses: (a)
Providing credit, including, but not
limited to, grants, loans, loan
guarantees, and other forms of financial
support for the establishment,
stabilization, and expansion of
microenterprises; (b) providing
technical assistance, advice, and
business support services to owners of
microenterprises and persons
developing microenterprises; and (c)
providing general support, including,
but not limited to, peer support
programs, counseling, child care,
transportation, and other similar
services to owners of microenterprises
and persons developing
microenterprises.
7. Operations and Maintenance
(O&M) for Public Facilities and
Improvements. While various items of
cost will vary in importance and
significance depending on the type of
facility proposed, there are items of
expense related to the operation of the
physical plant which must be addressed
in a O&M plan (tribe assumes
responsibility) or in a letter of
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commitment (entity other than tribe will
assume these responsibilities). Although
the tribe no longer has to submit the
O&M plan with the application, it must
provide a written statement that it has
adopted an O&M plan and that the plan
addresses several items. These items
include daily or other periodic
maintenance activities; repairs such as
replacing broken windows; capital
improvements or replacement reserves
for repairs such as replacing the roof;
fire and liability insurance (may not be
applicable to most types of
infrastructure projects such as water and
sewer lines); and security (may not be
applicable to many types of
infrastructure projects such as roads).
(Please note that while it is possible that
the service provider may, in its
agreement with a tribe, commit itself to
cover certain or all facility O&M costs,
these costs do not include the program
service provision costs related to the
delivery of services (social, health,
recreational, educational or other)
which may be provided in a facility).
8. Outcomes. The ultimate impact you
hope to achieve with the proposed
project. Outcomes should be
quantifiable measures or indicators and
identified in terms of the change in the
community, people’s lives, changes in
economic status, etc. Common outcomes
could include increases in percent of
housing units in standard condition,
homeownership rates, or employment
rates.
9. Outputs. Outputs are the direct
products of a program’s activities. They
are usually measured in terms of the
volume of work accomplished, such as
the number of low-income households
served, number of units constructed or
rehabilitated, linear feet of curbs and
gutters installed, or number of jobs
created or retained. Outputs should be
clear enough to allow HUD to monitor
and assess your proposed project’s
progress if funded.
10. Project Cost. The total cost to
implement the project. Project costs may
be covered by both ICDBG and nonICDBG funds and resources.
11. Standard Housing/Standard
Condition. Housing that meets the
housing quality standards (HQS)
adopted by the applicant. The HQS
adopted by the applicant must be at
least as stringent as the Section 8 HQS
contained in 24 CFR 982.401 (Section 8
Tenant-Based Assistance: Housing
Choice Voucher program) unless the
ONAPs approve less stringent standards
based on a determination that local
conditions make the use of Section 8
HQS unfeasible. You may submit, before
the application submission deadline, a
request for the approval of standards
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less stringent than Section 8 HQS. If you
submit the request with your
application, you should not assume
automatic approval by the ONAPs. The
adopted standards must provide for (a)
a safe house, in physically sound
condition with all systems performing
their intended design functions; (b) a
livable home environment and an
energy efficient building and systems
that incorporate energy conservation
measures; and (c) an adequate space and
privacy for all intended household
members.
12. Statement. When a ‘‘written
statement’’ is requested for any
threshold, program requirement, or
rating factor, the applicant must address
in writing the specific item cited.
13. Tribe. The word ‘‘tribe’’ means an
Indian tribe, band, group or nation,
including Alaska Indians, Aleuts,
Eskimos, Alaska Native Villages, Alaska
Native Claims Settlement Act (ANCSA)
Village Corporations, and ANCSA
Regional Corporations.
II. Award Information
A. Available Funds. The FY2006
appropriation for the ICDBG program is
$59,400,000, less $3,960,000 retained to
fund Imminent Threat Grants, for a total
of $55,440,000. Funds that are carried
over from previous fiscal years or are
recaptured may also be used for grant
awards under this NOFA. In accordance
with the provisions of 24 CFR part 1003,
subpart E, we have retained $3,960,000
of the FY 2006 appropriation to meet
the funding needs of imminent threat
requests submitted to any of the Area
ONAPs. The grant ceiling for imminent
threat requests for FY 2006 is $425,000.
This ceiling has been established
pursuant to the provisions of 24 CFR
1003.400(c).
B. Allocations to Area ONAPs. The
requirements for allocating funds to
Area ONAPs responsible for program
administration are found at 24 CFR
1003.101. Following these requirements,
based on an appropriation of
$59,400,000 less $3,960,000 for
Imminent Threat grants, the allocations
for FY2006 are approximately as
follows:
Eastern/Woodlands ..............
Southern Plains ...................
Northern Plains ....................
Southwest .............................
Northwest .............................
Alaska ...................................
$6,325,737
11,864,746
7,917,788
20,525,637
2,891,489
5,914,603
Total ..............................
55,440,000
C. Compliance with regulations,
guidelines, and requirements:
Applicants awarded a grant under this
NOFA are required to comply with the
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regulations, guidelines, and
requirements with respect to the
acceptance and use of Federal funds for
this Federally-assisted program. Also,
the grantee, by accepting the grant,
provides assurance with respect to the
grant that:
1. It possesses the legal authority to
apply for the grant and execute the
proposed program.
2. The governing body has duly
authorized the filing of the application,
including all understandings and
assurances contained in the application
and has directed and authorized the
person identified as the official
representative of the applicant to act in
connection with the application and to
provide such additional information as
may be required.
3. It will comply with HUD general
administration requirements in 24 CFR
Part 85.
4. It will comply with the
requirements of Title II of Public Law
90–284 (25 U.S.C. 1301), the Indian
Civil Rights Act. Federally recognized
Indian tribes and their instrumentalities
are subject to the requirements of: Title
II of the Civil Rights Act of 1964, known
as the Indian Civil Rights Act; Section
109 prohibitions against discrimination
based on age, sex, religion and
disability; the Age Discrimination Act of
1975; and Section 504 of the
Rehabilitation Act of 1973.
5. It will comply with the Indian
preference provisions required in 24
CFR 1003.510.
6. It will establish written safeguards
to prevent employees from using
positions funded under the ICDBG
programs for a purpose that is, or gives
the appearance of being, motivated by
private gain for themselves, their
immediate family, or business
associates. Employees are not otherwise
limited from benefiting from program
activities for which they are otherwise
eligible.
7. Neither the applicant nor its
principals are presently excluded from
participation in any HUD programs, as
required by 24 CFR part 24.
8. The chief executive officer or other
official of the applicant approved by
HUD:
a. Consents to assume the status of a
responsible Federal official under the
National Environmental Policy Act of
1969 insofar as the provisions of the Act
apply to the applicant’s proposed
program pursuant to 24 CFR 1003.605.
b. Is authorized and consents on
behalf of the applicant and him/herself
to accept the jurisdiction of the Federal
courts for the purpose of enforcement of
his/her responsibilities as such an
official.
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Note: Applicants for whom HUD has
approved a claim of incapacity to accept the
responsibilities of the Federal government for
purposes of complying with the
environmental review requirements of 24
CFR part 58 pursuant to 24 CFR 1003.605 are
not subject to the provision of paragraph 8.
9. It will comply with the
requirements of Section 3 of the
Housing and Urban Development Act of
1968 and the regulations in 24 CFR part
135 (Economic Opportunities for Low
and Very Low Income Persons) to the
maximum extent consistent with, but
not in derogation of, compliance with
Section 7(b) of the Indian SelfDetermination and Education
Assistance Act (25 U.S.C. 450e(b)). Two
points will be awarded under Rating
Factor 3 in FY2006 for applicants who
demonstrate how they will incorporate
Section 3 principles into their proposed
projects.
10. It will comply with the
requirements of the Fire Authorization
Administration Act of 1992 (Pub. L.
102–522).
11. It will comply with 24 CFR, part
4, subpart A, showing full disclosure of
all benefits of the project as collected by
Form HUD–2880, Applicant/Recipient
Disclosure Report.
12. Prior to submission of its
application to HUD, the grantee has met
the citizen participation requirements
which includes following traditional
means of member involvement, as
required in 24 CFR 1003.604.
13. It will administer and enforce the
labor standards requirements prescribed
in 24 CFR 1003.603.
14. The project has been developed so
that not less than 70 percent of the
funds received under this grant will be
used for activities that benefit low- and
moderate-income persons.
15. Executive Order 13202,
‘‘Preservation of Open Competition and
Government Neutrality Towards
Government Contractors’ Labor
Relations on Federal and Federally
Funded Construction Projects’’ applies
to projects funded under this NOFA.
See the General Section for more
information.
D. Period of Performance. The period
of performance for any grant awarded
under this NOFA must be included in
the Implementation Schedule, HUD–
4125, and approved by HUD.
III. Eligibility Information
A. Eligible Applicants. Eligible
applicants are Indian tribes or tribal
organizations on behalf of Indian tribes.
To apply for funding you must be
eligible as an Indian tribe (or as a tribal
organization), as required by 24 CFR
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1003.5, by the application submission
date.
Tribal organizations are permitted to
submit applications under 24 CFR
1003.5(b) on behalf of eligible tribes
when one or more eligible tribe(s)
authorize the organization to do so
under concurring resolutions. The tribal
organization must itself be eligible
under Title I of the Indian SelfDetermination and Education
Assistance Act. The Bureau of Indian
Affairs (BIA) or the Indian Health
Service, as appropriate, must make a
determination of such eligibility. This
determination must be provided to the
Area ONAP by the application
submission date.
If a tribe or tribal organization claims
that it is a successor to an eligible entity,
the Area ONAP must review the
documentation to determine whether it
is in fact the successor entity.
Applicants from within Alaska: Due
to the unique structure of tribal entities
eligible to submit ICDBG applications in
Alaska, and as only one ICDBG
application may be submitted for each
area within the jurisdiction of an entity
eligible under 24 CFR 1003.5, a tribal
organization that submits an application
for activities in the jurisdiction of one
or more eligible tribes or villages must
include a concurring resolution from
each such tribe or village authorizing
the submission of the application. Each
such resolution must also indicate that
the tribe or village does not itself intend
to submit an ICDBG application for that
funding round. The hierarchy for
funding priority continues to be the IRA
Council, the Traditional Village
Council, the ANCSA Village
Corporation, and the ANCSA Regional
Corporation.
On November 25, 2005 (70 FR 71194),
the BIA published a Federal Register
notice entitled, ‘‘Indian Entities
Recognized and Eligible to Receive
Services From the United States Bureau
of Indian Affairs.’’ This notice provides
a listing of Indian Tribal Entities in
Alaska found to be Indian tribes as the
term is defined and used in 25 CFR part
83. Additionally, pursuant to Title I of
the Indian Self-Determination and
Education Assistance Act, ANCSA
Village Corporations and Regional
Corporations are also considered tribes
and therefore eligible applicants for the
ICDBG program.
Any questions regarding eligibility
determinations and related
documentation requirements for entities
in Alaska should be referred to the
Alaska Area ONAP prior to the
application submission date. (See 24
CFR 1003.5 for a complete description
of eligible applicants.)
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B. Cost Sharing or Matching. Cost
sharing or matching is not required
under this grant; however, applicants
who leverage this grant with other funds
receive points. See Section V, (A) Rating
Factor 4.
C. Other.
1. HUD Requirement
Applicants for single purpose grants
must comply with the HUD Threshold
Requirements listed in the General
Section, Section III, C. in order to
receive an award of funds.
2. Program and Project Specific
Requirements
a. Low- and Moderate-Income Status
for Rehabilitation Projects. Your
application must contain information
that shows that all households that
receive ICDBG grant assistance under a
housing rehabilitation project are of
low- and moderate-income status.
b. Housing Rehabilitation Cost Limits.
Grant funds spent on rehabilitation per
unit must fall within the following
limits for each Area ONAP jurisdiction:
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Eastern/Woodland: ..............
Southern Plains: ..................
Northern Plains: ...................
Southwest: ...........................
Northwest: ............................
Alaska: ..................................
$35,000
$35,000
$50,000
$40,000
$40,000
$55,000
c. Commitment to Housing for Land
Acquisition to Support New Housing
Projects. For land acquisition to support
new housing projects, your application
must include evidence of a financial
commitment and an ability to construct
at least 25 percent of the housing units
on the land proposed for acquisition.
This evidence must consist of one (or
more) of the following: a firm or
conditional commitment to construct (or
to finance the construction of) the units;
documentation that an approvable
application for the construction of these
units has been submitted to a funding
source or entity; or, documentation that
these units are specifically identified in
the Indian Housing Plan (IHP), (oneYear Financial Resources Narrative;
Table 2, Financial Resources, Part I.,
Line 1E; and Table 2, Financial
Resources, Part II) submitted by or on
behalf of the applicant as an affordable
housing resource with a commensurate
commitment of Indian Housing Block
Grant (IHBG) (also known as NAHBG)
resources. If the IHP for the IHBG (also
known as NAHBG) program year that
coincides with the implementation of
the ICDBG proposed project has not
been submitted, you must provide an
assurance that the IHP will specifically
reference the proposed project. The IHP
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submission must occur within three
years from the date the land is acquired
and ready for development.
d. Health Care Facilities. If you
propose a facility that would provide
health care services funded by the
Indian Health Service (IHS), you must
assure that the facility meets all
applicable IHS facility requirements. We
recognize that tribes that are contracting
services from the IHS may establish
other facility standards. These tribes
must assure that these standards at least
compare to nationally accepted
minimum standards.
3. Program Related Threshold
Requirements
a. Outstanding ICDBG Obligation.
According to 24 CFR 1003.301(a), an
applicant who has an outstanding
ICDBG obligation to HUD that is in
arrears, or one that has not agreed to a
repayment schedule will be disqualified
from the competition.
b. Compliance with Fair Housing and
Civil Rights Laws. Applicants and
subrecipients that are not federally
recognized Indian tribes or their
instrumentalities are subject to the Civil
Rights threshold requirements found in
the General Section. Federally
recognized Indian tribes and their
instrumentalities are subject to the
requirements of: Title II of the Civil
Rights Act of 1964, known as the Indian
Civil Rights Act; Section 109
prohibitions against discrimination
based on age, sex, religion and
disability; the Age Discrimination Act of
1975; and Section 504 of the
Rehabilitation Act of 1973. To be
eligible to apply, there must be no
outstanding violations of these civil
rights provisions at the time of
application.
4. Project Specific Threshold
Requirements
Applicants must meet all parts of the
project specific threshold applicable to
the proposed project. The thresholds
are:
a. Housing Rehabilitation Project
Thresholds. In accordance with 24 CFR
1003.302(a), for housing rehabilitation
projects, you must adopt rehabilitation
standards and rehabilitation policies
before you submit an application. You
must state that you have in place
rehabilitation policies and standards
that have been adopted in accordance
with tribal law or practice. Do not
submit your policies or standards with
the application. You must also provide
a written statement that project funds
will be used to rehabilitate HUDassisted houses only when the
homebuyer’s payments are current or
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the homebuyer is current in a
repayment agreement except in
emergency situation. For purposes of
meeting this threshold, HUD-assisted
houses are houses that are owned and
managed by the tribe or tribally
designated housing entity. The ONAP
Administrator on a case-by-case basis
may approve exceptions to this
requirement.
b. New Housing Construction Project
Thresholds.
1. In accordance with 24 CFR
1003.302(b), new housing construction
can only be implemented when
necessary through a Community Based
Development Organization (CBDO).
Eligible CBDOs are described in 24 CFR
1003.204(c). You must provide
documentation establishing that the
entity implementing your new housing
construction project qualifies as a
CBDO.
2. In accordance with 24 CFR
1003.302, you must have a current, in
effect, tribal resolution adopting and
identifying construction standards.
3. In accordance with 24 CFR
1003.302, you must also include in your
application documentation supporting
the following:
(a) All households to be assisted
under a new housing construction
project must be of low-or moderateincome status;
(b) No other housing is available in
the immediate reservation area that is
suitable for the households to be
assisted;
(c) No other sources including an
IHBG (also known as NAHBG) can meet
the needs of the household(s) to be
served; and
(d) Rehabilitation of the unit occupied
by the household(s) to be assisted is not
economically feasible, or the
household(s) to be housed currently is
in an overcrowded house (more than
one household per house), or the
household to be assisted has no current
residence.
c. Economic Development Project
Thresholds. In accordance with 24 CFR
1003.302, for economic development
assistance projects, you must provide a
financial analysis. The financial
analysis must demonstrate that the
project is financially feasible and the
project has a reasonable chance of
success. The analysis must also
demonstrate the public benefit resulting
from the ICDBG assistance. The more
funds you request, the greater public
benefit you must demonstrate. The
analysis must also establish that to the
extent practicable, reasonable financial
support will be committed from nonfederal sources prior to disbursement of
federal funds; any grant amount
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provided will not substantially reduce
the amount of non-federal financial
support for the activity; not more than
a reasonable rate of return on
investment is provided to the owner;
and that grant funds used for the project
will be disbursed on a pro-rata basis
with amounts from other sources.
d. There are no project specific
thresholds for Land Acquisition to
Support New Housing, Homeownership
Assistance, Public Facilities and
Improvements, and Microenterprise
Projects.
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5. Public Service Projects
Because there is a regulatory 15
percent cap on the amount of grant
funds that may be used for public
service activities, you may not receive a
single purpose grant solely to fund
public service activities. Your
application, however, may contain a
public service component for up to 15
percent of the total grant. This
component may be unrelated to the
other project(s) included in your
application. If your application does not
receive full funding, we will reduce the
public service allocation
proportionately so that it comprises no
more than 15 percent of the total grant
award. In making such reductions, the
feasibility of the proposed project will
be taken into consideration. If a
proportionate reduction of the public
service allocation renders such a project
infeasible, the project will not be
funded. A complete description of
Public Service Projects is located at 24
CFR part 1003.201.
6. Restrictions on Eligible Activities
A complete description of activities
that are eligible for ICDBG funding are
identified at 24 CFR part 1003, subpart
C. Please note that although this subpart
has not yet been revised to include the
restrictions on activity eligibility that
were added to Section 105 of the CDBG
statute by Section 588 of the Quality
Housing and Work Responsibility Act of
1998, these restrictions apply.
Specifically, ICDBG funds may not be
used to assist directly in the relocation
of any industrial or commercial plant,
facility, or operation, from one area to
another, if the relocation is likely to
result in a significant loss of
employment in the labor market area
from which the relocation occurs.
Rating Factors 2 and 3 included under
Section V. specify many of the activities
listed as eligible under part 1003,
subpart C. Those listed include new
housing construction (in certain
circumstances as described in Rating
Factors 2 and 3 in Section V.), housing
rehabilitation, land acquisition to
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support new housing, homeownership
assistance, public facilities and
improvements, economic development,
and microenterprise programs.
However, the following eligible
activities not clearly identified by the
rating factors may be proposed and
rated as described below. During the
past few years, many tribes have
experienced high incidences of mold
growth in tribal homes and buildings.
Renovation of affected buildings is
eligible under housing rehabilitation or
public facility improvement projects.
a. Acquisition of property. This
activity can be proposed as Land to
Support New Housing or as part of New
Housing Construction, Public Facilities
and Improvements, or Economic
Development depending on the purpose
of the land acquisition to support new
construction.
b. Assistance to Institutions of Higher
Learning. If such entities have the
capacity, they can help the ICDBG
grantees to implement eligible projects.
c. Assistance to Community Based
Development Organizations (CBDOs).
Grantees may provide assistance to
these organizations to undertake
activities related to neighborhood
revitalization, community economic
development, or energy conservation.
d. Clearance, Demolition. These
activities can be proposed as part of
Housing Rehabilitation, New Housing
Construction, Public Facilities and
Improvements, Economic Development,
or Land to Support New Housing.
§ 1003.201(d) states ‘‘Demolition of
HUD-assisted housing units may be
undertaken only with the prior approval
of HUD.’’
e. Code Enforcement. This activity
can be proposed as Housing
Rehabilitation. The activity must
comply with the requirements at 24 CFR
1003.202.
f. Comprehensive Planning. This
activity is eligible, and can be proposed,
as part of any otherwise eligible project
to the extent allowed by the 20 percent
cap on the grant for planning/
administration.
g. Energy Efficiency. Associated
activities can be proposed under
Housing Rehabilitation or Public
Facilities and Improvements depending
upon the type of energy efficiency
activity.
h. Lead-Based Paint Evaluation and
Abatement. These activities can be
proposed under Housing Rehabilitation.
i. Non-Federal Share. ICDBG funds
can be used as a match for any nonICDBG funding to the extent allowed by
such funding and the activity is eligible
under 24 CFR part 1003, subpart C.
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11733
j. Privately and Publicly Owned
Commercial or Industrial Buildings (real
property improvements). These
activities can be proposed under
Economic Development. Privately
owned commercial rehabilitation is
subject to the requirements at 24 CFR
1003.202.
k. Privately Owned Utilities.
Assistance to privately owned utilities
can be proposed under Public Facilities
and Improvements.
l. Removal of Architectural Barriers.
This includes removing barriers that
restrict mobility and access for elderly
and persons with disabilities. In
addition, accommodation should be
made for persons with all varieties of
disabilities to enable them to benefit
from these activities. This activity can
be proposed under Housing
Rehabilitation or Public Facilities and
Improvements depending upon the type
of structure where the barrier will be
removed.
7. Application Screening
The Area ONAP will screen
applications for single purpose grants.
The Area ONAP will reject an
application that fails this screening and
will return the application unrated. The
Area ONAP will accept your application
if it meets all the criteria listed below as
items a through f.
a. Your application is received or
submitted in accordance with the
requirements set forth under
Application and Submission Procedures
in Section IV of this NOFA;
b. You are eligible;
c. The proposed project is eligible;
d. Your application contains
substantially all the components
specified in Section IV. B. of this NOFA;
e. Your application shows that at least
70 percent of the grant funds are to be
used for activities that benefit low- and
moderate-income persons, in
accordance with the requirements of 24
CFR 1003.208. For screening purposes
only, HUD will use the 2000 census data
if the data you submitted does not meet
this screening requirement; and
f. Only one ICDBG application may be
submitted for each area within the
jurisdiction of an entity eligible under
24 CFR 1003. An application may
include more than one project, but it
cannot exceed the grant ceilings listed
in Section IV.
IV. Application and Submission
Information
A. Addresses To Request Application
Package
Applicants are required to submit an
electronic application unless they
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receive a waiver of the requirement. See
the General Section for information on
electronic application submission,
procedures for requesting a waiver, and
timely submission and receipt
requirements. All information required
to complete a valid application is
included in the General Section and this
NOFA. Before preparing an application,
applicants should carefully review the
program description, ineligible
activities, program and threshold
requirements, and the General Section.
Applicants should carefully review each
rating factor listed in Section V of this
NOFA, before writing a narrative
response.
Copies of the General Section and
ICDBG NOFA may be downloaded from
the grants.gov Web site at https://
www.grants.gov/Apply. If you
experience any problems with
downloading the General Section or the
ICDBG NOFA, call the Grants.gov help
desk at 800–518–GRANTS.
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B. Content and Form of Application
Submission.
1. Application Information
Indicate on the first page of each
project submission, the type of project(s)
being proposed: Economic
Development, Homeownership
Assistance, Housing Rehabilitation,
Land Acquisition to Support New
Housing, Microenterprise Programs,
New Housing Construction or Public
Facilities and Improvements. This will
help to ensure that the appropriate
project specific thresholds and rating
subfactors will be applied. Narrative
statements submitted to support your
application should be individually
labeled to reflect the item the narrative
is responding to, e.g. Factor 1, Factor 2,
etc. Applicants should not submit third
party documents, such as audits,
resolutions, policies, unless specifically
asked to submit them. Additional
information regarding electronic
submissions can be found in the General
Section.
If you received a waiver to the
electronic application submission
requirements and are submitting a paper
application, please use separate tabs for
each rating factor and rating subfactor.
In order to be rated, make sure the
response is beneath the appropriate
heading. Keep the responses in the same
order as the NOFA. It is recommended
that you limit your narrative
explanations to 200 words or less and
provide the necessary data such as a
market analysis, a pro forma, housing
survey data, etc., that support the
response. Include all relevant material
to a response under the same tab. Only
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include documentation that will clearly
and concisely support your response to
the rating criteria.
HUD suggests that you do a
preliminary rating for your project,
providing a score according to the point
system in Section V of this NOFA. This
will show you how reviewers might
score your project, and identify its
strengths and weaknesses. This will
help determine where improvements
can be made prior to its submission. An
application checklist has been posted at
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm under the ICDBG
program for your use in verifying that
you have completed all required
components.
2. Content of Application, Forms, and
Required Elements
The applicant must respond in
narrative form to all five of the rating
factors listed in Section V.A. of this
NOFA. In addition, the applicant must
submit all of the forms required in this
section, along with other data listed
below.
a. Demographic data. You may submit
data that are unpublished and not
generally available in order to meet the
requirements of this section. Your
application must contain a statement
that the following criteria have been
met:
(1) Generally available published data
are substantially inaccurate or
incomplete;
(2) Data that you submit have been
collected systematically and are
statistically reliable;
(3) Data are, to the greatest extent
feasible, independently verifiable; and
(4) Data differentiate between
reservation and BIA service area
populations, when applicable.
b. Publication of Community
Development Statement. You must
prepare and publish or post the
community development statement
portion of your application according to
the citizen participation requirements of
24 CFR 1003.604. You may post or
publish a statement that indicates that
the entire Community Development
Statement is available for public
viewing and include the location, dates,
and time it will be available for review.
c. Application Submission. Your
application must contain the items
listed below.
(1) Application for Federal Assistance
(SF–424);
(2) SF–424 SUPP, Supplement Survey
on Ensuring Equal Opportunity for
Applicants;
(3) Applicant/Recipient Disclosure/
Update Report (HUD–2880); and
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(4) Acknowledgement of Application
Receipt (HUD–2993). (Only for
applicants granted a waiver of the
electronic submission requirements and
who are submitting a paper application)
If the application has been submitted
by a tribal organization as defined in 24
CFR 1003.5(b), on behalf of an Indian
tribe, you must submit concurring
resolutions from the Indian tribe stating
that the tribal organization is applying
on the tribe’s behalf. Applicants must
submit the resolution by attaching it as
a file to your electronic application
submission, or sending it via facsimile
transmittal.
The other required items are as
follows:
(5) Community Development
Statement that includes:
(a) Components that address the
general threshold requirement and the
relevant project specific thresholds and
rating factors;
(b) A schedule for implementing the
project (Form HUD–4125,
Implementation Schedule); and
(c) Cost information for each separate
project, including specific activity costs,
administration, planning, technical
assistance, and total HUD share (Form
HUD–4123, Cost Summary).
(6) A map showing project location, if
appropriate.
(7) If the proposed project will result
in displacement or temporary
relocation, a statement that identifies:
(a) The number of persons (families,
individuals, businesses, and nonprofit
organizations) occupying the property
on the date of the submission of the
application (or date of initial site
control, if later);
(b) The number to be displaced or
temporarily relocated;
(c) The estimated cost of relocation
payments and other services;
(d) The source of funds for relocation;
and
(e) The organization that will carry
out the relocation activities.
(8) If applicable, evidence of the
disclosure required by 24 CFR
1003.606(e) regarding conflict of
interest.
(9) If applicable, the demographic
data statement described in Section
IV.B. and Section V.A., Rating Factor 2
of this NOFA. The data accompanying
the statement must identify the total
number of persons benefiting from the
project and the total number of low- and
moderate-income persons benefiting
from the project. To be considered,
supporting documentation must include
all of the following: a sample copy of a
completed survey form, an explanation
of the methods used to collect the data,
and a listing of incomes by household.
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(10) Optional submissions are:
(a) You Are Our Client Grant
Applicant Survey (HUD 2994–A)
(Optional); and
(b) Logic Model, HUD–96010.
of the General Section for detailed
information regarding application
submission, delivery, and timely receipt
requirements.
3. Planning and Administrative Costs
Indian tribes are not subject to the
Intergovernmental Review process.
D. Intergovernmental Review
Applicants must report project
planning and administration costs on
Form HUD–4123, Cost Summary.
Planning and administrative costs
cannot exceed 20 percent of the grant.
The following criteria applies to
planning and administrative costs:
a. Planning and administrative
activities may only be funded in
conjunction with a physical
development activity.
b. If you are submitting an application
for more than one project, costs must be
broken down by project. Submit one
Form HUD–4123 for each proposed
project in addition to a consolidated
Form HUD–4123 that includes costs for
all proposed projects.
c. Do not include project costs (i.e.
architectural/engineering,
environmental, technical assistance,
staff/overhead costs) directly related to
project.
C. Submission Dates and Times
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1. Application Submission Deadline
The application deadline date is May
31, 2006. Applications submitted
through https://www.Grants.gov/Apply
must be received and validated by
Grants.gov no later than 11:59:59 PM
Eastern time on the application deadline
date. Upon submission, Grants.gov will
provide the applicant a confirmation of
receipt and then validate the
application. Within 24–48 hours of
receipt, the application will be validated
by Grants.gov. If the application does
not pass validation, it will be rejected by
Grants.gov and the application will be
eliminated from further funding
consideration. The General Section
provides details of a validation check.
HUD advises applicants to submit early
so that if an application is rejected
during the validation process,
applicants can correct the errors and
resubmit the application prior to the
deadline date and time. If you are
granted a waiver of the electronic
submission requirements, and are
submitting a paper application, your
completed application (one original and
two copies) must be received by HUD
no later than 11:59:59 PM on the
application deadline date. HUD will not
accept any applications sent by e-mail
or on a diskette, CD, or by facsimile
unless HUD specifically requests an
applicant to do so. Please carefully
follow the instructions in Section IV F.
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E. Funding Restrictions
1. Ineligible Activities
In general, any activity that is not
authorized under the provisions of 24
CFR 1003.201–1003.206 is ineligible to
be assisted with ICDBG grant funds. The
regulations at 24 CFR 1003.207 govern
ineligible activities and should be
referred to for details. The following
guidance is provided for determining
the eligibility of other activities
frequently associated with ICDBG
projects.
a. Government Office Space.
Buildings, or portions thereof, used
predominantly for the general conduct
of government cannot be assisted with
ICDBG funds. Those buildings include,
but are not limited to, local government
office buildings, courthouses, and other
headquarters of government where the
governing body meets regularly.
Buildings that contain both
governmental and non-governmental
services can be assisted as long as the
ICDBG funds are used only for the nongovernmental sections. An example of
an ineligible building is a building to
house the community development
division or a tribal administration
building. Your Area ONAP office should
be consulted for projects of this nature.
b. General Government Expenses.
Except as authorized in the regulations
or under OMB Circular A–87, expenses
required to carry out the regular
responsibilities of the unit of general
local government are not eligible for
assistance with ICDBG funds.
c. Maintenance and Operation
Expenses. In general, any expenses
associated with repairing, operating, or
maintaining public facilities and
services are not eligible for assistance.
Specific exceptions to this general rule
are operating and maintenance expenses
associated with public service activities
[24 CFR 1003.201(e)], office space for
program staff employed in carrying out
the ICDBG program [24 CFR
1003.206(a)(4)], and interim assistance
[24 CFR 1003.201(f)]. For example,
where a public service is being assisted
with CDBG funds, the cost of operating
and maintaining that portion of the
facility in which the service is located
is eligible as part of the public service.
Examples of ineligible operating and
maintenance expenses are routine and
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11735
non-routine maintenance and repair of
streets, parks, playgrounds, water and
sewer facilities, neighborhood facilities,
senior centers, centers for persons with
disabilities, parking facilities, and
similar public facilities and, payment of
salaries for staff, utility costs, and
similar expenses necessary for the
operation of public works and facilities.
d. New Housing Construction. The
construction of new permanent
residential structures and any program
to subsidize or finance such new
construction is ineligible unless carried
out by a Community-Based
Development Organization (CBDO)
pursuant to 24 CFR 1003.204(a).
e. Furnishings and Personal Property.
In general, the purchase of equipment,
fixtures, motor vehicles, furnishings, or
other personal property not an integral
structural fixture is ineligible.
Exceptions include when such
purchases are necessary for use in grant
administration (24 CFR 1003.206);
necessary and appropriate for use in a
project carried out by a CBDO (24 CFR
1003.204); used in providing a public
service (24 CFR 1003.201(e)); or used as
fire fighting equipment (24 CFR
1003.201(c)(1)(ii)). However, ICDBG
funds may be used to pay depreciation
or use allowances (in accordance with
OMB Circular A–87 or A–122 as
applicable).
f. Construction Tools and Equipment.
The purchase of construction tools and
equipment is generally ineligible.
However, compensation for the use of
such tools and equipment through
leasing, depreciation, or use allowances
pursuant to OMB Circulars A–87 and
A–122, as applicable, for an otherwise
eligible activity is eligible. Exceptions
include construction tools and
equipment purchased for use as part of
a solid waste facility (24 CFR
1003.201(c)(1)(ii)) and construction
tools only (not equipment) purchased
for use in a housing rehabilitation
project being administered by the
recipient using the force account
construction method (24 CFR
1003.202(b)(8)).
g. Income Payments. In general,
assistance shall not be used for income
payments for housing or any other
purpose. Income payments mean a
series of subsistence-type grant
payments made to an individual/family
for items such as food, clothing, housing
(rent/mortgage) or utilities, but excludes
emergency payments made over a
period of up to three months to the
provider of such items or services on
behalf of an individual/family.
Examples of ineligible income payments
include the payments for income
maintenance and housing allowances.
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2. Grant Ceilings. The authority to
establish grant ceilings is found at 24
CFR 1003.100(b)(1). Grant ceilings are
established for FY2006 funding at the
following levels:
Area ONAP
Population
Eastern Woodlands .....................................................................
Southern Plains ...........................................................................
Northern Plains ...........................................................................
ALL .............................................................................................
ALL .............................................................................................
6,001+ ........................................................................................
0–6,000 ......................................................................................
50,001+ ......................................................................................
10,501–50,000 ...........................................................................
7,501–10,500 .............................................................................
6,001–7,500 ...............................................................................
1,501–6,000 ...............................................................................
0–1,500 ......................................................................................
ALL .............................................................................................
ALL .............................................................................................
Southwest ...................................................................................
Northwest ....................................................................................
Alaska .........................................................................................
For the Southwest Area ONAP
jurisdiction, the population used to
determine ceiling amounts is the Native
American population that resides on a
reservation or rancheria.
Applicants from the Southwest or the
Northern Plains ONAP jurisdictions
should contact that office before
submitting an application if they are
unsure of the population level to use to
determine the ceiling amount. The
Southwest or Northern Plains Area
ONAP, as appropriate, must approve
any corrections or revisions to Native
American population data before you
submit your application.
F. Other Submission Requirements
1. Applications shall be submitted via
www.Grants.gov/Apply by no later than
the application deadline date and time
stated in the NOFA.
2. Mailing and Receipt Procedures.
Applicants granted a waiver of the
Rating
factor
Rating subfactor
Points
1 ...........
Total .................
1.a. ...................
1.b. ...................
1.c. ....................
1.d. ...................
2.a. ...................
2.b. ...................
2.c. ....................
2.d. ...................
2.e. ...................
Total .................
1 .......................
2.a. ...................
2.b. ...................
40 .....................
10 .....................
5 or 7* ...............
3 or 8* ..............
2 or 5* ...............
4 or 0* ...............
4 or 0* ...............
4 or 0* ..............
4 or 0* ...............
4 or 0* ...............
16..
4 .......................
12 .....................
12 .....................
2.c. ....................
Total .................
1 .......................
2 .......................
3 .......................
4 .......................
4.a. ...................
4.b. ...................
4.c. ....................
12 .....................
30..
10 .....................
5 .......................
1 .......................
2 .......................
12 .....................
12 .....................
12 .....................
2 ...........
3 ...........
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electronic submission requirement will
receive specific mailing instructions
with approval of the waiver. See 24 CFR
Part 5.
3. Addresses for Submitting
Applications. HUD will only accept
mailed applications if a waiver of the
electronic delivery process has been
approved by HUD. Information
regarding electronic submission and
waivers from the electronic submission
requirement is located in the General
Section. If a waiver of the electronic
submission requirement is granted,
submit the original signed application
and two copies to the appropriate Area
ONAP for your jurisdiction. A list
identifying each Area ONAP
jurisdiction is provided at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm under the ICDBG
program.
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Ceiling
$600,000
800,000
1,100,000
900,000
5,500,000
2,750,000
2,200,000
1,100,000
825,000
605,000
500,000
500,000
V. Application Review Information
A. Criteria
1. RC/EZ/EC–II: Bonus points
described in the General Section for
projects located in RC/EZ/EC–II will not
be awarded under this NOFA.
2. Rating Factors to Evaluate and Rate
Applications: The factors for rating and
ranking applications and the points for
each factor are provided below. A
maximum of 100 points may be
awarded under Rating Factors 1 through
5. To be considered for funding, your
application must receive a minimum of
20 points under rating factor 1 and an
application score of at least 70 points.
The following summarizes the points
assigned to each rating factor and each
rating subfactor and lists which rating
subfactors apply to which project types.
Please use this table to ensure you are
addressing the appropriate rating
subfactor for your project.
Project type
Minimum of 20 Points Required.
All Project Types.
All Project Types.
All Project Types.
All Project Types.
All Project Types.
All Project Types.
All Project Types.
All Project Types.
All Project Types.
All Project Types.
Public Facilities and Improvements and Economic Development Projects.
New Housing Construction, Housing Rehabilitation, Land Acquisition to Support New Housing,
and Homeownership Assistance Projects.
Microenterprise Programs.
All Project Types.
All Project Types.
All Project Types.
All Project Types.
Public Facilities and Improvements.
New Housing Construction, Housing Rehabilitation, and Homeownership Assistance Projects.
Economic Development Projects.
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Rating
factor
Rating subfactor
Points
4 ...........
5
4.d. ...................
4.e. ...................
Total .................
Total .................
1 .......................
2 .......................
12 .....................
12 .....................
8 .......................
6 .......................
2 .......................
4 .......................
Microenterprise Programs.
Land Acquisition to Support New Housing.
All Project Types.
All Project Types.
All Project Types.
All Project Types.
Total ..
......................
100 ...................
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Minimum of 70 Points Required.
Project type
* The first number listed indicates the maximum number of points available to current ICDBG grantees under this subfactor. The second number indicates the maximum number of points available to new applicants.
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Rating Factor 1: Capacity of the
Applicant (40 Points)
This factor addresses the extent to
which you have the organizational
resources necessary to successfully
implement the proposed activities in
accordance with your implementation
schedule. If applicable, past
performance in administering previous
ICDBG grants will be taken into
consideration. You must address the
existence or availability of these
resources for the specific type of activity
for which you are applying. You must
receive a minimum of 20 points under
this factor for your proposed activity to
be eligible for funding. HUD will not
rate any projects further that do not
receive a minimum of 20 points under
this factor. The implementation
schedule and/or the Logic Model, Form
HUD 96010, you submit for this factor
will be measured against actual progress
if you are funded.
1. (20 points for current ICDBG
grantees) (30 points for new applicants)
Managerial, Technical, and
Administrative Capability
Your application must include a
description demonstrating that you
possess or can obtain managerial,
technical, and/or administrative
capability necessary to carry out the
proposed project. Your application must
address who will administer the project
and how you plan to handle the
technical aspects of executing the
project in accordance with your
implementation schedule. Typical
documents that may be submitted
include, but are not limited to, written
summaries of qualifications and past
experience of proposed staff,
descriptions of staff responsibilities, and
references or letters of endorsement
from others who have worked with the
proposed staff. Do not submit job
descriptions or resumes.
a. (10 points) Managerial and
Technical Staff.
The extent to which your application
describes the roles/responsibilities and
the knowledge/experience of your
overall proposed project director and
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staff, including the day-to-day program
manager, consultants, and contractors in
planning, managing, and implementing
projects in accordance with the
implementation schedule for which
funding is being requested. Experience
will be judged in terms of recent,
relevant, and successful experience of
your staff to undertake eligible program
activities. In rating this factor, HUD will
consider experience within the last 5
years to be recent; experience pertaining
to the specific activities being proposed
to be relevant; and experience
producing specific accomplishments to
be successful. The more recent the
experience and the more experience
your own staff members who work on
the project have in successfully
conducting and completing similar
activities, the greater the number of
points you will receive for this rating
factor.
(10 Points). The applicant adequately
describes the roles/responsibilities and
the knowledge/experience of its overall
project director and staff, including the
day-to-day program manager,
consultants, and contractors in
planning, managing, and implementing
projects for which funding is being
requested. Staff experience as described
in the application is recent (within 5
years), relevant (pertains to the specific
activities being proposed) and
successful (has produced specific
accomplishments).
(5 Points). The applicant adequately
describes the roles/responsibilities and
the knowledge/experience of its overall
project director and staff, including the
day-to-day program manager,
consultants, and contractors in
planning, managing and implementing
projects for which funding is being
requested. However, one of the
following applies: staff experience as
described in the application is not
recent (not within 5 years), is not
relevant (does not pertain to the specific
activities being proposed), or is not
successful (did not produce specific
accomplishments).
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(0 Points). The applicant failed to
adequately describe the roles/
responsibilities and the knowledge/
experience of its overall project director
and staff, including the day-to-day
program manager, consultants, and
contractors in planning, managing, and
implementing projects for which
funding is being requested or more than
one of the following applies: staff
experience as described in the
application is not recent (not within 5
years), is not relevant (does not pertain
to the specific activity being proposed),
or is not successful (did not produce
specific accomplishments).
b. (5 points for current ICDBG
grantees) (7 points for new applicants)
Project Implementation Plan and
Program Evaluation.
The extent to which your project
implementation plan identifies the
specific tasks and timelines that you
and your partner contractors and/or sub
grantees will undertake to complete
your proposed project on time and
within budget. The Project
Implementation Schedule, Form HUD–
4125, may serve as this required
schedule, provided that it is sufficiently
detailed to demonstrate that you have
clearly thought out your project
implementation. The extent to which
your project identifies, measures, and
evaluates the specific benchmarks,
outputs, outcomes, and/or goals of your
project that enhance community
viability. The Logic Model, Form HUD–
96010, may serve as the format to
address this information or you may
provide a different format that provides
the same information.
(5 points for current ICDBG grantees)
(7 points for new applicants). The
applicant submitted a project
implementation plan that clearly
specifies project tasks and timelines.
The documentation identifies the steps
in place to make adjustments to the
work plan if tasks are not completed
within established time frames. The
applicant submitted clear project
benchmarks, outputs, outcomes, and/or
targets and identified objectively
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quantifiable program measures and/or
evaluation process.
(3 points for current ICDBG grantees)
(4 points for new applicants). The
applicant submitted a project
implementation plan that specifies
project tasks and timelines. The
applicant submitted project
benchmarks, outputs, outcomes, and/or
targets for each; however, did not
clearly identify objectively quantifiable
program measures and/or the evaluation
process.
(0 points for current ICDBG grantees
or new applicants). The applicant
submitted a project implementation
schedule that does not address all
project tasks and timelines associated
with the project. Project benchmarks,
outputs, outcomes, and/or goals were
not submitted, or if submitted, did not
address either the quantifiable program
measures and/or the evaluation process.
c. (3 points for current ICDBG
grantees) (8 points for new applicants)
Financial Management.
This subfactor evaluates the extent to
which your application describes how
your financial management systems will
facilitate effective fiscal control over
your proposed project and meet the
requirements of 24 CFR part 85 and 24
CFR part 1003. You must also describe
how you will apply your financial
management systems to the specific
project for which you are applying. The
application will also be rated on the
seriousness/significance of the findings
related to your financial management
system identified in your current audit.
If you are required to have an audit but
do not have a current audit, you must
submit a letter from your Independent
Public Accountant that is dated within
the past 12 months stating that your
financial management system complies
with all applicable regulatory
requirements. If you are not required to
have an audit, you will automatically
receive points for this portion of the
subfactor if you provide the other
information required by this subfactor.
For purposes of this subfactor, a current
audit is one which has been submitted
to the Federal Audit Clearinghouse
within 9 months of the end of the
applicant’s last fiscal year, or 30 days
after receipt of the audit report from the
auditor, whichever comes first. Do not
submit financial management and/or
internal control policies and procedures
or your audit with the application.
(3 points for current ICDBG grantees)
(8 points for new applicants). The
applicant clearly described how it will
apply its financial management systems
to the proposed project. The applicant’s
current audit does not contain any
serious or significant findings related to
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its financial management system, or if
there is no current audit, the applicant
submitted a letter from its Independent
Public Accountant stating that its
financial management system complies
with all applicable regulatory
requirements.
(2 points for current ICDBG grantees)
(4 points for new applicants). The
applicant’s current audit does not
contain any serious or significant
findings related to its financial
management system, or if there is no
current audit, the applicant submitted a
letter from its Independent Public
Accountant stating that its financial
management system complies with all
applicable regulatory requirements. The
applicant did not describe how it would
apply its financial management systems
to the proposed project.
(1 point for current ICDBG grantees)
(2 points for new applicants). The
applicant’s current audit does not
contain any serious or significant
findings related to its financial
management system, or if there is no
current audit, the applicant submitted a
letter from its Independent Public
Accountant stating that its financial
management system complies with all
applicable regulatory requirements. The
applicant did not describe how it would
apply its financial management systems
to the proposed project.
(0 points for current ICDBG grantees
or new applicants). The applicant’s
current audit included serious or
significant findings related to its
financial management systems or if
there is no current audit, the applicant
did not submit a letter from its IPA
stating its financial management
systems comply with all regulatory
requirements. The applicant did not
describe how it would apply its
financial management systems to the
proposed project.
d. (2 points for current ICDBG
grantees) (5 points for new applicants)
Procurement and Contract Management.
This subfactor evaluates the extent to
which your application describes how
your procurement and contract
management policies and procedures
will facilitate effective procurement and
contract control over your proposed
project and meet the requirements of 24
CFR part 85 and 24 CFR part 1003. You
must also describe how you will apply
your procurement and contract
management systems to the specific
project for which you are applying. The
application will also be rated on the
seriousness of the findings related to
procurement and contract management
identified in your current financial
audit. If you are required to have an
audit but do not have a current audit,
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you must submit a letter from your
Independent Public Accountant stating
that your procurement and contract
management system complies with all
applicable regulatory requirements. If
you are not required to have an audit,
you will automatically receive points for
this portion of the subfactor if you
provide the other information required
by this subfactor. Do not submit
procurement and contract management
policies and procedures or your audit
with the application.
(2 points for current ICDBG grantees)
(5 points for new applicants). The
applicant clearly described how its
procurement and contract management
policies and procedures will facilitate
effective procurement and contract
control over the proposed project, and
meet the requirements of 24 CFR part 85
and 24 CFR part 1003. The applicant’s
current audit does not contain any
serious or significant findings related to
its procurement and contract
management system, or if there is no
current audit, the applicant submitted a
letter from its Independent Public
Accountant stating that its procurement
and contract management system
complies with all applicable regulatory
requirements.
(1 point for current ICDBG grantees)
(4 points for new applicants). The
applicant’s current audit does not
contain any serious or significant
findings related to its procurement or
contract management system, or if there
is no current audit, the applicant
submitted a letter from its Independent
Public Accountant stating that its
procurement and contract management
system complies with all applicable
regulatory requirements. The applicant
did not describe how it would apply its
procurement and contract management
systems to the proposed project.
(0 points for current ICDBG grantees
or new applicants). The applicant’s
current audit included serious or
significant findings related to its
procurement and contract management
systems or if there is no current audit,
the applicant did not submit a letter
from its IPA stating its procurement and
contract management systems comply
with all regulatory requirements. The
applicant did not describe how it would
apply its procurement and contract
management systems to the proposed
project.
2. (20 Points for Current ICDBG
Grantees) (0 Points for New Applicants)
Past Performance
HUD will evaluate your experience in
producing products and reports in
accordance with regulatory timelines for
any previous grant programs undertaken
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with HUD funds for the following
performance measures. HUD reserves
the right to take into account your past
performance in meeting performance
and reporting goals on any previous
HUD awards. Applicants are not
required to respond to the subfactors
related to past performance. HUD will
rely on information on file.
a. (4 points for current ICDBG
grantees) (0 points for new applicants).
You are not more than 90 days behind
schedule in meeting the time frames
established in the HUD-approved
Implementation Schedule for the ICDBG
program.
(1) (4 points). The applicant is not
more than 90 days behind schedule in
meeting the timeframes established in
the HUD-approved implementation
schedule.
(2) (2 points). The applicant is not
more than 120 days behind schedule in
meeting the timeframes established in
the HUD-approved implementation
schedule.
(3) (0 points). The applicant is more
than 120 days behind schedule in
meeting timeframes established in the
HUD-approved implementation
schedule.
b. (4 points for current ICDBG
grantees) (0 points for new applicants).
Annual Status Reports (ASER) and
Federal Cash Transaction Reports are
submitted by the report submission
deadlines. The ASER is due 45 days
after the end of the Federal fiscal year
on November 15. Federal Cash
Transaction Reports are due quarterly
on April 21, July 21, October 20, and
January 22.
(1) (4 points). The applicant has
submitted both the Annual Status and
Evaluation Reports (ASER) and Federal
Cash Transaction Reports for ICDBG
programs by the report submission
deadlines.
(2) (2 points). The applicant has
submitted either the Federal Cash
Transaction Reports or the Annual
Status and Evaluation Reports for
ICDBG programs by the report
submission deadline.
(3) (0 points). The applicant has
submitted neither of the required
reports by the report submission
deadline.
c. (4 points for current ICDBG
grantees) (0 points for new applicants).
You have submitted close-out
documents to HUD by the submission
deadline. Close-out documents are
required for the ICDBG program within
90 days of the date it is determined that
the criteria for close-out at 24 CFR
1003.508 have been met.
(1) (4 points). The applicant
submitted close-out documents to HUD
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in accordance with the timeframe and
criteria at § 1003.508.
(2) (0 points). The applicant has not
submitted close-out documents to HUD
as required by § 1003.508.
d. (4 points for current ICDBG
grantees) (0 points for new applicants).
You have submitted annual audits in
accordance with OMB Circular A–133
and its compliance supplements. Do not
submit your audit with the application.
(1) (4 points). The applicant has
submitted annual audits in accordance
with OMB Circular A–133 and its
compliance supplements, or if the
applicant has not been required to
submit an audit, it will receive 4 points.
(2) (0 points). The applicant has not
submitted annual audits in accordance
with OMB Circular A–133 and its
compliance supplements.
e. (4 points for current ICDBG
grantees) (0 points for new applicants).
You have resolved ICDBG monitoring
findings and controlled audit findings
by the established target date or there
are no findings in current reports. Do
not submit responses to open
monitoring or audit findings with the
application.
(1) (4 points). The applicant resolved
open ICDBG monitoring findings and
controlled audit findings by the
established target date. If there were no
open audit or ICDBG monitoring
findings (current grantees only), the
applicant will receive 2 points.
(2) (0 points). The applicant has not
resolved open ICDBG monitoring
findings and controlled audit findings
by the established target date.
Rating Factor 2: Need/Extent of the
Problem (16 Points)
This factor addresses the extent to
which there is a need for the proposed
project to address a documented
problem among the intended
beneficiaries.
1. (Up to 4 points). Your application
includes quantitative information
demonstrating that the proposed project
meets an essential community
development need by providing
outcomes that are critical to the viability
of the community.
2. (12 points). Your project benefits
the neediest segment of the population,
in accordance with the Program’s
primary objective defined at 24 CFR
1003.2. The criteria for this sub-factor
vary according to the type of project for
which you are applying. Please note that
you may submit data that are
unpublished and not generally available
in order to meet the requirements of this
section. However, to do so, you must
submit a demographic data statement
along with supporting documentation as
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11739
described in Section IV.B. of this NOFA.
For documenting persons employed by
the project, you do not need to submit
a demographic data statement and
corresponding documentation.
However, you do need to submit
information that describes the nature of
the jobs created or retained. Such
information includes but is not limited
to descriptions of proposed job
responsibilities, salaries and the number
of full-time equivalent positions. If you
believe jobs will be retained as a result
of the ICDBG project, include
information that shows clearly and
objectively, that jobs will be lost
without the ICDBG project. Jobs that are
retained only for the period of the grant
will not count under this rating factor.
a. Public Facilities and Improvements
and Economic Development Projects.
The proposed activities benefit the
neediest segment of the population, as
identified below. For economic
development projects, you may consider
beneficiaries of the project as persons
served by the project and/or persons
employed by the project, and jobs
created or retained by the project.
(1) (12 points). 85 percent or more of
the beneficiaries are low- or moderateincome.
(2) (8 points). At least 75 percent but
less than 85 percent of the beneficiaries
are low- or moderate-income.
(3) (4 points). At least 55 percent but
less than 75 percent of the beneficiaries
are low- or moderate-income.
(4) (0 points). Less than 55 percent of
the beneficiaries are low- or moderateincome.
b. New Housing Construction,
Housing Rehabilitation, Land
Acquisition to Support New Housing,
and Homeownership Assistance
Projects. The need for the proposed
project is determined by utilizing data
from the tribe’s 2005 IHBG formula
information. The ratio is based on the
dollars allocated to a tribe under the
IHBG program for Need divided by the
sum of the number of AIAN households
in the following categories:
—Annual income less than 30 percent
of median income;
—Annual income between 30 percent
and 50 percent of median income;
—Annual income between 50 percent
and 80 percent of median income;
—Overcrowded or without kitchen or
plumbing;
—Housing cost burden greater than 50
percent of annual income;
—Housing shortage (Number of lowincome AIAN households less total
number of NAHASDA and Formula
Current Assisted Stock).
This ratio is computed for each tribe
and posted in the ‘‘Factor 2 Needs
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Table’’ that is available at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm under the ICDBG
program.
(1) (12 points). The dollar amount for
the Indian tribe is $354–$675 or the
tribe’s total FY2005 IHBG amount was
$100,000 or less and the Needs Table
indicates that the Indian tribe has no
AIAN households experiencing income
or housing problems.
(2) (8 points). The dollar amount for
the Indian tribe is $676–$1,200.
(3) (4 points). The dollar amount for
the Indian tribe is $1,201–$1,999.
(4) (0 points). The dollar amount for
the Indian tribe is $2,000 or higher, or
the Needs Table indicates that the
Indian tribe has no AIAN households
experiencing income or housing
problems.
c. Microenterprise Programs. A
microenterprise is a business that has
five or fewer employees, one or more of
whom owns the enterprise. The
owner(s) of the microenterprise must be
low-or moderate-income and the
majority of the jobs created or retained
will be for low-or moderate-income
persons. To evaluate need, the nature of
the jobs created or retained will be
evaluated. The owners of the
microenterprises are low- and moderateincome and:
(1) (12 points). All employees are lowor moderate-income.
(2) (8 points). At least 75 percent but
less than 100 percent of the employees
are low-or moderate-income.
(3) (4 points). At least 50 percent but
less than 75 percent of the employees
are low-or moderate-income.
(4) (0 points). Less than 50 percent of
the employees are low- and moderateincome.
Rating Factor 3: Soundness of Approach
(30 Points)
This factor addresses the quality and
anticipated effectiveness of your
proposed project’s outcomes in
enhancing community viability and in
meeting the needs you have identified
in Rating Factor 2 and the commitment
to sustain your proposed project. The
populations that were described in
demographics that documented need
should be the same populations that
will receive the primary benefit of the
proposed project.
1. (10 points). Description of and
Rationale for Proposed Project.
a. (10 points). The proposed project is
a viable and cost effective approach to
address the needs outlined under Rating
Factor 2 of your application. The
proposed project is described in detail
and indicates why you believe the
proposed project will be most effective
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in addressing the identified need. In
order for an application to receive full
credit under this factor, the application
must include clear and sound measures
of the proposed outputs and outcomes
for how the community’s viability will
be enhanced, as presented in Rating
Factor 5. The application includes a
description of the size, type and
location of the project and a rationale
for project design. If your application is
for construction or rehabilitation
projects, the application must also
include anticipated cost savings due to
innovative program design or
construction methods. For land
acquisition to support new housing
projects, you must establish that there is
a reasonable ratio between the number
of net usable acres to be acquired and
the number of low- and moderateincome households to benefit from the
project.
b. (5 points). The proposed project is
a viable and cost effective approach to
address the needs outlined under Rating
Factor 2 of the application. The project
is described in detail and indicates why
you believe the project will be most
effective in addressing the identified
need. Proposed outcomes that will
enhance the community’s viability are
included. The application includes a
description of the size, type and
location of the project as well as a
rationale for project design. For land
acquisition to support new housing
projects, the applicant has established
that there is a reasonable ratio between
the number of net usable acres to be
acquired and the number of low- and
moderate-income households to benefit
from this project. The application (for
construction or rehabilitation projects)
does not include anticipated cost
savings due to innovative program
design and/or construction methods.
c. (3 points). The proposed project is
a viable and cost effective approach to
address the needs outlined under Rating
Factor 2 of the application. The project
is described and indicates why you
believe the project will be most effective
in addressing the identified need.
Proposed outcomes are included but do
not describe how the project will
enhance community viability. The
application includes a description of the
size, type, and location of the project.
For land acquisition to support new
housing projects, the applicant has
established that there is a reasonable
ratio between the number of net usable
acres to be acquired and the number of
low- and moderate-income households
to benefit from the project. The
application (for construction or
rehabilitation activities) does not
include anticipated cost savings due to
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innovative program design and/or
construction methods.
d. (0 points). The proposed project is
not a viable and cost effective approach
to address the needs outlined under
Rating Factor 2 of the application. The
proposed project is not described in
detail with an indication of why the
applicant believes the project will be
most effective in addressing the
identified need. Proposed outcomes
describing how the project will enhance
community viability are not included.
For land acquisition to support new
housing projects, the applicant has not
established that there is a reasonable
ratio between the number of net usable
acres to be acquired and the number of
low- and moderate-income households
to benefit from the project. The
application (for construction and
rehabilitation activities) does not
include anticipated cost savings due to
innovative program design and/or
construction methods.
2. (5 points). Budget and Cost
Estimates.
The quality, thoroughness, and
reasonableness of the proposed project
budget are documented. Cost estimates
must be broken down by line item for
each proposed activity, including
planning and administration costs, and
documented. You must provide a
description of the qualifications of the
person who prepared the cost estimate.
3. (1 point). HUD Policy Priorities.
Your application addresses the goals
for ‘‘Improving Our Nation’s
Communities’’, or ‘‘Energy Star’’, two of
HUD’s 2006 Policy Priorities, as
described in Section V. B. of the General
Section. You must describe which one
of these two Policy Priorities you select
and describe how your activity will
meet the applicable goals.
4. (2 points). Intent to Meet Section 3
Requirements.
Your application demonstrates how
you will apply the Section 3
requirements of the Housing and Urban
Development Act of 1968 and the
regulations in 24 CFR part 135
(Economic Opportunities for Low and
Very Low Income Persons) to the
proposed project. You must demonstrate
how you will incorporate Section 3
principles, with goals for expanding
opportunities for Section 3 residents
and business concerns, to your
proposed project. The purpose of
Section 3 is to ensure that employment
and other economic opportunities
generated by federal financial assistance
for housing and community
development programs, shall, to the
extent feasible, be directed toward low
and very-low income persons (but not in
derogation of compliance with Section
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7(b) of the Indian Self-Determination
and Education Assistance Act (25 U.S.C.
4503(b))).
5. (12 points). Commitment to Sustain
Activities.
Your application demonstrates your
commitment to your community’s
viability by sustaining your proposed
activities. The information provided is
sufficient to determine that the project
will proceed effectively.
The criteria for this sub-factor vary
according to the type of project for
which you are applying.
a. Public Facilities and Improvement
Projects.
(1) (12 points). If a tribe assumes
operation and maintenance
responsibilities for the public facilities
and improvements, provide a written
statement that the tribe has adopted the
operation and maintenance plan and
commits the necessary funds to provide
for these responsibilities. In addition,
describe how the operation and
maintenance plan addresses
maintenance, repairs, insurance,
security, and replacement reserves and
include a cost breakdown for annual
expenses. If an entity other than the
tribe commits to pay for operation and
maintenance for the public facilities, a
letter of commitment from the entity is
included in the application that
identifies the maintenance
responsibilities and, if applicable,
responsibilities for operations the entity
will assume as well as necessary funds
to provide for these responsibilities. A
description of how the operation and
maintenance plan addresses
maintenance, repairs, insurance,
security, and replacement reserves is
not required when an entity other then
the tribe assumes operation and
maintenance responsibilities. For public
facility buildings only, a commitment is
included in the application that
identifies the source of and commits the
necessary operating funds for any
recreation, social or other services to be
provided. In addition, letters of
commitment from service providers are
included which address both operating
expenses and space needs.
(2) (8 points). If a tribe assumes
operation and maintenance
responsibilities for the public facilities
and improvements, provide a written
statement that the tribe has adopted the
operation and maintenance plan and
commits the necessary funds to provide
for these responsibilities. In addition, a
description was included that shows
that the operation and maintenance plan
addresses at least 4 of the following
items (maintenance, repairs, insurance,
security, and replacement reserves) but
a satisfactory cost breakdown for annual
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expenses was not included. If an entity
other than the tribe commits to pay for
operation and maintenance for the
public facilities and maintenance, a
letter of commitment from the entity is
included in the application that
identifies the maintenance
responsibilities and, if applicable,
responsibilities for operations the entity
will assume but no information
committing the necessary funds to
provide for these responsibilities is
included. A description of how the
operation and maintenance plan
addresses maintenance, repairs,
insurance, security, and replacement
reserves is not required when an entity
other than the tribe assumes operation
and maintenance responsibilities. For
community buildings only, a
commitment is included in the
application that identifies the source of
and commits the necessary operating
funds for any recreation, social or other
services to be provided. In addition,
letters of commitment from service
providers are included which address
both operating expenses and space
needs. Information provided is
sufficient to determine that the project
will proceed effectively.
(3) (4 points). If a tribe assumes
operation and maintenance
responsibilities for the public facilities
and improvements, the application
includes a written statement that the
tribe has adopted the operation and
maintenance plan and commits the
necessary funds to provide for these
responsibilities, or a description of the
operation and maintenance plan is
included that shows that the plan
addresses at least 3 of the following
items (maintenance, repairs, insurance,
security, and replacement reserves). If
an entity other than the tribe commits
to pay for operation and maintenance
for the public facilities and
maintenance, the maintenance provider
is identified and, if applicable,
responsibilities for operations the entity
will assume, but no letter of
commitment is included. For public
facility buildings only, no commitment
is included in the application that
identifies the source of and commits the
necessary operating funds for any
recreation, social or other services to be
provided. However, letters of
commitment to provide services are
included but they do not address
operating expenses and space needs.
Information provided is sufficient to
determine that the project will proceed
effectively
(4) (0 points). None of the above
criteria is met.
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b. New Housing Construction,
Housing Rehabilitation, and
Homeownership Assistance Projects.
(1) (12 points). The ongoing
maintenance responsibilities are clearly
identified for the tribe and/or the
participants, as applicable. If the tribe or
another entity is assuming maintenance
responsibilities, then the applicant must
describe the maintenance
responsibilities and provide a
commitment to that effect.
(2) (8 points). Maintenance
responsibilities for the tribe and/or
participants are identified and
described, but lacking in detail, and the
commitment regarding maintenance
responsibilities is submitted.
(3) (4 points). Tribal maintenance
responsibilities are identified but
participant responsibilities are either
not addressed or do not exist, or there
is no commitment regarding
maintenance responsibilities.
(4) (0 points). None of the above
criteria is met.
c. Economic Development Projects.
You must include information or
documentation which addresses or
provides all of the following in the
application: a description of the
organizational system and capacity of
the entity that will operate the business;
documents which show that formal
provisions exist for separation of
government functions from business
operating decisions, an operating plan
for the project, and the feasibility and
market analysis of the proposed
business activity and the financial
viability of the project.
(1) Appropriate documents to include
in the application to address these items
include:
(a) Articles of incorporation, by-laws,
resumes of key management positions
and board members for the entity who
will operate the business.
(b) Business operating plan.
(c) Market study no more than two
years old and which has been
conducted by an independent entity.
(d) Feasibility study no more than two
years old which indicates how the
proposed business will capture a fair
share of the market, and which has been
conducted by an independent entity.
(e) Detailed cost summary for the
development of the project.
(f) For the expansion of an existing
business, copies of financial statements
for the most recent three years (or the
life of the business, if less than three
years).
(2) The submitted documentation will
be evaluated to determine the project’s
financial chance for success. The
following questions must be addressed
to meet this requirement:
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(a) Does the business plan seem
thorough and does the organization
structure have quality control and
responsibilities built in?
(b) Does the business plan or market
analysis indicate that a substantial
market share is likely within five years?
(c) Do the costs appear to be
reasonable given projected income and
information about inputs?
(d) Does the business plan or cash
flow analysis indicate that cash flow
will be positive within the first year?
(e) Is the financial statement clean
with no indications of concern by the
auditor?
(12 points). All above documents
applicable to the proposed project are
included in your application and
provide evidence that the project’s
chance for financial success is excellent.
(6 points). All or most of the above
documents applicable to the proposed
project are included and provide
evidence that the project’s chance for
financial success is reasonable.
(0 points). Neither of the above
criteria is met.
d. Microenterprise Programs.
(1) You must include the following
information or documentation in the
application that addresses or provides a
description of how your microenterprise
program will operate. Appropriate
information to include in the
application to address program
operations includes:
(a) Program description. A description
of your microenterprise program
including the types of assistance offered
to microenterprise applicants and the
types of entities eligible to apply for
such assistance.
(b) Processes for selecting applicants.
A description of your processes for
analyzing microenterprise applicants’
business plans, market studies and
financial feasibility. For credit
programs, you must describe your
process for determining the loan terms
(i.e., interest rate, maximum loan
amount, duration, loan servicing
provisions) to be offered to individual
microenterprise applicants.
(2) (12 points). All of the above
information or documentation
applicable to the proposed project are
thoroughly addressed in the application
and the chances for success are
excellent.
(3) (6 points). All or most of the above
information or documentation
applicable to the proposed project are
addressed in the application and the
chances for success are reasonable.
(4) (0 points). Neither of the above
criteria is met.
e. Land Acquisition Projects to
Support New Housing.
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Submissions must include the results
of a preliminary investigation
conducted by a qualified independent
entity demonstrating that the proposed
site has suitable soil conditions for
housing and related infrastructure,
potable drinking water is accessible for
a reasonable cost, access to utilities,
vehicular access, drainage, nearby social
and community services, and no known
environmental problems.
(1) (12 points). The submissions
include all of the above-mentioned
items and all necessary infrastructure is
in place.
(2) (6 points). The submissions
demonstrate that the proposed site(s) is/
are suitable for housing but that not all
necessary infrastructure is in place. A
detailed description of resources to be
used and a detailed implementation
schedule for development of all
necessary infrastructure demonstrates
that such infrastructure, as needed for
proposed housing development, will be
developed in time for such
development, but no later than two
years after site purchase.
(3) (0 points). Neither of the above
criteria is met.
expended on the project prior to
application submission will not be
counted as leverage. Applicants are
reminded that environmental review
requirements under 24 CFR part 58
apply to the commitment or use of both
ICDBG and non-ICDBG funds in a
leveraged project. See Section VI.B. of
this NOFA for information related to
this requirement.
Contributions that will not be
considered include, but are not limited
to: Indirect administrative costs as
identified in OMB Circular A–87,
attachment A, section F; contributions
of resources to pay for anticipated
operations and maintenance costs of the
proposed project; and, in the cases of
expansions to existing facilities, the
value of the existing facility.
To be considered for point award,
letters of firm or projected
commitments, memoranda of
understanding, or agreements to
participate from any entity, including
the tribe, which will be providing a
contribution to the project, must
accompany the application. The
documentation must be received by
HUD in the paper application package
(if you have received a waiver of the
Rating Factor 4: Leveraging Resources (8 electronic submission requirement) or
Points)
for electronically submitted
applications, the documentation must
HUD believes that ICDBG funds can
be scanned and submitted as part of the
be used more effectively to benefit a
application documents or sent by
larger number of Native American and
Alaska Native persons and communities facsimile transmittal (see the General
Section). All documents submitted must
if projects are developed that use tribal
be received by the application deadline
resources and resources from other
dates and meet the timely receipt
entities in conjunction with ICDBG
funds. To encourage this, we will award requirements to receive funding
consideration.
points based on the percentage of nonTo demonstrate the commitment of
ICDBG resources provided relative to
tribal resources, the application must
project costs as follows:
contain a written statement that
identifies and commits the tribal
Non-ICDBG resources to project
Points
costs
resources to the project, subject to
approval of the ICDBG assistance. In the
Less than 4 percent ............................
0 case of IHBG funds, whether the tribe or
At least 4 percent but less than 11
a TDHE administers them, an approved
percent ............................................
2
IHP must identify and commit the IHBG
At least 11 percent but less than 18
percent ............................................
4 resources to the project. Do not submit
the IHP with your application. ONAP
At least 18 percent but less than 25
percent ............................................
6 will rely on the most recently approved
25 percent or more .............................
8 IHP on file. If the tribe/TDHE intends to
include the leveraged commitment in a
Contributions which could be
future IHP, the application must contain
considered as leveraged resources for
a written statement that identifies and
point award include, but are not limited commits the IHBG resources to the
to: Tribal trust funds; loans from
project subject to the same requirements
individuals or organizations; private
as above.
foundations; businesses; state or federal
To demonstrate the commitment of a
loans or guarantees; other grants
public agency, foundation, or other
including IHBG (also known as NAHBG) private party resources, a letter of
funds; donated goods and services
commitment, memorandum of
needed for the project; land needed for
understanding, and/or agreement to
the project; and, direct administrative
participate, including any conditions to
costs. With the exception of land
which the contribution may be subject,
acquisition, funds that have been
must be submitted with the application.
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All letters of commitment must include
the donor organization’s name, the
specific resource proposed, the dollar
amount of the financial or in-kind
resource and method for valuation, and
the purpose of that resource within the
proposed project. An official of the
organization legally authorized to make
commitments on behalf of the
organization must sign the commitment.
HUD recognizes that in some cases,
firm commitments of non-tribal
resources may not be obtainable by your
tribe by the application submission
deadline. For such projected resources,
your application must include a
statement from the contributing entity
that describes why the firm commitment
cannot be made at the current time and
affirms that your tribe and the proposed
project meets eligibility criteria for
receiving the resource. In addition, a
date by which the funding decisions
will be made must be included. This
date cannot be more than six months
from the anticipated date of grant
approval by HUD. Should HUD not
receive notification of the firm
commitment within 6 months of the
date of grant approval, HUD will
recapture the grant funds approved and
will use them in accordance with the
requirements of 24 CFR 1003.102.
In addition to the above requirements,
for all contributions of goods, services
and land, you must demonstrate that the
donated items are necessary to the
actual development of the project and
include comparable costs that support
the donation. Land valuation must be
established using one of the following
methods and the documentation must
be contained in the application: A site
specific appraisal no more than two
years old; an appraisal of a nearby
comparable site also no more than two
years old; a reasonable extrapolation of
land value based on current area realtor
value guides; or, a reasonable
extrapolation of land value based on
recent sales of similar properties in the
same area.
Rating Factor 5: Comprehensiveness and
Coordination (6 Points)
This factor addresses the extent to
which your project planning and
proposed implementation reflect a
coordinated, community-based process
of identifying and addressing needs
including assisting beneficiaries and the
program to achieve self-sufficiency/
sustainability. The Logic Model, HUD
Form 96010, is not required for Rating
Factor 5 under the ICDBG program.
However, applicants are encouraged to
use this form to address program
evaluation requirements under Rating
Factor 1.(1).(b) of this NOFA, and
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measurable outputs and outcomes in
Section (2) of this factor.
1. (Up to 2 points). The application
addresses the extent to which you have
coordinated your proposed ICDBG
activities with other organizations and/
or tribal departments that are not
providing direct financial support to
your proposed work activities, but with
which you share common goals and
objectives and are working toward
meeting these objectives in a holistic
and comprehensive manner. For
example, your project is consistent with
and, to the extent possible, identified in
the IHP (One-Year Financial Resources
Narrative; Table 2, Financial Resources,
Part I., Line 1E; and, Table 2, Financial
Resources, Part II) submitted by you or
on your behalf for the IHBG (also known
as NAHBG) program. If the IHP for the
IHBG (also known as NAHBG) program
year that coincides with the
implementation of the ICDBG proposed
project has not been submitted, you
must provide a written statement that
when submitted, the IHP will
specifically reference the proposed
project.
2. (Up to 4 points). Your proposed
project will have measurable outputs
and outcomes that will enhance
community viability.
Outputs must include, where
applicable:
• Number of houses rehabilitated;
• Number of jobs created;
• Square feet for any public facility;
• Number of education or job training
opportunities provided;
• Number of homeownership units
constructed or financed;
• Number of businesses assisted
(including number of minority/Native
American);
• Number of families proposed to be
assisted with a drug-elimination
program, or with a program to reduce or
eliminate health related hazards.
Outcomes must include, where
appropriate:
• Reduction in the number of families
living in substandard housing;
• Increased income resulting from
employment generated by project;
• Increased quality of life due to
services provided by the public facility;
• Increased economic self-sufficiency
of recipients of program beneficiaries;
• Increase in homeownership rates;
• Reduction of drug-related crime or
health related hazards.
This year HUD is providing a Master
Logic Model which is a Microsoft
Excel TM file which features dropdown
listings from which applicants may elect
the items in each column that reflect
their activity outputs and outcomes and
copy. The Master Logic Model listing
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also identifies the unit of measure that
HUD is interested in collecting for the
output and outcome selected. In making
the selections, applicants are to identify
the appropriate estimated number of
units of measure to be accomplished
and identified for each output and
outcome. The space next to the output
and outcome is intended to capture the
anticipated units of measure. Multiple
outputs and outcomes may be selected
per project. For FY2006, HUD is
considering a new concept for the Logic
Model. The new concept is a Return on
Investment statement. HUD will be
publishing a separate notice on the ROI
concept. The Master Logic Model pick
is incorporated into the form available
as part of the ICDBG Instructions
download from Grants.gov. Training on
use of the dropdown form will be
provided via Webcast. The schedule for
Webcast training can be found at
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm.
B. Reviews and Selection Process
1. Application Selection Process
You must meet all of the applicable
threshold requirements listed in Section
III.C. Your application must meet all
screening for acceptance requirements
and all identified applicant and project
specific thresholds. HUD will review
each application and assign points in
accordance with the selection factors
described in this section.
2. Threshold Compliance
The Area ONAP will review each
application that passes the screening
process to ensure that each applicant
and each proposed project meets the
applicant threshold requirements set
forth in 24 CFR 1003.301(a) and the
project specific threshold requirements
set forth in 24 CFR 1003.302 and III.C.
of this NOFA.
3. Past Performance
An applicant’s past performance is
evaluated under Rating Factor 1.
Applicants are encouraged to address all
performance-related criteria prior to
submission of an application. An
applicant must score a minimum of 20
points under Rating Factor 1 in order to
meet the minimum point requirements
outlined below in this NOFA.
4. Rating
The Area ONAP will review and rate
each project that meets the acceptance
criteria and threshold requirements.
After the applications are rated, a
summary review of all applications will
be conducted to ensure consistency in
the application rating. The summary
review will be performed by either the
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Grants Management Director (or
designee) or by a panel composed of up
to three staff members.
The total points for all rating factors
are 100. A maximum of 100 points may
be awarded under Rating Factors 1
through 5.
5. Minimum Points
To be considered for funding, your
application must receive a minimum of
20 points under Rating Factor 1 and an
application score of 70 points.
6. Ranking
All projects will be ranked against
each other according to the point totals
they receive, regardless of the type of
project or component under which the
points were awarded. Projects will be
selected for funding based on the final
ranking to the extent that funds are
available. The Area ONAP will
determine individual grant amounts in
a manner consistent with the
considerations set forth in 24 CFR
1003.100(b)(2). Specifically, the Area
ONAP may approve a grant amount less
than the amount requested. In doing so,
the Area ONAP may take into account
the size of the applicant, the level of
demand, the scale of the activity
proposed relative to need and
operational capacity, the number of
persons to be served, the amount of
funds required to achieve project
objectives, and the reasonableness of the
project costs. If the Area ONAP
determines that there are not enough
funds available to fund a project as
proposed by the applicant, it may
decline to fund that project and may
fund the next highest-ranking project or
projects for which adequate funds are
available. The Area ONAP shall select,
in rank order, additional projects for
funding if one of the higher-ranking
projects is not funded or if additional
funds become available.
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7. Tiebreakers
When rating results in a tie among
projects and insufficient resources
remain to fund all tied projects, the Area
ONAP will approve projects that can be
fully funded over those that cannot be
fully funded. When that does not
resolve the tie, the Area ONAP will use
the following factors in the order listed
to resolve the tie:
(a) The applicant that has not received
an ICDBG over the longest period of
time.
(b) The applicant with the fewest
active ICDBGs.
(c) The project that would benefit the
highest percentage of low- and
moderate-income persons.
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8. Technical Deficiencies and PreAward Requirements
a. Technical Deficiencies: If there are
technical deficiencies in successful
applications, you must satisfactorily
address these deficiencies before HUD
can make a grant award. See the General
Section at V.B.4. for information on
curing deficiencies.
b. Pre-award Requirements.
Successful applicants may be required
to provide supporting documentation
concerning the management,
maintenance, operation, or financing of
proposed projects before a grant
agreement can be executed. Such
documentation may include additional
specifications on the scope, magnitude,
timing or method of implementing the
project; or information to verify the
commitment of other resources required
to complete, operate, or maintain the
proposed project. Applicants will be
provided thirty (30) calendar days to
respond to these requirements. No
extensions will be provided. If you do
not respond within the prescribed time
period or you make an insufficient
response, the Area ONAP will
determine that you have not met the
requirements and will withdraw the
grant offer. You may not substitute new
projects for those originally proposed in
your application and any new
information will not affect your project’s
rating and ranking. The Area ONAP will
award, in accordance with the
provisions of this NOFA, grant amounts
that had been allocated for applicants
unable to meet pre-award requirements.
9. Error and Appeals
Judgments made within the
provisions of this NOFA and the
program regulations (24 CFR part 1003)
are not subject to claims of error. You
may bring arithmetic errors in the rating
and ranking of applications to the
attention of the Area ONAPs within 30
days of being informed of your score.
Please see Section VI.A. of the General
Section for further information
regarding errors.
10. Performance and Compliance
Actions of Funding Recipients
HUD will measure and address the
performance of and order compliance
actions by funding recipients in
accordance with the applicable
standards and sanctions of their
respective programs.
VI. Award Administration Information
A. Award Notices
Awards are expected to be announced
by October 31, 2006. As soon as rating
and ranking are completed, the
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applicant has complied with any preaward requirements, and Congressional
Release has been obtained, a grant
award letter, a grant agreement, and
other forms and certifications will be
mailed to the recipient for signature and
return to the Area ONAP. The grant
agreement, which is signed by HUD and
the recipient, establishes the conditions
by which both the Area ONAP and the
recipient must abide during the life of
the grant. All grants are conditioned
upon the completion of all
environmental obligations and approval
of release of funds by the Area ONAP
in accordance with the requirements of
24 CFR part 58. HUD may impose other
grant conditions if additional actions or
approvals are required before the use of
funds.
B. Administrative and National Policy
Requirements
1. Statutory and Regulatory
Requirements
a. Environmental Requirements. As
required by 24 CFR 1003.605, ICDBG
grantees must perform environmental
reviews of ICDBG activities in
accordance with 24 CFR part 58 (as
amended 9/29/03). Grantees and other
participants in the development process
may not commit or expend any ICDBG
or nonfederal funds on project activities
(other than those listed in 24 CFR
58.22(f), 58.34 or 58.35(b)) until HUD
has approved a Request for Release of
Funds and environmental certification
submitted by the grantee. The
expenditure or commitment of ICDBG or
nonfederal funds for such activities
prior to HUD approval may result in the
denial of assistance for the project or
activities under consideration.
b. Indian Preference. HUD has
determined that the ICDBG program is
subject to Section 7(b) of the Indian
Self-Determination and Education
Assistance Act (25 U.S.C. 450e(b)). The
provisions and requirements for
implementing this section are in 24 CFR
1003.510.
c. Anti-discrimination Provisions.
Under the authority of Section 107(e)(2)
of the CDBG statute, HUD waived the
requirement that recipients comply with
the anti-discrimination provisions in
Section 109 of the CDBG statute with
respect to race, color, and national
origin. You must comply with the other
prohibitions against discrimination in
Section 109 (HUD’s regulations for
Section 109 are in 24 CFR part 6) and
with the Indian Civil Rights Act.
d. Conflict of Interest. In addition to
the conflict of interest requirements
with respect to procurement
transactions found in 24 CFR 85.36 and
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2. OMB Circulars and Government-Wide
Regulations Applicable to Financial
Assistance Programs
The policies, guidance and
requirements of OMB Circular A–87,
Cost Principles Applicable to Grants,
Contracts and other Agreements with
State and Local Governments; and OMB
Circular A–122, Cost Principles for
Nonprofit Organizations; and OMB
Circular A–133, Audits of State and
Local Governments, and Nonprofit
Organizations; and the regulations at 24
CFR part 85, Administrative
Requirements for Grants and
Cooperative Agreements to State, Local
and Federally Recognized Indian Tribal
Governments apply to the award,
acceptance, and use of assistance under
the ICDBG program and to the remedies
for noncompliance, except when
inconsistent with the provisions of the
Consolidated Appropriations Act, 2006
(Pub L. 109–115; approved November
30, 2005) or the ICDBG program
regulations at 24 CFR part 1003. Copies
of the OMB Circulars may be obtained
from EOP publications. Room 22000,
New Executive Office Building,
Washington, DC 20503, telephone (202)
395–3080 (this is not a toll-free number)
or (800) 877–8339 (TTY Federal
Information Relay Service). Information
may also be obtained from the OMB
Web site at https://www.whitehouse.gov/
omb/circulars/.
annually. The report is due 45 days after
the end of the Federal fiscal year and at
the time of grant close-out. The report
must include:
(1) The narrative report must address
the progress made in completing
approved activities and include a list of
work remaining, along with a revised
implementation schedule if necessary.
This should include progress on any
outputs or outcomes specified in Rating
Factor 5 and incorporated into the final
award document (applicants can use the
logic model to address all or some of the
narrative requirements). Further
information regarding the Return on
Investment(s) will be issued in a
subsequent notice by HUD (see section
V.A.2., Rating Factor 5 of this NOFA for
further information);
(2) A breakdown of funds spent on
each major project activity or category;
and
(3) If the project has been completed,
an evaluation of the effectiveness of the
project in meeting the community
development needs of the grantee, as
well as the final outputs and outcomes.
c. Minority Business Enterprise
Report. Recipients must submit this
report on contract and subcontract
activity during the first half of the fiscal
year by April 10 and, by October 10 for
the second half of the fiscal year.
d. A close-out report must be
submitted by the recipient within 90
days of completion of grant activities.
The report consists of the final Financial
Status Report (forms SF 269 or 269A),
the final Status and Evaluation Report
including outposts and outcomes agreed
upon in the final award document
relating to Rating Factor 5 and the
Close-Out Agreement. Further
information regarding the Return on
Investment(s) will be issued in a
subsequent notice by HUD (see section
V.A.2., Rating Factor 5 of this NOFA for
further information).
More information regarding these
requirements may be found at 24 CFR
1003.506 and 1003.508.
C. Reporting
VII. Agency Contact(s)
1. Post Award Reporting Requirements
a. Quarterly Financial Reports. Grant
recipients must submit quarterly to the
Area ONAP a SF–272, Federal Cash
Transaction Report. The report accounts
for funds received and disbursed by the
recipient.
b. Annual Status and Evaluation
Report. Recipients are required to
submit this report in narrative form
A. General Questions
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84.42, as applicable, the provisions of
24 CFR 1003.606 apply to such
activities as the provision of assistance
by the recipient or sub-recipients to
businesses, individuals, and other
private entities under eligible activities
that authorize such assistance.
e. Economic Opportunities for Lowand Very Low-Income Persons (Section
3). Section 3 requirements apply to the
ICDBG program, but as stated in 24 CFR
135.3(c), the procedures and
requirements of 24 CFR part 135 apply
to the maximum extent consistent with,
but not in derogation of, compliance
with Indian Preference.
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You should direct general program
questions to the Area ONAP serving
your area or to Barbara Gallegos, at 602–
379–7215. Persons with speech or
hearing impairments may call HUD’s
TTY number (202) 708–0770, or 1–800–
877–8339 (the Federal Information
Relay Service TTY). Other than the
‘‘800’’ numbers, these numbers are not
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toll-free. You should direct questions
concerning downloading the electronic
application, registering with Grants.gov,
or other questions regarding the
electronic application to the Grants.gov
support desk at 800–518–GRANTS. You
may also send an email to
Support@Grants.gov.
B. Technical Assistance
Before the application submission
deadline, HUD staff will be available to
provide you with general guidance and
technical assistance about the
requirements in the General Section and
this NOFA. However, HUD staff is not
permitted to assist in preparing your
application. Following selection of
applicants, but before awards are made,
HUD staff is available to assist in
clarifying or confirming information
that is a prerequisite to the offer of an
award.
VIII. Other Information
A. NOFA Training
Training for potential applicants on
the requirements of the General Section,
this NOFA, the Logic Model, and
Grants.gov registration, will be provided
by HUD via broadcast and webcast.
Information on the training can be
found in the General Section. The
training schedule can be found on
HUD’s Web site at https://www.hud.gov/
offices/adm/grants/fundsavail.cfm.
B. Paperwork Reduction Act Statement
The information collection
requirements in this NOFA have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
number 2577–0191. In accordance with
the Paperwork Reduction Act, HUD may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless the collection
displays a valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 43 hours per annum for the
application and grant administration.
This includes the time for collecting,
reviewing, and reporting the data. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
BILLING CODE 4210–01–P
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Historically Black Colleges and
Universities (HBCU) Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Policy Development and
Research, Office of University
Partnerships.
B. Funding Opportunity Title:
Historically Black Colleges and
Universities (HBCU) Program.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Numbers:
The Federal Register Number is FR–
5030–N–28. The OMB Approval
Number is 2528–0235.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: The CFDA
Number for is program is 14.520.
F. Dates: The application deadline
date is May 19, 2006. Please be sure to
read the General Section for electronic
application submission and receipt
requirements.
G. Additional Overview Content
Information:
1. Purpose of the Program: To assist
Historically Black Colleges and
Universities (HBCU) to expand their
role and effectiveness in addressing
community development needs in their
localities, including neighborhood
revitalization, housing and economic
development, principally for persons of
low- and moderate-income consistent
with the purposes of Title I of the
Housing and Community Development
Act of 1974, as amended.
2. Award Information: In Fiscal Year
(FY) 2006, approximately $8.9 million
has been made available by the
Department of Housing and Urban
Development Appropriations Act, 2006
(Pub. L. 109–115; approved Nov. 30,
2005) of which up to $1,000,000 has
been allocated to provide technical
assistance. In addition, $2.5 million in
previously unobligated funds are
available for this program. HUD will
award two types of grants under this
program: Category I and Category II.
a. Category I Grants will be awarded
to provide critical resources and
assistance to institutions that sustained
in excess of $50 million in damage and
destruction from hurricanes Katrina or
Rita in FY 2005. No assistance may be
provided for any expenses compensated
through insurance or otherwise
provided or paid by any other program,
persons, and/or entity. Applicants can
request up to $2,000,000 for a three-year
(36 months) grant performance period.
b. Category II Grants will be awarded
to institutions to expand their role and
effectiveness in addressing community
development needs in their localities, or
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a designated disaster area including
neighborhood revitalization, housing
and economic development. Applicants
can request up to $600,000 for a threeyear (36 months) grant performance
period.
Approximately $6 million will be
made available to fund Category I
applicants. In addition, approximately
$4.4 million will be made available to
fund Category II applicants. If funding
designated for Category I Applicants
remains after all eligible applicants are
awarded, the remaining funds will be
made available to fund eligible Category
II Applicants.
Only one application can be
submitted per institution. In addition,
an applicant can only apply under one
category. If multiple applications are
submitted under one category, all will
be disqualified. If an applicant submits
applications under both funding
categories, all applications will be
disqualified.
3. Eligible Applicants: Historically
Black Colleges and Universities that
meet the definition of Historically Black
Colleges and Universities as determined
by the Department of Education in 34
CFR 608.2 in accordance with that
Department’s responsibilities under
Executive Order 13256, dated February
12, 2002. Applicants must be
institutions of higher education
accredited by a national or regional
accrediting agency recognized by the
U.S. Department of Education.
Full Text of Announcement
I. Funding Opportunity Description
The purpose of the Historically Black
Colleges and Universities (HBCU)
Program is to expand their role and
effectiveness in addressing community
development needs in their localities,
including neighborhood revitalization,
housing, and economic development,
principally for persons of low- and
moderate-income, consistent with the
purpose of the Title I of Housing and
Community Development Act of 1974,
as amended.
For the purposes of Category II
Applicants applying under this program
NOFA, the term ‘‘locality’’ includes any
city, county, township, parish, village,
or other general political subdivision of
a state, or the U.S. Virgin Islands where
the institution is located and the term
‘‘target area’’ is the area within the
locality in which the institution will
implement its proposed HBCU grant. If
an institution wants to provide services/
activities in a location other than the
target area of that institution an
applicant must provide justification for
why they want to do so.
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A. Authority
HUD’s authority for making funding
available under this NOFA is the
Department of Housing and Urban
Development Appropriations Act, 2006
(Pub. L. 109–115; approved Nov. 30,
2005). This program is being
implemented through this NOFA and
the policies governing its operation are
contained herein.
B. Modifications
Listed below are major modifications
from the Fiscal Year (FY) 2005 programfunding announcement:
1. The 15 percent cap on the total
grant amount that can be used on public
service activities that benefit low- and
moderate-income persons can now be
waived. Institutions seeking to devote
more than 15 percent of the grant funds
to public service activities must include
a written request in their application
addressed to Darlene F. Williams,
Assistant Secretary for Policy
Development and Research. The written
request must include the following
information: (1) The basis for the
request; (2) a description of the
proposed public service activities; (3)
the dollar amount dedicated to the
proposed public service activities; and
(4) a statement describing how the
proposed activities meet the Community
Development Block Grant eligibility
requirements and at least one national
objective. This letter must be included
in the applicant’s application.
2. Commitment letters, memoranda of
understanding and/or agreements are
not required at the time of application
submission but must be on file.
Applicants selected for award will be
required to submit the signed
commitment letters, memoranda of
understanding and/or agreements
outlined in the application, within
twenty (20) calendar days after initial
contact from the Office of University
Partnerships (OUP). OUP will provide
specific instructions on how these
documents must be submitted at that
time. HUD will only request and
consider the resources/organizations
outlined in the application. If OUP does
not receive those documents in the
required format and allotted timeframe,
an applicant will not receive points
under this factor and the application
will be rated and ranked to address this
point change.
3. Current HBCU grantees that have
two or more active HBCU grants are no
longer required to have drawn down 50
percent or more prior to this application
deadline date to be eligible to apply for
funding under this NOFA.
4. All applicants submitting electronic
applications must attach their narrative
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responses to Rating Factors 1–5 as one
attachment. PLEASE DO NOT ATTACH
YOUR RESPONSE TO EACH FACTOR
SEPARATELY.
II. Award Information
In Fiscal Year (FY) 2006,
approximately $8.9 million is made
available for this program, of which up
to $1,000,000 has been allocated to
provide technical assistance. In addition
$2.4 million in previously unobligated
funds. HUD will award two types of
grants under this program: Category I
and Category II.
A. Category I Grants will be awarded
to provide critical resources and
assistance to institutions that sustained
in excess of $50 million in damage and
destruction from hurricanes Katrina or
Rita in FY2005. No assistance may by
provided for any expenses compensated
through insurance or otherwise
provided or paid by any other program,
persons, and/or entity. Applicants can
request up to $2,000,000 for a three-year
(36 months) grant performance period.
B. Category II Grants will be awarded
to expand institutions to their role and
effectiveness in addressing community
development needs in their localities, or
a designated disaster area including
neighborhood revitalization, housing
and economic development. Applicants
can request up to $600,000 for a threeyear (36 months) grant performance
period.
Approximately $6 million will be
made available to fund Category I
applicants. In addition, approximately
$4.4 million will be made available to
fund Category II applicants. If funding
designated for Category I Applicants
remains after all eligible applicants are
awarded, the remaining funds will be
made available to fund eligible Category
II Applicants.
Only one application can be
submitted per institution. In addition,
an applicant can only apply under one
category. If multiple applications are
submitted under one category, all will
be disqualified. If an applicant submits
applications under both funding
categories, all applications will be
disqualified.
III. Eligibility Information
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A. Eligible Applicants
Historically Black Colleges and
Universities as determined by the U.S.
Department of Education in 34 CFR
608.2 in accordance with that
Department’s responsibilities under
Executive Order 13256, dated February
12, 2002. All applicants must be
institutions of higher education
accredited by a national or regional
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accrediting agency recognized by the
U.S. Department of Education.
B. Cost Sharing or Matching
None Required.
C. Other
1. Eligible Activities
Eligible activities are listed in 24 CFR
part 570, subpart C, particularly
§§ 570.201 through 570.206. Information
regarding these activities can be found
at: www.hudclips.org (click on the Code
of Federal Regulations for detailed
information). a. Examples of eligible
activities include, but are not limited to:
(1) Acquisition of real property;
(2) Clearance and demolition
(Applicants applying for Category I
funding may undertake eligible
activities such as clearance and
demolition or rehabilitation on their
own campuses/facilities);
(3) Rehabilitation of residential
structures including lead-based paint
hazard evaluation and reduction and
making accessibility and visitability
modifications in accordance with the
requirements of Section 504 of the
Rehabilitation Act of 1973;
(4) Public facilities and
improvements, such as water and sewer
facilities and streets compliance with
accessibility requirements including
Section 504 of the Rehabilitation Act of
1973, the Fair Housing Act, and the
American with Disabilities Act of 1990;
(5) Special economic development
activities described at 24 CFR 570.203
and assistance to facilitate economic
development by providing technical or
financial assistance for the
establishment, stabilization, and
expansion of microenterprises,
including minority enterprises;
(6) Assistance to community-based
development organizations (CBDO) to
carry out a CDBG neighborhood
revitalization, community economic
development, or energy conservation
projects, in accordance with 24 CFR
570.204. This could include activities in
support of a HUD-approved local
entitlement grantee, CDBG
Neighborhood Revitalization Strategy
(NRS) or HUD-approved State CDBG
Community Revitalization Strategy
(CRS);
(7) Public service activities such as
those general support activities that can
help to stabilize a neighborhood and
contribute to sustainable redevelopment
of the area, including but not limited to
such activities as those concerned with
employment, crime prevention, child
care, health care services, drug abuse,
education, fair housing counseling,
energy conservation, homebuyer down
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payment assistance, establishment and
maintenance of Neighborhood Network
centers in federally assisted or insured
housing, job training and placement,
and recreational needs;
(8) Payments of reasonable grant
administrative costs related to planning
and execution of the project (e.g.,
preparation/submission of HUD
reports). Detailed explanations of these
costs are provided in the OMB circular
(A–21 Cost Principals for Educational
Institutions) that can be accessed at the
White House Web site,
www.whitehouse.gov/omb/circulars/
index.html; and
(9) Fair housing services designed to
further the civil rights objectives of the
Fair Housing Act (42 U.S.C. 3601–20) by
making all persons, without regard to
race, color, religion, sex, national origin,
familial status and/or disability aware of
the range of housing opportunities
available to them.
b. Eligible activities funded under this
program meet both the Community
Development Block Grant (CDBG)
Program eligibility requirements and at
least one of the national objectives.
c. The three national objectives of the
Community Development Block Grant
program are:
(1) Benefit to low-or moderate-income
persons;
(2) Aid in the prevention or
elimination of slums or blight; and
(3) Meet other community
development needs having a particular
urgency because existing conditions
pose a serious and immediate threat to
the health and welfare of the
community, and other financial
resources are not available to meet such
needs.
Criteria for determining whether an
activity addresses one or more national
objective are provided at 24 CFR
570.208.
d. The CDBG publication entitled
‘‘Community Development Block Grant
Program Guide to National Objectives
and Eligible Activities for Entitlement
Communities’’ describes the CDBG
regulations, and a copy can be obtained
from HUD’s NOFA Information Center
at 800–HUD–8929 or 800–HUD–2209
for the hearing-impaired.
2. Audit Requirements
See Section III.C. of the General
Section.
3. Threshold Requirements Applicable
to All Applicants
All applicants must comply with the
threshold requirements as defined in the
General Section and the requirements
listed below. Applications that do not
meet these requirements will be
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considered ineligible for funding and
will be disqualified:
a. The applicant must meet the
eligibility requirements as defined in
Section III.A.
b. The maximum amount of funding
an applicant can request under Category
I Grants is $2,000,000 for a three-year
(36 months) grant performance period.
The maximum amount of funding an
applicant can request for funding under
Category II Grants is $600,000 for a
three-year (36 months) grant
performance period.
c. Only one application can be
submitted per institution. In addition,
an applicant can only apply under one
category. If multiple applications are
submitted under one category, all will
be disqualified. If an applicant submits
applications under both funding
categories, all applications will be
disqualified.
d. Applicants must receive a
minimum score of 75 points to be
considered for funding.
e. An applicant must have a DUNS
number to receive HUD grant funds.
(See the General Section).
f. Electronic applications must be
received and validated by grants.gov no
later than 11:59:59 p.m. eastern time on
the application deadline date of May 19,
2006.
4. Program Requirements
In addition to the program
requirements listed in Section III.C of
the General Section, applicants must
meet the following program
requirements:
a. All funds awarded are for a threeyear (36 months) grant performance
period.
b. Applicants must ensure that not
less than 51 percent of the aggregated
expenditures of the grant benefit lowand moderate-income persons under the
criteria specified in 24 CFR 570.208(a)
or 570.208(d)(5) or (6).
c. Site Control. Where grant funds
will be used for acquisition,
rehabilitation, or new construction an
applicant must demonstrate site control.
Funds may be recaptured or deobligated
from applicants that cannot demonstrate
control of a suitable site within one year
after the initial notification of award.
d. Environmental Requirements.
Selection for award does not constitute
approval of any proposed sites.
Following selection for award, HUD will
perform an environmental review of
properties proposed for assistance in
accordance with 24 CFR part 50. The
results of the environmental review may
require that proposed activities be
modified or proposed sites be rejected.
Applicants are particularly cautioned
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not to undertake or commit funds for
acquisition or development of proposed
properties prior to HUD approval of
specific properties or areas. An
application constitutes an assurance
that the institution will assist HUD to
comply with part 50; Will supply HUD
with all available and relevant
information to perform an
environmental review for each proposed
property; will carry out mitigating
measures required by HUD or select
alternate property; and will not acquire,
rehabilitate, convert, demolish, lease,
repair, or construct property, and not
commit or expend HUD or local funds
for these program activities with respect
to any eligible property until HUD’s
written approval of the property is
received. In supplying HUD with
environmental information, applicants
should use the same guidance as
provided in the HUD Notice CPD–05–07
entitled, ‘‘Field Environmental Review
Processing for Rural Housing and
Economic Development (RHED) Grants’’
issued August 30, 2005.
Further information and assistance on
HUD’s environmental requirements is
available at: https://www.hud.gov/
utilities/intercept.cfm?/offices/cpd/
lawsregs/notices/2005/05-07.pdf.
e. Labor Standards. Institutions and
their sub-grantees, contractors and
subcontractors must comply with the
labor standards (Davis-Bacon)
requirements referenced in 24 CFR
570.603.
f. Economic Opportunities for Lowand Very-Low Income Persons (Section
3). The provisions of Section 3 of the
Housing and Urban Development Act of
1968 (12 U.S.C. 1701u) apply to this
NOFA and requires that, to the greatest
extent feasible, opportunities for
training and employment be given to
lower-income residents of the project
and contracts for work in connection
with the project be awarded in
substantial part to persons residing in
the area of the project. Regulations are
located at 24 CFR part 135.
IV. Application and Submission
Information
A. Addresses to Request Application
Package
Applicants may download the
instructions to the application found on
the Grants.gov Web site at https://
www.grants.gov/Apply. If you have
difficulty accessing the information you
may call the Grants.gov Support Desk
toll free at 800–518–GRANTS or e-mail
your questions to Support@Grants.gov.
See the General Section for information
regarding the registration process or ask
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for registration information from the
Grants.gov Support Desk.
B. Content and Form of Application
Submission
1. Forms
The following forms are required for
submission. Copies of these forms are
available on line at https://www.hud.gov/
offices/adm/grants/nofa06/
snofaforms.cfm.
a. Application for Federal Assistance
(SF–424);
b. Survey on Ensuring Equal
Opportunity for Applicants (SF–424
Supplement);
c. Grant Application Detailed Budget
(HUD–424–CB);
d. Disclosure of Lobbying Activities
(SF–LLL), if applicable;
e. America’s Affordable Communities
Initiative (HUD–27300), if applicable;
f. Applicant/Recipient Disclosure/
Update Report (HUD–2880);
g. Program Logic Model (HUD–
96010);
h. Budget-By-Activity (HUD–40076);
i. Acknowledgement of Applicant
Receipt (HUD–2993). Complete this
form if you have received a waiver to
the electronic application submission
requirement. Applicants are not
required to include this form;
j. You Are Our Client Grant Applicant
Survey (HUD–2994–A). Applicants are
not required to complete this form; and
k. Facsimile Transmittal Cover Page
(HUD–96011). This form must be used
as the cover page to transmit third party
documents and other information.
Applicants are advised to download the
application package, complete the SF–
424 first and it will pre-populate the
Transmittal Cover page. The Transmittal
Cover page will contain a unique
identifier embedded in the page that
will help HUD associate your faxed
materials to your application. Please do
not use your own fax sheet. HUD will
not read any faxes that are sent without
the HUD–96011 fax transmittal cover
page.
2. Certifications and Assurances
Please read the General Section for
detailed information on all
Certifications and Assurances. All
applications submitted through
Grants.gov constitute an
acknowledgement and agreement to all
required certifications and assurances.
Please include in your application each
item listed below. Applicants
submitting paper copy applications
should submit the application in the
following order:
a. SF–424, Application for Federal
Assistance. Please remember the
following:
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(1) The full grant amount requested
from HUD (entire three-years) should be
entered, not the amount for just one
year;
(2) Include the name, title, address,
telephone number, facsimile number,
and e-mail address of the designated
contact. This is the person who will
receive all correspondence, therefore,
please ensure the accuracy of the
information;
(3) The Employer Identification/Tax
ID number;
(4) The DUNS Number;
(5) The Catalog of Federal Domestic
Assistance Number for this program is
14.520;
(6) The project’s proposed start date
and completion date. For the purpose of
this application, the program start date
should be December 1, 2006; and
(7) The signature of the Authorized
Organization Representative (AOR) who
by virtue of submitting an application
via Grants.gov has been authenticated
by the credential provider to submit
applications on behalf of the Institution
and approved by the eBusiness Point of
Contact to submit an application via
Grants.gov. The AOR must be able to
make a legally binding agreement with
HUD. For details on the Grants.gov
registration process see HUD’s Notice on
Early Registration published in the
Federal Register on December 9, 2005.
b. Application Checklist. Applicants
should use the checklist to ensure that
they have all the required components
of their application. Applicants that
receive a waiver of the electronic
application submission requirement
must include a copy of the checklist in
their application submission.
Applicants submitting an electronic
application should not submit the
checklist. The checklist can be located
in Appendix A.
c. Abstract. Applicants must include
no more than a two-page summary of
the proposed project. Please include the
following:
(1) A clear description of the
proposed project activities, where they
will take place (be located), the target
population that will be assisted, and the
impact this project is expected to have
on the community and institution;
(2) A statement that the institution is
an eligible institution because it is a
fully accredited institution, the name of
the accrediting agency and an assurance
that the accrediting agency is recognized
by the U.S. Department of Education;
(3) The designated contact person,
including phone number, facsimile
number, and e-mail address (This is the
person who will receive all
correspondence; therefore, please
ensure the accuracy of the information);
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(4) The principal director, if different
from the designated contact person, for
the project, including phone number,
facsimile number, and e-mail address.
d. Narrative statement addressing the
Factors. HUD will use the narrative
response to the ‘‘Rating Factors’’ to
evaluate, rate, and rank applications.
The narrative statement is the main
source of information. Applicants are
advised to review each factor carefully
for program specific requirements. The
response to each factor should be
concise and contain only information
relevant to the factor, yet detailed
enough to address each factor fully.
Please do not repeat material in
response to the five factors; instead,
focus on how well the proposal
responds to each of the factors. Where
there are subfactors each subfactor must
be presented separately, with the short
title of the subfactor presented. Make
sure to address each subfactor and
provide sufficient information about
every element of the subfactor. The
narrative section of an application must
not exceed 50 pages in length
(excluding forms, budget narrative,
assurances, and abstract) and must be
submitted on 81⁄2 by 11-inch paper,
double-spaced on one side of the paper,
with one inch margins (from the top,
bottom, and left to right side of the
document) and printed in standard
Times New Roman 12-point font. Each
page of the narrative must include the
applicant’s name and be should be
numbered. Note that although
submitting pages in excess of the page
limit will not disqualify an applicant,
HUD will not consider the information
on any excess pages. This exclusion
may result in a lower score or failure to
meet a threshold requirement. All
applicants submitting electronic
applications must attach their narrative
responses to Rating Factors 1–5 as one
attachment. PLEASE DO NOT ATTACH
YOUR RESPONSE TO EACH FACTOR
SEPARATELY.
e. Budget. The budget submission
must include the following:
(1) HUD–424–CB, ‘‘Grant Application
Detailed Budget.’’ This form shows the
total budget by year and by line item for
the program activities to be carried out
with the proposed HUD grant. Each year
of the program should be presented
separately. Applicants must also submit
this form to reflect the total cost
(summary) for the entire grant
performance period (Grand Total).
(2) HUD–40076–HBCU, ‘‘Response
Sheet, Budget-By-Activity’’ This form
must be used to document the entire
three-year grant performance period.
The form should include a listing of
tasks to be completed for each activity
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necessary to be performed to implement
the program, the overall costs for each
activity, and the cost from each funding
source. The budget-by-activity should
clearly indicate the HUD grant amount
and identify the source and dollar
amount of the leveraged resources, if
any.
Make sure that the amounts shown on
the SF–424, HUD–424–CB, HUD–
40076–HBCU and all other required
program forms are consistent and the
budget totals are correct. Remember to
check addition in totaling the categories
on all forms so that all items are
included in the total. If there is an
inconsistency between any of the
required budget forms, the HUD–424–
CB will be used. All budget forms must
be completed fully. If an application is
selected for award, the applicant may be
required to provide greater specificity to
the budget during grant agreement
negotiations.
(3) Budget Narrative. A narrative must
be submitted that explains how the
applicant arrived at the cost estimates
for any line item over $5,000
cumulative. For example, an applicant
proposes to construct a building using
HUD funding totaling $200,000. The
following costs estimate reflects this
total. Foundation cost $75,000,
electrical work $40,000, plumbing work
$40,000, finishing work $35,000, and
landscaping $10,000. The proposed cost
estimates should be reasonable for the
work to be performed and consistent
with rates established for the level of
expertise required to perform the work
proposed in the geographical area.
When necessary, quotes from various
vendors or historical data should be
used (please make sure they are kept on
file and are available for review by HUD
at any time). When an applicant
proposes to use a consultant, the
applicant must indicate whether there is
a formal written agreement. For each
consultant, please provide the name, if
known, hourly or daily rate, and the
estimated time on the project.
Applicants must use a cost estimate
based on historical data from the
institution, and/or from a qualified firm
(e.g., Architectural or Engineering firm),
vendor, and/or qualified individual
(e.g., independent architect or
contractor) other than the institution for
projects that involve rehabilitation of
residential, commercial and/or
industrial structures, and/or acquisition,
construction, or installation of public
facilities and improvements. Such an
entity must be involved in the business
of housing rehabilitation, construction
and/or management. Equipment and
contracts cannot be presented as a total
estimated costs. For equipment,
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applicants must provide a list by type
and cost for each item. Applicants using
contracts must provide an individual
description and cost estimate for each
contract. Construction costs must be
broken down to indicate how funds will
be utilized (e.g., demolition, foundation,
exterior walls, roofing, electrical work,
plumbing, finishing work, etc.)
(4) Indirect costs. Indirect costs, if
applicable, are allowable based on an
established approved indirect cost rate.
Applicants must have on file and
submit to HUD if selected for funding a
copy of their indirect cost rate
agreement. Applicants who are selected
for funding that do not have an
approved indirect cost rate agreement,
established by the cognizant federal
agency), will be required to establish a
rate. In such cases, HUD will issue an
award with a provisional rate and assist
applicants in having a rate established.
f. Appendix. Applicants receiving a
waiver of the electronic submission
requirements and submitting a paper
copy of the application must place all
required forms in this section. An
applicant SHOULD NOT submit
resumes, or other back-up materials. If
this information is included, it will not
be considered during the review
process.
C. Submission Dates and Times
A complete application package must
be received and validated electronically
by the Grants.gov portal no later than
11:59:59 p.m. eastern time on or before
the applications deadline date of May
19, 2006. In an effort to address any
issues with transmission of your
application, applicants are strongly
encouraged to submit their applications
prior to the application deadline. This
will allow an applicant enough time to
make the necessary adjustments to meet
the submission deadline. Please see the
General Section for further instructions.
Electronic faxes using the Facsimile
Transmittal cover sheet (Form HUD–
96011) contained in the electronic
application must be received no later
than 11:59:59 p.m. eastern time on the
application submission deadline date.
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D. Intergovernmental Review
This program is excluded from an
Intergovernmental Review.
E. Funding Restrictions
Ineligible CDBG Activities are listed
at 24 CFR 570.207. Ineligible activities
include but are not limited to:
1. Curriculum development and/or
expansion of an institution’s existing
curriculum;
2. General government expenses; and
3. Political activities.
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F. Other Submission Requirements
1. Application Submission and Receipt
Procedure
Please read the General Section
carefully and completely for the
submission and receipt procedures for
all applications because failure to
comply may disqualify your
application.
2. Waiver of Electronic Submission
Requirements
Please refer to the General Section for
further discussion. Paper applications
will not be accepted from applicants
that have not been granted a waiver. If
an applicant is granted a waiver, the
Office of University Partnerships will
provide instructions for submission.
Applicants that submit a paper
application must be received by or
before the application deadline date.
V. Application Review Information
A. Criteria
1. Rating Factor 1: Capacity of the
Applicant and Relevant Experience (25
Points)
This factor addresses the extent to
which the institution has the resources
necessary to successfully implement the
proposed activities in a timely manner.
a. Knowledge and Experience For
Category I and First Time Category II
Applicants (25 Points) For Previously
Funded Category II Applicants (10
Points). In rating this subfactor, HUD
will consider the extent to which the
applicant clearly addresses the
following:
(1) Describe the knowledge and
experience of the proposed project
director and staff, including the day-today program manager, consultants
(including technical assistance
providers), and contractors in planning
and managing the type of project for
which funding is being requested; and
(2) Clearly identify the following: key
project team members, titles (e.g.,
project manager/coordinator, etc.),
respective roles for the project staff, and
a brief description of their relevant
experience.
If key personnel have not been hired,
applicants must identify the position
title, provide a description of duties and
responsibilities, and describe the
qualifications to be considered in the
selection of personnel, including
subcontractors and consultants.
Experience will be judged in terms of
recent and relevant knowledge and
skills of the staff to undertake the
proposed eligible program activities.
HUD will consider experience within
the last five (5) years to be recent and
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experience pertaining to similar
activities to be relevant.
b. Past Performance (15 points) For
Previously Funded Category II
Applicants. This subfactor will evaluate
how well an applicant has performed
successfully under HUD/HBCU grants.
Applicants must demonstrate this by
addressing the following information on
the HUD–40076–HBCU ‘‘Response
Sheet: (Performance Narrative) for all
previously completed and open HBCU
grants:
(1) A list of all HUD/HBCU grants
received, including the dollar amount
awarded and the amount expended as of
the date of this application. The HUD–
40076–HBCU ‘‘Response Sheet’’
(Performance Narrative) form is located
at the following Web site: https://
www.hud.gov/offices/adm/grants/
fundsavail.cfmin. The form should be
filled out completely;
(2) A description of the achievement
of specific tasks, measurable objectives,
and specific outcomes consistent with
the approved timeline/work plan;
(3) A comparison of the amount of
proposed leveraged funds and/or
resources to the amount that was
actually leveraged;
(4) A detailed description of
compliance with all reporting
requirements, including timeliness of
submission, whether reports were
complete and addressed all information
(both narrative and financial) as
required by the grant agreement; and
(5) A list detailing the date the
project(s) was completed, was it
completed in the original three-year
grant performance period; if not
completed why (including when it was
or will be completed);
HUD will also review an applicant’s
past performance in managing funds,
including, but not limited to: The ability
to account for funding appropriately;
timely use of funds received from HUD;
meeting performance targets for
completion of activities; timely
submission of required progress reports
and receipt of promised leveraged
resources. In evaluating past
performance, HUD reserves the right to
deduct up to five (5) points from this
rating score as a result of the
information obtained from HUD’s
records (i.e., progress and financial
reports, monitoring reports, Logic Model
submissions, and amendments).
2. Rating Factor 2: Need/Extent of the
Problem (15 Points)
This factor addresses the extent to
which there is a need for funding the
proposed program activities and an
indication of the importance of meeting
the need(s). In addressing this factor,
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applicants should provide, at a
minimum, the following and must cite
statistics and/or analyses contained in
one or more current data sources that
are sound and reliable.
(1) Describe the need(s); and
(2) Describe the importance of
meeting the proposed needs. In rating
this factor, HUD will consider only
current data that is specific to the area
where the proposed project activities
will be carried out. Sources for localized
data can be found at: www.ffiec.gov.
HUD will also consider data collected
within the last five (5) years to be
current. To the extent that the targeted
community’s Five Year Consolidated
Plan and Analysis of Impediments to
Fair Housing Choice (AI) identify the
level of the problem and the urgency in
meeting the need, applicants should
include references to these documents
in response to this factor (this is
applicable only to applicants applying
for funding under Category II).
Other reliable data sources include,
but are not limited to, Census reports,
HUD Continuum of Care gap analysis
and its E–MAP (To find additional
information go to HUD’s Web site:
https://www.hud.gov/emaps), law
enforcement agency crime reports,
Public Housing Agencies’
Comprehensive Plans, community
needs analyses such as provided by the
United Way, the applicant’s institution,
and other sound, reliable an appropriate
sources. Needs in terms of fulfilling
court orders or consent decrees,
settlements, conciliation agreements,
and voluntary compliance agreements
may also be addressed.
3. Rating Factor 3: Soundness of
Approach (40 Points)
This factor addresses the quality and
effectiveness of the proposed work plan
and the commitment of the institution
to sustain the proposed activities.
This factor will be evaluated based on
the extent to which the proposed work
plan demonstrates the following:
a. Quality of the Work Plan. This
subfactor will be evaluated on the extent
to which an applicant provides a clear
detailed description of the proposed
project and anticipated
accomplishments.
(1) Specific Activities. For Category I
Applicants (28 Points). For Category II
Applicants (25 Points). The work plan
must describe all proposed activities
and major tasks required to successfully
implement the proposed project and
anticipated accomplishments. In
addressing this subfactor, applicants
must provide a clear description of the
proposed activities and address the
following:
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(a) Describe each activity required to
successfully implement and complete
the proposed project in measurable
terms (e.g., the number of persons to be
trained and employed; houses to be
rehabilitated; or minority-owned
businesses to be started, etc.);
(b) List and describe how each
activity meets one of the following
Community Development Block Grant
(CDBG) Program national objectives:
• Benefit low- and moderate-income
persons;
• Aid in the prevention or
elimination of slums or blight; or
• Meet other community
development needs having a particular
urgency because existing conditions
pose a serious and immediate threat to
the health and welfare of the
community, and other financial
resources are not available to meet such
needs.
Criteria for determining whether an
activity addresses one or more objective
are provided at 24 CFR 570.208;
(c) Describe the major tasks required
(in sequential order) to successfully
implement and complete each activity.
Include target completion dates for each
task (in 6 month intervals, up to thirtysix (36) months);
(d) Identify the key staff, as described
in Factor 1, who will be responsible and
accountable for completing each
activity; and
(e) Describe how the project director
will work with the partners and citizens
to accomplish the proposed activities.
(2) (8 Points) Describe clearly how
each proposed activity will:
(a) Expands the role of the institution
in the community (applicable only to
Category II Applicants);
(b) Address the needs identified in
Factor 2;
(c) Relate to and not duplicate other
activities in the target area. Duplicative
effort will be acceptable only if an
applicant can demonstrate through
documentation that there is a
population in need that is not being
served; and
(d) Involve and empower citizens of
the target area in the proposed project
particularly through a committee that is
representative of the target community
(applicable only to Category II
Applicants).
b. (3 Points) Involvement of the
Faculty and Students (For Category II
Applicants Only). The applicant must
describe how it proposes to integrate the
institution’s students and faculty into
proposed project activities
c. (2 Points) HUD Policy Priorities. To
earn points under this subfactor, HUD
requires applicants to undertake specific
activities that will assist the Department
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in implementing its policy priorities
that help the Department achieve its
goals and objectives in FY 2007, when
the majority of grant recipients will be
reporting programmatic results and
achievements. In addressing this
subfactor, HUD will evaluate the extent
to which a program will further and
support HUD’s priorities. The quality of
the responses provided to one or more
of HUD’s priorities will determine the
score an applicant can receive.
Applicants must describe how each
policy priority selected will be
addressed. Applicants that just list a
priority will receive no points. Please
refer to the General Section for
additional information about HUD’s
policy priorities.
The total number of points an
applicant can receive under this
subfactor is two (2). Each policy priority
addressed has a point value of one (1)
point with the exception of the policy
priority to remove regulatory barriers to
affordable housing, which has a point
value of up to two (2) points. To receive
these two (2) points an applicant must
indicate how this priority will be
addressed and an applicant must
indicate how this priority will be
addressed and submit the completed
questionnaire (HUD–27300) ‘‘HUD’s
Initiative on Removal of Regulatory
Barriers’’ found in the General Section
along with required documentation. It is
up to the applicant to determine which
of the policy priorities they elect to
address to receive the available two (2)
points.
d. (2 Points) Economic Opportunities
for Low- and Very-Low Income Persons
(Provision of Section 3). This subfactor
will be evaluated on the extent to which
an applicant describes how it proposes
to:
(1) Provide opportunities to train and
employ lower-income residents of the
project area; and
(2) Award substantial contracts to
persons residing in the project area.
Regulations regarding the provision of
Section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C.
1701u) can be located at 24 CFR part
135.
4. Rating Factor 4: Leveraging Resources
(8 Points)
This factor addresses the ability of the
applicant to secure resources that can be
combined with HUD’s grant funds to
achieve the program’s purpose.
In evaluating this factor, HUD will
consider how well the applicant has
established partnerships with other
entities to secure additional resources to
increase the effectiveness of the
proposed project activities. Resources
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may include funding or in-kind
contributions, such as services or
equipment, allocated for the purpose(s)
of the proposed project activities.
Resources may be provided by
governmental entities, public or private
nonprofit organizations, for-profit
private organizations, or other entities.
Applicants may also establish
partnerships with other program
funding recipients to coordinate the use
of resources in the target area. Overhead
and other institutional costs (e.g.,
salaries, indirect costs, etc.) that the
institution has waived may be counted.
Examples of potential sources for
outside assistance include:
• Federal, state, and local
governments;
• Local or national nonprofit
organizations;
• Financial institutions and/or
private businesses;
• Foundations;
• Faith-based and other communitybased organizations;
To address this factor, an applicant
must provide an outline in the
application and have on file written
commitment letters, memoranda of
understanding and/or agreements that
show the extent and firm commitment
of all proposed leveraged resources
(including any commitment of resources
from the applicant’s own institution)
that address the following information
for each leveraged resource/fund:
(1) The name of the organization and
the executive officer authorizing the
funds/goods and/or services (Only
applicable to the narrative section);
(2) The cash amount contributed or
dollar value of the in-kind goods and/
or services committed (If a dollar
amount and its use is not shown, the
funding will not be counted);
(3) A specific description of how each
contribution is to be used toward the
proposed activities;
(4) The date the contribution will be
made available and a statement that
describes the duration of the
contribution;
(5) Any terms or conditions affecting
the commitment, other than receipt of a
HUD Grant; and
(6) The signature of the appropriate
executive officer authorized to commit
the funds and/or goods and/or services.
(Only applicable to the written
documentation) Please remember that
only items eligible for funding under
this program can be counted.
Commitment letters, memoranda of
understanding and/or agreements are
not required at the time of application
submission but you must have them on
file. Applicants selected for award will
be required to submit the signed
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commitment letters, memoranda of
understanding and/or agreements
outlined in the application, within
twenty (20) calendar days after initial
contact from the Office of University
Partnerships (OUP). Letters, memoranda
of understanding, or agreements must be
submitted on the provider’s letterhead
and should be addressed to Sherone
Ivey, Acting Associate Deputy Assistant
Secretary for University Partnerships.
The date of the letter, memorandum of
understanding, or agreement from the
CEO of the provider organization must
be dated no earlier than nine months
prior to this published NOFA. OUP will
provide specific instructions on how
these documents must be submitted
when contact is made with the
applicant. HUD will only request and
consider the resources/organizations
that are listed in the outline submitted
in the application. If OUP does not
receive those documents in the required
format and allotted timeframe, an
applicant will not receive points under
this factor and the application will be
rated and ranked to address this point
change.
5. Rating Factor 5: Achieving Results
and Program Evaluation (12 Points)
This factor reflects HUD’s goal to
embrace high standards of management
and accountability. It measures the
applicant’s commitment to assess their
performance to achieve the program’s
proposed objectives and goals.
Applicants are required to develop an
effective, quantifiable, outcome oriented
evaluation plan for measuring
performance and determining that
objectives and goals have been
achieved. The Logic Model is a
summary of the narrative statements
presented in Factors 1–4. Therefore, it
should be consistent with the
information contained in the narrative
statements.
‘‘Outcomes’’ are benefits accruing to
the community during or after
participation in the HBCU program.
Applicants must clearly identify the
outcomes to be measured and achieved.
Examples of outcomes include
increased employment opportunities in
the target community by a certain
percentage, increased incomes/wages or
other assets for persons trained, or
enhanced family stability through the
creation of affordable housing
opportunities (e.g., increased assets to
families and communities through the
development of affordable housing).
In addition, applicants must establish
interim benchmarks and outputs that
lead to the ultimate achievement of
outcomes. ‘‘Outputs’’ are the direct
products of the program’s activities.
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Examples of outputs are the number of
new affordable housing units, the
number of homes that have been
renovated, and the number of facilities
that have been constructed or
rehabilitated. Outputs should produce
outcomes for the program. At a
minimum, an applicant must address
the following activities in the evaluation
plan:
a. Measurable objectives to be
accomplished (e.g., the number of
persons to be trained and employed;
houses to be built pursuant to 24 CFR
570.207 or rehabilitated; minorityowned businesses to be started);
b. Measurable impacts the grant will
have on the community in general and
the target area or population; and
c. The impact the grant will have on
assisting the university to obtain
additional resources to continue this
type of work at the end of the grant
performance period.
The information must be placed on a
HUD–96010, Program Outcome Logic
Model form. HUD has developed a new
approach to completing this form.
Please carefully read the General
Section for instructions; training is
available. A narrative is not required.
However, if a narrative is provided,
those pages will be included in the page
count. (Form HUD–96010 will be
excluded from the page count.)
B. Review and Selection Process
1. Application Selection Process.
Two types of reviews will be
conducted:
a. A threshold review to determine an
applicant’s basic eligibility; and
b. A technical review for all
applications that pass the threshold
review to rate and rank the application
based on the ‘‘Rating Factors’’ listed in
Section V.A.
Only those applications that pass the
threshold review will receive a
technical review.
2. Rating Panels
To review and rate applications HUD
may establish panels, which may
include experts or consultants not
currently employed by HUD to obtain
certain expertise.
3. Ranking
HUD will fund applications in rank
order, until all available program funds
are awarded. In order to be funded, an
applicant must receive a minimum
score of 75 points out of a possible 100
points. The RC/EZ/EC–II, as described
in the General Section does not apply to
this program. If two or more
applications have the same number of
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points, the application with the most
points for Factor 3 shall be selected. If
there is still a tie, the application with
the most points for Factor 1 shall be
selected. If there is still a tie, the
application with the most points for
Factor 2, 4 and then 5 shall be selected
in that order until the tie is broken.
HUD reserves the right to make
selections out of rank order to provide
for geographic distribution of grantees.
HUD also reserves the right to reduce
the amount of funding requested in
order to fund as many highly ranked
applications as possible. Additionally, if
funds remain after funding the highest
ranked applications, HUD may fund
part of the next highest-ranking
application. If an applicant turns down
an award offer, HUD will make an
award to the next highest-ranking
application. If funds remain after all
selections have been made, the
remaining funds will be carried over to
the next funding cycle’s competition.
4. Correction to Deficient Applications
See the General Section.
C. Anticipated Announcement and
Award Dates
Announcements of awards are
anticipated on or before September 30,
2006.
VI. Award Administration Information
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A. Award Notice
After all selections have been made,
HUD will notify all winning
applications in writing. HUD may
require winning applicants to
participate in additional negotiations
before receiving an official award. For
further discussion on this matter, please
refer to the General Section.
B. Administrative and National Policy
Requirements
Refer to Section VI.B. in the General
Section.
1. Debriefing. The General Section
provides the procedures for requesting a
debriefing. All requests for debriefings
must be made in writing and submitted
within thirty (30) calendar days of
receipt of written notification to:
Ophelia Wilson, Office of University
Partnerships, Robert C. Weaver Federal
Building, 451 Seventh Street, SW.,
Room 8130, Washington, DC 20410–
6000.
2. Administrative. Grants awarded
under this NOFA will be governed by
the provisions of 24 CFR part 84 (Grants
and Agreements with Institutions of
Higher Education, Hospitals and Other
Non-Profit Organizations), A–21 (Cost
Principles for Educational Institutions)
and A–133 (Audits of States, Local
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Governments, and Non-Profit
Organizations). Applicants can access
the OMB circulars at the White House
Web site at www.whitehouse.gov/omb/
circulars/.
3. OMB Circulars and
Governmentwide Regulations
Applicable to Financial Assistance
Programs. The General Section provides
further discussion on this matter.
4. Executive Order 13202,
Preservation of Open Competition and
Government Neutrality Towards
Government Contractors’ Labor
Relations on Federal and Federally
Funded Construction Projects. See the
General Section for further discussion.
5. Procurement of Recovered
Materials. The General Section provides
further discussion on the matter.
6. Code of Conduct. See the General
Section for further discussion.
C. Reporting
All grant recipients under this NOFA
are required to submit quarterly
progress reports. The progress reports
shall consist of two components, a
narrative that must reflect the activities
undertaken during the reporting period
and a financial report that reflects costs
incurred by budget line item, as well as
a cumulative summary of costs incurred
during the reporting.
For each reporting period, as part of
the required report to HUD, grant
recipients must include a completed
Logic Model form (HUD–96010), which
identifies output and outcome
achievements.
For FY2006, HUD is considering a
new concept for the Logic Model. The
new concept is a Return on Investment
(ROI) statement. HUD will be publishing
a separate notice on the ROI concept.
VII. Agency Contacts
Applicants may contact Ophelia
Wilson at (202) 708–3061, extension
4390 or Susan Brunson at (202) 708–
3061, extension 3852. Persons with
speech or hearing impairments may call
the Federal Information Relay Service
(TTY) at (800) 877–8339. Except for the
‘‘800’’ number, these numbers are not
toll-free. Applicants may also reach Ms.
Wilson via e-mail at
Ophelia_Wilson@hud.gov, and/or Ms.
Brunson at Susan_S._Brunson@hud.gov.
VIII. Other Information
Paperwork Reduction Act
The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520) and
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assigned OMB control number 2528–
0235. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 356 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, quarterly,
semi-annual and final reports. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
Appendix A—Application Checklist—
HBCU
This checklist identifies application
submission requirements. Applicants
are requested to use this checklist when
preparing an application to ensure
submission of all required elements.
Applicants submitting an electronic
application do not have to submit the
checklist. Applicants that receive a
waiver of the electronic application
submission requirement must include a
copy of the checklist in their
application.
Check off to ensure these items have
been included in the application:
llSF–424 ‘‘Application For Federal
Assistance’’
llApplication Checklist (Applicants
that submit paper applications must
include the checklist in their
applications)
llAbstract (must include no more
than a two-page summary of the
proposed project)
Indicate the page number where each
of the Factors are located:
Narrative Statement Addressing the
Rating Factors.
The narrative section of an
application must not exceed 50 pages in
length (excluding forms, budget
narrative and abstract). This information
must be submitted on 81⁄2 by 11-inch
paper, double-spaced on one side of the
paper, with one-inch margins (from the
top, bottom, left, and right sides of the
documents) and printed in standard
Times New-Roman 12-point font.
llFactor I
llFactor II
llHUD–40076, ‘‘Response Sheet
Performance Narrative’’ (If
applicable)
llFactor III
llFactor IV
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llFactor V
_lHUD–96010 ‘‘Logic Model’’
Check off to ensure these items have
been included in the application:
Appendix
llBudget
llHUD 424–CB’’ Grant Application
Detailed Budget.’’
llHUD–40076–HBCU ‘‘Budget-ByActivity’’
llBudget Narrative (No form provided
and must be submitted for the total
three-year grant period)
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Appendix B (All Required Forms)
The following forms are required for
submission. All required forms are
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contained in the electronic application
package.
llApplication for Federal Assistance
(SF–424);
llSurvey on Ensuring Equal
Opportunity for Applicants (SF–424
Supplement);
llGrant Application Detailed Budget
(HUD–424–CB);
llDisclosure of Lobbying Activities
(SF–LLL), if applicable;
llAmerica’s Affordable Communities
Initiative (HUD–27300), if
applicable;
llApplicant/Recipient Disclosure/
Update Report (HUD–2880);
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llHUD–2993, Acknowledgement of
Applicant Receipt (Only applicants
that submit paper applications);
llYou Are Our Client Grant Applicant
Survey (HUD–2994–A);
llResponse Sheet Performance
Narrative (HUD–40076) if
applicable;
llProgram Logic Model (HUD–96010);
and
llFacsimile Transmittal (HUD–96011)
required as the cover page to third
party documents transmitted by
facsimile to HUD. See the General
Section.
BILLING CODE 4210–01–P
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Hispanic-Serving Institutions Assisting
Communities (HSIAC) Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Policy Development and
Research, Office of University
Partnerships.
B. Funding Opportunity Title:
Hispanic-Serving Institutions Assisting
Communities (HSIAC) Program.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Numbers:
The Federal Register Number is FR–
5030–N–19. The OMB Approval
Number is 2528–0198.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: The CDFA
Number for this program is 14.514.
F. Dates: The application deadline
date is May 22, 2006. Please be sure to
read the General Section for electronic
application submission and receipt
requirements.
G. Additional Overview Content
Information;
1. Purpose of the Program: To assist
Hispanic-Serving Institutions (HSI)
expand their role and effectiveness in
addressing community development
needs in their localities, including
neighborhood revitalization, housing,
and economic development, principally
for persons of low- and moderateincome, consistent with the purposes of
Title I of the Housing and Community
Development Act of 1974, as amended.
2. Award Information: In Fiscal Year
(FY) 2006, approximately $5.94 million
has been made available for this
program by the Department of Housing
and Urban Development Appropriations
Act, 2006 (Pub. L. 109–115; approved
Nov. 30, 2005) and an additional
$78,000 in carryover funds. An
applicant can request up to $600,000 for
a three-year (36 months) grant
performance period.
3. Eligible Applicants: Nonprofit
Hispanic-Serving Institutions that meet
the definition of an HSI established in
Title V of the 1998 Amendments to the
Higher Education Act of 1965 (Pub. L.
105–244; enacted October 7, 1998). In
order to meet this definition, at least 25
percent of the full-time undergraduate
students enrolled in an institution must
be Hispanic and not less than 50 percent
of these Hispanic students must be lowincome individuals. Institutions are not
required to be on the list of eligible HSIs
prepared by the U.S. Department of
Education. However, an institution that
is not on the list is required to provide
a statement in the application that the
institution meets the U.S. Department of
Education’s statutory definition of an
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HSI. In addition, all applicants must be
institutions of higher education granting
two-or four-year degrees that are fully
accredited by a national or regional
accrediting agency recognized by the
U.S. Department of Education. If an
applicant is one of several campuses of
the same institution, the applicant may
apply separately from the other
campuses as long as the campus has a
separate administrative structure and
budget and meets the enrollment test
outlined above.
Full Text of Announcement
I. Funding Opportunity Description
The purpose of the Hispanic Serving
Institutions Assisting Communities
(HSIAC) Program is to assist Hispanic
Serving Institutions (HSI) of higher
education expand their role and
effectiveness in addressing community
development needs in their localities,
including neighborhood revitalization,
housing and economic development,
principally for persons of low- and
moderate-income consistent with the
purpose of the Title I of the Housing and
Community Development Act of 1974,
as amended.
For the purpose of this program, the
term ‘‘locality’’ includes any city,
county, township, parish, village, or
other general political subdivision of a
state, Puerto Rico, or the U.S. Virgin
Islands where the institution is located.
A ‘‘target area’’ is the area within the
locality in which the institution will
implement its proposed HSIAC grant.
A. Authority
HUD’s authority for making this
funding available under this NOFA is
Department of Housing and Urban
Development Appropriations Act, 2006
(Pub. L. 109–115; approved Nov. 30,
2005). This program is being
implemented through this NOFA and
the policies governing its operation are
contained herein.
B. Modifications
Listed below are major modifications
from the Fiscal Year (FY) 2005 programfunding announcement:
1. Commitment letters, memoranda of
understandings and/or agreements are
not required at the time of application
submission but must be on file.
Applicants selected for award will be
required to submit the signed
commitment letters, memoranda of
understandings and/or agreements
outlined in the application, within
twenty (20) calendar days after initial
contact from the Office of University
Partnerships (OUP). OUP will provide
specific instructions on how these
documents must be submitted at that
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time. HUD will only request and
consider the resources/organizations
outlined in the application. If OUP does
not receive those documents in the
required format and allotted timeframe,
an applicant will not receive points
under this factor and the application
will be rated and ranked to address this
point change.
In scoring this factor, HUD will rate
an applicant that provides leveraging
resources that are 15 percent or more of
the amount requested under this
program and that are properly
documented, as listed, below will be
awarded nine (9) points; applicants that
provide leveraging resources that are
10–14 percent of the amount requested
under this program and that are
properly documented, as listed below,
will be awarded six (6) points;
applicants that provide leveraging
resources that are 5–9 percent of the
amount requested under this program
and that are properly documented, as
listed below, will be awarded three (3)
points; applicants that provide
leveraging resources that are less than 5
percent of the amount requested or
resources are not properly documented
will receive zero points.
2. Current HSIAC grantees no longer
have to draw down at least 75% of the
funding awarded under past grants prior
to this application deadline date to be
eligible to apply for funding under this
NOFA.
3. All applicants must be institutions
of higher education granting two-or
four-year degrees that are accredited by
a national or regional accrediting agency
recognized by the U.S. Department of
Education.
4. All applicants submitting electronic
applications must attach their narrative
responses to Rating Factors 1–5 as one
attachment. PLEASE DO NOT ATTACH
YOUR RESPONSE TO EACH FACTOR
SEPARATELY.
II. Award Information
In Fiscal Year (FY) 2006,
approximately $5.94 million is made
available for this program and an
additional $78,000 in carryover funds.
An applicant can request up to $600,000
for a three-year (36 months) grant
performance period.
III. Eligibility Information
A. Eligible Applicants
Nonprofit Hispanic-serving
institutions that meet the definition of
an HSI of higher education established
in Title V of the 1998 Amendments to
the Higher Education Act of 1965 (Pub.
L. 105–244; enacted October 7, 1998). In
order to meet this definition, at least 25
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percent of the full-time undergraduate
students enrolled in an institution must
be Hispanic and not less than 50 percent
of these Hispanic students must be lowincome individuals. Institutions are not
required to be on the list of eligible HSIs
prepared by the U.S. Department of
Education. However, an institution that
is not on the list is required to provide
a statement in the application that the
institution meets the U.S. Department of
Education’s statutory definition of an
HSI as cited above. In addition, all
applicants must be institutions of higher
education granting two-or four-year
degrees that are fully accredited by a
national or regional accrediting agency
recognized by the U.S. Department of
Education. If an applicant is one of
several campuses of the same
institution, the applicant may apply
separately from the other campuses as
long as the campus has a separate
administrative structure and budget and
meets the enrollment test outlined
above.
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B. Cost Sharing or Matching
None Required.
C. Other
1. Eligible Activities. Eligible activities
are listed in 24 CFR Part 570, subpart C,
particularly § 570.201 through 570.206.
Information regarding these activities
can be found at: www.hudclips.org
(click on the Code of Federal
Regulations for detailed information).
a. Examples of eligible activities
include, but are not limited to:
(1) Acquisition of real property;
(2) Clearance and demolition;
(3) Rehabilitation of residential
structures including lead-based paint
hazard evaluation and reduction and
making accessibility and visitabilty
modifications in accordance with the
requirements of Section 504 of the
Rehabilitation Act of 1973;
(4) Public facilities and
improvements, such as water and sewer
facilities and streets compliance with
accessibility requirements, including
Section 504 of the Rehabilitation Act of
1973, the Fair Housing Act, and the
American with Disabilities Act of 1990;
(5) Relocation payments and other
assistance for permanently and
temporarily relocated individuals,
families, businesses, nonprofit
organizations, and farm operations
where the assistance is:
(a) Required under the provisions of
24 CFR 570.606(b) or (c); or
(b) Determined by the grantee to be
appropriate under the provisions of 24
CFR 570.606(d);
(6) Direct homeownership assistance
to low- and moderate-income persons,
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as provided in section 105(a) (25) of the
Housing and Community Development
Act of 1974;
(7) Special economic development
activities described at 24 CFR 570.203
and assistance to facilitate economic
development by providing technical or
financial assistance for the
establishment, stabilization, and
expansion of microenterprises,
including minority enterprises;
(8) Assistance to community-based
development organizations (CBDO) to
carry out a CDBG neighborhood
revitalization, community economic
development, or energy conservation
project, in accordance with 24 CFR
570.204. This could include activities in
support of a HUD-approved local
entitlement grantee, CDBG
Neighborhood Revitalization Strategy
(NRS) or HUD-approved State CDBG
Community Revitalization Strategy
(CRS);
(9) Public service activities such as
general support activities that can help
to stabilize a neighborhood and
contribute to sustainable redevelopment
of the area, including but not limited to
such activities as those concerned with
employment, crime prevention, child
care, health care services, drug abuse,
education, housing counseling, energy
conservation, homebuyer down
payment assistance, establish and
maintain Neighborhood Network
centers in federally assisted or insured
housing, job training and placement and
recreational needs;
(10) Up to 20 percent of the grant may
be used for payments of reasonable
grant administrative costs related to
planning and execution of the project
(e.g., preparation/submission of HUD
reports). Detailed explanations of these
costs are provided in OMB circular A–
21 Cost Principals for Educational
Institutions that can be accessed at the
White House Web site at:
www.whitehouse.gov/omb/circulars/
index.html;
(11) Fair housing services designed to
further civil rights objectives of the Fair
Housing Act (42 U.S.C. 3601–20) by
making all persons, without regard to
race, color, religion, sex, national origin,
familial status and/or disability aware of
the range of housing opportunities
available to them; and
b. Each activity proposed for funding
must meet the Community Development
Block Grant (CDBG) Program eligibility
requirements and at least one national
objective.
c. The three national objectives of the
Community Development Block Grant
program are:
(1) Benefit to low-or moderate-income
persons;
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(2) Aid in the prevention or
elimination of slums or blight; and
(3) Meet other community
development needs having a particular
urgency because existing conditions
pose a serious and immediate threat to
the health and welfare of the
community, and other financial
resources are not available to meet such
needs.
Criteria for determining whether an
activity addresses one or more national
objectives are provided at 24 CFR
570.208.
d. The CDBG publication entitled
‘‘Community Development Block Grant
Program Guide to National Objectives
and Eligible Activities for Entitlement
Communities’’ describes the CDBG
regulations, and a copy can be obtained
from HUD’s NOFA Information Center
at 800–HUD–8929 or 800–HUD–2209
for the hearing-impaired.
2. Audit Requirements. See Section
III.C. of the General Section.
3. Threshold Requirements
Applicable to all Applicants. All
applicants must comply with the
threshold requirements as defined in the
General Section and the requirements
listed below. Applications that do not
meet these requirements will be
considered ineligible for funding and
will be disqualified.
a. The applicant must meet the
eligibility requirements as defined in
Section III.A.
b. The applicant may request up to
$600,000.
c. Only one application can be
submitted per campus. If multiple
applications are submitted, all will be
disqualified. However, different
campuses of the same university system
are eligible to apply as long as they have
an administrative and budgeting
structure independent of the other
campuses in the system.
d. Institutions that received an HSIAC
grant in FY2005 are not eligible to
submit an application under this NOFA.
If an institution received an HSIAC
grant in FY2002, FY2003, or FY2004,
the institution may apply under this
NOFA as long as it proposes a different
activity (activities) in their current
project location, or proposes replicating
their current project in a new location.
e. Applicants must receive a
minimum score of 75 points to be
considered for funding.
f. An applicant must have a DUNS
number to receive HUD grant funds (See
the General Section).
g. Electronic applications must be
received and validated by Grants.gov no
later than 11:59:59 p.m. eastern time on
the application deadline date of May 22,
2006.
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4. Program Requirements. In addition
to the program requirements listed in
Section III.C of the General Section,
applicants must meet the following
program requirements:
a. All funds awarded are for a threeyear (36 months) grant performance
period.
b. Applicants must ensure that not
less than 51 percent of the aggregated
expenditures of a grant award are use to
benefit low- and moderate-income
persons under the criteria specified in
24 CFR 570.208(a) or 570.208(d)(5) or
(6).
c. Site Control. Where grant funds
will be used for acquisition,
rehabilitation, or new construction an
applicant must demonstrate site control.
Funds may be recaptured or deobligated
from applicants that cannot demonstrate
control of a suitable site within one year
after the initial notification of award.
d. Environmental Requirements.
Selection for award does not constitute
approval of any proposed sites.
Following selection for award, HUD will
perform an environmental review of
properties proposed for assistance in
accordance with 24 CFR Part 50. The
results of the environmental review may
require that proposed activities be
modified or proposed sites be rejected.
Applicants are particularly cautioned
not to undertake or commit funds for
acquisition or development of proposed
properties prior to HUD approval of
specific properties or areas. An
application constitutes an assurance
that the institution will assist HUD to
comply with part 50; will supply HUD
with all available and relevant
information to perform an
environmental review for each proposed
property; will carry out mitigating
measures required by HUD or select
alternate property; and will not acquire,
rehabilitate, convert, demolish, lease,
repair, or construct property, and not
commit or expend HUD or local funds
for these program activities with respect
to any eligible property until HUD’s
written approval of the property is
received. In supplying HUD with
environmental information, applicants
should use the same guidance as
provided in the HUD Notice CPD–05–07
entitled, ‘‘Field Environmental Review
Processing for Rural Housing and
Economic Development (RHED) grants’’
issued August 30, 2005. The General
Section provides further discussion of
the environmental requirements.
Further information and assistance on
HUD’s environmental requirements is
available at: https://hudstage.hud.gov/
utilities/intercept.cfm?/offices/cpd/
lawsregs/notices/2005/05–07.pdf.
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e. Labor Standards. Institutions and
their sub-grantees, contractors, and
subcontractors must comply with the
labor standards (Davis-Bacon)
requirements referenced in 24 CFR
570.603.
f. Economic Opportunities for Lowand Very-Low Income Persons (Section
3). The provisions of Section 3 of the
Housing and Urban Development Act of
1968 (12 U.S.C. 1701u) apply to this
NOFA and requires that to the greatest
extent feasible opportunities for training
and employment be given to lowerincome residents of the project and
contracts for work in connection with
the project be awarded in substantial
part to person residing in the area of the
project. Regulations are located at 24
CFR Part 135.
IV. Application and Submission
Information
A. Addresses to Request Application
Package
Applicants may download the
instructions to the application found on
the Grants.gov Web site at https://
www.Grants.gov./Apply. If you have
difficulty accessing the information you
may call the Grants.gov Support Desk
toll free 800–518–GRANTS or e-mail
your questions to Support@Grants.gov.
See the General Section for information
regarding the registration process or ask
for registration information from the
Grants.gov Support Desk.
B. Content and Form of Application
Submission
1. Forms
The following forms are required for
submission. Copies of these forms are
available online at https://www.hud.gov/
offices/adm/grants/nofa06/
snofaforms.cfm.
a. Application for Federal Assistance
(SF–424);
b. Survey on Ensuring Equal
Opportunity for Applicants (SF–424
Supplement);
c. Grant Application Detailed Budget
(HUD–424–CB);
d. Disclosure of Lobbying Activities
(SF–LLL), if applicable;
e. America’s Affordable Communities
Initiative (HUD–27300), if applicable;
f. Applicant/Recipient Disclosure/
Update Report (HUD–2880);
g. Program Logic Model (HUD–
96010);
h. Certification of Consistency with
RC/EZ/EC–II Strategic Plan (HUD–
2990), if applicable;
i. Certification of Consistency with
the Consolidated Plan (HUD–2991), if
applicable;
j. Acknowledgement of Applicant
Receipt (HUD–2993). Complete this
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form only if you have received a waiver
to the electronic application submission
requirement. Applicants submitting
electronically are not required to
include this form;
k. Facsimile Transmittal Cover Page
(HUD–96011). This form must be used
as the cover page to transmit third party
documents and other information.
Applicants are advised to download the
application package, complete the SF–
424 first and it will pre-populate the
Transmittal Cover page. The Transmittal
Cover page will contain a unique
identifier embedded in the page that
will help HUD associate your faxed
materials to your application. Please
download the cover page and then make
multiple copies to provide to any of the
entities responsible for submitting faxed
materials to HUD on your behalf. Please
do not use your own fax sheet. HUD
will not read any faxes that are sent
without the HUD–96011 fax transmittal
cover page; and
l. You Are Our Client Grant Applicant
Survey (HUD–2994-A). Applicants are
not required to complete this form.
2. Certifications and Assurances.
Please read the General Section for
detailed information on all
Certifications and Assurances. All
applications submitted through
Grants.gov constitute an
acknowledgement and agreement to all
required certifications and assurances.
Please include in your application each
item listed below. Applicants
submitting paper copy applications
should submit the application in the
following order:
a. SF–424, Application for Federal
Assistance. Please remember the
following:
(1) The full grant amount requested
from HUD (entire three years) should be
entered, not the amount for just one
year;
(2) Include the name, title, address,
telephone number, facsimile number,
and e-mail address of the designated
contact. This is the person who will
receive all correspondence; therefore,
please ensure the accuracy of the
information;
(3) The Employer Identification/Tax
ID;
(4) The DUNS Number;
(5) The Catalog of Federal Domestic
Assistance Number for this program is
14.514;
(6) The project’s proposed start date
and completion date. For the purpose of
this application, the program start date
should be December 1, 2006; and
(7) The signature of the Authorized
Organization Representative (AOR)
who, by virtue of submitting an
application via Grants.gov, has been
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authenticated by the credential provider
to submit applications on behalf of the
Institution and approved by the
eBusiness Point of Contact to submit an
application via Grants.gov. The AOR
must be able to make a binding legal
agreement with HUD. For details on the
Grants.gov registration process see
HUD’s Notice on Early Registration
published in the Federal Register on
December 9, 2005.
b. Application Checklist. Applicants
should use the checklist to ensure that
they have all the required components
of their application. Applicants
submitting an electronic application
should not submit the checklist.
Applicants that receive a waiver of the
electronic application submission must
include a copy of the checklist in their
application submission. The checklist
can be located in Appendix A.
c. Abstract. Applicants must include
no more than a two-page summary of
the proposed project. Please include the
following:
(1) A clear description of the
proposed project activities, where they
will take place (be located), the target
population that will be assisted, and the
impact this project is expected to have
on the community and institution;
(2) A statement that the institution is
an eligible institution because it is a
two-or four-year fully accredited
institution, the name of the accrediting
agency and an assurance that the
accrediting agency is recognized by the
U.S. Department of Education;
(3) A statement that the institution
meets the definition of an Hispanic
Serving Institution: At least 25 percent
of the full-time undergraduate students
enrolled in an institution must be
Hispanic and not less than 50 percent of
these Hispanic students must be lowincome individuals;
(4) The designated contact person,
including phone number, facsimile
number, and e-mail address (This is the
person who will receive all
correspondence; therefore please ensure
the accuracy of the information);
(5) The project director, if different
from the designated contact person, for
the project, including phone number,
facsimile number, and e-mail address.
d. Narrative statement addressing the
Factors. HUD will use the narrative
response to the ‘‘Rating Factors’’ to
evaluate, rate, and rank applications.
The narrative statement is the main
source of information. Applicants are
advised to review each factor carefully
for program specific requirements. The
response to each factor should be
concise and contain only information
relevant to the factor, yet detailed
enough to address each factor fully.
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Please do not repeat material in
response to the five factors; instead,
focus on how well the proposal
responds to each of the factors. Where
there are subfactors, each subfactor must
be presented separately, with the short
title of the subfactor presented. Make
sure to address each subfactor and
provide sufficient information about
every element of the subfactor. The
narrative section of an application must
not exceed 50 pages in length
(excluding forms, budget narrative,
assurances, and abstract) and must be
submitted on 81⁄2 by 11-inch paper,
double-spaced on one side of the paper,
with one inch margins (from the top,
bottom and left to right side of the
document) and printed in standard
Times New Roman 12-point font. Each
page of the narrative must include the
applicant’s name and be numbered.
Note that although submitting pages in
excess of the page limit will not
disqualify an applicant, HUD will not
consider the information on any excess
pages. This exclusion may result in a
lower score or failure to meet a
threshold requirement. All applicants
submitting electronic applications must
attach their narrative responses to
Rating Factors 1–5 as one attachment.
PLEASE DO NOT ATTACH YOUR
RESPONSE TO EACH FACTOR
SEPARATELY.
e. Budget. The budget submission
must include the following:
(1) HUD–424–CB, ‘‘Grant Application
Detailed Budget.’’ This form shows the
total budget by year and by line item for
the program activities to be carried out
with the proposed HUD grant. Each year
of the program should be presented
separately. Applicants must also submit
this form to reflect the total cost for the
entire grant performance period (Grand
Total).
Make sure that the amounts shown on
the SF–424, the HUD–424–CB, and on
all other required program forms are
consistent and the budget totals are
correct. Remember to check addition in
totaling the categories on all forms so
that all items are included in the total.
If there is an inconsistency between any
of the required budget forms, the HUD–
424–CB will be used. All budget forms
must be fully completed. If an
application is selected for award, the
applicant may be required to provide
greater specificity to the budget during
grant agreement negotiations.
(2) Budget Narrative. A narrative must
be submitted that explains how the
applicant arrived at the cost estimates
for any line item over $5,000
cumulative. For example, an applicant
proposes to construct a building using
HUD funding totaling $200,000. The
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following costs estimate reflects this
total. Foundation cost $75,000,
electrical work $40,000, plumbing work
$40,000, finishing work $35,000, and
landscaping $10,000. The proposed cost
estimates should be reasonable for the
work to be performed and consistent
with rates established for the level of
expertise required to perform the work
proposed in the geographical area.
When necessary, quotes from various
vendors or historical data should be
used (please make sure they are kept on
file and are available for review by HUD
at any time). All direct labor or salaries
must be supported with mandated city/
state pay scales, the Davis-Bacon rate, (if
applicable) or other documentation.
When an applicant proposes to use a
consultant, the applicant must indicate
whether there is a formal written
agreement. For each consultant, please
provide the name, if known, hourly or
daily rate, and the estimated time on the
project. Applicants must use cost
estimates based on historical data from
the institution and/or from a qualified
firm (e.g., Architectural or Engineering
firms), vendor, and/or qualified
individual (e.g., independent architect
or contractor) other than the institution
for projects that involve rehabilitation of
residential, commercial and/or
industrial structures, and/or acquisition,
construction, or installation of public
facilities and improvements. Such an
entity must be involved in the business
of housing rehabilitation, construction
and/or management. Equipment and
contracts cannot be presented as a total
estimated cost. For equipment,
applicants must provide a list by type
and cost for each item. Applicants using
contracts must provide an individual
description and cost estimate for each
contract. Construction costs must be
broken down to indicate how funds will
be utilized (e.g., demolition, foundation,
exterior walls, roofing, electrical work,
plumbing, finishing work, etc.).
(3) Indirect costs. Indirect costs, if
applicable, are allowable based on an
established approved indirect cost rate.
Applicants must have on file, and
submit to HUD if selected for award, a
copy of their indirect cost rate
agreement. Applicants who are selected
for funding that do not have an
approved indirect cost rate agreement,
established by the cognizant federal
agency, will be required to establish a
rate. In such cases, HUD will issue an
award with a provisional rate and assist
applicants with the process of
establishing a final rate.
f. Appendix. Applicants receiving a
waiver of the electronic submission
requirements and submitting a paper
copy of the application must place all
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required forms in this section. An
applicant SHOULD NOT submit
resumes, or other back-up materials. If
this information is included, it will not
be considered during the review
process.
Applicants that submit a paper
application must be received by or
before the application deadline date.
C. Submission Dates and Times
A complete application package must
be received and validated electronically
by the Grants.gov portal no later than
11:59:59 p.m. eastern time on or before
the application deadline date of May 22,
2006. In an effort to address any issues
with transmission of your application,
applicants are strongly encouraged to
submit their applications prior to the
application deadline. This will allow an
applicant enough time to make the
necessary adjustments to meet the
submission deadline. Please see the
General Section for further instructions.
Electronic faxes using the Facsimile
Transmittal cover sheet (Form HUD–
96011) contained in the electronic
application must be received no later
than 11:59:59 p.m. eastern time on the
application deadline date.
1. Rating Factor 1: Capacity of the
Applicant and Relevant Experience (25
Points)
This factor addresses the extent to
which the applicant has the resources
necessary to successfully implement the
proposed project in a timely manner.
a. Knowledge and Experience For
First Time Applicants (25 Points); For
Previously Funded Applicants (10
Points). In rating this subfactor, HUD
will consider how well an applicant
clearly addresses the following:
(1) Describe the knowledge and
experience of the proposed project
director and staff, including the day-today program manager/coordinator,
consultants (including technical
assistance providers), and contractors in
planning and managing the type of
project for which funding is being
requested; and
(2) Clearly identify the following: key
project team members, titles (e.g.,
project manager/coordinator, etc.),
respective roles for the project staff, and
a brief description of their relevant
experience.
If key personnel have not been hired,
applicants must identify the position
title, provide a description of duties and
responsibilities, and describe the
qualifications to be considered in the
selection of personnel, including
subcontractors and consultants.
Experience will be judged in terms of
recent and relevant knowledge and
skills of the staff to undertake eligible
program activities. HUD will consider
experience within the last five (5) years
to be recent and experience pertaining
to similar activities to be relevant.
b. Past Performance (15 Points) For
Previously Funded Grant Applicants
Only. This subfactor will evaluate how
well an applicant has performed
successfully under HUD/HSIAC grants.
Applicants must demonstrate this by
addressing the following information for
all previously completed and open
HUD/HSIAC grants:
(1) A list of all HUD/HSIAC grants
received, including the dollar amount
awarded and the amount expended and
obligated as of the date of this
application;
(2) A description of the achievement
of specific tasks, measurable objectives,
and specific outcomes consistent with
the approved project management plan;
(3) A list detailing the date the
project(s) was completed, was it
D. Intergovernmental Review
This program is excluded from an
Intergovernmental Review.
E. Funding Restrictions
Ineligible CDBG Activities are listed
at 24 CFR 570.207. Ineligible activities
include but are not limited to:
a. Curriculum development and/or
expansion of an institution’s existing
curriculum;
b. General government expenses;
c. Political activities;
d. Planning and administrative
activities that would result in a grantee
exceeding the 20 percent cost limitation
on such activities; and
e. Construction, renovation,
expansion of an institution’s own
facilities.
F. Other Submission Requirements
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1. Application Submission and Receipt
Procedure
Please read the General Section
carefully and completely for the
submission and receipt procedures for
all applications because failure to
comply may disqualify your
application.
2. Waiver of Electronic Submission
Requirement
Please refer to the General Section for
further discussion. Paper applications
will not be accepted from applicants
that have not been granted a waiver. If
an applicant is granted a waiver, the
Office of University Partnerships will
provide instructions for submission.
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V. Application Review Information
A. Criteria
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completed in the original three-year
grant performance period; if not
completed, why (including when it was
or will be completed);
(4) A comparison of the amount of
proposed leveraged funds and/or
resources to the amount that was
actually leveraged; and
(5) A detailed description of
compliance with all reporting
requirements, including timeliness of
submission, whether reports were
complete and addressed all information
(both narrative and financial) as
required by the grant agreement.
HUD will also review an applicant’s
past performance in managing funds,
including, but not limited to: The ability
to account for funding appropriately;
timely use of funds received from HUD;
meeting performance targets for
completion of activities; timely
submission of required progress reports
and receipt of promised leveraged
resources. In evaluating past
performance, HUD reserves the right to
deduct up to five (5) points from this
rating score as a result of the
information obtained from HUD’s
records (i.e., progress and financial
reports, monitoring reports, Logic Model
submissions, and amendments).
2. Rating Factor 2: Need/Extent of the
Problem (10 Points)
This factor addresses the extent to
which there is a need for funding the
proposed program activities and an
indication of the importance of meeting
the need(s) in the target area. The
need(s) described must be relevant to
the activities for which funds are being
requested. In addressing this factor,
applicants should provide, at a
minimum, the following and must cite
statistics and/or analyses contained in at
least one or more current data sources
that are sound and reliable.
(1) Describe the need(s); and
(2) Describe the importance of
meeting the proposed needs.
In rating this factor, HUD will
consider only current data that is
specific to the area where the proposed
project activities will be carried out.
Sources for localized data can be found
at: www.ffiec.gov.
HUD will consider data collected
within the last five (5) years to be
current. To the extent that the targeted
community’s Five Year Consolidated
Plan and Analysis of Impediments to
Fair Housing Choice (AI) identify the
level of the problem and the urgency in
meeting the need, applicants should
include references to these documents
in the response to this factor.
Other reliable data sources include,
but are not limited to, Census reports,
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HUD Continuum of Care gap analysis
and its E-MAP (www.hud.gov/emaps),
law enforcement agency crime reports,
Public Housing Agencies’
Comprehensive Plans, community
needs analyses such as those provided
by the United Way, the applicant’s
institution, and other sound, reliable
and appropriate sources. Needs in terms
of fulfilling court orders or consent
decrees, settlements, conciliation
agreements, and voluntary compliance
agreements may also be addressed.
3. Rating Factor 3: Soundness of
Approach (44 Points)
This factor addresses the quality and
effectiveness of the proposed work plan
and the commitment of the institution
to sustain the proposed activities.
a. (37 Points) Quality of the Work
Plan. This subfactor will be evaluated
on the extent to which an applicant
provides a clear detailed description of
the proposed project and anticipated
accomplishments.
(1) (32 Points) Specific Activities. The
work plan must describe all proposed
activities and major tasks required to
successfully implement the proposed
project. In addressing this subfactor
applicants must provide a clear
description of the proposed activities
and address the following:
(a) Describe each activity to
successfully implement and complete
the proposed project in measurable
terms (e.g., the number of persons to be
trained and employed; houses to be
built or rehabilitated; or minority owned
businesses to be started, etc.);
(b) List and describe how each
activity meets one of the following
Community Development Block Grant
(CDBG) Program national objectives:
• Benefit low- and moderate-income
persons;
• Aid in the prevention or
elimination of slums or blight; or
• Meet other community
development needs having a particular
urgency because existing conditions
pose a serious and immediate threat to
the health and welfare of the
community, and other financial
resources are not available to meet such
needs.
Criteria for determining whether an
activity addresses one or more objective
are provided at 24 CFR 570.208;
(c) Describe the major tasks required
(in sequential order) to successfully
implement and complete each project
activity. Include target completion dates
for these tasks (in 6 month intervals, up
to 36 months);
(d) Identify the key staff, as described
in Factor 1, who will be responsible for
completing each task; and
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(e) Describe how the project director
will work with the partners and citizens
to accomplish the proposed activities.
(2) (5 Points) Describe clearly how
each proposed activity will:
(a) Expands the role of the institution
in the community;
(b) Address the needs identified in
Factor 2;
(c) Relate to and not duplicate other
activities in the target area. Duplicative
effort will be acceptable only if an
applicant can demonstrate through
documentation that there is a
population in need that is not being
served; and
(d) Involve and empower citizens of
the target area in the proposed project.
b. (3 Points) Involvement of the
Faculty and Students. The applicant
must describe how it proposes to
integrate the institution’s students and
faculty into proposed project activities.
c. (2 Points) HUD Policy Priorities. To
earn points under this subfactor, HUD
requires applicants to undertake specific
activities that will assist the Department
in implementing its policy priorities
and that will help the Department
achieve its goals and objectives in FY
2007, when the majority of grant
recipients will be reporting
programmatic results and achievements.
In rating this subfactor, HUD will
evaluate the extent to which a program
will further and support HUD’s
priorities. The quality of the responses
provided to one or more of HUD’s
priorities will determine the score an
applicant can receive. Applicants must
describe how each policy priority
selected will be addressed. Applicants
that just list a priority will receive no
points.
The total number of points an
applicant can receive under this
subfactor is two (2). Each policy priority
addressed has a point value of one (1)
point with the exception of the policy
priority to remove regulatory barriers to
affordable housing, which has a point
value of up to two (2) points. To receive
these two (2) points an applicant must
indicate how this priority will be
addressed and submit the completed
questionnaire (HUD–27300) ‘‘HUD’s
Initiative on Removal of Regulatory
Barriers’’ found in the General Section
along with required documentation. It is
up to the applicant to determine which
of the policy priorities they elect to
address to receive the available two (2)
points.
d. (2 Points) Economic Opportunities
for Low- and Very-Low Income Persons
(Provision of Section 3). This subfactor
will be evaluated on the extent to which
an applicant describes how it proposes
to:
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(1) Provide opportunities to train and
employ lower-income residents of the
project area; and
(2) Award substantial contracts to
persons residing in the project area.
Regulations regarding the provision of
Section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C.
1701u) can be located at 24 CFR Part
135.
4. Rating Factor 4: Leveraging
Resources (9 Points)
This factor addresses the ability of the
applicant to secure resources that can be
combined with HUD’s grant funds to
achieve the program’s purpose.
HUD will consider how well an
applicant has established partnerships
with other entities to secure additional
resources to increase the effectiveness of
the proposed project activities.
Resources may include funding or inkind contributions, such as services or
equipment, allocated for the purpose(s)
of the proposed project activities.
Resources may be provided by
governmental entities, public or private
nonprofit organizations, for-profit
private organizations, or other entities.
Applicants may also establish
partnerships with other program
funding recipients to coordinate the use
of resources in the target area. Overhead
and other institutional costs (e.g.,
salaries, indirect costs, etc.) that the
institution has waived may be counted.
Examples of potential sources for
outside assistance include:
• Federal, state, and local
governments;
• Local or national nonprofit
organizations;
• Financial institutions and/or
private businesses;
• Foundations; and
• Faith-based and other communitybased organizations.
To address this factor, an applicant
must provide an outline in the
application and have on file written
commitment letters, memoranda of
understandings and/or agreements that
show the extent and firm commitment
of all proposed leveraged resources
(including any commitment of resources
from the applicant’s own institution)
that address the following information
for each leveraged resource/fund:
(1) The name of the organization and
the executive officer authorizing the
funds/goods and/or services (Only
applicable to the narrative section);
(2) The cash amount contributed or
dollar value of the in-kind goods and/
or services committed (If a dollar
amount and its use is not shown, the
funding will not be counted);
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(3) A specific description of how each
contribution is to be used toward the
proposed activities;
(4) The date the contribution will be
made available and a statement that
describes the duration of the
contribution;
(5) Any terms or conditions affecting
the commitment, other than receipt of a
HUD Grant; and
(6) The signature of the appropriate
executive officer authorized to commit
the funds and/or goods and/or services
(Only applicable to the written
documentation). Please remember that
only items eligible for funding under
this program can be counted.
Commitment letters, memoranda of
understandings and/or agreements are
not required at the time of application
submission but you must have them on
file. Applicants selected for award will
be required to submit the signed
commitment letters, memoranda of
understandings and/or agreements
outlined in the application, within
twenty (20) calendar days after initial
contact from the Office of University
Partnerships (OUP). Letters, memoranda
of understanding, or agreements must be
submitted on the provider’s letterhead
and should be addressed to Sherone
Ivey, Acting Associate Deputy Assistant
Secretary for University Partnerships.
The date of the letter, memorandum of
understanding, or agreement from the
CEO of the provider organization must
be dated no earlier than nine months
prior to this published NOFA. OUP will
provide specific instructions on how
these documents must be submitted
when contact is made with the
applicant. HUD will only request and
consider the resources/organizations
that are listed in the outline submitted
in the application. If OUP does not
receive those documents in the required
format and allotted timeframe, an
applicant will not receive points under
this factor and the application will be
rated and ranked to address this point
change.
In scoring this factor, HUD will award
nine (9) points to an applicant that
provides properly documented
leveraging resources as listed in their
application that are 15 percent or more
of the amount requested under this
program; six (6) points to applicants that
provide properly documented
leveraging resources as listed that are 10
to 14 percent of the amount requested
under this program; three (3) points to
applicants that provide properly
documented leveraging resources as
listed that are 5 to 9 percent of the
amount requested under this program;
and zero (0) points to applicants that
provide properly documented
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leveraging resources as listed that are
less than 5 percent of the amount
requested or resources are not properly
documented.
5. Rating Factor 5: Achieving Results
and Program Evaluation (12 Points)
This factor reflects HUD’s goal to
embrace high standards of management
and accountability. It measures the
applicant’s commitment to assess their
performance to achieve the program’s
proposed objectives and goals.
Applicants are required to develop an
effective, quantifiable, outcome oriented
evaluation plan for measuring
performance and determining that
objectives and goals have been
achieved. The Logic Model is a
summary of the narrative statements
presented in Factors 1–4. Therefore, the
information submitted on the logic
model should be consistent with the
information contained in the narrative
statements.
‘‘Outcomes’’ are benefits accruing to
institutions and/or communities during
or after participation in the HSIAC
program. Applicants must clearly
identify the outcomes to be measured
and achieved. Examples of outcomes
include increased employment
opportunities in the target community
by a certain percentage, or enhanced
family stability through the creation of
affordable housing opportunities.
In addition, applicants must establish
interim benchmarks and outputs that
lead to the ultimate achievement of
outcomes. ‘‘Outputs’’ are the direct
products of the program’s activities.
Examples of outputs are the number of
new affordable housing units, the
number of homes that have been
renovated, and the number of
community facilities that have been
constructed or rehabilitated. Outputs
should produce outcomes for the
program. At a minimum an applicant
must address the following activities in
the evaluation plan:
a. Measurable outputs to be
accomplished, e.g., the number of
persons to be trained and employed;
houses to be built (pursuant to 24 CFR
570.207) or rehabilitated; minorityowned businesses to be started;
b. Measurable outcomes the grant will
have on the community in general and
the target area or population; and
c. The impact the grant will have on
assisting the university to obtain
additional resources to continue this
type of work at the end of the grant
performance period.
The information must be place on a
HUD–96010, Program Outcome Logic
Model form. HUD has developed a new
approach to completing this form.
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Please carefully read the General
Section for instructions, training is
available. (Form HUD–96010 will be
excluded from the page count.) A
narrative is not required. However, if a
narrative is provided, those pages will
be included in the page count.
B. Review and Selection Process
1. Application Selection Process
Two types of reviews will be
conducted:
a. A threshold review to determine an
applicant’s basic eligibility; and
b. A technical review for all
applications that pass the threshold
review to rate and rank the application
based on the ‘‘Rating Factors’’ listed in
Section V, A.
Only those applications that pass the
threshold review will receive a
technical review and be rated and
ranked.
2. Rating Panels
To review and rate applications, HUD
may establish panels, which may
include experts or consultants not
currently employed by HUD to obtain
certain expertise.
3. Ranking
HUD will fund applications in rank
order, until all available program funds
are awarded. In order to be funded, an
applicant must receive a minimum
score of 75 points out of a possible 102
points, which includes up to two bonus
points that may be awarded for
activities conducted in the RC/EZ/EC–II
communities, as described in the
General Section. If two or more
applications have the same number of
points, the application with the most
points for Factor 3 shall be selected. If
there is still a tie, the application with
the most points for Factor 1 shall be
selected. If there is still a tie, the
application with the most points for
Factors 2, 4 and then 5 shall be selected,
in that order, until the tie is broken.
HUD reserves the right to make
selections out of rank order to provide
for geographic distribution of grantees.
HUD also reserves the right to reduce
the amount of funding requested in
order to fund as many highly ranked
applications as possible. Additionally, if
funds remain after funding the highest
ranked applications, HUD may fund
part of the next highest-ranking
application. If an applicant turns down
an award offer, HUD will make an
award to the next highest-ranking
application. If funds remain after all
selections have been made, the
remaining funds will be carried over to
the next funding cycle’s competition.
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4. Correction to Deficient Applications
See the General Section.
C. Anticipated Announcement and
Award Dates
Announcements of awards are
anticipated on or before September 30,
2006.
VI. Award Administration Information
A. Award Notice
After all selections have been made,
HUD will notify all winning applicants
in writing. HUD may require winning
applicants to participate in additional
negotiations before receiving an official
award. For further discussion on this
matter, please refer to the General
Section.
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B. Administrative and National Policy
Requirements
Refer to Section VI.B in the General
Section.
1. Debriefing. The General Section
provides the procedures for requesting a
debriefing. All requests for debriefings
must be made in writing and submitted
within thirty (30) calendar days of
receipt of written notification to:
Madlyn Wohlman-Rodriguez, Office of
University Partnerships, Robert C.
Weaver Federal Building 451 Seventh
Street, SW, Room 8130 Washington, DC
20410–6000. Applicants may also write
to Ms. Wohlman-Rodriguez via e-mail at
Madlyn_S._WohlmanRodriguez@hud.gov.
2. Administrative. Grants awarded
under this NOFA will be governed by
the provisions of 24 CFR part 84 (Grants
and Agreements with Institutions of
Higher Education, Hospitals and Other
Non-Profit Organizations), A–21 (Cost
Principles for Educational Institutions)
and A–133 (Audits of States, Local
Governments, and Non-Profit
Organizations). Applicants can access
the OMB circulars at the White House
Web site at www.whitehouse.gov/omb/
circulars/.
3. OMB Circulars and
Governmentwide Regulations
Applicable to Financial Assistance
Programs. The General Section provides
further discussion.
4. Executive Order 13202,
Preservation of Open Competition and
Government Neutrality Towards
Government Contractors Labor
Relations on Federal and Federally
Funded Construction Projects. See the
General Section for further discussion.
5. Procurement of Recovered
Materials. The General Section provides
further information.
6. Executive Order 13166, Improving
Access to Services For Persons With
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Limited English Proficiency (LEP). See
the General Section for further
discussion.
7. Code of Conduct. See the General
Section for further discussion.
C. Reporting
All grant recipients under this NOFA
are required to submit semi-annual
progress reports. The progress reports
shall consist of two components, a
narrative that must reflect the activities
undertaken during the reporting period
and a financial report that reflects costs
incurred by budget line items, as well as
a cumulative summary of costs incurred
during the reporting period.
For each reporting period, as part of
the required report to HUD, grant
recipients must include a completed
Logic Model (HUD–96010), which
identifies output and outcome
achievements.
For FY2006, HUD is considering a
new concept for the Logic Model. The
new concept is a Return on Investment
(ROI) statement. HUD will be publishing
a separate notice on the ROI concept.
VII. Agency Contacts
Applicants may contact Madlyn
Wohlman-Rodriguez at (202) 708–3061,
extension 5939 or Susan Brunson, at
(202) 708–3061, extension 3852. Persons
with speech or hearing impairments
may call the Federal Information Relay
Service (TTY) at (800) 877–8339. Except
for the ‘‘800’’ number, these numbers
are not toll-free. Applicants may also
reach Ms. Rodriguez via email at
Madlyn_S._WohlmanRodriguez@hud.gov, and/or Ms.
Brunson at Susan_S._Brunson@hud.gov.
VIII. Other Information
Paperwork Reduction Act
The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520) and
assigned OMB control number 2528–
0198. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 59 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application semi-annual
and final reports. The information will
be used for grantee selection and
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monitoring the administration of funds.
Response to this request for information
is required in order to receive the
benefits to be derived.
Appendix A—Application Checklist—
HSIAC
This checklist identifies application
submission requirements. Applicants
are requested to use this checklist when
preparing an application to ensure
submission of all required elements.
Applicants submitting an electronic
application do not have to submit the
checklist. Applicants that receive a
waiver of the electronic application
submission requirement must include a
copy of the checklist in their
application.
Check off to ensure these items have
been included in the application:
llSF–424 ‘‘Application For Federal
Assistance’’
llApplication Checklist (Applicants
that submit paper applications must
include the checklist in their
applications)
llAbstract (must include no more
than a two-page summary of the
proposed project)
Indicate the page number where each
of the Factors is located:
Narrative Statement Addressing the
Rating Factors.
The narrative section of an
application must not exceed 50 pages in
length (excluding forms, budget
narrative and abstract). This information
must be submitted on 81⁄2 by 11-inch
paper, double-spaced on one side of the
paper, with one-inch margins (from the
top, bottom, left, and right sides of the
documents) and printed in standard
Times New-Roman 12-point font.
llFactor I
llFactor II
llFactor III
llFactor IV
llFactor V
llHUD–96010 ‘‘Logic Model’’
Check off to ensure these items have
been included in the application:
llAppendix
llBudget
llHUD 424–CB’’ Grant Application
Detailed Budget’’
llBudget Narrative (No form
provided, but must be submitted for
the total three-year grant period.
Appendix B (All Required Forms)
The following forms are required for
submission. All required forms are
contained in the electronic application
package.
llApplication for Federal Assistance
(SF–424);
llSurvey on Ensuring Equal
Opportunity for Applicants (SF–424
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Supplement); Disclosure of
Lobbying Activities (SF–LLL), if
applicable;
llGrant Application Detailed Budget
(HUD–424–CB);
llAmerica’s Affordable Communities
Initiative (HUD–27300), if
applicable;
llApplicant/Recipient Disclosure/
Update Report (HUD–2880);
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llCertification of Consistency with
RC/EZ/EC–II Strategic Plan (HUD–
2990), if applicable;
llCertification of Consistency with
the Consolidated Plan (HUD–2991),
if applicable;
llAcknowledgement of Applicant
Receipt (Only applicants who
submit paper applications (HUD–
2993);
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llYou Are Our Client Grant Applicant
Survey (HUD–2994–A);
llFacsimile Transmittal (HUD–
96011), to be used as the cover page
to transmit third party documents
via facsimile, if applicable (See
General Section); and
llLogic Model (HUD–96010)
BILLING CODE 4210–01–P
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Alaska Native/Native Hawaiian
Institutions Assisting Communities
(AN/NHIAC) Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Policy Development and
Research, Office of University
Partnerships.
B. Funding Opportunity Title: Alaska
Native/Native Hawaiian Institutions
Assisting Communities (AN/NHIAC)
Program.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Numbers:
The Federal Register Number is FR–
5030-N–20. The OMB Approval Number
is 2528–0206.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: The CFDA
Number for this program is 14.515.
F. Dates: The application deadline
date is May 19, 2006. Please be sure to
read the General Section for electronic
application submission and receipt
requirements.
G. Additional Overview Content
Information.
1. Purpose of the Program: To assist
Alaska Native/Native Hawaiian
Institutions (AN/NHI) of higher
education expand their role and
effectiveness in addressing community
development needs in their localities,
including neighborhood revitalization,
housing, and economic development,
principally for persons of low- and
moderate-income, consistent with the
purposes of Title I of the Housing and
Community Development Act of 1974,
as amended.
2. Award Information: In Fiscal Year
(FY) 2006, approximately $2.97 million
has been made available for this
program by the Department of Housing
and Urban Development Appropriations
Act, 2006 (Pub. L. 109–115; approved
Nov. 30, 2005) and an additional
$238,000 in carryover funds. An
applicant can request up to $800,000 for
a three-year (36 months) grant
performance period.
3. Eligible Applicant: Nonprofit
Alaska Native and Native Hawaiian
Institutions of Higher Education that
meet the definitions of Alaska Native
and Native Hawaiian Institutions of
Higher Education established in Title
III, Part A, Section 317 of the Higher
Education Act of 1965, as amended by
the Higher Education Amendments of
1998 (Pub. L. 105–244; enacted October
7, 1998). Institutions are not required to
be on the list of eligible AN/NHIs
prepared by the U.S. Department of
Education. However, an institution that
is not on the list is required to provide
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a statement in the application that the
institution meets the U.S. Department of
Education’s statutory definition of an
AN/NHI institution. In order to meet the
definition of an Alaska Native
Institution, at least 20 percent of the
undergraduate headcount enrollment
must be Alaska Native students. If an
applicant is a Native Hawaiian
institution, at least 10 percent of the
undergraduate headcount enrollment
must be Native Hawaiian students in
order to meet this definition. In
addition, all applicants must be fully
accredited by a national or regional
accrediting agency recognized by the
U.S. Department of Education. If an
applicant is one of several campuses of
the same institution, the applicant may
apply separately from the other
campuses as long as the campus has a
separate administrative structure and
budget and meets the enrollment test
outlined above.
Full Text of Announcement
I. Funding Opportunity Description
The purpose of the Alaska Native/
Native Hawaiian Institutions Assisting
Communities (AN/NHIAC) Program is
to assist Alaska Native/Native Hawaiian
Institutions (AN/NHI) of higher
education expand their role and
effectiveness in addressing community
development needs in their localities,
including neighborhood revitalization,
housing, and economic development,
principally for persons of low- and
moderate-income, consistent with the
purposes of Title I of the Housing and
Community Development Act of 1974,
as amended.
A. Authority
HUD’s authority for making funding
available under this NOFA is the
Department of Housing and Urban
Development Appropriations Act, 2006
(Pub. L. 109–115; approved Nov. 30,
2005). This program is being
implemented through this NOFA and
the policies governing its operation are
contained herein.
B. Modifications
Listed below are major modifications
from the Fiscal Year (FY) 2005 programfunding announcement:
1. Commitment letters, memoranda of
understandings and/or agreements are
not required at the time of application
submission but must be on file.
Applicants selected for award will be
required to submit the signed
commitment letters, memoranda of
understandings and/or agreements
outlined in the application, within
twenty (20) calendar days after initial
contact from the Office of University
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Partnerships (OUP). OUP will provide
specific instructions on how these
documents must be submitted at that
time. HUD will only request and
consider the resources/organizations
outlined in the application. If OUP does
not receive those documents in the
required format and allotted timeframe,
an applicant will not receive points
under this factor and the application
will be rated and ranked to address this
point change.
In scoring this factor, HUD will rate
an applicant that provides leveraging
resources that are 15 percent or more of
the amount requested under this
program and that are properly
documented, as listed below, will be
awarded nine (9) points; applicants that
provide leveraging resources that are
10–14 percent of the amount requested
under this program and that are
properly documented, as listed below,
will be awarded six (6) points;
applicants that provide leveraging
resources that are 5–9 percent of the
amount requested under this program
and that are properly documented, as
listed below, will be awarded three (3)
points; applicants that provide
leveraging resources that are less than 5
percent of the amount requested or
resources are not properly documented
will receive zero points.
2. All applicants submitting electronic
applications must attach their narrative
responses to Rating Factors 1–5 as one
attachment. PLEASE DO NOT ATTACH
YOUR RESPONSE TO EACH FACTOR
SEPARATELY.
II. Award Information
In Fiscal Year (FY) 2006,
approximately $2.97 million is made
available for this program and an
additional $238,000 in carryover funds.
HUD will award grants under this
program to Alaska Native Institutions
(ANI) and Native Hawaiian Institutions
(NHI). An applicant can request up to
$800,000 for a three-year (36 months)
grant performance period.
III. Eligibility Information
A. Eligible Applicants
Nonprofit Alaska Native and Native
Hawaiian Institutions of Higher
Education that meet the definitions of
Alaska Native and Native Hawaiian
Institutions of Higher Education
established in Title III, Part A, Section
317 of the Higher Education Act of
1965, as amended by the Higher
Education Amendments of 1998 (Pub. L.
105–244; enacted October 7, 1998).
Institutions are not required to be on the
list of eligible AN/NHIs prepared by the
U.S. Department of Education. However,
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an institution that is not on the list is
required to provide a statement in the
application that the institution meets
the U.S. Department of Education’s
statutory definition of an AN/NHI
institution. In order to meet the
definition of an Alaska Native
Institution, at least 20 percent of the
undergraduate headcount enrollment
must be Alaska Native students. If an
applicant is a Native Hawaiian
institution, at least 10 percent of the
undergraduate headcount enrollment
must be Native Hawaiian students in
order to meet this definition. In
addition, all applicants must be fully
accredited by a national or regional
accrediting agency recognized by the
U.S. Department of Education. If an
applicant is one of several campuses of
the same institution, the applicant may
apply separately from the other
campuses as long as the campus has a
separate administrative structure and
budget and meets the enrollment test
outlined above.
B. Cost Sharing or Matching
None required.
C. Other
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1. Eligible Activities
Eligible activities are listed in 24 CFR
Part 570, subpart C, particularly
§ 570.201 through 570.206. Information
regarding these activities can be found
at: www.hudclips.org (click on the Code
of Federal Regulations for detailed
information).
Eligible activities include, but are not
limited to:
a. Acquisition of real property;
b. Clearance and demolition;
c. Rehabilitation of residential
structures and compliance with the
accessibility requirements contained in
Section 504 of the Rehabilitation Act of
1973;
d. Acquisition, construction,
reconstruction, rehabilitation, or
installation of public facilities and
improvements, such as water and sewer
facilities and streets; including leadbased paint hazard evaluation and
reduction and compliance with the
accessibility requirements contained in
Section 504 of the Rehabilitation Act of
1973 and Americans with Disabilities
Act of 1990;
e. Direct homeownership assistance to
low- and moderate-income persons, as
provided in section 105(a) (25) of the
Housing and Community Development
Act of 1974;
f. Special economic development
activities described at 24 CFR 570.203
and assistance to facilitate economic
development by providing technical or
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financial assistance for the
establishment, stabilization, and
expansion of microenterprises,
including minority enterprises;
g. Assistance to community-based
development organizations (CBDO) to
carry out neighborhood revitalization,
community economic development, or
energy conservation projects, in
accordance with 24 CFR 570.204. This
could include activities in support of a
HUD-approved local entitlement
grantee, CDBG Neighborhood
Revitalization Strategy (NRS) or HUDapproved State CDBG Community
Revitalization Strategy (CRS);
h. Public service activities such as
general support activities that can help
to stabilize a neighborhood and
contribute to sustainable redevelopment
of the area, including but not limited to
such activities as those concerned with
employment, crime prevention, child
care, health care services, drug abuse,
education, housing counseling, energy
conservation, homebuyer down
payment assistance, establish and
maintain Neighborhood Network
centers in federally assisted or insured
housing, job training and placement and
recreational needs;
i. Fair housing services designed to
further the civil rights objectives of the
Fair Housing Act (42 U.S.C. 3601–20) by
making all persons, without regard to
race, color, religion, sex, national origin,
familial status, and/or disability aware
of the range of housing opportunities
available to them;
j. Up to 20 percent of the grant may
be used for payments of reasonable
grant administrative costs related to
planning and execution of the project
(e.g., preparation/submission of HUD
reports, etc.). Detailed explanations of
these costs are provided in the OMB
circulars that can be accessed at the
White House Web site at:
www.whitehouse.gov/omb/circulars/
index.html; and
Each activity proposed for funding
must meet the Community Development
Block Grant (CDBG) Program eligibility
requirements and at least one national
objective.
The three national objectives of the
Community Development Block Grant
program are:
(1) Benefit to low-or moderate-income
persons;
(2) Aid in the prevention or
elimination of slums or blight; and
(3) Meet other community
development needs having a particular
urgency because existing conditions
pose a serious and immediate threat to
the health and welfare of the
community, and other financial
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resources are not available to meet such
needs.
Criteria for determining whether an
activity addresses one or more of these
objectives are provided at 24 CFR
570.208.
The CDBG publication entitled
‘‘Community Development Block Grant
Program Guide to National Objectives
and Eligible Activities for Entitlement
Communities’’ describes the CDBG
regulations, and a copy can be obtained
from HUD’s NOFA Information Center
at 800–HUD–8929 or 800–HUD–2209
for the hearing- or speech-impaired.
2. Audit Requirements
See the General Section.
3. Threshold Requirements Applicable
to All Applicants
All applicants must comply with the
threshold requirements as defined in the
General Section and the requirements
listed below. Applications that do not
meet these requirements will be
considered ineligible for funding and
will be disqualified.
a. The applicant must meet the
eligibility requirements as defined in
Section III.A
b. The applicant may request up to
$800,000.
c. Only one application can be
submitted per campus. If multiple
applications are submitted, all will be
disqualified. However, different
campuses of the same university system
are eligible to apply as long as they have
an administrative and budgeting
structure independent of the other
campuses in the system.
d. Institutions that received grants in
FY 2005 are not eligible to submit an
application under this NOFA.
e. Applicants must receive a
minimum score of 75 points to be
considered for funding.
f. An applicant must have a DUNS
number to receive HUD grant funds (See
the General Section).
g. Electronic applications must be
received and validated by Grants.gov no
later than 11:59:59 p.m. eastern time on
the application deadline date of May 19,
2006.
4. Program Requirements
In addition to the program
requirements listed in Section III.C of
the General Section, applicants must
meet the following program
requirements:
a. All funds awarded are for a threeyear (36 months) grant performance
period.
b. Applicants must ensure that not
less than 51 percent of the aggregated
expenditures of a grant award are used
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to benefit low- and moderate-income
persons under the criteria specified in
24 CFR 570.208(a) or 570.208(d)(5) or
(6).
c. Site Control. Where grant funds
will be used for acquisition,
rehabilitation, or new construction, an
applicant must demonstrate site control.
Funds may be recaptured or deobligated
from applicants that cannot demonstrate
control of a suitable site within one year
after the initial notification of award.
d. Environmental Requirements.
Selection for award does not constitute
approval of any proposed sites.
Following selection for award, HUD will
perform an environmental review of
properties proposed for assistance in
accordance with 24 CFR part 50. The
results of the environmental review may
require that proposed activities be
modified or proposed sites be rejected.
Applicants are particularly cautioned
not to undertake or commit funds for
acquisition or development of proposed
properties prior to HUD approval of
specific properties or areas. An
application constitutes an assurance
that the institution will assist HUD to
comply with part 50; will supply HUD
with all available and relevant
information to perform an
environmental review for each proposed
property; will carry out mitigating
measures required by HUD or select
alternate property; and will not acquire,
rehabilitate, convert, demolish, lease,
repair, or construct property, and not
commit or expend HUD or local funds
for these program activities with respect
to any eligible property until HUD’s
written approval of the property is
received. In supplying HUD with
environmental information, applicants
should use the same guidance as
provided in the HUD Notice CPD–05–07
entitled, ‘‘Field Environmental Review
Processing for Rural Housing and
Economic Development (RHED) grants’’
issued August 30, 2005. The General
Section provides further discussion of
the environmental requirements.
Further information and assistance on
HUD’s environmental requirements is
available at: https://hudstage.hud.gov/
utilities/intercept.cfm?/offices/cpd/
lawsregs/notices/2005/05–07.pdf.
e. Labor Standards. Institutions and
their subgrantees, contractors, and
subcontractors must comply with the
labor standards (Davis-Bacon)
requirements referenced in 24 CFR
570.603.
f. Economic Opportunities for Lowand Very-Low Income Persons (Section
3). The provisions of Section 3 of the
Housing and Urban Development Act of
1968 (12 U.S.C. 1701u) apply to this
NOFA and requires that to the greatest
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extent feasible opportunities for training
and employment be given to lowerincome residents of the project and
contracts for work in connection with
the project be awarded in substantial
part to persons residing in the area of
the project. Regulations are located at 24
CFR Part 135.
IV. Application and Submission
Information.
A. Address To Request Application
Package
Applicants may download the
instructions to the application found on
the Grants.gov Web site at https://
www.Grants.gov./Apply. If you have
difficulty accessing the information you
may call the Grants.gov Support Desk
toll free 800–518–GRANTS or e-mail
your questions to Support@Grants.gov.
See the General Section for information
regarding the registration process or ask
for registration information from the
Grants.gov Support Desk.
B. Content and Form of Application
Submission
1. Forms
The following forms are required for
submission. Copies of these forms are
available on line at https://www.hud.gov/
offices/adm/grants/nofa06/
snofaforms.cfm.
a. Application for Federal Assistance
(SF–424);
b. Survey on Ensuring Equal
Opportunity for Applicants (SF–424
Supplement);
c. Grant Application Detailed Budget
(HUD–424–CB);
d. Disclosure of Lobbying Activities
(SF–LLL), if applicable;
e. America’s Affordable Communities
Initiative (HUD–27300), if applicable;
f. Applicant/Recipient Disclosure/
Update Report (HUD–2880);
g. Program Logic Model (HUD–
96010);
h. Acknowledgement of Applicant
Receipt (HUD–2993). Complete this
form only if you have received a waiver
to the electronic application submission
requirement. Applicants submitting
electronically are not required to
include this form;
i. Facsimile Transmittal Cover Page
(HUD–96011). This form must be used
as the cover page to transmit third-party
documents and other information.
Applicants are advised to download the
application package, complete the SF–
424 first and it will pre-populate the
Transmittal Cover page. The Transmittal
Cover page will contain a unique
identifier embedded in the page that
will help HUD associate your faxed
materials to your application. Please
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download the cover page and then make
multiple copies to provide to any of the
entities responsible for submitting faxed
materials to HUD on your behalf. Please
do not use your own fax sheet. HUD
will not read any faxes that are sent
without the HUD–96011 fax transmittal
cover page; and
j. You Are Our Client Grant Applicant
Survey (HUD–2994–A). Applicants are
not required to complete this form.
2. Certifications and Assurances
Please read the General Section for
detailed information on all
Certifications and Assurances. All
applications submitted through
Grants.gov constitute an
acknowledgement and agreement to all
required certifications and assurances.
Please include in your application each
item listed below. Applicants
submitting paper copy applications
should submit the application in the
following order:
a. SF–424, Application for Federal
Assistance. Please remember the
following:
(1) The full grant amount requested
from HUD (entire three years) should be
entered, not the amount for just one
year;
(2) Include the name, title, address,
telephone number, facsimile number,
and e-mail address of the designated
contact, this is the person who will
receive all correspondence; therefore,
please ensure the accuracy of the
information;
(3) The Employer Identification/Tax
ID number;
(4) The DUNS Number;
(5) The Catalog of Federal Domestic
Assistance Number for this program is
14.515;
(6) The project’s proposed start date
and completion date. For the purpose of
this application, the program start date
should be December 1, 2006; and
(7) The signature of the Authorized
Organization Representative (AOR)
who, by virtue of submitting an
application via Grants.gov, has been
authenticated by the credential provider
to submit applications on behalf of the
Institution and approved by the
eBusiness Point of Contact to submit an
application via Grants.gov. The AOR
must be able to make a legally binding
agreement with HUD. For details on the
Grants.gov registration process see
HUD’s Notice on Early Registration
published in the Federal Register on
December 9, 2005 (70 FR 73331).
b. Application Checklist. Applicants
should use the checklist to ensure that
they have all the required components
of their application. Applicants
submitting an electronic application
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should not submit the checklist.
Applicants that receive a waiver of the
electronic application submission
requirement must include a copy of the
checklist in their application
submission. The checklist can be
located in Appendix A.
c. Abstract. Applicants must include
no more than a two-page summary of
the proposed project. Please include the
following:
(1) A clear description of the
proposed project activities, where they
will take place (be located), the target
population that will be assisted, and the
impact this project is expected to have
on the community and institution;
(2) A statement that the institution is
an eligible institution because it is a
two-or four-year fully accredited
institution, the name of the accrediting
agency and an assurance that the
accrediting agency is recognized by the
U.S. Department of Education;
(3) A statement that the institution
meets the definition of an Alaska Native
Institution, or a Native Hawaiian
Institution, as appropriate;
(4) The designated contact person,
including phone number, facsimile
number, and e-mail address. (This is the
person who will receive all
correspondence; therefore, please
ensure the accuracy of the information);
(5) The project director, if different
from the designated contact person, for
the project, including phone number,
facsimile number, and e-mail address.
d. Narrative statement addressing the
Rating Factors. HUD will use the
narrative response to the ‘‘Rating
Factors’’ to evaluate, rate, and rank
applications. The narrative statement is
the main source of information.
Applicants are advised to review each
factor carefully for program specific
requirements. The response to each
factor should be concise and contain
only information relevant to the factor,
yet detailed enough to address each
factor fully. Please do not repeat
material in response to the five factors;
instead, focus on how well the proposal
responds to each of the factors. Where
there are subfactors, each subfactor must
be presented separately, with the short
title of the subfactor presented. Make
sure to address each subfactor and
provide sufficient information about
every element of the subfactor. The
narrative section of an application must
not exceed 50 pages in length
(excluding forms, budget narrative,
assurances, and abstract) and must be
submitted on 81⁄2 by 11-inch paper,
double-spaced on one side of the paper,
with one-inch margins (from the top,
bottom and left to right side of the
document) and printed in standard
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Times New Roman 12-point font. Each
page of the narrative must include the
applicant’s name and should be
numbered. Note that although
submitting pages in excess of the page
limit will not disqualify an applicant,
HUD will not consider the information
on any excess pages. This exclusion
may result in a lower score or failure to
meet a threshold requirement. All
applicants submitting electronic
applications must attach their narrative
responses to Rating Factors 1–5 as one
attachment. PLEASE DO NOT ATTACH
YOUR RESPONSE TO EACH FACTOR
SEPARATELY.
e. Budget. The budget submission
must include the following:
(1) HUD–424–CB, ‘‘Grant Application
Detailed Budget.’’ This form shows the
total budget by year and by line item for
the program activities to be carried out
with the proposed HUD grant. Each year
of the program should be presented
separately. Applicants must also submit
this form to reflect the total cost for the
entire grant performance period (Grand
Total).
Make sure that the amounts shown on
the SF–424, the HUD–424–CB and on
all other required program forms are
consistent and the budget totals are
correct. Remember to check addition in
totaling the categories on all forms so
that all items are included in the total.
If there is any inconsistency between
any of the required budget forms, the
HUD–424–CB will be used. All budget
forms must be fully completed. If an
application is selected for award, the
applicant may be required to provide
greater specificity to the budget during
grant agreement negotiations.
(2) Budget Narrative. A narrative must
be submitted that explains how the
applicant arrived at the cost estimates
for any line item over $5,000
cumulative. For example, an applicant
proposes to construct a building using
HUD funding totaling $200,000. The
following cost estimate reflects this
total. Foundation cost $75,000,
electrical work $40,000, plumbing work
$40,000, finishing work $35,000, and
landscaping $10,000. The proposed cost
estimates should be reasonable for the
work to be performed and consistent
with rates established for the level of
expertise required to perform the work
proposed in the geographical area.
When necessary, quotes from various
vendors or historical data should be
used (please make sure they are kept on
file and are available for review by HUD
at any time). When an applicant
proposes to use a consultant, the
applicant must indicate whether there is
a formal written agreement. For each
consultant, please provide the name, if
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known, hourly or daily rate, and the
estimated time on the project.
Applicants must use cost estimates
based on historical data from the
institution and/or from a qualified firm
(e.g., Architectural or Engineering firm),
vendor, and/or qualified individual
(e.g., independent architect or
contractor) other than the institution for
projects that involve rehabilitation of
residential, commercial and/or
industrial structures, and/or acquisition,
construction, or installation of public
facilities, and improvements. Such an
entity must be involved in the business
of housing rehabilitation, construction,
and/or management. Equipment and
contracts cannot be presented as a total
estimated cost. For equipment,
applicants must provide a list by type
and cost for each item. Applicants using
contracts must provide an individual
description and cost estimate for each
contract. Construction costs must be
broken down to indicate how funds will
be utilized (e.g., demolition, foundation,
exterior walls, roofing, electrical work,
plumbing, finishing work, etc.)
(3) Indirect costs. Indirect costs, if
applicable, are allowable based on an
established approved indirect cost rate.
Applicants must have on file, and
submit to HUD if selected for award, a
copy of their indirect cost rate
agreement. Applicants who are selected
for funding that do not have an
approved indirect cost rate agreement,
established by the cognizant federal
agency, will be required to establish a
rate. In such cases, HUD will issue an
award with a provisional rate and assist
applicants with the process of
establishing a final rate.
f. Appendix. Applicants receiving a
waiver of the electronic submission
requirements and submitting a paper
copy of the application must place all
required forms in this section. An
applicant SHOULD NOT submit
resumes, or other back-up materials. If
this information is included, it will not
be considered during the review
process.
C. Submission Dates and Times
A complete application package must
be received and validated electronically
by the Grants.gov no later than 11:59:59
p.m. eastern time on or before the
application deadline date of May 19,
2006. In an effort to address any issues
with transmission of your applications,
applicants are strongly encouraged to
submit their applications prior to the
application deadline. This will allow an
applicant enough time to make the
necessary adjustments to meet the
submission. Please see the General
Section for further instructions.
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Electronic faxes using the Facsimile
Transmittal cover sheet (Form HUD–
96011) contained in the electronic
application must be received no later
than 11:59:59 p.m. eastern time on the
application deadline date.
D. Intergovernmental Review
This program is excluded from an
Intergovernmental Review.
E. Funding Restrictions
Ineligible CDBG Activities are listed
at 24 CFR 570.207. Ineligible activities
include but are not limited to:
1. New construction of public
housing;
2. General government expenses;
3. Political activities;
4. Planning and administrative
activities that would result in a grantee
exceeding the 20 percent cost limitation
on such activities;
5. Development and/or expansion of
an institution’s existing curriculum
when it is primarily to enhance the
institution rather than to achieve the
specific goals/objectives of the proposed
project; and
6. Construction, renovation,
expansion of an institution’s own
facilities.
F. Other Submission Requirements
1. Application Submission and Receipt
Procedure
Please read the General Section
carefully and completely for the
submission and receipt procedures for
all applications because failure to
comply may disqualify your
application.
2. Waiver of Electronic Submission
Requirements
Please refer to the General Section for
further discussion. Paper applications
will not be accepted from applicants
that have not been granted a waiver. If
an applicant is granted a waiver, the
Office of University Partnerships will
provide instructions for submission.
Applicants that submit a paper
application must be received by or
before on the application deadline date.
V. Application Review Information
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A. Criteria
1. Rating Factor 1: Capacity of the
Applicant and Relevant Experience (25
Points)
This factor addresses the extent to
which the applicant has the resources
necessary to successfully implement the
proposed project in a timely manner.
a. Knowledge and Experience. For
First Time Applicants (25 Points) For
Previously Funded Applicants (13
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Points). In rating this subfactor, HUD
will consider the extent to which the
applicant clearly addresses the
following:
(1) Describe the knowledge and
experience of the proposed project
director and staff, including the day-today program manager/coordinator,
consultants (including technical
assistance providers), and contractors in
planning and managing the type of
project for which funding is being
requested; and
(2) Clearly identify the following: key
project team members, titles (e.g.,
project manager/coordinator, etc.),
respective roles for the project staff, and
a brief description of their relevant
experience.
If key personnel have not been hired,
applicants must identify the position
title, provide a description of duties and
responsibilities, and describe the
qualifications to be considered in the
selection of personnel, including
subcontractors and consultants.
Experience will be judged in terms of
recent and relevant knowledge and
skills of the staff to undertake eligible
program activities. HUD will consider
experience within the last five (5) years
to be recent and experience pertaining
to similar activities to be relevant.
b. Past Performance (12 Points) For
Previously Funded Applicants Only.
This subfactor will evaluate how well
an applicant has performed successfully
under HUD/AN/NHIAC grants.
Applicants must demonstrate this by
addressing the following information for
all previously completed and open
HUD/AN/NHIAC grants:
(1) A list of all HUD/AN/NHIAC
grants received, including the dollar
amount awarded and the amount
expended and obligated as of the date of
this application;
(2) A description of the achievement
of specific tasks, measurable objectives,
and specific outcomes consistent with
the approved project management plan;
(3) A list detailing the date the
project(s) was completed, was it
completed in the original three-year
grant performance period; if not
completed, why (including when it was
or will be completed);
(4) A comparison of the amount of
proposed leveraged funds and/or
resources to the amount that was
actually leveraged; and
(5) A detailed description of
compliance with all reporting
requirements, including timeliness of
submission, whether reports were
complete and addressed all information
(both narrative and financial) as
required by the grant agreement.
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HUD will also review an applicant’s
past performance in managing funds,
including, but not limited to: The ability
to account for funding appropriately;
timely use of funds received from HUD;
meeting performance targets for
completion of activities. In evaluating
past performance, HUD reserves the
right to deduct up to five (5) points from
this rating score as a result of the
information obtained from HUD’s
records (i.e., progress and financial
reports, monitoring reports, Logic Model
submissions, and amendments).
2. Rating Factor 2: Need/Extent of the
Problem (10 Points)
This factor addresses the extent to
which there is a need for funding the
proposed program activities and an
indication of the importance of meeting
the need(s) in the target area. The
need(s) described must be relevant to
the activities for which funds are being
requested. In addressing this factor,
applicants should provide, at a
minimum, the following and must cite
statistics and/or analyses contained in at
least one or more current data sources
that are sound and reliable.
(1) Describe the need(s); and
(2) Describe the importance of
meeting the proposed needs.
In rating this factor, HUD will
consider only current data that is
specific to the area where the proposed
project activities will be carried out.
Sources for localized data can be found
at: www.ffiec.gov.
HUD will consider data collected
within the last five (5) years to be
current. To the extent that the targeted
community’s Five (5) Year Consolidated
Plan and Analysis of Impediments to
Fair Housing Choice (AI) identify the
level of the problem and the urgency in
meeting the need, applicants should
include references to these documents
in the response to this factor.
Other reliable data sources include,
but are not limited to, Census reports,
HUD Continuum of Care gap analysis
and its E–MAP (https://www.hud.gov/
emaps), law enforcement agency crime
reports, Public Housing Agencies’
Comprehensive Plans, community
needs analyses such as provided by the
United Way, the applicant’s institution,
and other sound, reliable and
appropriate sources. Needs in terms of
fulfilling court orders or consent
decrees, settlements, conciliation
agreements, and voluntary compliance
agreements may also be addressed.
3. Rating Factor 3: Soundness of
Approach (44 Points)
This factor addresses the quality and
effectiveness of the proposed work plan
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and the commitment of the institution
to sustain the proposed activities.
a. (37 Points) Quality of the Work
Plan. This subfactor will be evaluated
on the extent to which an applicant
provides a clear detailed description of
the proposed project and anticipated
accomplishments.
(1) (32 Points) Specific Activities. The
work plan must describe all proposed
activities and major tasks required to
successfully implement the proposed
project. In addressing this subfactor
applicants must provide a clear
description of the proposed activities
and address the following:
(a) Describe each activity to
successfully implement and complete
the proposed project in measurable
terms (e.g., the number of homes that
will be renovated, the number of jobs
created, etc.);
(b) List and describe how each
activity meets one of the following
Community Development Block Grant
(CDBG) Program national objectives:
• Benefit low- and moderate-income
persons;
• Aid in the prevention or
elimination of slums or blight; or
• Meet other community
development needs having a particular
urgency because existing conditions
pose a serious and immediate threat to
the health and welfare of the
community, and other financial
resources are not available to meet such
needs.
Criteria for determining whether an
activity addresses one or more
objectives are provided at 24 CFR
570.208;
(c) Describe the major tasks required
(in sequential order) to successfully
implement and complete each project
activity. Include the target completion
dates for these tasks (in 6 month
intervals, up to 36 months);
(d) Identify key staff, as described in
Factor 1, who will be responsible and
accountable for completing each task;
and
(e) Describe how the project director
will work with partners and citizens to
accomplish the proposed activities.
(2) (5 Points) Describe clearly how
each proposed activity will:
(a) Expand the role of the institution
in the community;
(b) Address the needs identified in
Factor 2;
(c) Relate to and not duplicate other
activities in the target area. Duplicative
effort will be acceptable only if an
applicant can demonstrate through
documentation that there is a
population in need that is not being
served; and
(d) Involve and empower citizens of
the target area in the proposed project.
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b. (3 Points) Involvement of the
faculty and students. The applicant
must describe how it proposes to
integrate the institution’s students and
faculty into the proposed project
activities.
c. (2 Points) HUD Policy Priorities. To
earn points under this subfactor, HUD
requires applicants to undertake specific
activities that will assist the Department
in implementing its policy priorities
and that help the Department achieve its
goals and objectives in FY 2007, when
the majority of grant recipients will be
reporting programmatic results and
achievements. In rating this subfactor,
HUD will evaluate the extent to which
a program will further and support
HUD’s priorities. The quality of the
responses provided to one or more of
HUD’s priorities will determine the
score an applicant can receive.
Applicants must describe how each
policy priority selected will be
addressed. Applicants that just list a
priority will receive no points.
The total number of points an
applicant can receive under this
subfactor is two (2). Each policy priority
addressed has a point value of one (1)
point with the exception of the policy
priority to remove regulatory barriers to
affordable housing, which has a point
value of up to two (2) points. To receive
these two (2) points an applicant must
indicate how this priority will be
addressed and submit the completed
questionnaire (HUD–27300) ‘‘HUD’s
Initiative on Removal of Regulatory
Barriers’’ found in the General Section
along with required documentation. It is
up to the applicant to determine which
of the policy priorities they elect to
address to receive the available two (2)
points.
d. (2 Points) Economic Opportunities
for Low- and Very-Low Income Persons
(Provision of Section 3). This subfactor
will be evaluated on the extent to which
an applicant describes how it proposes
to:
(1) Provide opportunities to train and
employ lower-income residents of the
project area; and
(2) Award substantial contracts to
persons residing in the project area.
Regulations regarding the provision of
Section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C.
1701u) can be located at 24 CFR Part
135.
4. Rating Factor 4: Leveraging Resources
(9 Points)
This factor addresses the ability of the
applicant to secure resources that can be
combined with HUD’s grant funds to
achieve the program’s purpose.
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HUD will consider the extent to
which the applicant established
partnerships with other entities to
secure additional resources to increase
the effectiveness of the proposed project
activities. Resources may include
funding or in-kind contributions, such
as services or equipment, allocated for
the purpose(s) of the project activities.
Resources may be provided by
governmental entities, public or private
nonprofit organizations, for-profit
private organizations, or other entities.
Applicants may also establish
partnerships with other program
funding recipients to coordinate the use
of resources in the target area. Overhead
and other institutional costs (e.g.,
salaries, indirect costs, etc.) that the
institution has waived may be counted.
Examples of potential sources for
outside assistance include:
• Federal, state, and local
governments
• Public Housing Agencies
• Local or national nonprofit
organizations
• Financial institutions and/or
private businesses
• Foundations
• Faith-based and other communitybased organizations.
To address this factor, an applicant
must provide an outline in the
application and have on file written
commitment letters, memoranda of
understandings and/or agreements that
show the extent and firm commitment
of all proposed leveraged resources
(including any commitment of resources
from the applicant’s own institution)
that address the following information
for each leveraged resource/fund:
(1) The name of the organization and
the executive officer authorizing the
funds/goods and/or services (Only
applicable to the narrative section)
(2) The cash amount contributed or
dollar value of the in-kind goods and/
or services committed (If a dollar
amount and its use is not shown, the
funding will not be counted);
(3) A specific description of how each
contribution is to be used toward the
proposed activities;
(4) The date the contribution will be
made available and a statement that
describes the duration of the
contribution;
(5) Any terms or conditions affecting
the commitment, other than receipt of a
HUD Grant; and
(6) The signature of the appropriate
executive officer authorized to commit
the funds and/or goods and/or services.
(Only applicable to the written
documentation) Please remember that
only items eligible for funding under
this program can be counted.
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Commitment letters, memoranda of
understandings and/or agreements are
not required at the time of application
submission but you must have them on
file. Applicants selected for award will
be required to submit the signed
commitment letters, memoranda of
understandings and/or agreements
outlined in the application, within
twenty (20) calendar days after initial
contact from the Office of University
Partnerships (OUP). Letters, memoranda
of understanding, or agreements must be
submitted on the provider’s letterhead
and should be addressed to Sherone
Ivey, Acting Associate Deputy Assistant
Secretary for University Partnerships.
The date of the letter, memorandum of
understanding, or agreement from the
CEO of the provider organization must
be dated no earlier than nine months
prior to this published NOFA. OUP will
provide specific instructions on how
these documents must be submitted
when contact is made with the
applicant. HUD will only request and
consider the resources/organizations
that are listed in the outline submitted
in the application. If OUP does not
receive those documents in the required
format and allotted timeframe, an
applicant will not receive points under
this factor and the application will be
rated and ranked to address this point
change.
In scoring this factor, HUD will award
nine (9) points to an applicant that
provides properly documented
leveraging resources as listed in their
application that are 15 percent or more
of the amount requested under this
program; six (6) points to applicants that
provide properly documented
leveraging resources as listed that are
10–14 percent of the amount requested
under this program; three (3) points to
applicants that provide properly
documented leveraging resources as
listed that are 5–9 percent of the amount
requested under this program; and zero
(0) points to applicants that provide
properly documented leveraging
resources as listed that are less than 5
percent of the amount requested or
resources are not properly documented.
5. Rating Factor 5: Achieving Results
and Program Evaluation (12 Points)
This factor reflects HUD’s goal to
embrace high standards of management
and accountability. It measures the
applicant’s commitment to assess their
performance to achieve the program’s
proposed objectives and goals.
Applicants are required to develop an
effective, quantifiable, outcome oriented
evaluation plan for measuring
performance and determining that
objectives and goals have been
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achieved. The Logic Model is a
summary of the narrative statements
presented in Factors 1–4. Therefore, the
information submitted on the logic
model should be consistent with the
information contained in the narrative
statements.
‘‘Outcomes’’ are benefits accruing to
institutions of higher education and/or
communities during or after
participation in the AN/NHIAC
program. Applicants must clearly
identify the outcomes to be measured
and achieved. Examples of outcomes
include increased community
development in the target community
by a certain percentage, increased
employment opportunities in the target
community by a certain percentage,
increased incomes/wages or other assets
for persons trained, and/or enhanced
family stability through the creation of
affordable housing opportunities.
In addition, applicants must establish
interim benchmarks and outputs that
lead to the ultimate achievement of
outcomes. ‘‘Outputs’’ are the direct
products of the program’s activities.
Examples of outputs are the number of
new affordable housing units, the
number of homes that have been
renovated, and the number of facilities
that have been constructed or
rehabilitated. Outputs should produce
outcomes for the program. At a
minimum, an applicant must address
the following activities in the evaluation
plan:
a. Measurable outputs to be
accomplished (e.g., the number of
persons to be trained and employed;
houses to be built pursuant to 24 CFR
570.207 or rehabilitated; minorityowned businesses to be started);
b. Measurable outcomes the grant will
have on the community in general and
the target area or population; and
c. The impact the grant will have on
assisting the university to obtain
additional resources to continue this
type of work at the end of the grant
performance period.
The information must be placed on a
HUD–96010, Program Logic Model
form. HUD has developed a new
approach to completing this form.
Please carefully read the General
Section for instructions, training is
available. (Form HUD–96010 will be
excluded from the page count.) A
narrative is not required. However, if a
narrative is provided, those pages will
be included in the page count.
a. A threshold review to determine an
applicant’s basic eligibility; and
b. A technical review for all
applications that pass the threshold
review to rate and rank the application
based on the ‘‘Rating Factors’’ listed in
Section V.A.
Only those applications that pass the
threshold review will receive a
technical review and be rated and
ranked.
B. Review and Selection Process
VI. Award Administration Information
1. Application Selection Process
A. Award Notices
After all selections have been made,
HUD will notify all winning applicants
Two types of reviews will be
conducted:
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2. Rating Panels
To review and rate applications, HUD
may establish panels, which may
include experts or consultants not
currently employed by HUD to obtain
certain expertise.
3. Ranking
HUD will fund applications in rank
order, until all available program funds
are awarded. In order to be funded, an
applicant must receive a minimum
score of 75 points out of a possible 100
points for Factors 1 through 5. The RC/
EZ/EC–II bonus points described in the
General Section do not apply to this
NOFA. If two or more applications have
the same number of points, the
application with the most points for
Factor 3 shall be selected. If there is still
a tie, the application with the most
points for Factor 1 shall be selected. If
there is still a tie, the application with
the most points for Factors 2, 4 and then
5 shall be selected, in that order, until
the tie is broken. HUD reserves the right
to make selections out of rank order to
provide for geographic distribution of
grantees.
HUD also reserves the right to reduce
the amount of funding requested in
order to fund as many highly ranked
applications as possible. Additionally, if
funds remain after funding the highest
ranked applications, HUD may fund
part of the next highest-ranking
application. If an applicant turns down
an award offer, HUD will make an
award to the next highest-ranking
application. If funds remain after all
selections have been made, the
remaining funds will be carried over to
the next funding cycle’s competition.
4. Correction to Deficient Applications
See the General Section.
C. Anticipated Announcement and
Award Dates
Announcements of awards are
anticipated on or before September 30,
2006.
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in writing. HUD may require winning
applicants to participate in additional
negotiations before receiving an official
award. For further discussion on this
matter, please refer to the General
Section. B. Administrative and National
Policy Requirements
Refer to Section VI.B. of the General
Section.
1. Debriefing. The General Section
provides the procedures for requesting a
debriefing. All requests for debriefings
must be made in writing and submitted
within thirty (30) calendar days of
receipt of written notification to:
Sherone Ivey, Office of University
Partnerships, Robert C. Weaver Federal
Building; 451 Seventh Street, SW.,
Room 8106; Washington, DC 20410.
Applicants may also write to Ms. Ivey
via e-mail at Sherone_E._Ivey@hud.gov.
2. Administrative. Grants awarded
under this NOFA will be governed by
the provisions of 24 CFR part 84 (Grants
and Agreements with Institutions of
Higher Education, Hospitals and Other
Non-Profit Organizations), A–21 (Cost
Principles for Educational Institutions)
and A–133 (Audits of States, Local
Governments, and Non-Profit
Organizations). Applicants can access
the OMB circulars at the White House
Web site at: www.whitehouse.gov/omb/
circulars/.
3. OMB Circulars and Governmentwide Regulations Applicable to
Financial Assistance Programs. The
General Section provides further
discussion.
4. Executive Order 13202,
Preservation of Open Competition and
Government Neutrality Towards
Government Contractors Labor
Relations on Federal and Federally
Funded Construction Projects. See the
General Section for further discussion.
5. Procurement of Recovered
Materials. See Section the General
Section for further discussion.
6. Executive Order 13166, Improving
Access to Services For Persons With
Limited English Proficiency (LEP). See
the General Section for further
discussion.
7. Code of Conduct. See the General
Section for further discussion.
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C. Reporting
All grant recipients under this NOFA
are required to submit quarterly
progress reports. The progress reports
shall consist of two components, a
narrative that must reflect the activities
undertaken during the reporting period
and a financial report that reflects costs
incurred by budget line item, as well as
a cumulative summary of cost incurred
during the reporting period.
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For each reporting period, as part of
the required report to HUD, grant
recipients must include a completed
Logic Model form (HUD–96010), which
identifies output and outcome
achievements.
For FY2006, HUD is considering a
new concept for the Logic Model. The
new concept is a Return on Investment
(ROI) statement. HUD will be publishing
a separate notice on the ROI concept.
VII. Agency Contacts
Applicants may contact Sherone Ivey
at (202) 708–3061, extension 4200 or
Susan Brunson at (202) 708–3061,
extension 3852. Persons with speech or
hearing impairments may call the
Federal Information Relay Service TTY
at (800) 877–8339. Except for the ‘‘800’’
number, these numbers are not toll-free.
Applicants may also reach Ms. Ivey via
e-mail at Sherone_E._Ivey@hud.gov,
and/or Ms. Brunson at
Susan_S._Brunson@hud.gov.
VIII. Other Information: Paperwork
Reduction Act
The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520) and
assigned OMB control number 2528–
0206. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 59 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, quarterly,
and final reports. The information will
be used for grantee selection and
monitoring the administration of funds.
Response to this request for information
is required in order to receive the
benefits to be derived.
Appendix A—Application Checklist—
AN/NHIAC
This checklist identifies application
submission requirements. Applicants
are requested to use this checklist when
preparing an application to ensure
submission of all required elements.
Applicants submitting an electronic
application do not have to submit the
checklist. Applicants that receive a
waiver of the electronic application
submission requirement should include
a copy of the checklist in their
application.
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Check off to ensure these items have
been included in the application:
llSF–424 ‘‘Application For Federal
Assistance’’
llApplication Checklist (Applicants
that submit paper applications must
include the checklist in their
applications)
llAbstract (must include no more
than a two-page summary of the
proposed project)
Indicate the page number where each
of the Factors is located:
Narrative Statement Addressing the
Rating Factors.
The narrative section of an
application must not exceed 50 pages in
length (excluding forms, budget
narrative and abstract). This information
must be submitted on 81⁄2 by 11-inch
paper, double-spaced on one side of the
paper, with one-inch margins (from the
top, bottom, left, and right sides of the
documents) and printed in standard
Times New-Roman 12-point font.
llFactor I
llFactor II
llFactor III
llFactor IV
llFactor V
llHUD–96010 ‘‘Logic Model’’
Check off to ensure these items have
been included in the application:
Appendix
llBudget
llHUD 424–CB ‘‘Grant Application
Detailed Budget’’
llBudget Narrative (No form
provided, but must be submitted for
the total three-year grant period.
Appendix B (All Required Forms)
The following forms are required for
submission. All required forms are
contained in the electronic application
package.
llApplication for Federal Assistance
(SF–424);
llSurvey on Ensuring Equal
Opportunity for Applicants (SF–424
Supplement);
llDisclosure of Lobbying Activities
(SF–LLL);
llGrant Application Detailed Budget
(HUD–424–CB);
llAmerica’s Affordable Communities
Initiative (HUD–27300), if
applicable;
llApplicant/Recipient Disclosure/
Update Report (HUD–2880);
llAcknowledgement of Applicant
Receipt (Only applicants who
submit paper applications (HUD–
2993);
llFacsimile Transmittal (HUD–
96011), if applicable;
llYou Are Our Client Grant Applicant
Survey (HUD–2994–A); and
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llLogic Model (HUD–96010).
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BILLING CODE 4210–01–P
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Tribal Colleges and Universities
Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Policy Development and
Research, Office of University
Partnerships.
B. Funding Opportunity Title: Tribal
Colleges and Universities Program
(TCUP).
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Numbers:
The Federal Register Number is FR–
5030–N–24. The OMB Approval
Number is 2528–0215.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: The CFDA
Number for this program is 14.519.
F. Dates: The application deadline
date is May 22, 2006. Please be sure to
read the General Section for electronic
application submission and receipt
requirements.
G. Additional Overview Content
Information:
1. Purpose of the Program. To assist
Tribal Colleges and Universities (TCU)
to build, expand, renovate, and equip
their own facilities, and to expand the
role of the TCUs into the community
through the provision of needed
services such as health programs, job
training, and economic development
activities.
2. Award Information: In Fiscal Year
(FY) 2006, approximately $2.5 million
has been made available for this
program by the Department of Housing
and Urban Development Appropriations
Act, 2006 (Pub. L. 109–115; approved
Nov. 30, 2005) and an additional
$643,000 in carryover funds. An
applicant can request up to $600,000 for
a three-year (36 months) grant
performance period.
3. Eligible Applicants: Tribal Colleges
and Universities that meet the definition
of a TCU established in Title III of the
1998 Amendments to the Higher
Education Act of 1965 (Pub. L. 105–244,
approved October 7, 1998). Institutions
must be fully accredited or provide a
statement in the abstract of the
application that states the institution is
a candidate for accreditation by a
regional institutional accrediting
association recognized by the U.S.
Department of Education.
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Full Text of Announcement
I. Funding Opportunity Description
The purpose of this program is to
assist Tribal Colleges and Universities
(TCU) to build, expand, renovate, and
equip their own facilities, and to expand
the role of the TCUs into the community
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through the provision of needed
services such as health programs, job
training, and economic development
activities.
A. Authority
HUD’s authority for making funding
available under this NOFA is the
Department of Housing and Urban
Development Appropriations Act, 2006
(Pub. L. 109–115; approved Nov. 30,
2005). This program is being
implemented through this NOFA and
the policies governing its operation are
contained herein.
B. Modifications
Listed below are major modifications
from the Fiscal Year (FY) 2005 programfunding announcement.
1. The provision of public services
and program delivery activities are now
eligible under this program. The
purpose of the Tribal Colleges and
Universities Program has been modified
to include expanding the role of the
TCUs into the community through the
provision of needed services such as
health programs, job training, and
economic development.
2. Commitment letters, memoranda of
understandings and/or agreements are
not required at the time of application
submission but must be on file.
Applicants selected for award will be
required to submit the signed
commitment letters, memoranda of
understandings and/or agreements
outlined in the application, within
twenty (20) calendar days after initial
contact from the Office of University
Partnerships (OUP). OUP will provide
specific instructions on how these
documents must be submitted at that
time. HUD will only request and
consider the resources/organizations
outlined in the application. If OUP does
not receive those documents in the
required format and allotted timeframe,
an applicant will not receive points
under this factor and the application
will be rated and ranked to address this
point change.
In scoring this factor, HUD will rate
an applicant that provides leveraging
resources that are 10 percent or more of
the amount requested under this
program and that are properly
documented, as listed below, will be
awarded nine (9) points; applicants that
provide leveraging resources that are 7–
9 percent of the amount requested under
this program and that are properly
documented, as listed below, will be
awarded six (6) points; applicants that
provide leveraging resources that are 4–
6 percent of the amount requested under
this program and that are properly
documented, as listed below, will be
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awarded three (3) points; applicants that
provide leveraging resources that are
less than 4 percent of the amount
requested or resources are not properly
documented will receive zero points.
3. All applicants submitting electronic
applications must attach their narrative
responses to Rating Factors 1–5 as one
attachment. PLEASE DO NOT ATTACH
YOUR RESPONSE TO EACH FACTOR
SEPARATELY.
II. Award Information
In Fiscal Year (FY) 2006,
approximately $2.5 million is made
available for this program and an
additional $643,000 in carryover funds.
An applicant can request up to $600,000
for a three-year (36 months) grant
performance period.
III. Eligibility Information
A. Eligible Applicants
Tribal Colleges and Universities that
meet the definition of a TCU established
in Title III of the 1998 Amendments to
the Higher Education Act of 1965 (Pub.
L. 105–244, enacted October 7, 1998).
Institutions must be fully accredited, or
provide a statement in their application
that verifies the institution is a
candidate for accreditation, by a
regional institutional accrediting
association recognized by the U.S.
Department of Education.
B. Cost Sharing or Matching
None Required.
C. Other
1. Eligible Activities: Eligible activities
include building, expanding,
renovating, and equipping facilities
owned by the institution (a long-term
lease for five years or more in duration
is considered an acceptable form of
ownership under this program).
Buildings for which TCUP funding is
used that also serve the community are
eligible; however, the facilities must be
predominantly (at least 51 percent of the
time) for the use of the institution (e.g.,
students, faculty, and staff). In addition,
public services and program delivery
activities for the community such as
health programs, job training and
economic development are eligible
activities. Examples of eligible activities
include, but are not limited to:
a. Building a new facility (e.g.,
classrooms, administrative offices,
health and cultural centers, gymnasium,
technology centers, etc.);
b. Renovating an existing or acquired
facility;
c. Expanding an existing or acquired
facility;
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d. Equipping university facilities (e.g.,
lab equipment, library books, furniture,
etc.); or
e. Property acquisition;
f. Health screening;
g. Homeownership counseling/
training;
h. Technical assistance to establish,
expand or stabilize micro-enterprises;
i. Crime, alcohol and/or drug-abuse
prevention activities;
j. Youth leadership development
programs/activities;
k. Tutoring/mentoring programs;
l. Child care/development programs;
m. Cultural activities/programs; and
n. Applicants can use up to 20
percent of the grant for payments of
reasonable grant administrative costs
related to planning and execution of the
project (e.g., preparation/submission of
HUD reports, etc.). A detailed
explanation of these costs is provided in
the OMB circulars that can be accessed
at the White House Web site at: https://
www.whitehouse.gov/omb/circulars/
index.html.
Each activity proposed for funding
must meet at least one of the following
Community Development Block Grant
(CDBG) Program national objectives:
• Benefit low- and moderate-income
persons;
• Aid in the prevention or
elimination of slums or blight; or
• Meet other community
development needs having a particular
urgency because existing conditions
pose a serious and immediate threat to
the health and welfare of the
community, and other financial
resources are not available to meet such
needs.
Criteria for determining whether an
activity addresses one or more
objectives are provided at 24 CFR
570.208. The CDBG publication entitled
‘‘Community Development Block Grant
Program Guide to National Objectives
and Eligible Activities for Entitlement
Communities’’ describes the CDBG
regulations, and a copy can be obtained
from HUD’s NOFA Information Center
at 800–HUD–8929 or 800–HUD–2209
for the hearing-impaired.
2. Audit Requirements. See Section
III.C. of the General Section.
3. Threshold Requirements
Applicable to All Applicants. All
applicants must comply with the
threshold requirements as defined in the
General Section and the requirements
listed below. Applications that do not
meet these requirements will be
considered ineligible for funding and
will be disqualified.
a. The applicant must meet the
eligibility requirements as defined in
Section III.A.
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b. The applicant may request up to
$600,000.
c. Only one application can be
submitted per campus. If multiple
applications are submitted, all will be
disqualified. However, different
campuses of the same university system
are eligible to apply as long as they have
an administrative and budgeting
structure independent of the other
campuses in the system.
d. Institutions that received grants in
FY 2005 are not eligible to apply under
this NOFA.
e. Applicants must receive a
minimum score of 75 points to be
considered for funding.
f. An applicant must have a DUNS
number to receive HUD grant funds (See
General Section).
g. Electronic applications must be
received and validated by Grants.gov no
later than 11:59:59 p.m. eastern time on
the application deadline date May 22,
2006.
4. Program Requirements. In addition
to the standard requirements listed in
Section III.C. of the General Section,
applicants must meet the following
program requirements:
a. All funds awarded are for a threeyear (36 months) grant performance
period.
b. While community-wide use of a
facility (that is purchased, equipped,
leased, renovated or built) is permissible
under this program, the facility must be
predominantly for the use of the
institution (i.e., it must be used by the
staff, faculty, and/or students at least 51
percent of the time).
c. If a TCU is a part or instrumentality
of a federally recognized tribe, the
applicant must comply with the Indian
Civil Rights Act (25 U.S.C. 1301 et seq.)
and all other applicable civil rights
statues and authorities as set forth in 24
CFR 1000.12. If the TCU is not a part or
instrumentality of a federally recognized
tribe the applicant must comply with
the Fair Housing Act (42 U.S.C. 3601–
19) and implementing regulations at 24
CFR part 100 et seq., Title VI of the Civil
Rights Act of 1964 (42 U.S.C. 2000d–
2000d–4) (Nondiscrimination in
Federally Assisted Programs) and
implementing regulations at 24 CFR part
1, Section 504 of the Rehabilitation Act
of 1973, as amended (29 U.S.C. 794) and
implementing regulation at 24 CFR Part
8, and Section 109 of Title One of the
Housing and Community Development
Act of 1974 (HCDA), as amended, with
respect to nondiscrimination on the
basis of age, sex, religion, or disability
and implementing regulations at 24 CFR
part 6.
d. Labor Standards. Institutions and
their subgrantees, contractors and
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11777
subcontractors must comply with the
labor standards (Davis-Bacon)
requirements referenced in 24 CFR
570.603. However, in accordance with
HCDA section 107(e)(2), the Secretary
waives the provisions of HCDA section
110 with respect to the TCUP program
for grants to a TCU that is part of a tribe,
i.e., a TCU that is legally a department
or other part of a tribal government, but
not a TCU that is established under
tribal law as an entity separate from the
tribal government. If a TCU is not part
of a tribe, the labor standards of HCDA
section 110, as referenced in 24 CFR
570.603, apply to activities under the
grant to the TCU.
e. Environmental Requirements.
Selection for award does not constitute
approval of any proposed sites.
Following selection for award, HUD will
perform an environmental review of
activities proposed for assistance in
accordance with 24 CFR part 50. The
results of the environmental review may
require that proposed activities be
modified or proposed sites be rejected.
Applicants are particularly cautioned
not to undertake or commit funds for
acquisition or development of proposed
properties prior to HUD approval of
specific properties or areas. An
application constitutes an assurance
that the institution will assist HUD to
comply with part 50; will supply HUD
with all available and relevant
information to perform an
environmental review for each proposed
property; will carry out mitigating
measures required by HUD or select
alternate property; and will not acquire,
rehabilitate, convert, demolish, lease,
repair, or construct property and not
commit or expend HUD or local funds
for these program activities with respect
to any eligible property until HUD’s
written approval of the property is
received. In supplying HUD with
environmental information, applicants
should use the same guidance as
provided in the HUD Notice CPD–05–07
entitled, ‘‘Field Environmental Review
Processing for Rural Housing and
Economic Development (RHED) grants’’
issued August 30, 2005. The General
Section provides further discussion of
the environmental requirements.
Further information and assistance on
HUD’s environmental requirements is
available at: https://hudstage.hud.gov/
utilities/intercept.cfm/offices/cpd/
lawsregs/notices/2005/05–07.pdf.
f. Site Control. Where grant funds will
be used for acquisition, rehabilitation,
or new construction an applicant must
demonstrate site control. Funds may be
recaptured or deobligated from
applicants that cannot demonstrate
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control of a suitable site within one year
after the initial notification of award.
g. Economic Opportunities for Lowand Very-Low Income Persons (Section
3). The provisions of Section 3 of the
Housing and Urban Development Act of
1968 (12 U.S.C. 1701u) apply to this
NOFA and requires that to the greatest
extent feasible opportunities for training
and employment be given to lowerincome residents of the project and
contracts for work in connection with
the project be awarded in substantial
part to person residing in the area of the
project. Regulations are located at 24
CFR Part 135.
IV. Application and Submission
Information.
A. Address To Request Application
Package
Applicants may download the
instructions to the application found on
the Grants.gov Web site at https://
www.Grants.gov./Apply. If you have
difficulty accessing the information you
may call the Grants.gov Support Desk
toll free 800–518–GRANTS or e-mail
your questions to Support@Grants.gov.
See the General Section for information
regarding the registration process or ask
for registration information from the
Grants.gov Support Desk.
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B. Content and Form of Application
Submission
1. Forms
The following forms are required for
submission. Copies of these forms are
available on line at https://www.hud.gov/
offices/adm/grants/nofa06/
snofaforms.cfm.
a. Application for Federal Assistance
(SF–424).
b. Survey on Ensuring Equal
Opportunity for Applicants (SF–424
Supplement);
c. Grant Application Detailed Budget
(HUD–424–CB);
d. Disclosure of Lobbying Activities
(SF–LLL), if applicable;
e. America’s Affordable Communities
Initiative (HUD–27300), if applicable;
f. Applicant/Recipient Disclosure/
Update Report (HUD–2880);
g. Program Logic Model (HUD–
96010);
h. Acknowledgement of Applicant
Receipt (HUD–2993). Complete this
form only if you have received a waiver
to the electronic application submission
requirement. Applicants submitting
electronically are not required to
include this form;
i. Facsimile Transmittal Cover Page
(HUD–96011). This form must be used
as the cover page to transmit third-party
documents and other information.
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Applicants are advised to download the
application package, complete the SF–
424 first and it will pre-populate the
Transmittal Cover page. The Transmittal
Cover page will contain a unique
identifier embedded in the page that
will help HUD associate your faxed
materials to your application. Please
download the cover page and then make
multiple copies to provide to any of the
entities responsible for submitting faxed
materials to HUD on your behalf. Please
do not use your own fax cover sheet.
HUD will not read any faxes that are
sent without the HUD–96011 fax
transmittal cover page; and
j. You Are Our Client Survey (HUD–
2994–A). (Optional)
2. Certifications and Assurances
Please read the General Section for
detailed information on all the
Certifications and Assurances. All
applications submitted through
Grants.gov constitute an
acknowledgement and agreement to all
required certifications and assurances.
Please include in your application each
item listed below. Applicants
submitting paper copy applications
should submit the application in the
following order:
a. SF–424, Application for Federal
Assistance. Please remember the
following:
(1) The full grant amount requested
from HUD (entire three years) should be
entered, not the amount for just one
year;
(2) Include the name, title, address,
telephone number, facsimile number,
and e-mail address of the designated
contact. This person will receive all
correspondence; therefore, please
ensure the accuracy of the information;
(3) The Employer Identification/Tax
ID number;
(4) The DUNS Number;
(5) The Catalog of Federal Domestic
Assistance Number for this program is
14.519;
(6) The project’s proposed start and
completion dates. For the purpose of
this application the program start date
should be December 1, 2006; and
(7) The signature of the Authorized
Organization Representative (AOR)
who, by virtue of submitting an
application via Grants.gov, has been
authenticated by the credential provider
to submit applications on behalf of the
Institution and approved by the
eBusiness Point of Contact to submit an
application via Grants.gov. The AOR
must be able to make a legally binding
agreement with HUD. For details on the
Grants.gov registration process, see
HUD’s Notice on Early Registration
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published in the Federal Register on
December 9, 2005 (70 FR 73332).
b. Application Checklist. Applicants
should use the checklist to ensure that
they have all the required components
of their application. Applicants
submitting an electronic application
should not submit the checklist in their
application. Applicants receiving a
waiver of the electronic application
submission requirement should include
a copy of the checklist in their
application submission. The checklist is
located in Appendix A.
c. Abstract. Applicants must include
no more than a two-page summary of
the proposed project. Please include the
following:
(1) A clear description of the
proposed project activities, where they
will take place (be located), the target
population that will be assisted, and the
impact this project is expected to have
on the institution;
(2) A statement that the institution is
an eligible institution because it is a
two-or four-year fully accredited
institution, the name of the accrediting
agency and an assurance that the
accrediting agency is recognized by the
U.S. Department of Education; or the
applicant is a candidate for
accreditation by a regional instructional
accrediting association recognized by
the U.S. Department of Education,
including the name of the accrediting
agency;
(3) The designated contact person,
including phone number, facsimile
number, and e-mail address (This is the
person who will receive all
correspondence; therefore, please
ensure the accuracy of the information);
(4) The project director, if different
from the designated contact person for
the project, including phone number,
facsimile number, and e-mail address.
d. Narrative statement addressing the
Rating Factors. HUD will use the
narrative response to the ‘‘Rating
Factors’’ to evaluate, rate, and rank
applications. The narrative statement is
the main source of information.
Applicants are advised to review each
factor carefully for program specific
requirements. The response to each
factor should be concise and contain
only information relevant to the factor,
yet detailed enough to address the factor
fully. Please do not repeat material in
response to the five factors; instead,
focus on how well the proposal
responds to each of the factors. Where
there are subfactors, each subfactor must
be presented separately, with the short
title of the subfactor presented. Make
sure to address each subfactor and
provide sufficient information about
every element of the subfactor. The
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narrative section of an application must
not exceed 50 pages in length
(excluding forms, budget narrative,
assurances, and abstract) and must be
submitted on 81⁄2 by 11-inch paper,
double-spaced on one side of the paper,
with one-inch margins (from the top,
bottom and left to right side of the
document) and printed in standard
Times New Roman 12-point font. Each
page of the narrative must include the
applicant’s name and should be
numbered. Note that although
submitting pages in excess of the page
limit will not disqualify an applicant,
HUD will not consider the information
on any excess pages. This exclusion
may result in a lower score or failure to
meet a threshold requirement. All
applicants submitting electronic
applications must attach their narrative
responses to Rating Factors 1–5 as one
attachment. PLEASE DO NOT ATTACH
YOUR RESPONSE TO EACH FACTOR
SEPARATELY.
e. Budget. The budget submission
must include the following:
(1) HUD–424–CB, ‘‘Grant Application
Detailed Budget.’’ This form shows the
total budget by year and by line item for
the program activities to be carried out
with the proposed HUD grant. Each year
of the program should be presented
separately. Applicants must also submit
this form to reflect the total cost for the
entire grant performance period (Grand
Total).
Make sure that the amounts shown on
the SF–424, HUD–424–CB, and all other
required program forms are consistent
and the budget totals are correct.
Remember to check the addition in
totaling the categories on all forms so
that all items are included in the total.
If there is any inconsistency between
any of the required budget forms, the
HUD–424–CB will be used. All budget
forms must be fully completed. If an
application is selected for award, the
applicant may be required to provide
greater specificity to the budget during
grant agreement negotiations.
(2) Budget Narrative. Applicants must
submit a narrative that explains how the
applicant arrived at the cost estimates
for any line item over $5,000
cumulative. For example, an applicant
proposes to construct an addition to an
existing building, which will cost
approximately $200,000. The following
cost estimate reflects this total:
Foundation cost $75,000, electrical
work $40,000, plumbing work $40,000,
interior finishing work $35,000 and
landscaping $10,000. The proposed cost
estimates should be reasonable for the
work to be performed and consistent
with rates established for the level of
expertise required to perform the work
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proposed in the geographical area.
When necessary, quotes from various
vendors or historical data should be
used (please make sure they are kept on
file and are available for review by HUD
at any time). All direct labor or salaries
must be supported with mandated city/
state pay scales, Davis-Bacon wage
rates/tribally designated wage rate (as
appropriate) or other documentation.
When an applicant proposes to use a
consultant, the applicant must indicate
whether there is a formal written
agreement. For each consultant, please
provide the name, if known, hourly or
daily fee, and the estimated time on the
project. Applicants must use cost
estimates based on historical data from
the institution and/or from a qualified
firm (e.g., Architectural or Engineering
firm), vendor and/or qualified
individual (e.g., independent architect
or contractor) other than the institution
for projects that involve rehabilitation of
residential, commercial and/or
industrial structures, and/or acquisition,
construction, or installation of public
facilities and improvements. Such an
entity must be involved in the business
of rehabilitation, construction, and/or
management. Equipment and contracts
cannot be presented as a total estimated
figure. For equipment, applicants must
provide a list by type and cost for each
item. Applicants using contracts must
provide an individual description and
cost estimate for each contract.
Construction costs must be broken
down to indicate how funds will be
utilized (e.g., demolition, foundation,
exterior walls, roofing, electrical work,
plumbing, finishing work, etc.)
(3) Indirect costs. Indirect costs, if
applicable, are allowable based on an
established approved indirect cost rate.
Applicants must have on file, and
submit to HUD if selected for award, a
copy of their indirect cost rate
agreement. Applicants who are selected
for funding that do not have an
approved indirect cost rate agreement,
established by the cognizant federal
agency, will be required to establish a
rate. In such cases, HUD will issue an
award with a provisional rate and assist
applicants with the process of
establishing a final rate.
f. Appendix. Applicants receiving a
waiver of the electronic submission
requirements and submitting a paper
copy of the application must place all
required forms in this section. An
applicant SHOULD NOT submit
resumes, or other back-up materials. If
this information is included, it will not
be considered during the review
process.
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C. Submission Dates and Times
A complete application package must
be received and validated electronically
by the Grants.gov no later than 11:59:59
p.m. eastern time on or before the
application deadline date of May 22,
2006. In an effort to address any issues
with transmission of your application,
applicants are strongly encouraged to
submit their applications prior to the
application deadline. This will allow an
applicant enough time to make the
necessary adjustments to meet the
submission deadline in the event
Grants.gov rejects the application.
Please see the General Section for
further instructions. Electronic faxes
using the Facsimile Transmittal cover
sheet (Form HUD–96011) contained in
the electronic application must be
received no later than 11:59:59 p.m.
eastern time on the application deadline
date.
D. Intergovernmental Review
This program is excluded for an
Intergovernmental Review.
E. Funding Restrictions
Ineligible activities for funding under
this program include, but are not
limited to the following:
1. Renovation of a facility in which
the facility is not used at least 51
percent of the time by the institution;
2. Rental space to another entity that
operates a small business assistance
center;
3. Building of a new facility, where
the activities are for non-students or the
activities are run primarily by an
outside entity;
4. Using more than 20 percent of the
grant for payments of grant
administrative costs related to planning
and execution of the project (e.g.,
preparation/submission of HUD
reports); and
5. Curriculum development and/or
expansion on an institution’s existing
curriculum.
F. Other Submission Requirements
1. Application Submission and Receipt
Procedure
Please read the General Section
carefully and completely for the
electronic submission and receipt
procedures for all applications because
failure to comply may disqualify your
application.
2. Waiver of Electronic Submission
Requirements
Please refer to the General Section for
further discussion. Paper applications
will not be accepted from applicants
that have not been granted a waiver. If
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an applicant is granted a waiver, the
Office of University Partnerships will
provide instructions for submission.
Paper application must be received by
or before the application due date.
V. Application Review Information
A. Criteria
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1. Rating Factor 1: Capacity of the
Applicant and Relevant Experience (25
Points)
This factor addresses the extent to
which the applicant has the resources
necessary to successfully implement the
proposed activities in a timely manner.
a. Knowledge and Experience. For
First Time Applicants (25 Points), For
Previously Funded Applicants (15
Points). In rating this subfactor, HUD
will consider the extent to which the
applicant clearly addresses the
following:
(1) Describe the knowledge and
experience of the proposed project
director and staff, including the day-today program manager/coordinator,
consultants (including technical
assistance providers), and contractors in
planning and managing the type of
project for which funding is being
requested; and
(2) Clearly identify the following: Key
project team members, titles (e.g.,
project manager/coordinator, etc.),
respective roles for the project staff, and
a brief description of their relevant
experience.
If key personnel have not been hired,
applicants must identify the position
title, provide a description of duties and
responsibilities, and describe the
qualifications to be considered in the
selection of personnel, including
subcontractors and consultants.
Experience will be judged in terms of
recent and relevant knowledge and
skills of the staff to undertake eligible
program activities. HUD will consider
experience within the last five (5) years
to be recent and experience pertaining
to similar activities to be relevant.
b. Past Performance (10 Points) For
Previously Funded Grant Applicants
Only. This subfactor will evaluate how
well an applicant has performed
successfully under HUD/TCUP grants.
Applicants must demonstrate this by
addressing the following information for
all previously completed and open
HUD/TCUP grants:
(1) A list of all HUD/TCUP grants
received, including the dollar amount
awarded and the amount expended and
obligated as of the date of this
application;
(2) A description of the achievement
of specific tasks, measurable objectives,
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and specific outcomes consistent with
the approved project management plan;
(3) A list detailing the date the
project(s) was completed, was it
completed in the original three-year
grant performance period; if not
completed, why (including when it was
or will be completed);
(4) A comparison of the amount of
proposed leveraged funds and/or
resources to the amount that was
actually leveraged; and
(5) A detailed description of
compliance with all reporting
requirements, including timeliness of
submission, whether reports were
complete and addressed all information
(both narrative and financial) as
required by the grant agreement.
HUD will also review an applicant’s
past performance in managing funds,
including, but not limited to: The ability
to account for funding appropriately;
timely use of funds received from HUD;
meeting performance targets for
completion of activities. In evaluating
past performance, HUD reserves the
right to deduct up to five (5) points from
this rating score as a result of the
information obtained from HUD’s
records (i.e., progress and financial
reports, monitoring reports, Logic Model
submission, and amendments).
2. Rating Factor 2: Need/Extent of the
Problem (10 Points)
This factor addresses the extent to
which there is a need for funding the
proposed project activities and an
indication of the importance of meeting
the need(s). The need(s) described must
be relevant to activities for which funds
are being requested. In addressing this
factor, applicants should provide, at a
minimum, the following and must cite
statistics and/or analyses contained in at
least one or more current data sources
that are sound and reliable.
(1) Describe the need(s); and
(2) Describe the importance of
meeting the proposed needs.
In rating this factor, HUD will
consider only current data that is
specific to the area where the proposed
project activities will be carried out.
Reliable sources of data may include
information that describes the need,
such as a need to have a building
renovated because it is 50 years old and
is deteriorating; a new computer lab has
been built, but the computers are
obsolete; a library has been expanded,
but the books are outdated, local/Tribal
crime statistics, Indian Housing Plans,
etc. When presenting data, include the
source and date of the information.
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3. Rating Factor 3: Soundness of
Approach (44 Points)
This factor addresses the quality and
effectiveness of the proposed work plan
and the commitment of the institution
to sustain the proposed activities.
a. (40 Points) Quality of Work Plan.
HUD will evaluate this subfactor based
on the extent to which an applicant
provides a clear detailed description of
the proposed project and anticipated
accomplishments.
(1) (35 Points) Specific Activities. The
work plan must describe all of the
proposed activities and major tasks
required to successfully implement the
proposed project. In addressing this
subfactor applicants must provide a
clear description of the proposed
activities and address the following:
(a) Describe all proposed activities in
measurable terms (e.g., fifty or more
students will be receiving computer
literacy training, the number of new
classes that will be taught as a result of
building a new structure);
(b) Describe the major tasks in
sequential order necessary to
successfully implement the proposed
project. Include the target completion
dates for the tasks (6 month intervals,
up to 36 months);
(c) List and describe how each activity
meets one of the following Community
Development Block Grant (CDBG)
Program national objectives:
• Benefit low- and moderate-income
persons;
• Aid in the prevention or
elimination of slums or blight; or
• Meet other community
development needs having a particular
urgency because existing conditions
pose a serious and immediate threat to
the health and welfare of the
community, and other financial
resources are not available to meet such
needs.
Criteria for determining whether an
activity addresses one or more objective
are provided at 24 CFR 570.208;
(d) Describe the measurable objectives
that will be realized as a result of
implementing the proposed project; and
(e) Identify the key staff, as described
in Factor 1, who will be responsible for
completing each task.
(2) (5 Points) Describe clearly how
each proposed project activity will:
(a) Address the needs identified in
Factor 2; and
(b) Relate to and not duplicate other
activities in the target area.
b. (2 Points) Involvement of the
Faculty and Students. The applicant
must describe how it proposes to
integrate the institution’s students and
faculty into the proposed project
activities.
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c. (2 Points) HUD Policy Priorities. To
earn points under this subfactor, HUD
requires applicants to undertake specific
activities that will assist the Department
in implementing its policy priorities
and that help the Department achieve its
goals and objectives in FY 2007, when
the majority of grant recipients will be
reporting programmatic results and
achievement. In addressing this
subfactor, HUD will evaluate the extent
to which a program will further and
support HUD priorities. The quality of
the responses provided to one or more
of HUD’s priorities will determine the
score an applicant can receive.
Applicants must describe how each
policy priority is addressed. Applicants
that just list a priority will receive no
points.
The total number of points an
applicant can receive under this
subfactor is two (2). Each policy priority
addressed has a point value of one (1)
point, with the exception of the policy
priority related to removal of regulatory
barriers to affordable housing, which
has a value of up to two (2) points. To
receive these two (2) points an applicant
must indicate how this priority is
addressed and submit the completed
questionnaire (HUD–27300) ‘‘HUD’s
Initiative on Removal of Regulatory
Barriers’’ found in the General Section
along with required documentation. It is
up to the applicant to determine which
of the policy priorities they elect to
address to receive the available two (2)
points.
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4. Rating Factor 4: Leveraging Resources
(9 Points)
This factor addresses the ability of the
applicant to secure resources that can be
combined with HUD’s grant funds to
achieve the program’s purpose.
HUD will consider the extent to
which the applicant established
partnerships with other entities to
secure additional resources to increase
the effectiveness of the proposed
program activities. Resources may
include funding or in-kind
contributions, such as services or
equipment, allocated for the purpose(s)
of the proposed project. Resources can
be provided by governmental entities
(e.g., Tribal, federal, and/or state
governments), public or private
nonprofit organizations, for-profit
private organizations, or other entities.
Overhead and other institutional costs
(e.g., salaries, indirect costs) that the
institution has waived can be counted.
Examples of potential sources for
outside assistance include:
• Tribal, federal, state, and local
governments.
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• Tribally Designated Housing
Entities.
• Local or national nonprofit
organizations.
• Banks and/or private businesses.
• Foundations.
• Faith-based and other communitybased organizations.
To address this factor, an applicant
must provide an outline in the
application and have on file written
commitment letters, memoranda of
understandings and/or agreements that
show the extent and firm commitment
of all proposed leveraged resources
(including any commitment of resources
from the applicant’s own institution)
that address the following information
for each leveraged resource/fund:
(1) The name of the organization and
the executive officer authorizing the
funds/goods and/or services (Only
applicable to the narrative section);
(2) The cash amount contributed or
dollar value of the in-kind goods and/
or services committed (If a dollar
amount and its use is not shown, the
funding will not be counted);
(3) A specific description of how each
contribution is to be used toward the
proposed activities;
(4) The date the contribution will be
made available and a statement that
describes the duration of the
contribution;
(5) Any terms or conditions affecting
the commitment, other than receipt of a
HUD Grant; and
(6) The signature of the appropriate
executive officer authorized to commit
the funds and/or goods and/or services.
(Only applicable to the written
documentation.) Please remember that
only items eligible for funding under
this program can be counted.
Commitment letters, memoranda of
understandings and/or agreements are
not required at the time of application
submission but must be on file.
Applicants selected for award will be
required to submit the signed
commitment letters, memoranda of
understandings and/or agreements
outlined in the application, within
twenty (20) calendar days after initial
contact from the Office of University
Partnerships (OUP). OUP will provide
specific instructions on how these
documents must be submitted at that
time. Letters, memoranda of
understanding, or agreements must be
submitted on the provider’s letterhead
and should be addressed to Sherone
Ivey, Acting Associate Deputy Assistant
Secretary for University Partnerships.
The date of the letter, memorandum of
understanding, or agreement from the
CEO of the provider organization must
be dated no earlier than nine months
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prior to this published NOFA. OUP will
provide specific instructions on how
these documents must be submitted
when contact is made with the
applicant. HUD will only request and
consider the resources/organizations
outlined in the application. If OUP does
not receive those documents in the
required format and allotted timeframe,
an applicant will not receive points
under this factor and the application
will be rated and ranked to address this
point change.
In scoring this factor, HUD will award
nine (9) points to an applicant that
provides properly documented
leveraging resources as listed in their
application that are 10 percent or more
of the amount requested under this
program; six (6) points to applicants that
provide properly documented
leveraging resources as listed that are 7–
9 percent of the amount requested under
this program; three (3) points to
applicants that provide properly
documented leveraging resources as
listed that are 4–6 percent of the amount
requested under this program; and zero
(0) points to applicants that provide
properly documented leveraging
resources as listed that are less than 4
percent of the amount requested or
resources are not properly documented.
5. Rating Factor 5: Achieving Results
and Program Evaluation (12 Points)
This factor reflects HUD’s goal to
embrace high standards of management
and accountability. It measures the
applicant’s commitment to assess their
performance to achieve the program’s
proposed objectives and goals.
Applicants are required to develop an
effective, quantifiable, outcome oriented
evaluation plan for measuring
performance and determining that
objectives and goals have been
achieved. The Logic Model is a
summary of the narrative statements
presented in Factors 1–4. Therefore, the
information submitted on the logic
model should be consistent with the
information contained in the narrative
statements.
‘‘Outcomes’’ are benefits accruing to
institutions of higher education during
or after participation in the TCUP
program. Applicants must clearly
identify the outcomes to be measured
and achieved. Examples of outcomes
include an increased number of campus
facilities (e.g., newly built or renovated),
an increased number of classroom
spaces available, or an increased student
enrollment and graduation rate.
In addition, applicants must establish
interim benchmarks and outputs that
lead to the ultimate achievement of
outcomes. ‘‘Outputs’’ are the direct
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HUD also reserves the right to reduce
the amount of funding requested in
order to fund as many highly ranked
applications as possible. Additionally, if
funds remain after funding the highest
ranked applications, HUD may fund
part of the next highest-ranking
application. If an applicant turns down
the award offer, HUD will make an
award to the next highest-ranking
application. If funds remain after all
selections have been made, the
remaining funds will be carried over to
the next funding cycle’s competition.
4. Corrections to Deficient
Applications. See the General Section.
B. Review and Selection Process
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products of the project ’s activities.
Examples of outputs are the number of
new facilities renovated, or the number
of new dormitories built. Outputs
should produce outcomes for the
project. At a minimum, an applicant
must address the following activities in
the evaluation plan:
a. Short-and-long term objectives to be
achieved;
b. Measurable impacts the grant will
have on the university or the target
population;
This information must be included
under this section on a HUD–96010,
Program Logic Model form. HUD has
developed a new approach to
completing this form. Please carefully
read the General Section for
instructions, training is available. (Form
HUD–96010 will be excluded from the
page count.) A narrative is not required.
However, if a narrative is provided,
those pages will be included in the page
count.
After all selections have been made,
HUD will notify all winning applicants
in writing. HUD may require winning
applicants to participate in additional
negotiations before receiving an official
award. For further discussion on this
matter, please refer to the General
Section.
1. Application Selection Process
Two types of reviews will be
conducted:
a. A threshold review to determine an
applicant’s basic eligibility; and
b. A technical review for all
applications that pass the threshold
review to rate and rank the application
based on the ‘‘Rating Factors’’ listed in
Section V.A. above.
Only those applications that pass the
threshold review will receive a
technical review and be rated and
ranked.
2. Rating Panels. To review and rate
applications, HUD may establish panels
that may include experts or consultants
not currently employed by HUD to
obtain certain expertise.
3. Ranking. HUD will fund
applications in rank order, until all
available program funds are awarded. In
order to be funded, an applicant must
receive a minimum score of 75 points
out of a possible 100 points to be
considered for funding for Factors 1
through 5. The RC/EZ/EC–II bonus
points described in the General Section
do not apply to this NOFA. If two or
more applications have the same
number of points, the application with
the most points for Factor 3 shall be
selected. If there is still a tie, the
application with the most points for
Factor 1 shall be selected. If there is still
a tie, the application with the most
points for Factor 2, 4, and then 5 shall
be selected in that order, until the tie is
broken. HUD reserves the right to select
out of rank order to provide for
geographic distribution of grantees.
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C. Anticipated Announcement and
Award Dates
Announcements of awards are
anticipated on or before September 30,
2006.
VI. Award Administration Information
A. Award Notice
B. Administrative and National Policy
Requirements
Refer to Section VI.B. of the General
Section.
1. Debriefing. The General Section
provides the procedures for requesting a
debriefing. All requests for debriefings
must be made in writing and submitted
within thirty (30) calendar days of
receipt of written notification to:
Sherone Ivey, Office of University
Partnerships, Robert C. Weaver Federal
Building, 451 Seventh Street, SW.,
Room 8106; Washington, DC 20410–
6000. Applicants may also write to Ms.
Ivey via e-mail at
Sherone_E._Ivey@hud.gov.
2. Administrative. Grants awarded
under this NOFA will be governed by
the provisions of 24 CFR part 84 (Grants
and Agreements with Institutions of
Higher Education, Hospitals and Other
Non-Profit Organizations), A–21 (Cost
Principles for Educational Institutions)
and A–133 (Audits of States, Local
Governments, and Non-Profit
Organizations). Applicants can access
the OMB circulars at the White House
Web site at https://www.whitehouse.gov/
omb/circulars/.
3. OMB Circulars and
Governmentwide Regulations
Applicable to Financial Assistance
Programs. The General Section provides
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discussion of OMB circulars and
governmentwide regulations.
4. Code of Conduct. See the General
Section for further discussion.
5. Procurement of Recovered
Materials. See the General Section for
further discussion.
6. Executive Order 13202,
Preservation of Open Competition and
Government Neutrality Toward
Government Contractors’ Labor
Relations of Federal and Federally
Funded Construction Projects. See the
General Section for further discussion if
applicable.
7. Executive Order 13166, Improving
Access to Services For Persons With
Limited English Proficiency (LEP). See
the General Section for further
discussion.
C. Reporting
All grant recipients under this NOFA
are required to submit quarterly
progress reports. The progress reports
shall consist of two components, a
narrative that must reflect the activities
undertaken during the reporting period
and a financial report that reflects costs
incurred by budget line item, as well as
a cumulative summary report during the
reporting period.
For each reporting period, as part of
the required report to HUD, grant
recipients must include a completed
Logic Model (HUD–96010), which
identifies output and outcome
achievements.
For FY2006, HUD is considering a
new concept for the Logic Model. The
new concept is a Return on Investment
(ROI) statement. HUD will be publishing
a separate notice on the ROI concept.
VII. Agency Contacts
Applicants may contact Sherone Ivey
at (202) 708–3061, extension 4200, or
Susan Brunson at (202) 708–3061,
extension 3852. Persons with speech or
hearing impairments may call the
Federal Information Relay Service TTY
at (800) 877–8339. Except for the ‘‘800’’
number, these numbers are not toll-free.
Applicants may also reach Ms. Ivey via
e-mail at Sherone_E._Ivey@hud.gov, and
Ms. Brunson at
Susan_S._Brunson@hud.gov.
VIII. Other
Paperwork Reduction Act
The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520) and
assigned OMB control number 2528–
0215. In accordance with the Paperwork
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Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 68 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, quarterly
and final report. The information will be
used for grantee selection and
monitoring the administration of funds.
Response to this request for information
is required in order to receive the
benefits to be derived.
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Appendix A—Application Checklist—
TCUP
This checklist identifies application
submission requirements. Applicants
are requested to use this checklist when
preparing an application to ensure
submission of all required elements.
Applicants submitting an electronic
application do not have to submit the
checklist. Applicants that receive a
waiver of the electronic application
submission requirement should include
a copy of the checklist in their
application.
Check off to ensure these items have
been included in the application:
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llSF–424 ‘‘Application For Federal
Assistance’’
llApplication Checklist (Applicants
that submit paper applications must
include the checklist in their
applications)
llAbstract (must include no more
than a two-page summary of the
proposed project)
Indicate the page number where each
of the Factors is located:
Narrative Statement Addressing the
Rating Factors.
The narrative section of an
application must not exceed 50 pages in
length (excluding forms, budget
narrative and abstract). This information
must be submitted on 81⁄2 by 11-inch
paper, double-spaced on one side of the
paper, with one-inch margins (from the
top, bottom, and left and right sides of
the documents) and printed in standard
Times New Roman 12-point font.
llFactor I
llFactor II
llFactor III
llFactor IV
llFactor V
llHUD–96010 Logic Model
Check off to ensure these items have
been included in the application:
Appendix
llBudget
llHUD 424–CB ‘‘Grant Application
Detailed Budget’’
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llBudget Narrative (No form
provided, but must be submitted for
the total three-year grant period.
Appendix B—All Required Forms
The following forms are required for
submission. All required forms are
contained in the electronic application
package.
llApplication for Federal Assistance
(SF–424);
llSurvey on Ensuring Equal
Opportunity for Applicants (SF–424
Supplement);
llDisclosure of Lobbying Activities
(SF-LLL); if applicable
llGrant Application Detailed Budget
(HUD–424–CB);
llAmerica’s Affordable Communities
Initiative (HUD–27300), if
applicable;
llApplicant/Recipient Disclosure/
Update Report (HUD–2880);
llAcknowledgement of Applicant
Receipt (Only applicants who
submit paper applications (HUD–
2993);
llClient Comments and Suggestions
(HUD–2994);
llYou Are Our Client Survey (HUD–
2994–A); and
llLogic Model (HUD–96010).
BILLING CODE 4210–01–P
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BILLING CODE 4210–01–C
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Fair Housing Initiatives Program
Overview Information:
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Fair Housing and Equal
Opportunity.
B. Funding Opportunity Title: Fair
Housing Initiatives Program (FHIP).
C. Announcement Type: Initial
Announcement.
D. Funding Opportunity Number: The
OMB Approval Number is: 2529–0033.
The Federal Register number for this
NOFA is: FR–5030–N–15.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): Private
Enforcement Initiative (PEI); Education
and Outreach Initiative (EOI) 14.408.
F. Dates: The application deadline
date shall be on or before May 17, 2006.
Applications must be received and
validated by Grants.gov no later than
11:59:59 p.m. on the application
deadline date. Please see the General
Section of the SuperNOFA (the General
Section) for information on electronic
deadline and timeliness requirements.
G. Optional, Additional Overview
Content Information
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1. Funding Breakdown
This year there are two initiatives,
Private Enforcement and Education and
Outreach Initiatives, and there are four
components under each: The following
is a breakdown of each Initiative:
(a) Private Enforcement Initiative
(PEI)
(1) Hurricane Katrina Enforcement
Component,
(2) General Component,
(3) Performance Based Funding
Component, and
(4) Subprime Lending Component.
(b) Education and Outreach Initiative
(EOI)
(1) General Component.
(2) Disability Component.
(3) Subprime Lending Component.
(4) Fair Housing Awareness
Component.
Please note that there are some new
components this year. These are the PEI
Enforcement and Subprime Lending
Components and the EOI Fair Housing
Awareness and Subprime Lending
Components. Please see the chart
located in this NOFA for information on
each of these new components.
2. Electronic Applications
For FY 2006, FHIP electronic
applications will be available on
www.Grants.gov/Find and https://
www.grants.gov/Apply. For further
instructions on electronic application
submission requirements using
Grants.gov, please read the General
Section.
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3. Fair Housing Initiatives Program
(FHIP) Funding
FHIP funds are used to increase
compliance with the Fair Housing Act
(the Act) and with substantially
equivalent State and local fair housing
laws. Approximately $18,100,000 in FY
2006 funds and any potential recapture
is allocated to two (2) initiatives as
follows:
a. Private Enforcement Initiative (PEI)
$13,900,000.
b. Education and Outreach Initiative
(EOI) $4,200,000.
4. Award Agreements
HUD expects to award a cost
reimbursable cooperative agreement or
grant agreement to each applicant
selected for award. Upon completion of
negotiations, HUD reserves the right to
use the funding instrument it
determines is most appropriate.
5. Eligible Applicants
Eligible applicants are Qualified Fair
Housing Enforcement Organizations
(QFHOs) and Fair Housing Enforcement
Organizations (FHOs), see 24 CFR
125.103; public or private, for-profit or
not-for-profit organizations or
institutions and other public or private
entities that are formulating or carrying
out programs to prevent or eliminate
discriminatory housing practices
(including entities that will be
established as a result of receiving an
award under this FHIP NOFA); agencies
of State or local governments; and
agencies that participate in the Fair
Housing Assistance Program (FHAP).
6. Private Enforcement Initiative—
Performance Based Funding Component
Applicants awarded funding under
the PEI—(PBFC) for FY 2006 will not be
eligible to submit applications for
additional FHIP funding for FY 2007
and FY 2008. Applicants awarded
funding under this component will be
eligible to apply for funding in FY 2009.
Applicants awarded PBFC funding in
FY 2005 are not eligible to submit
applications for additional FHIP
funding for FY 2006 and FY 2007.
7. Start Date
For planning purposes, assume a start
date no later than October 19, 2006.
Full Text of Announcement
I. Funding Opportunity Description
Authority. Section 561 of the Housing
and Community Development Act of
1987, as amended (42 U.S.C. 3616),
established the FHIP. The implementing
regulations are found at 24 CFR part
125. If you are interested in applying for
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funding under the FHIP, please review
carefully the General Section of the
SuperNOFA (hereafter, the General
Section), the FHIP Authorizing Statute
(Sec. 561 of the Housing and
Community Development Act of 1987,
as amended), and the FHIP Regulations
(24 CFR 125.103–501).
A. FHIP Initiatives and Components
The FHIP assists fair housing
activities that increase compliance with
the Act and with substantially
equivalent fair housing laws
administered by State and local
government agencies under the Fair
Housing Assistance Program (FHAP).
1. Private Enforcement Initiative (PEI)
This Initiative assists private, taxexempt fair housing enforcement
organizations in the investigation and
enforcement of alleged violations of the
Act and substantially equivalent State
and local fair housing laws. Under this
Initiative, there are four Components,
the General Component, the Subprime
Lending Component, the Hurricane
Katrina Enforcement Component, and
the Performance Based Funding
Component.
2. Education and Outreach Initiative
(EOI)
This Initiative assists organizations
that inform the public about their rights
and obligations under the Act and
substantially equivalent State and local
fair housing laws. Applications are
solicited for this Initiative under the
EOI-Regional/Local/Community-Based
Program (R/L/C–B)—in which activities
are conducted on a regional/local/
community-based level.
Applicants who apply under EOI R/L/
C–B may apply under one or more of the
following Components, as follows: EOI
General Component, EOI Disability
Component. EOI Subprime Lending
Component, and EOI Fair Housing
Awareness Component.
All applications submitted under EOI
are required to describe a complaint
referral process that results in referrals
of fair housing complaints to HUD or
Fair Housing Assistance Program
(FHAP) substantially equivalent
agencies. If funded, you will be required
to develop your complaint referral
process.
B. Other
1. Program Definitions. The
definitions that apply to this FHIP
section of the NOFA are as follows:
a. Broad-based proposals are those
that include activities that are not
limited to a single fair housing issue but
instead, cover multiple issues related to
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housing discrimination covered under
the Act, such as: rental, sales, and
financing of housing. (See also Full
Service Projects below).
b. Complainant means the person,
including the Assistant Secretary for
Fair Housing and Equal Opportunity at
HUD, who files a complaint under
Section 810 of the Fair Housing Act.
c. Disability Advocacy Groups means
organizations that traditionally have
provided for the civil rights of persons
with disabilities. This would include
organizations such as Independent
Living Centers and cross-disability legal
services groups. Such organizations
must be experienced in providing
services to persons with a broad range
of disabilities, including physical,
cognitive, and psychiatric/mental
disabilities. Such organizations must
demonstrate actual involvement of
persons with disabilities throughout
their activities, including on staff and
board levels.
d. Enforcement proposals are
potential complaints under the Act that
are timely, jurisdictional, and welldeveloped, that could reasonably be
expected to become enforcement actions
if an impartial investigation found
evidence supporting the allegations and
the case proceeded to a resolution with
HUD or FHAP agency involvement.
e. Fair Housing Act means Title VIII
of the Civil Rights Act of 1968 as
amended by the Fair Housing
Amendments Act of 1988 (42 U.S.C.
3600–3620).
f. Fair Housing Assistance Program
(FHAP) agencies mean State and local
fair housing enforcement government
agencies that receive FHAP funds
because they administer laws deemed
substantially equivalent to the Act, as
described in 24 CFR 115.
g. Fair Housing Enforcement
Organization (FHO) means an
organization engaged in fair housing
activities as defined in 24 CFR 125.103.
h. Full-service projects must include
the following enforcement-related
activities in the project application:
Interviewing potential victims of
discrimination; analyzing housingrelated issues; taking complaints;
testing; evaluating testing results;
conducting preliminary investigations;
conducting mediation; enforcing
meritorious claims through litigation or
referral to administrative enforcement
agencies; and disseminating information
about fair housing laws.
i. Grassroots organizations (See
General Section).
j. Jurisdiction means that the
complaint must be timely filed; the
complainant must have standing; the
respondent and the dwelling involved
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(where the complaint involves a
provision or denial of a dwelling) must
be covered by the Act; and the subject
matter and the basis of the alleged
discrimination, must constitute illegal
practices as defined by the Act.
k. Meritorious claims means
enforcement activities by an
organization that resulted in lawsuits,
consent decrees, legal settlements, HUD
or substantially equivalent agency
(under 25 CFR 115.6) conciliations and
organization initiated settlements with
the outcome of monetary awards for
compensatory and/or punitive damages
to plaintiffs or complaining parties, or
other affirmative relief, including the
provision of housing (24 CFR 125.103).
l. Mortgages with unacceptable terms
or conditions or resulting from
unacceptable practices means a
mortgage or a group or category of
mortgages with one or more of the terms
and conditions as specified under 24
CFR part 81.2.
m. Operating budget means an
organization’s total planned budget
expenditures from all sources, including
the value of in-kind and monetary
contributions, in the period for which
funding is requested.
n. Qualified Fair Housing
Enforcement Organization (QFHO)
means an organization engaged in fair
housing activities as defined in 24 CFR
125.103.
o. Regional/Local/Community-Based
Activities are defined at 24 CFR
125.301(a) and (d).
p. Rural Areas means the following:
(1) A non-urban place having fewer
than 2,500 inhabitants (within or
outside of the metropolitan areas).
(2) A county or parish with an urban
population of 20,000 inhabitants or less.
(3) Territory, including its persons
and housing units, in rural portions of
‘‘extended cities.’’ The Census Bureau
identifies the rural portions of extended
cities.
(4) Open country that is not part of or
associated with an urban area. The
USDA describes ‘‘open country’’ as a
site separated by open space from any
adjacent densely populated urban area.
Open space includes undeveloped land,
agricultural land, or sparsely settled
areas, but does not include physical
barriers (such as rivers and canals),
public parks, commercial and industrial
developments, small areas reserved for
recreational purposes, or open space set
aside for future development.
(5) Any place with a population not
in excess of 20,000 and not located in
a Metropolitan Statistical Area.
q. Traditional Civil Rights
Organizations mean non-profit
organizations or institutions and/or
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private entities with a history and
primary mission of securing Federal
civil rights protection for groups and
individuals protected under the Act or
substantially equivalent State or local
laws and that are engaged in programs
to reduce discriminatory housing
practices.
r. Underserved Areas mean
jurisdictions where there are no Fair
Housing Initiatives Program or Fair
Housing Assistance Program agencies
and where either no public or private
fair housing enforcement organizations
exist or the jurisdiction is not
sufficiently served by one or more
public or private enforcement fair
housing organizations and there is a
need for service.
s. Underserved Populations mean
groups of individuals who fall within
one or more of the categories protected
under the Act or who are also:
(1) Of an immigrant population
(especially racial and ethnic minorities
who are not English-speaking or limited
English proficient);
(2) In rural populations,
(3) The homeless,
(4) Persons with disabilities who can
be historically documented to have been
subject to discriminatory practices not
having been the focus of Federal, State
or local fair housing enforcement efforts,
and
(5) Areas that are heavily impacted
with minorities and there is inadequate
protection and ability to provide service
from the State or local government or
private fair housing organizations.
II. Award Information
For Fiscal Year 2006, $20,000,000 is
appropriated for the Fair Housing
Initiatives Program (FHIP). This
appropriated amount may be
supplemented by recaptured funds. Of
this amount, approximately $18,100,000
is being made available on a competitive
basis to eligible organizations
responding to this FHIP NOFA. See
chart for a breakdown by Initiative/
Component.
A. Award Instrument
The type of funding instrument HUD
may offer a successful applicant which
sets forth the relationship between HUD
and the grantee will be a grant or
cooperative agreement, where the
principal purpose is the transfer of
funds, property, services, or anything of
value to the applicant to accomplish a
public purpose. The agreement will
identify the eligible activities to be
undertaken, financial controls, and
special conditions, including sanctions
for violations of the agreement. HUD
will determine the type of instrument
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Initiative/Component
Allocation
amount
available
by: Conducting quarterly reviews and
approval of all proposed deliverables
documented in the applicant’s Work
Plan or Statement of Work (SOW), and
determining whether the agency meets
all certification and assurance
requirements. HUD will conduct this
performance assessment, in part, by
using the Logic Model submitted by the
applicant and approved by HUD in the
award agreement (rating Factor 5). If
upon completion of this assessment by
the Government Technical
Representative (GTR) a determination is
made that the quarterly requirements
have not been met, the grantee will be
obligated to provide additional
information or make modifications to its
work plan and activities, as necessary,
in a timeframe to be established by the
GTR.
Applicant eligibility
under which the award will be made
and monitor progress to ensure that the
grantee has achieved the objectives set
out in the agreement. Failure to meet
such objectives may be the basis for
HUD determining the agreement to be in
default and exercising available
sanctions, including suspension,
termination, and/or the recapture of
funds. Also, HUD may refer violations
or suspected violations to enforcement
offices within HUD, the Department of
Justice, or other enforcement
authorities.
If awarded as a Cooperative
Agreement, HUD will also exercise the
right to have substantial involvement
Award caps
Applicant eligible
activities
Eligible activities include:
(1) Complaint intake of
allegations of housing
discrimination, testing
evaluating testing results, or providing other
investigative and complaint support for administrative and judicial
enforcement of fair
housing laws: (2) Investigation of individual
complaints and systemic housing discrimination for further enforcement processing
by HUD through testing
and other investigative
methods; (3) Mediation
or other voluntary resolution of allegations of
fair housing discrimination after a complaint
has been filed; and (4)
litigating fair housing
cases including procuring expert witnesses.
See PEI above.
Project period
B. Project Starting Period
For planning purposes, assume a start
date no later than October 19, 2006.
III. Eligibility Information
A. Eligible Applicants and Activities
The following chart details each FHIP
Initiative/Component and the
approximate Funding Available along
with Eligible Applicants and Activities:
$5,100,000
Fair Housing Enforcement Organizations
(FHOs) with at least
one year of experience
in complaint intake,
complaint investigation,
testing for fair housing
violations, and meritorious claims in the
two years prior to the
filing of the application
(24 CFR 125.401(b)(2)
and Qualified Fair
Housing Enforcement
Organizations (QFHOs)
with at least two years
of enforcement related
experience as noted
above, and meritorious
claims in the three
years prior to filing this
application (24 CFR
125.103).
12–18
months
$275,000 .........................
Private Enforcement Initiative (PEI) Performance
Based Funding Component Assists private,
tax-exempt fair housing
enforcement organizations in the investigation
and enforcement of alleged violations of the
Fair Housing Act and
substantially equivalent
State and local fair
housing laws.
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Private Enforcement Initiative (PEI) General Component: Assists private,
tax-exempt fair housing
enforcement organizations in the investigation
and enforcement of alleged violations of the
Fair Housing Act and
substantially equivalent
State and local fair
housing laws.
$8,100,000
QFHOs and FHOs (with
at least one year of enforcement related experience) who have received excellent performance reviews for
FHIP PEI awards made
in any two FY’s beginning with FY 2002
through FY 2004; and
have received a minimum score of 95 on
the most recent of the
2 performance reviews
from their Government
Technical Representative.
36 months
$275,000 per year for a
three-year duration,
based upon appropriations. Eligible PBFC
applicants must receive
a minimum score of 95
from the FY ’06 Technical Evaluation Panel
(TEP) to be considered
for funding.
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Initiative/Component
Private Enforcement Initiative Hurricane Katrina
Enforcement Component. Applicants must
undertake fair housing
enforcement activities in
one of the Hurricane
Katrina impacted areas
in the states of Louisiana, Mississippi, Alabama, or Texas, or as a
result of displacement
of persons from areas
impacted by Hurricane
Katrina.
Private Enforcement Initiative (PEI) Subprime
Lending Component.
This component provides funds to assist,
private fair-lending enforcement efforts to address discriminatory
terms or conditions or
resulting from discriminatory practices in the
subprime mortgage
market. Applicant must
demonstrate experience
conducting fair-lending
enforcement in the
subprime market. Such
experience includes:
pending complaints, investigations, or litigation
alleging discriminatory,
subprime lending practices; past litigation alleging subprime lending
discrimination; fair-lending testing of subprime
lenders; published reports that include analysis the applicant has
done on racial patterns
in subprime lending;
and any past or pending investigation or litigation involving discriminatory, predatory
lending. Applicant may
use this funding for:
steering to subprime
loans, providing different terms based on
prohibited bases, as
well as assist with
pending complaints, investigation, or litigation
alleging discriminatory
subprime or predatory
lending; or support new
fair lending investigations or litigation of discrimination into discriminatory predatory lending, or other discrimination in the subprime
market.
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18:12 Mar 07, 2006
Allocation
amount
available
Applicant eligibility
Project period
Award caps
Applicant eligible
activities
$300,000
See PEI above ................
12–18
months
$100,000 .........................
See PEI above.
$400,000
See PEI above ................
12–18
months
$50,000 ...........................
See PEI above.
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Initiative/Component
Allocation
amount
available
Applicant eligibility
Project period
Award caps
Applicant eligible
activities
Eligible activities include
but are not limited to
conducting educational
symposia or other training, developing innovative fair housing activities or materials into
languages applicable to
your community
throughout your project
area; providing outreach and information
on fair housing through
printed and electronic
media; developing fair
housing curricula; providing outreach to persons with disabilities
and their support organizations and service
housing providers; and
working with homeless
activists or persons.
For a list of Eligible Activities See EOI above.
$4,200,000
QFHOs FHOs, public or
private for profit or not
for profit organizations
or institutions, or other
public or private entities
that carry out programs
to prevent or eliminate
discriminatory housing
practices. This includes
agencies of State or
local governments and
agencies that participate in the Fair Housing Assistance Program
(FHAP). See FHIP
NOFA-Eligibility Information.
12–18
months
$100,000 .........................
EOI General Component
Open to applicants for
all other fair housing
education and outreach
activities.
EOI Disability Component
Applicants must emphasize the fair housing
needs of persons with
disabilities, so that persons with disabilities,
housing providers and
the general public better
understand the rights
and obligations under
the Fair Housing Act
and fully appreciate
housing discrimination
that persons with disabilities may encounter.
The funded education
and outreach activities
must be provided to all
persons protected
under the Fair Housing
Act.
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Education and Outreach
Initiative (EOI)—. EOI
Regional, Local and
Community Based Program: Assists organizations that inform the
public about rights and
obligations under the
Fair Housing Act and
substantially equivalent
State and local fair
housing laws. Applicants must develop a
complaint referral process so that funded activities will result in referrals to HUD of fair
housing complaints and
other possible discriminatory housing practices.
$2,700,000
Same as EOI above ........
12–18
months
$100,000 .........................
$900,000
Same as EOI above ........
12–18
months
$100,000 .........................
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EOI Subprime Lending
Component Applicants
must plan public events
at a regional/local level
which educates consumers on fair housing,
financial literacy, credit
management and how
to avoid high-cost loans
and abusive lending
practices that violate
the Fair Housing Act.
Applicants must address in their project:
(1) abusive lending
practices and the fair
housing implications to
minority neighborhoods;
and (2) legal approaches to confronting
abusive lending practices, especially those
linked to racial targeting
and other potential violations of applicable fair
housing laws.
EOI Fair Housing Awareness Component Applicants must undertake
fair housing education
and outreach to individuals impacted by Hurricane Katrina Applicants
must develop a methodology for educating persons about their fair
housing rights under the
Act in areas impacted
by Hurricane Katrina in
the states of Louisiana,
Mississippi, Alabama,
and Texas or as a result of displacement of
persons.
Allocation
amount
available
Applicant eligibility
18:12 Mar 07, 2006
Award caps
Applicant eligible
activities
$300,000
Same as EOI above. Applicants must have at
least three years experience in planning public conferences at the
community level.
12–18
months
$50,000 ...........................
See above.
$300,000
Same as EOI above ........
12–18
months
$100,000 .........................
See above.
Eligibility of Successor Organizations
for PEI. HUD recognizes that QFHOs
and FHOs may merge with each other or
other organizations. The merger of a
QFHO or an FHO with a new
organization, that has a separate
Employer Identification Number (EIN),
does not confer QFHO or FHO status
upon the successor. To determine
whether the successor organization
meets the eligibility requirements for
this Initiative, HUD will look at the
enforcement-related experience of the
successor organization (based upon the
successor organization’s EIN). The
successor organization is not eligible to
apply under this Initiative unless it
establishes in its application that it is a
private, tax-exempt organization with
the requisite two years of enforcement
related experience for a QFHO or one
year experience for an FHO.
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Administrative Costs
C. Other
Eligible administrative costs include
leases for office space, under the
following conditions:
(1) The lease must be for existing
facilities not requiring rehabilitation or
construction;
(2) No repairs or renovations of the
property may be undertaken with
Federal funds; and
(3) Properties in the Coastal Barrier
Resource System designated under the
Coastal Barrier Resources Act (16 U.S.C.
3501) cannot be leased with Federal
funds.
B. Cost Sharing or Matching. No
matching funds are required for the
Education and Outreach or Private
Enforcement Initiatives.
1. Threshold Requirements
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Program Requirements for All
Initiatives. In addition to the civil rights
and other threshold requirements found
in the General Section, FHIP program
applications must also meet the
following requirements:
a. Protected Classes. All FHIP-funded
projects must address housing
discrimination based upon race, color,
religion, sex, disability, familial status,
or national origin. All services and
activities must be available to the
protected class members.
b. Tax Exempt Status. Applicants for
the PEI Initiative are ineligible for
funding if they are not a 501(c)(3) taxexempt organization as determined by
the Internal Revenue Service (IRS) prior
to the application deadline date.
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c. Name Check Review. See the
General Section.
d. Poor Performance. All applicants
are ineligible for funding if they are a
previous FHIP grantee that has received
a ‘‘Poor’’ performance rating for its most
recent performance rating from its
Government Technical Representative
(GTR). HUD will assess performance
ratings for applicants who have received
FHIP funding in FY 2002 through FY
2004. If the applicant has received a
‘‘poor’’ performance rating for its most
recent performance rating from its GTR,
its application is ineligible for the FY
2006 competition. An applicant that
does not agree with its determination of
ineligibility for the FY 2006 competition
because of ‘‘poor’’ performance must
address to HUD’s satisfaction the factors
resulting in the ‘‘poor’’ performance
rating before the FHIP application
deadline date. If the ‘‘poor’’
performance rating is not resolved to the
Department’s satisfaction before the
application deadline date, the
application is ineligible for the FY 2006
FHIP NOFA competition. HUD is
interested in improving the performance
level of all grantees; therefore,
applicants who are deemed ineligible
because of a ‘‘poor’’ performance rating
have the right and are encouraged to
seek technical assistance from HUD to
correct their performance in order to be
eligible for future NOFA competition.
Applicants who have received a ‘‘poor’’
performance prior to FY 2003 must
provide written documentation that
they have implemented remedies to
address those issues and concerns that
contributed to a ‘‘poor’’ performance
rating. This written documentation
should be an addendum to the abstract.
e. Suits Against the United States. An
application is ineligible for funding if,
as a current or past recipient of FHIP
funds, the organization used any funds
provided by HUD for the payment of
expenses in connection with litigation
against the United States (24 CFR
125.104(f)).
f. Other Litigation. An application is
ineligible for funding if the organization
used funds provided by HUD under this
Program to settle a claim, satisfy a
judgment, or fulfill a court order in any
defensive litigation (24 CFR 125.104).
g. Maximum award. Applicants are
ineligible for funding if they request
funding in excess of the maximum
allowed under the Initiative or
Component for which they are applying.
In addition, inconsistencies in the
amount requested and/or
miscalculations that result in amounts
over the maximum award will be
considered excessive; therefore the
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application will be considered
ineligible.
h. Dun and Bradstreet Numbering
System (DUNS) Numbering
Requirement. Refer to General Section
for information regarding the DUNS
requirement. You will need a DUNS
number to complete your electronic
application as it is a mandatory field on
the electronic application. The
Grants.gov registration also requires use
of the DUNS number.
i. Majority of Eligible Activities.
Greater than 50 percent of the activities
and costs within the Statement of Work
(SOW) and budget are fair housing
related activities.
j. Fair Housing Assistance Program
(FHAP). FHAP agencies who are under
a suspension based on agency
performance, as designated under 24
CFR Part 115.211(b) at time of
application are ineligible for funding.
k. Minimum TEP Score. Applicants
must receive a minimum TEP score of
75 to be considered for funding.
l. Application Preference. Applicants
submitting multiple applications must
state their preference for funding in the
Abstract as applicants can only receive
one award under the FHIP.
m. Independence of Awards. The
application submitted must be
independent and capable of being
implemented without reliance on the
selection of other applications.
n. Training funds. The proposed
budget must set aside funds to
participate in HUD mandatory
sponsored or approved training in the
amount of $7,000 for EOI and PEI
components; and $7000 annually for a
36-month duration for PBFC.
Do not include amounts over the
$7,000 (as appropriate) for the training
set-aside in this category. If applicants
do not include these funds in the budget
and are selected for an award, HUD will
modify the budget, reallocating the
appropriate amount for training.
o. Accessibility Requirements. All
activities, facilities, and materials
funded by this program must be
accessible and visitable to persons with
disabilities (24 CFR 8.2, 8.4, 8.6, and
8.54).
p. Fair Housing Act. HUD expects
applicants to address housing
discrimination covered under the Act.
HUD has determined there is a need to
ensure equal opportunity and access to
housing in communities across the
nation.
q. Research Activities. Applicants are
ineligible for funding if between 90–
100% of their project is aimed at
research.
r. Limited English Proficient (LEP).
Applicants obtaining an award from
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HUD must provide access to program
benefits and information to LEP
individuals through translation and
interpretive services in accordance with
HUD’s published LEP Guidance.
s. OMB Circular. For-profit awardees
are not allowed to earn a profit and
must adhere to OMB Circular A–133.
t. Single Audit Requirement. All
applicants who have expended
$500,000 or more in Federal financial
assistance in a single year (this can be
a program or fiscal year) must be
audited in accordance with the OMB–
A133 requirements as established in 24
CFR 84 and 85.
u. Reimbursement Requirement. All
PEI grantees are required to reimburse
the Federal government for the amount
of the grant from all settlements,
conciliations, and agreements obtained
as a result of the use of FHIP funds. As
an alternative to returning these funds
to HUD, grantees may choose to use the
funds as program income to further fair
housing activities. However, the use of
funds for this purpose must be preapproved in writing by the Government
Technical Representative assigned to
the grant.
2. Other Program Requirements by
Initiative
a. Under the PBFC, applicants must
receive a minimum FY 2006 TEP score
of 95 to be considered for funding.
b. Under the PEI Subprime Lending
Component, applicants must
demonstrate experience conducting fairlending enforcement in the subprime
market. Such experience includes:
pending complaints, investigations, or
litigation alleging discriminatory,
subprime lending practices; past
litigation alleging subprime lending
discrimination; fair-lending testing of
subprime lenders; published reports
that include analysis the applicant has
done on racial and ethnic patterns in
subprime lending; and any past or
pending investigation or litigation
involving discriminatory, predatory
lending. Applicant may use this funding
to: assist with pending complaints,
investigation, or litigation alleging
discriminatory sub-prime or predatory
lending; or support new fair lending
investigations or litigation of
discriminatory predatory lending, or
other discrimination in the subprime
market.
c. Under the PEI Hurricane Katrina
Enforcement Component, applicants
must undertake fair housing
enforcement activities in areas impacted
by Hurricane Katrina in the states of
Louisiana, Mississippi, Alabama, or
Texas; or areas which received
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receive customer support from
Grants.gov by calling their help line at
(800) 518–GRANTS or sending an email to support@grants.gov. If you do
not have internet access and you need
to obtain a copy of the NOFA you can
contact HUD’s NOFA Information
Center toll-free at (800) HUD–8929.
Persons with hearing or speech
impairments may also call toll-free at
(800) HUD–2209.
B. Content and Form of Application
Submission. All applicants must read
and adhere to Initiative-specific
information. Applicants are encouraged
to review the chart entitled ‘‘Summary
of Initiatives/Components.’’ To submit
documents using the facsimile method,
see the General Section for specific
procedures governing facsimile
submission.
2. For All Applicants. The maximum
narrative page requirement is ten (10)
pages per factor. The narrative pages
must be double-spaced. This includes
all narrative text, titles and headings.
(However, you may single space
footnotes, quotations, references,
captions, charts, forms, tables, figures
and graphs). You are required to use 12point type size. You must respond fully
to each factor to obtain maximum
points. Failure to provide narrative
responses to all factors other than factor
five or omitting requested information
will result in less than the maximum
points available for the given rating
factor or sub-factor. Failure to provide
double-spaced, 12-point type size
narrative responses will result in five
points being deducted from your overall
score (one point per factor).
C. Submission Dates and Times.
Applications must be received and
validated by https://www.grants.gov no
later than 11:59.59 p.m. eastern time on
the application deadline date to be
considered timely filed. Grants.gov will
reject applications that do not meet the
deadline requirement. See the General
Section for further details.
The chart below gives a brief
description of all items to be included
within the application:
statement. HUD will be publishing a
separate notice on the ROI concept.
4. Testing Requirements for PEI
applicants. All applicants that propose
testing must review the FHIP Regulation
at 24 CFR Part 125.
a. Review and Approval of Testing
Methodology. If your application
proposes testing, other than rental
housing testing, HUD may require
copies of the following documents to be
reviewed and approved by HUD prior to
your carrying out the testing activities.
(1) The testing methodology to be
used;
(2) The training materials to be
provided for testing; and
(3) Other forms, protocols, cover
letters, etc., used in the conduct of
testing and reporting of results.
If HUD has approved your testing
methodology for FY 2004 and FY 2005,
there is no need to submit your testing
methodology, unless you are revising
the methodology that was approved by
HUD. If changes are being made, or you
have not had your testing methodology
previously approved by HUD, you must
submit information in your application.
b. Retainer Fees. FHIP recipients are
under specific restrictions regarding
establishment of retainer agreements
and recovery of legal fees from HUD
funded cases. Data on fees, settlements
and verdicts are public record and must
be provided to HUD on an annual basis.
Either the grantee or the individual(s)
on whose behalf any action is filed
cannot waive these provisions. For
additional information on these
provisions, please see https://
www.hud.gov/offices/fheo/library/
index.cfm—Guidance.
Complete application package contains
application
Required content
Required form or format
Cover sheet ........................................................
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displaced persons as a result of
Hurricane Katrina.
d. Under the EOI Fair Housing
Awareness Component, applicants must
have three (3) years of experience and
knowledge working with the local and
State governments, social service and
financial agencies within each of the
states. HUD is particularly interested in
applicants that present a plan to
conduct outreach and address the needs
of persons displaced as a result of
Hurricane Katrina. The EOI plan can
cover persons displaced within a state
or persons that were displaced to a state.
e. Under the EOI Subprime Lending
Component, applicants must have at
least three years experience in planning
public conferences at the community
level.
3. Performance Measures and
Products. For all Initiatives and
Components. Applicants must submit a
Logic Model (Form HUD 96010), which
provides outputs and outcomes in their
application. Applicants are also to
identify the tools they will use to
identify program progress against their
proposed outputs and outcomes. See
reporting requirements for reporting
using the Logic Model and the
frequency of the reporting. The form is
located in the Instruction Download at
https://www.Grants.gov/Apply for the
FHIP program. The eLogic Model form
is a Microsoft Excel TM form, which
provides a drop down list from which
you select the responses that best fit
your proposed program of activities/
outputs and outcomes. The form, in
HTML fillable format and a text Logic
Model Master file, is available on HUD’s
Web site at https://www.hud.gov/offices/
adm/grants/fundsavail.cfm for
applicants that do not have access to
Microsoft Excel TM. Training will be
provided by satellite broadcast and
webcast. The training materials and
schedule will be available at the above
HUD website. Applicants should check
the site for dates and times for HUD
training on the Logic Model.
For FY 2006, HUD is considering a
new concept for the Logic Model. The
new concept is a Return on Investment
(per required form) ...........................................
Survey for Ensuring Equal Opportunity for Applicants.
Budget information .............................................
Disclosure of Lobbying Activities .......................
Applicant-Recipient Disclosure Update Report
Certification of Consistency with RC/EZ/EC–IIs
Strategic Plan.
Program Outcome Logic Model .........................
(per required form) ...........................................
Form SF–424, available from (General Section).
SF–424 Supplement.
(per
(per
(per
(per
Form SF–424CB and SF–424CBW).
SF–LLL, if applicable.
HUD–2880.
HUD–2990.
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IV. Application and Submission
Information
A. Requesting an Application
Package. This section describes how
you may obtain application forms and
additional information about the FHIP
program. Copies of the published
General Section, FHIP NOFA and
application forms may be downloaded
from the Grants.gov Web site at https://
www.grants.gov or if you have difficulty
accessing the information you may
required
required
required
required
form)
form)
form)
form)
...........................................
...........................................
...........................................
...........................................
(per required form) ...........................................
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Complete application package contains
application
Required content
Required form or format
Race and Ethnic Data Reporting Form .............
America’s Affordable Communities Initiative .....
Narrative .............................................................
(per required form) ...........................................
(per required form) ...........................................
Described in Section IV.B. of this announcement.
Third parties’ affirmations of amounts of their
commitments.
Written documentation that performance
issues and concerns have been cured.
Short summary of project activities, areas of
concentration and persons to be served.
Preference for funding.
HUD–27061.
HUD–27300.
Format described in Section IV.B of this announcement.
No specific form or format.
subcontractor activities amount to more
than 10 percent of your total activities,
you must submit a separate budget for
each subcontractor. Failure to include a
separate budget will result in lower
points being assessed to your
application.
a. Number and expertise of staff (this
includes subcontractors and
consultants). (5) Points for current FHIP
grantees; (10) Points for New
Applicants. You must complete a
summary of staff expertise that will
show sufficient, qualified staff who will
be available to complete the proposed
activities. This summary should
include: Names of staff person(s), time
each will spend on project, years of fair
housing/civil rights experience for each
person, titles of staff persons, and a brief
paragraph on each staff member which
outlines his or her experience. Do not
´
´
include resumes, or other documents.
Those that submit resumes or other
lengthy documents on staff experience
will have points deducted from their
application based on exceeding the ten
page submission requirement.
To receive maximum points, your
day-to-day program manager must
devote a minimum of 75% of his/her
time to the project, and this individual
must be stationed in the metropolitan
area where the project will be carried
out. For day-to-day managers who do
not have at least 75% of their time
devoted to the project, no points will be
awarded under this sub-factor. For
example, if the Executive Director is
responsible for managing the overall
program administrative activities, the
application should reflect the Executive
Director’s time as 75%. You may not
designate more than one person to fit
this 75% criterion. Your application
must also clearly identify those persons
that are on staff at the time this
application is submitted and those
persons who will be assigned at a later
date and indicate whether the staff
person is assigned to work full-time or
part-time (if part-time, indicate the
percentage of time each person is
assigned to the project).
b. Organizational experience. (10)
Points for current FHIP grantees; (15)
Points for new applicants. In responding
to this sub-factor, you, the applicant,
must show that your organization has:
(1) Conducted a past project or
projects similar in scope and complexity
to the project proposed in this
application (whether FHIP-funded or
not), or
(2) Engaged in activities that, although
not similar, are readily transferable to
the proposed project.
(3) If you are an existing FHIP grantee,
you must provide details about the
progress and outcomes of your previous
grant.
(4) You must provide a listing of all
affiliate and/or subsidiary organizations,
and identify which of these
organizations will assist you in the
development and/or implementation of
any portion of your proposed FY2006
FHIP funded project. If you do not have
any affiliate or subsidiaries, you should
state this in your application.
EOI applicants must show that they
have engaged in projects that are
Regional/Local/Community based.
Experience will be judged in terms of
recent, relevant and successful
experience of your staff to undertake
eligible activities. In rating this factor,
HUD will consider experience within
the last three years to be recent,
experience pertaining to the specific
activities to be relevant, and experience
producing measurable accomplishments
to be successful. The more recent the
experience and the more experience
your own staff members who work on
the project have in successfully
conducting and completing similar
activities, the greater the number of
points you will receive for this rating
factor.
(a) If you are applying for funding
under PEI, you must provide the
following information when responding
to this sub-factor:
(i) If you propose to conduct testing
(other than rental or accessibility
Letters from third parties contributing to cost
sharing.
Addendum to Abstract—Correction of Poor
Performance (as appropriate).
Project Abstract ..................................................
D. Intergovernmental Review.
Intergovernmental Review is not
applicable to this program.
E. Funding Restrictions. PEI
Limitations for Education & Outreach—
There is a 10% limit on the amount of
education and outreach related
activities that can be funded in an
enforcement award. If you exceed the
limit, points will be deducted in the
rating process and funds will be
adjusted to maintain the required
limitation.
F. Other Submission Requirements.
Electronic delivery via https://
www.grants.gov/Apply is HUD’s
required method for application
submission. Applicants interested in
applying for FHIP funding must submit
their applications electronically or
request a waiver from the Assistant
Secretary of FHEO. The request must
state the basis for the waiver request.
HUD’s regulation on waivers, found in
24 CFR part 5, states that waivers can be
granted for cause. Waiver requests must
be submitted at least 20 days prior to the
application deadline date. If you receive
a waiver of the electronic application
submission requirement, your
application must be received by HUD no
later than 11:59:59 p.m. on the
application deadline date. See the
General Section for detailed instructions
on how to submit applications using
Grants.gov and the requirements and
instructions for submitting a waiver
request.
V. Application Review Information
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A. Criteria for PEI and EOI Applications
1. Rating Factor 1: Capacity of Applicant
and Relevant Organizational Experience
(25 Points)
You must describe staff expertise and
your organization’s ability to complete
the proposed activities within the grant
period.
In General. You must describe your
staffing plan and the extent to which
you plan to add staff (employees) or
contractors. If your application proposes
using subcontractors and these
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testing), provide a brief narrative that
documents that you have conducted
successful testing in those areas.
(ii) Discuss your compliance with the
requirement to either reimburse the
Federal government for compensation
received from FHIP-funded enforcement
activities or use the compensation as
program income to further fair housing
activities. If you have not reimbursed
the Federal government or used the
funds as program income to further fair
housing activities, explain why you
have not. Also, state whether you
reported to HUD any likely
compensation that may result in such
reimbursement or use for furthering fair
housing. Two (2) points will be
deducted for this sub-factor if you have
not complied with the requirement.
(iii) If you are submitting an
application under the PEI Hurricane
Katrina Enforcement Component, you
must show that activities will be
undertaken in one of the areas impacted
by Hurricane Katrina in the states of
Louisiana, Alabama, Mississippi, or
Texas or in areas impacted by the
displacement of persons as a result of
Hurricane Katrina.
(iv) If you are submitting an
application under the PEI Subprime
Lending Component, you must
demonstrate experience in conducting
fair-lending enforcement in the
subprime market. Such experience
includes: pending complaints,
investigations, or litigation alleging
discriminatory, subprime lending
practices; past litigation alleging
subprime lending discrimination; fairlending testing of subprime lenders;
published reports that include analysis
the applicant has done on racial
patterns in subprime lending; and any
past or pending investigation or
litigation involving discriminatory,
predatory lending. Applicant may use
this funding for: steering to subprime
loans, providing different terms based
on prohibited bases, as well as assist
with pending complaints, investigation,
or litigation alleging discriminatory
subprime or predatory lending; or
support new fair lending investigations
or litigation of discriminatory predatory
lending, or other discrimination in the
subprime market.
(v) If you are submitting an
application under the EOI Subprime
Lending Component, you must show
that you have the ability to plan public
events at a regional/local level which
educates consumers on fair housing,
financial literacy, credit management
and how to avoid high-cost loans and
abusive lending practices that violate
the Fair Housing Act. Applicants must
address in their project: (1) abusive
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lending practices and the fair housing
implications to minority neighborhoods;
and (2) legal approaches to confronting
abusive lending practices, especially
those linked to racial targeting and other
potential violations of applicable fair
housing laws. In responding to this subfactor, the applicant must describe the
extent to which its and/or
subcontractor’s past activities have
resulted in public events that have
reached and impacted a large number of
persons. Applicant must also show that
it has experience in developing and
implementing innovative strategies
resulting in positive public response.
c. Performance on past project(s). (10)
Points for current FHIP grantees; (0)
Points for new applicants. HUD will
assess your organization’s past
performance in conducting activities
relevant to your application. For current
FHIPs, past performance will be
assessed based on your most recent
performance assessment received from
your HUD Government Technical
Representative (GTR) for the past two
(2) complete fiscal years (FY 2003 and
FY2004).
This information will be provided to
the Technical Evaluation Panel (TEP) by
HUD staff. Based on past performance,
the following points will be deducted
from your score under this rating subfactor:
(1) 10 points out of 10 possible points
will be deducted if you received a ‘‘fair
performance’’ assessment;
(2) 5 points out of 10 possible points
will be deducted if you received a ‘‘good
performance’’ assessment; and
(3) 0 points will be deducted if you
received an ‘‘excellent performance’’
assessment.
2. Rating Factor 2: Need/Distress/Extent
of the Problem (20 Points)
This factor addresses the extent to
which there is a need for funding the
proposed activities to address
documented fair housing problems in
target area(s). You will be evaluated on
the information that you submit that
describes the fair housing need in the
geographic area you propose to serve, its
urgency and how your project is
responsive to that need. Applicants
should document and use the Housing
Discrimination Study 2000 (HDS2000)
sponsored by the Department of
Housing and Urban Development and
conducted by the Urban Institute in
their applications, if applicable.
HDS2000 is the third national pairedtesting study sponsored by HUD to
measure patterns of racial and ethnic
discrimination in U.S. housing markets.
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a. Documentation of Need. To justify
the need for your project, PEI and EOI
applicants must describe the following:
(1) The fair housing need, including:
(a) Geographic area to be served and
your proximity and experience within
the area;
(b) Populations that will be served—
your project must serve all persons
protected by the Act; and
(c) The presence of housing
discrimination, high segregation indices
or other evidence of discrimination
prohibited by the Act within the project
area.
(2) The urgency of the identified need.
For example:
(a) The potential consequences to
persons if your application is not
selected for funding;
(b) The extent to which other
organizations provide the services
identified in your application;
(c) Other sources that support the
need and urgency for this project. (Do
not include these sources within your
application.) Please provide website
information where these sources may be
found. Applicants that provide detailed
studies, including detailed consolidated
plans for their referenced project area
will have points deducted from this
factor based upon the ten page
submission requirement. For example,
make reference to reports, statistics, or
other data sources that you used that are
sound and reliable, including but not
limited to, HUD or other Federal, State
or local government reports analyses,
relevant economic and/or demographic
data including those that show
segregation, foundation reports and
studies, news articles, and other
information that relate to the identified
need. Provide the Web site where these
reports may be found for reference.
Chapter V of the Fair Housing Planning
Guide, Vol. 1 has other suggestions for
supporting documentation. You may
access the Guide from the HUD Web site
at https://www.hud.gov./offices/adm/
grants/fundsavail.cfm.
For all applicants: You must use
sound data sources to identify the level
of need and the urgency in meeting the
need and provide Web site addresses for
each data source (ex. Analysis of
Impediments to Fair Housing Choice
(AI), fair housing studies, etc.) For you
to receive maximum points for this
factor, there must be a direct
relationship between your proposed
activities, the outcomes to be
accomplished, and the community or
communities’ fair housing needs,
including your knowledge of and your
proximity to the targeted area, and the
purpose of the program funding.
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To the extent possible, the data you
use should be specific to the area where
the proposed activity will be carried
out. For example, if you propose to test
in areas impacted by Hurricane Katrina
in the states of Louisiana, Mississippi,
Alabama or Texas you should document
the number of displaced persons
relocated to those areas and the impact
of the numbers of displaced persons
upon existing fair housing services. You
should document needs as they apply to
the specific area(s) where activities will
be targeted and your proximity to the
target area, rather than the entire
locality or State. If the data presented
does not specifically represent your
target area, you should discuss why the
target area was proposed.
(3) The link between the need and
your proposed activities:
(a) How the proposed activities
augment or improve upon on-going
efforts by public and private agencies,
grass-roots faith-based and other
community-based organizations and
other organizations and institutions in
the target area, and/or
(b) Why, in light of other on-going
efforts, the additional funding you are
requesting is necessary.
b. In addition, with respect to
Documentation of Need, the following
apply to specific FHIP Initiatives or
Components:
EOI-Disability Component. Your
project must focus on persons with
disabilities, however, you must serve all
persons protected by the Act.
EOI-Subprime Lending Component.
Your project must document and
describe your understanding of the
problem and its pervasiveness and an
understanding of how to plan public
events used to address the need.
PEI Subprime Lending Component.
Your project must document that funds
were used to assist private fair-lending
enforcement efforts to address
discrimination in the sub-prime
mortgage market. Applicant should also
document the need to: Assist with
pending complaints, investigation, or
litigation alleging discriminatory
subprime lending; or support new fair
lending investigations or litigation of
discrimination in the subprime market.
3. Rating Factor 3: Soundness of
Approach (35 Points)
You must describe your project in
detail, demonstrate how your project
activities will support HUD’s goals,
propose suggested performance
measures/outcomes in support of these
goals, and identify current baseline
conditions and target levels of the
performance measures that you plan to
achieve. Attach a Statement of Work
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(SOW) and budget. Your proposed
activities must support HUD’s policy
priorities as referenced in the General
Section.
a. Support of Policy Priorities (8
Points). Describe how your proposed
project will further and support HUD’s
policy priorities for FY 2006. HUD
encourages applicants to undertake
specific activities that will assist the
Department in implementing its policy
priorities and which will help the
Department achieve its goals and
objectives in FY 2006. HUD will
evaluate the extent to which a program
will further and support HUD’s
priorities. The quality of the responses
provided to one or more of HUD’s
priorities will determine the score an
applicant can receive. Applicants must
describe how each policy priority
selected will be addressed.
Applicants that just list a priority will
receive no points. Each policy priority
addressed must discuss the geographic
area to be served in relation to the
project’s purpose, the persons to be
served and the methodology for carrying
out these activities. Each policy priority
has a point value of one point, with the
exception of the policy priority to
remove regulatory barriers to affordable
housing which has a point value of up
to 2 points; and, for EOI applicants only,
promoting participation by grassroots
faith-based and other community-based
organizations, or partnering with an
organization promoting participation in
grassroots faith-based and other
community-based organizations, which
has a point value of up to 4 points. It
is up to the applicant to determine
which of the policy priorities to address
to receive the available 8 points. To
secure the possible 2 points for efforts
to remove regulatory barriers to
affordable housing, an applicant must
submit the completed questionnaire
(HUD 27300), and provide the required
documentation. Please see the General
Section for further information on
Removal of Regulatory Barriers to
Affordable Housing. The questionnaire
is part of the electronic application
package and is also found in the
Appendix to the General Section. For
the full list of each policy priority,
please refer to the General Section.
b. Proposed Statement of Work (SOW)
and Information Requirements (17
Points). The SOW and budget are
attachments that will not count toward
the ten (10) page limit on the narrative
response to this factor. However, points
will be assigned based on the relevance
of proposed activities to stated needs,
attention to implementation steps,
proposed activities consistent with
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organizational expertise and capacity
and accuracy of the SOW and budget.
Statement of Work—Submit a
proposed SOW that comprehensively
outlines in chronological order the
administrative and program activities
and tasks to be performed during the
grant period. Your outline should
identify all activities and tasks to be
performed and by whom (e.g., you, a
subcontractor, or partner), and the
products that will be provided to HUD
and when. You should also include a
schedule of your activities and products
(with interim implementation steps),
staff allocation over the term of the
project; staff acquisition and training;
and activities of partners and/or
subcontractors. Applicants should
provide numbers on the projected
clients to be served. Do not provide
ranges or percentages, but a specific
number of clients. These numbers
should represent individuals to be
served entirely with HUD FHIP funding.
For the EOI Fair Housing Awareness
Component, HUD anticipates that
products will be available in at least
seven languages plus English. The
languages will include French, Korean,
Laotian, Vietnamese, Chinese, Arabic,
and Spanish. For the EOI Subprime
Lending Component, deliverables may
include brochures, Public Service
Announcements (PSAs) for radio in
both majority and minority markets and
posters and other graphic materials.
Graphic materials may include but are
not limited to enlarged reproductions of
existing HUD printed PSAs and HUD
materials. Provide information on media
markets coverage with specific
protected class focus, as well as those
with Limited English Proficiency and a
method for distribution of the finished
product.
c. The Budget Form and the Budget
Information (10 Points). HUD will also
assess the soundness of your approach
by evaluating the quality, thoroughness,
and reasonableness of the budget and
financial controls of your organization,
including information on your proposed
program cost categories. As part of your
response, you must prepare a budget
that is:
(1) Reasonable in achieving the goals
identified in your proposed SOW;
(2) Relate tasks in the SOW to the
proposed budget costs;
(3) Cost-effective, and includes a brief
discussion of the extent to which your
proposed program is cost effective in
achieving the anticipated results of the
proposed activities in the targeted area.
Applicants seeking funding to conduct
activities in an area other than the
applicant’s State or locality must
discuss the cost effectiveness of where
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the activities will be conducted in
relation to the location of the
organization. HUD will look at the cost
effectiveness of your travel to and from
your location to the targeted area(s),
personnel expenses for out-stationed
personnel, contracts and sub-grantees,
and other direct costs, which may
include relocation expenses, and
telecommunications expenses. Also,
indicate how the proposed project is
quantifiable based on the needs
identified in Rating Factor 2.
(4) Quantifiable based on the need
identified in Factor 2, and
(5) Justifiable for all cost categories in
accordance with the cost categories
indicated in the HUD–424 CB (see
General Section Grant Application
Detailed Budget). If you are awarded a
grant or cooperative agreement under
FHIP, staff will request that you include
your approved indirect cost rate as part
of your negotiations with HUD. If you
do not have a Federally approved
indirect cost rate and HUD is the
cognizant agency, HUD will submit a
request within 30 days after award to
establish a rate. For information on
indirect cost rates, you can review
HUD’s training on https://www.hud.gov./
offices/adm/grants/fundsavail.cfm.
(6) Financial Management Capacity.
Describe your organization’s financial
management system and your Board’s
contribution to the organization. In
addition, discuss your capabilities in
handling financial resources,
dissemination to subcontracting
affiliates, and maintenance of adequate
accounting and internal control
procedures.
(7) Grant Application Detailed Budget
Worksheet (HUD–424–CBW). The HUD–
424–CBW must show the total cost of
the project and indicate other sources of
funds that will be used for the project.
While the costs are based only on
estimates, the budget narrative work
plan may include information obtained
from various vendors, or you may rely
on historical data. Applicants must
round all budget items to the nearest
dollar.
A written budget narrative work plan
must accompany the proposed budget
explaining each budget category listed
and must explain each cost category.
Failure to provide a written budget
narrative work plan will result in 2
points being deducted from your
application. It must explain each cost
category you list. Where there are travel
costs for subcontractors/consultants,
you must show that the combined travel
costs (per diem rates) are consistent
with Federal Travel Regulations (41 CFR
301.11) and travel costs for the
applicant’s subcontractors and/or
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consultants do not exceed the rates and
fees charged by local subcontractors and
consultants. The narrative (which does
not count toward the ten page limit)
must address the Grant Application
Detailed Budget.
4. Rating Factor 4: Leveraging Resources
(5 Points)
This factor addresses your ability to
secure additional resources to support
your project. Points will be awarded on
the basis of the percentage of non-FHIP
resources you have identified and how
firm the commitment is for those
resources.
a. Firm Commitment of Leveraging.
HUD requires you to secure resources
from sources other than what is
requested under this FHIP NOFA.
Community resources may include
funding or in-kind contributions, such
as workspace or services or equipment,
allocated to the purpose(s) of your
proposal. Contributions from affiliates,
subsidiaries, divisions, or employees of
the applicant do not qualify as in-kind
contributions. Resources may be
provided by governmental entities
(including other HUD programs if such
costs are allowed by statute), public or
private non-profit organizations, faithbased organizations, for-profit or civic
private organizations, or other entities
willing to work with you. In order to
secure points you must establish
leveraging of resources by identifying
sources of contributors who have
already provided to you letters of firm
commitment from the organizations
and/or individuals who will support
your project. Each letter of firm
commitment must:
(1) Identify the organization and/or
individual committing resources to the
project and identify any affiliation with
the applicant,
(2) Identify the sources and amounts
of the leveraged resources (the total
FHIP and non-FHIP amounts must
match those in your proposed budget
submitted under Factor 3), and
(3) Describe how these resources will
be used under your SOW. The letter
must be signed by the individual or
organization official legally able to make
commitments for the organization. If the
resources are in-kind or donated goods,
the commitment letter must indicate the
fair market value of those resources and
describe how this fair market value was
determined. (Do not include indirect
costs within your in-kind resources). Inkind matching and leveraging
contributions, as well as Program
Income must comply with 24 CFR 84.23
and 84.24 requirements. FHIP funds
cannot be used for in-kind or donated
services (for example, a current staff
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person on a FHIP-funded project). No
points will be awarded for general
letters of support endorsing the project
from organizations, including elected
officials on the local, State, or national
levels, and/or individuals in your
community. See General Section for
instructions on how third party
documents are to be submitted to HUD
via the electronic submission process.
For PEI and EOI, if your project will not
be supported by non-FHIP resources,
then you will not receive any points
under this factor. Points will be
assigned for each Initiative based on the
following scale:
One point will be awarded if less than
5% of the projects total costs come from
non-FHIP resources.
Two points will be awarded if
between 5% and 10% of the project’s
total costs are from non-FHIP resources.
Three points will be awarded if
between 11% and 20% of the project’s
total costs are from non-FHIP resources.
Four points will be awarded if
between 21% and 30% of the project’s
total costs are from non-FHIP resources.
Five points will be awarded if at least
31% of the project’s total costs are from
non-FHIP resources.
5. Rating Factor 5: Achieving Results
and Program Evaluation (15 Points)
a. In evaluating this factor, HUD will
assess the extent to which you
demonstrate how you will measure
success or results to be achieved that
represent the work of your organization
as set out in your budget. Applicants
must select from the list of activities and
outcomes detailed in the Logic Model
for the Initiative applied for and should
determine from these selections, their
specific methods and measures to assess
progress, evaluate program
effectiveness, and identify program
changes necessary to improve
performance. This will ensure that
performance measures are met and that
grantees are establishing achievable
realistic goals. Applicants who have
identified outputs and outcome
measurements and include means for
assessing these measurements, tracking
and monitoring performance goals and
achievements against these
commitments made in the application,
will receive higher points than those
that do not. To meet this Factor
requirement, you must submit HUD’s
Logic Model.
Instructions and a Microsoft Excel TM
form are provided in the forms
appended to the Instruction Download
on www.Grants.gov/APPLY. Applicants
that do not have access to Microsoft
Excel TM may obtain a copy of the form
in HTML fillable format along with a
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text format of the Master Logic Model
listing, from HUD’s Web site at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm.
A narrative response is not required
for this factor as all applicants must use
the Logic Model Form to respond to this
Factor. Applicants that submit narrative
responses rather than use the Logic
Model Form will receive no points
under this subfactor. Applicants should
also review the Logic Model training
which can be found at https://
www.hud.gov/offices/adm/grants/
training/training.cfm.
b. In evaluating this Factor:
(1) HUD will review the activities/
outputs and outcomes units of
measurement you selected and in
relation to the needs of your intended
audience or target populations;
(2) Output. The direct products of the
applicant’s activities that lead to the
ultimate achievement of outcomes.
Examples of activities and outputs for
PEI and EOI applicants can be found at
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm. Applicants must select
one or more activities from the listing of
‘‘Fair Housing Services Provided’’ that
will be undertaken by your
organization. Applicants who do not
select from the list ‘‘Fair Housing
Services Provided’’ or those who wish
to add additional services to the list will
not receive any points under this Factor.
(3) Outcome. Demonstrate ability to
measure outcomes so the major outcome
is to increase awareness of fair housing
laws and enforce the fair housing act.
Outcomes are benefits provided to all
protected class members as a result of
education and outreach or fair housing
enforcement activities; and,
performance indicators the applicant
expects to achieve or goals it hopes to
meet over the term of the proposed
grant. The Logic Model has a prepared
list of activities, outcomes and
indicators associated with Fair Housing.
Applicants must choose from this list of
‘‘Short-Term, Intermediate-Term, or
Long-Term’’ outcomes that are provided
as part of the FHIP NOFA. Applicants
who do not select from the list
‘‘Outcomes and Indicators’’ will not
receive any points under this Factor.
You should assess progress and track
performance in meeting the goals and
objectives outlined in the work plan.
Accountability can be achieved using
specific measurement tools to assess the
impact of your solutions. Examples
include:
• Intake Instrument;
• Pre/Post Tests;
• Customer/Client Satisfaction
Survey;
• Follow-up Survey;
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• Observational Survey;
• Functioning scale; or
• Self-sufficiency scale.
For the EOI-Disability Component,
you should also demonstrate how the
activities will assist the Department in
implementing the New Freedom
Initiative (see General Section).
B. Reviews and Selection Process
1. Rating and Ranking. Although all
rating factors are organized the same
way for all FHIP initiatives, there are
differences in application requirements
and rating criteria, which are indicated
throughout the Rating Factor
instructions. Your application for
funding will be evaluated competitively
against all other applications submitted
under one of the following Initiatives or
Components:
a. Private Enforcement Initiative
(PEI)—
(1) General Component (PEI–GC);
(2) Performance Based Funding
Component (PBFC);
(3) Subprime Lending Component
(PEI–SL);
(4) Hurricane Katrina Enforcement
Component (PEI–EC).
b. Education and Outreach Initiative
(EOI)—
(1) General Component (EOI–GC);
(2) Disability Component (EOI–DC);
(3) Fair Housing Awareness
Component—(EOI–FHAC);
(4) Subprime Lending Component—
(EOI–SL).
For all initiatives, all eligible
applications will be reviewed and
points awarded based upon:
1. Narrative responses to the Factors
for Award and accompanying materials,
and
2. RC/EC/EZ–IIs bonus points, as
applicable. Ineligible applications will
not be ranked. The maximum number of
points to be awarded for the Rating
Factors is 100. See the General Section
for information on Bonus Points.
Only applications with a score of
seventy-five (75) points or more will be
considered of sufficient quality for
funding. Generally, applications of
sufficient quality for funding will be
selected in rank order under each
Initiative or Component.
PBFC applicants will be evaluated
competitively against other PBFC
applicants who apply and have received
two years of excellent performance
reviews for FHIP PEI awards made in
any two consecutive years from FY 2002
through FY 2004, as well as scoring a 95
on their most current performance
review. These applicants will then be
rated by the Technical Evaluation Panel
and ranked by score. Only those
applicants who receive a minimum final
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score of 95 or above from the TEP will
be considered for funding under this
Component.
2. Tie Breaking. When two or more
applications have the same total overall
score, the application with the higher
score under Rating Factor 3 will be
ranked higher. If this does not break the
tie, the application with the higher score
under Rating Factor 1will be ranked
higher. If this does not break the tie, the
application requesting the lower amount
of FHIP funding will be ranked higher.
Finally, if this does not break the tie, the
application with the higher score under
Rating Factor 2 will be rated higher.
For the PBFC, the tie breaking
provision does not apply.
3. Achieving Geographic Diversity of
Awards. PEI and EOI: HUD reserves the
right to apply geographic diversity, to
ensure that, to the extent possible,
applications from more States for each
Initiative or Component are selected for
funding. If the Selecting Official
exercises this discretion, there will be
two determinants used: (1) Geography
and (2) score. Geographic diversity shall
be applied to all qualified applications
(applications of sufficient quality for
funding—applications that received a
score of 75 or more points) in each
Initiative or Component in which the
Selecting Official applies geographic
diversity. The geographic diversity
provision will be applied as follows:
when there are two or more applications
of sufficient quality from the same State,
the application(s) with the lower
score(s) will be moved to the end of the
qualified queue. The applications
moved to the end of the qualified queue
will retain their geographic rank order.
If sufficient funds remain, it is possible
that applications moved to the end of
the queue may be selected for award.
For the PBFC, the geographic
diversity provision does not apply.
4. Adjustments to Funding. As
provided in the General Section, HUD
may approve an application for an
amount lower than the amount
requested, fund only portions of the
application, withhold funds after
approval, reallocate funds among
activities and/or require that special
conditions be added to the grant
agreement, in accordance with 24 CFR
84.14, the requirements of the General
Section, or where:
a. HUD determines the amount
requested for one or more eligible
activities is unreasonable or
unnecessary;
b. An ineligible activity is proposed in
an otherwise eligible project;
c. Insufficient amounts remain to fund
the full amount requested in the
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application, and HUD determines that
partial funding is a viable option;
d. The past record of key personnel
warrants special conditions; or,
e. Training funds are not reserved for
FHIP training.
5. Reallocation of Funds. If after all
applications within funding range have
been selected or obligations are
completed in an Initiative and funds
remain available, the Selecting Official
or designee will have the discretion to
reallocate leftover funds in rank order
among Initiatives as follows:
a. For EOI, any remaining funds from
any component will be reallocated first
within the Initiative; if after reallocating
funds within the Initiative left over
funds remain, they shall be reallocated
to PEI;
b. For PEI, any remaining funds from
any component will be reallocated first
within the Initiative, if after reallocating
funds within the Initiative left over
funds remain, they shall be reallocated
to EOI.
C. Anticipated Announcement and
Award Dates
For planning purposes, anticipate an
announcement date of September 23,
2006 and an award date of September
29, 2006.
VI. Award Administration Information
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A. Award Notices
1. Applicant Notification and Award
Procedures.
a. Notification. No information about
the review and award process will be
available during the period of HUD
evaluation, which begins on the
application deadline date under this
NOFA and lasts approximately 90 days
thereafter. However, you will be
advised, in writing or by telephone, if
HUD determines that your application is
ineligible or has technical deficiencies
which may be corrected as described in
the General Section. HUD will
communicate only with persons
specifically identified in the application
on the SF–424. HUD will not provide
information about the application to
third parties such as subcontractors.
b. Negotiations. If you are selected,
HUD will require you to participate in
negotiations to determine the specific
terms of your cooperative or grant
agreement. HUD will follow the
negotiation procedures described in the
General Section. The selection is
conditional and does not become final
until the negotiations between the
applicant and the Department are
successfully concluded and the grant or
cooperative agreement is signed and
executed. HUD will negotiate only with
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the person identified in the application
as the Director of the organization or if
specifically identified in the application
as the Project Director. HUD will not
negotiate with any third party (i.e., a
subcontractor, etc.). Grantees awarded
funding who have had a ‘poor
performance’ rating in years prior to FY
2003, will be required to provide
documentation of the agency’s
improved performance status during
negotiations. The Grant Officer and
Government Technical Representative
will determine on a case-by-case basis if
technical assistance or special
conditions are required.
Performance Based Funding
Component-Applicants selected for
funding under the PBFC will be
required to submit a SOW that projects
the agency’s activities for a period of
three years commensurate with the level
of funding.
c. Applicant Debriefing. After awards
are announced, applicants may receive
a debriefing on their application as
described in the General Section.
Materials provided during the
debriefing will be the applicant’s final
scores for each rating factor and final
evaluator comments for each rating
factor. Applicants requesting a
debriefing must send a written request
to Annette Corley, Grant Officer, U.S.
Department of Housing and Urban
Development, FHIP/Support Division,
451 7th Street SW., Room 5224,
Washington, DC 20410. HUD will not
release the names of applicants or their
scores to third parties.
B. Administrative and National Policy
Requirements
1. Accessibility Requirements. All
activities, facilities, and materials
funded by this Program must be
accessible to persons with disabilities
(24 CFR 8.2, 8.4, 8.6, and 8.54).
2. Protected Classes. All FHIP-funded
projects must address housing
discrimination based upon race, color,
religion, sex, disability, familial status,
or national origin.
3. Environmental Requirements. In
accordance with 24 CFR 50.19(b)(3), (4),
(9), (12), and (13) of HUD regulations,
activities assisted under this program
are categorically excluded from the
requirements of the National
Environmental Policy Act and are not
subject to environmental review under
related laws and authorities.
4. Procurement of Recovered
Materials. State agencies (FHAP
agencies) and agencies of a political
subdivision of a State that are using
assistance under a HUD program NOFA
for procurement, and any person
contracting with such an agency with
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respect to work performed under an
assisted contract, must comply with the
requirements of Section 6002 of the
Solid Waste Disposal Act, as amended
by the Resource Conservation and
Recovery Act. See General Section for
details.
5. Product Information. Press releases
and any other product intended to be
disseminated to the public must be
submitted to the Government Technical
Representative (GTR) two weeks before
release for approval and acceptance.
6. Ensuring the Participation of Small
Businesses, Small Disadvantaged
Businesses, and Women Owned
Businesses. (See General Section).
7. Payment Contingent on
Completion. Payment of FHIP funds is
made on a reimbursement basis.
Payments are contingent on the
satisfactory and timely completion of
your project activities and products as
reflected in your grant or cooperative
agreement. Requests for funds must be
accompanied by financial and progress
reports.
8. Copyright Materials. You may
copyright any work that is eligible for
copyright protection subject to HUD’s
right to reproduce, publish, or otherwise
use your work for Federal purposes, and
to authorize others to do so as required
in 24 CFR 84.36.
9. Complaints Against Awardees.
Each FHIP award is overseen by a HUD
Grant Officer (See https://www.hud.gov
for list of Grant Officers per region).
Complaints from the public against
FHIP grantees should be forwarded to
the Grant Officer. The Grant Officer’s
name and contact information is
provided in the grant agreement. If, after
notice and consideration of relevant
information, the Grant Officer concludes
that there has been inappropriate
conduct, such as a violation of FHIP
program requirements, terms or
conditions of the grant, or any other
applicable statute, regulation or other
requirement, HUD will take appropriate
action in accordance with 24 CFR 84.62.
Such action may include: written
reprimand; consideration of past
performance in awarding future FHIP
applications; repayment to HUD of
funds received under the grant; or
temporary or permanent denial of
participation in the FHIP in accordance
with 24 CFR part 24.
10. Double Payments. If you are
awarded funds under this NOFA, you
(and any subcontractor or consultant)
may not charge or claim credit for the
activities performed under this project
under any other Federally assisted
project.
11. Performance Sanctions. A grantee
or subcontractor failing to comply with
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the requirements set forth in its grant
agreement will be liable for such
sanctions as may be authorized by law,
including repayment of improperly used
funds, termination of further
participation in the FHIP, and denial of
further participation in programs of
HUD or any Federal agency.
C. Reporting
1. HUD requires that funded
recipients collect racial and ethnic
beneficiary data. It has adopted the
Office of Management and Budget’s
Standards for the Collection of Racial
and Ethnic Data. In view of these
requirements, you should use Form
HUD–27061, Racial and Ethnic Data
Reporting Form (and instructions for its
11799
use), found on https://
www.HUDclips.org, a comparable
program form, or a comparable
electronic data system for this purpose.
Quarterly and as your project ends, you
must report meaningful data derived
from client feedback on how they
benefited from your project’s activities.
2. Listed below is a sample-reporting
document of activities and tasks to be
performed by a FHIP Grantee.
ADMINISTRATIVE ACTIVITIES
Activities
Tasks
1. Complete HUD–22081 Race and Ethnic Data
Reporting Form.
2. Complete HUD–28807 Disclosure Statements
3. Complete SF–269A Financial Status Report
and Written Quarterly Status Reports on All Activities.
4. Voucher for Payment .........................................
5. Complete Listing of Current or Pending Grants/
Contracts/Other Financial Agreements.
6. Prepare and Submit Draft of Final Report, including HUD 96010.
7. Complete Final Report and Provide Copies of
All Final Products Not Previously Submitted.
8. Submit 2 copies of Final Report and all final
program products produced under the Grant
(with diskette, where feasible) to HUD.
VII. Agency Contacts
You may contact Myron P. Newry or
Denise L. Brooks, of the Office of Fair
Housing and Equal Opportunity’s FHIP
Support Division, at 202–708–0800 (this
is not a toll-free number). Persons with
hearing or speech impairments may
contact the Division by calling 1–800–
290–1617 (this is a toll-free number).
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VIII. Other Information
1. Paperwork Reduction Act. The
information collection requirements
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Submitted by
...........................................................................
45 Days .........................
GTR/GTM
Submit Disclosure Statement. If no changes
occur, submit statement of no change with final
report.
Submit SF–269A and Copy of Written Report ......
When changes occur ....
GTR/GTM
Quarterly ........................
GTR/GTM
Submit payment request to LOCCS .....................
Submit listing for recipient and any contractors ....
Per Payment Schedule
45 Days and At end of
Grant.
One month before end
of grant term.
GTR/GTM
GTR/GTM
Within 90 days after end
of grant term.
GTR/GTM
Within 90 days after end
of grant term.
GTR/GTM
Submit Draft of Report. Report your eLogic
Model Reporting your short- and intermediate
term outputs and outcomes as contained in the
eLogic Model submitted and approved in your
grant agreement. Your report and eLogic
Model should identify results ands benefits to
date of the work accomplished under the FHIP
award. In addition, the eLogic Model should include an attachment that addresses the management questions applicable to your work
program. Complaint and testing activities
should provide data on complaints received
and tests conducted by basis, issues, and outcomes. This should include number of credible,
legitimate complaints filed with HUD, a State or
local Fair Housing Agency, Department of Justice or private litigator; and types of relief/results.
Submit a copy of the Final Report, including a
final Logic Model with all outputs and outcomes identified, and management questions
responded to. Submit all Final Products not
previously submitted to GTR and GTM.
Submit detailed description of items submitted to
GTR and GTM.
contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
number 2529–0033. In accordance with
the Paperwork Reduction Act, HUD may
not conduct or sponsor, and a person is
not required to respond to a collection
of information unless the collection
displays a currently valid OMB control
number. Public reporting burdens for
the collection of information is
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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.
Response to this request for information
is required in order to receive the
benefits to be derived.
BILLING CODE 4210–01–P
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Housing Counseling Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Single Family Housing.
B. Funding Opportunity Title:
Housing Counseling Program.
C. Announcement Type: Initial
Announcement.
D. Funding Opportunity Number: The
Federal Register number is: FR–5030–
N–03. The OMB Approval number is:
2502–0261.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: 14.169
Housing Counseling Assistance
Program.
F. Dates: The application deadline
date is May 23, 2006. Please see the
General Section for application
submission and timely receipt
procedures.
G. Available Funds: Approximately
$39.08 million is made available for
eligible applicants under this program
NOFA.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description. This program
supports the delivery of a wide variety
of housing counseling services to
homebuyers, homeowners, low-to
moderate-income renters, and the
homeless. The primary objectives of the
program are to expand homeownership
opportunities and improve access to
affordable housing. Counselors provide
guidance and advice to help families
and individuals improve their housing
conditions and meet the responsibilities
of tenancy and homeownership.
Counselors also help borrowers avoid
inflated appraisals, unreasonably high
interest rates, unaffordable repayment
terms, and other conditions that can
result in a loss of equity, increased debt,
default, and eventually foreclosure.
Applicants funded through this
program may also provide Home Equity
Conversion Mortgage (HECM)
counseling to elderly homeowners who
seek to convert equity in their homes
into income that can be used to pay for
home improvements, medical costs,
living expenses, or other expenses.
B. Grant Applicant Categories. HUD
will award a single comprehensive grant
to qualified applicants through one of
three categories: (1) Local Housing
Counseling Agencies (LHCAs); (2)
National and Regional Intermediaries
(Intermediaries); and (3) State Housing
Finance Agencies (SHFAs).
Supplemental funding is available to
qualified intermediaries for counseling
and educational activities in
conjunction with HUD’s Home Equity
Conversion Mortgage (HECM) Program.
C. Authority. HUD’s Housing
Counseling Program is authorized by
Section 106 of the Housing and Urban
Development Act of 1968 (12 U.S.C.
1701x).
The Home Equity Conversion
Mortgage (HECM) Program is authorized
by section 255 of the National Housing
Act (12 U.S.C. 1715z–20).
II. Award Information
A. Amount Allocated. Of the
approximately $41.58 million
appropriated for housing counseling in
FY 2006 under the Department of
Housing and Urban Development
Appropriations Act, 2006 (Pub. L. 109–
115; approved Nov. 30, 2005),
approximately $39.08 million is
available for eligible applicants under
this NOFA. Specifically, approximately
$36.08 million is available for
comprehensive counseling, and $3.0
million is available for HECM
counseling.
B. Specific Allocations. Funding is
allocated to each Homeownership
Center (HOC), regional HUD offices that
oversee the Housing Counseling
Program in their jurisdiction, by a
formula that incorporates first-time
homebuyer rates, default rates, HECM
endorsements, past performance by
agencies in the jurisdiction, and
minority homebuyers.
Total amount
available
Who is eligible
Category 1—LHCAs .................................................................
Category 2—Intermediaries ......................................................
Category 3—SHFAs .................................................................
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Applicant categories
HUD-approved Local Housing Counseling Agencies ..............
HUD-approved National and Regional Intermediaries .............
State Housing Finance Agencies .............................................
1. Category 1—Local Housing
Counseling Agencies (LHCAs).
Approximately $14,071,200 is available
from HUD to directly fund HUDapproved LHCAs. A LHCA can only
request funding for its main office and
branches located in the same state as the
main office and/or located in one other
contiguous state.
Allocations for Category 1 by HOC are
as follows: Atlanta $4,002,747, Denver
$3,830,864, Philadelphia $3,870,451,
and Santa Ana $2,367,138.
2. Category 2—Intermediaries.
Approximately $22,844,000 is available
from HUD to directly fund HUDapproved Intermediaries, including
$19,844,000 for comprehensive
counseling and $3.0 million for HECM
counseling.
3. Category 3—State Housing Finance
Agencies (SHFAs). Approximately
$2,164,800 is available to fund SHFAs
that provide housing counseling
services directly or serve as
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intermediaries to Affiliates who offer
housing counseling services.
Allocations for Category 3 by HOC are
as follows: Atlanta $615,886, Denver
$589,259, Philadelphia $595,536, and
Santa Ana $364,119.
C. Individual Awards.
1. Category 1. No individual LHCA
may be awarded more than $200,000.
HUD anticipates that the average total
award for LHCAs will be approximately
$45,000.
2. Category 2. Awards for individual
HUD-approved intermediaries may not
exceed $5.5 million, which includes any
HECM supplemental funding. The limit
for Comprehensive Counseling is $2.5
million and the limit for HECM
counseling is $3.0 million. HUD
anticipates that the average total award
for Intermediaries will be $1.3 million.
3. Category 3. No individual SHFA
may be awarded more than $450,000.
HUD anticipates that the average total
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$14,071,200
22,844,000
2,164,800
award for SHFAs will be approximately
$145,000.
D. Grant Period. Funds awarded shall
be available for a period of 12 calendar
months.
E. Award Instrument. HUD will use a
Grant Agreement. All Housing
Counseling Program awards will be
made on a cost reimbursement basis.
III. Eligibility Information
A. Definitions
1. Affiliate. An affiliate is a separately
incorporated or organized housing
counseling agency connected with an
intermediary or SHFA for the purposes
of its housing counseling program. To
be eligible for a sub-grant an affiliate
must be: (1) Duly organized and existing
as a nonprofit, (2) in good standing
under the laws of the state of its
organization, and (3) authorized to do
business in the states where it proposes
to provide housing counseling services.
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2. Applicant. ‘‘Applicant’’ refers to a
HUD-approved housing counseling
agency or SHFA applying for a Housing
Counseling grant from HUD through this
NOFA. The term ‘‘Applicant’’ includes
the agency’s branch or branch offices
identified in its application.
3. Branch. ‘‘Branch’’ or ‘‘Branch
Office’’ refers to an organizational and
subordinate unit of an LHCA or
Intermediary not separately
incorporated or organized. A Branch or
Branch Office must be in good standing
under the laws of the state where it is
authorized to do business and where it
proposes to provide housing counseling
services. A Branch or Branch Office
cannot be an applicant, affiliate or subgrantee.
4. Grantee. ‘‘Grantee’’ refers to the
HUD-approved housing counseling
agencies or SHFAs that receive housing
counseling funds from HUD through
this NOFA. The term ‘‘Grantee’’
includes the agency’s branch or branch
offices identified in its application.
5. HUD HECM Network Counselor. A
‘‘HUD HECM Network Counselor’’ is a
housing counselor that has passed the
HECM exam administered by HUD and/
or its agent, and is approved by HUD to
provide HECM counseling nationally by
telephone.
6. Intermediary. ‘‘Intermediary’’ refers
to a HUD-approved national or regional
organization that provides housing
counseling services through its branches
or affiliates.
7. Local Housing Counseling Agency
(LHCA). ‘‘LHCA’’ refers to a HUDapproved Local Housing Counseling
Agency. LHCAs must be approved by
one of HUD’s four HOCs. Affiliates of
HUD-approved Housing Counseling
intermediaries are not HUD-approved
LHCAs by virtue of their affiliation with
the intermediary. They are, however,
eligible to individually apply for HUD
approval as an LHCA.
8. State Housing Finance Agency
(SHFA). For the purpose of this NOFA,
a ‘‘SHFA’’ is the unique public body,
agency, or instrumentality created by a
specific act of a state legislature and
empowered to finance activities
designed to provide housing and related
facilities and services, for example
through land acquisition, construction
or rehabilitation, throughout a state. The
term state includes the fifty states,
Puerto Rico, the District of Columbia,
Guam, the Commonwealth of the
Northern Mariana Islands, American
Samoa, and the U.S. Virgin Islands.
9. Sub-grantee. ‘‘Sub-grantee’’ refers
to an organization to which the grantee
awards a sub-grant, and which is
accountable to the grantee for the use of
the funds provided. A Sub-grantee may
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be separately incorporated or organized,
but connected with an intermediary or
SHFA for purposes of this NOFA.
All Sub-grantees must be identified in
the grantee’s application. Under certain
conditions, grantees may amend their
Sub-grantee list after awards are made.
B. Eligible Applicants
Eligible applicants include: HUDapproved Local Housing Counseling
Agencies (LHCAs); HUD-approved
national and regional intermediaries
(Intermediaries); and State Housing
Finance Agencies (SHFAs).
C. Cost Sharing or Matching
No specific ratio is required.
However, in order to receive points
under Rating Factor 4, applicants are
required to demonstrate the
commitment of other private and public
sources of funding to supplement HUD
funding for the applicant’s counseling
program. HUD does not intend for the
Housing Counseling grants to cover all
costs incurred by an applicant.
D. Eligible Activities for Awards Under
All Applicant Categories
Grantees and sub-grantees will only
be reimbursed for the applicable
activities outlined in this Section.
1. Individual counseling or group
education/classes regarding the
following topics:
a. Pre-Purchase/Homebuying. This
includes: evaluating mortgagor
readiness; search assistance/mobility;
fair housing, including how to recognize
discrimination; budgeting for mortgage
payments; money management (does
not include administration of debt
management plans whereby an
organization pays bills on behalf of a
client); selecting a real estate agent, and
home inspection. This also may include
guidance on: alternative sources of
mortgage credit; how to apply for
special programs available to potential
homebuyers; how to identify and avoid
predatory lending practices; locating
housing that provides universal design
and visitability; how to purchase a
home using the Section 8
Homeownership Voucher Program, and
referrals to community services and
regulatory agencies.
Applicants that provide homebuyer
education must also offer individual
counseling that complements the group
sessions.
b. Resolving or Preventing Mortgage
Delinquency or Default. This includes:
restructuring debt, obtaining recertification for mortgage subsidy,
establishing reinstatement plans,
seeking loan forbearance, and managing
household finances. This can also
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include helping clients affected by
predatory lending, foreclosure
prevention strategies, explaining the
foreclosure process, providing referrals
to other sources, and assisting clients
with locating alternative housing, or
pursuing loss mitigation strategies.
c. Non-Delinquency Post-Purchase,
including Improving Mortgage Terms
and Home Improvement. This includes
information and advice on finding
favorable mortgage loan terms, personal
money management, and relations with
lenders. It also includes: home
improvement and rehabilitation;
property maintenance; loan and grant
options; the loan or grant application
processes; what housing codes and
housing enforcement procedures apply
for the intended activity; accessibility
codes and how to design features to
provide accessibility for persons with
disabilities; non-discriminatory lending
and funding for persons who modify
their dwellings to accommodate
disabilities; visitability and universal
design; how to specify and bid
construction work; how to enter into
construction contracts; and how to
manage construction contracts,
including actions to address the nonperformance of contractors. Agencies
that provide post-purchase education
classes must also offer individual
counseling to complement group
sessions.
d. Locating, Securing, or Maintaining
Residence in Rental Housing. This refers
to renter-related topics, including:
helping clients obtain and utilize rent
subsidies; pre-rental search assistance/
mobility counseling; budgeting for rent
payments; educating clients on
landlords’ and renters’ rights;
explaining the eviction process;
ensuring clients understand their rights
when faced with displacement;
explaining the responsibility of the
entity causing displacement; and
providing assistance with locating
alternate housing.
e. Shelter or Services for the
Homeless. Includes referrals to social,
community, and homeless services such
as emergency shelter or transitional
housing.
2. HECM Counseling—This includes
providing the statutorily-required
counseling to individuals/families that
may be eligible for, or are interested in
obtaining, an FHA-insured Home Equity
Conversion Mortgage (HECM). This
counseling assists elderly homeowners
who seek to convert equity in their
homes into income that can be used to
pay for home improvements, medical
costs, living expenses, or other
expenses.
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3. Marketing and Outreach Initiatives.
This includes providing general
information and materials about
housing opportunities and issues,
conducting informational campaigns,
advocating with lenders for nontraditional lending standards, and
raising awareness about critical housing
topics, such as predatory lending or fair
housing issues. (Note: affirmative fair
housing outreach should be directed at
those populations least likely to seek
counseling services. To do so, it may be
necessary to broaden the target areas or
provide translation and interpretive
services in languages other than English
in order to reach a greater variety of
racial and ethnic minorities.)
4. Training to increase the capacity of
housing counselors and program
managers.
5. Computer equipment/systems with
the objective of improving the quality of
counseling and education services
available.
6. Administrative Costs. For
intermediaries and SHFAs,
administrative costs associated with
managing a network of housing
counseling agencies and providing
technical assistance.
E. Threshold Requirements
Applications that do not meet all of
the following Threshold Requirements
are not eligible to receive an award from
HUD.
1. Applicants, and Sub-grantees, must
meet the Threshold Requirements in the
General Section.
2. Minimum grant request.
Applications must contain a request for
comprehensive funds of not less than
$20,000 from LHCAs, not less than
$50,000 from SHFAs and not less than
$200,000 from Intermediaries.
Applications for lesser amounts will not
be considered. Intermediaries must
request a minimum of $500,000 for
HECM supplemental funding. HUD will
consider the amount of the
comprehensive counseling grant being
requested to be the value entered into
box 15a on form SF–424. For
intermediaries also requesting HECM
supplemental funding, box 15a of Form
SF–424 should reflect the total of the
comprehensive request and the HECM
supplemental request. For these
intermediaries requesting both, the
narrative response to Factor 3 must
make clear the exact comprehensive and
supplemental amounts being requested.
3. Only HUD-approved Housing
Counseling Agencies and SHFAs may
apply. Applicants must be currently
approved by HUD as an LHCA or as a
housing counseling intermediary, and
have secured HUD approval as a
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housing counseling agency by the
publication date of this Housing
Counseling Program NOFA. SHFAs are
not required to be HUD-approved, but
must meet the eligibility requirements
listed in this NOFA.
4. Applicants Requesting
Supplemental HECM Funding. No
separate application is needed to apply
for supplemental funding. However,
applicants requesting supplemental
HECM funding must meet the following
requirements:
a. Request the supplemental funding
by identifying in box 15a of Form SF–
424 the total of the comprehensive
request and the HECM supplemental
request, and making clear in the
narrative response to Factor 3 the exact
comprehensive and supplemental
amounts being requested;
b. Identify HECM-related needs in the
target community in its response to
Rating Factor 2;
c. Respond to all HECM-related
requests for information throughout the
NOFA;
d. Include counseling and other
related activities targeted at HECM
clients over and above the proposed
comprehensive counseling activities
listed in response to the Rating Factors;
and
e. Indicate in the Rating Factors how
many individuals will be served
specifically with the requested
supplemental funding for HECM
counseling in addition to those served
under the comprehensive counseling
award. Be sure to clearly identify the
total number projected to be served, the
activities to be provided, and the output
and outcome goals to be achieved with
the supplemental funding.
5. Recipients of Previous Housing
Counseling Grants. Applicants that
received a HUD Housing Counseling
grant or grants through the FY2004 HUD
Housing Counseling NOFA, and did not
receive an extension approved by HUD,
must have drawn-down at least 70
percent of award monies by December
31, 2005. Exceptions may be made for
applicants that adequately demonstrate
that performance projections for the
period were exceeded with greater cost
efficiency than originally proposed.
F. Other Program Requirements
1. To receive a grant or subgrant
under this Housing Counseling NOFA,
all applicants and subgrantees (except
SHFAs) must be:
a. In good standing under the laws of
the state of their organization; and
b. Authorized to do business in the
states where they propose to provide
housing counseling services.
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11803
c. All grantees and sub-grantees must
make counseling offices and services
accessible to persons with a wide range
of disabilities and help persons locate
suitable housing in locations throughout
the applicant’s community, target area,
or metropolitan area, as defined by the
applicant.
2. Limits on Applications
a. HUD-approved LHCAs. HUDapproved LHCAs may apply for and
receive: one grant under Applicant
Category 1; or one sub-grant from an
intermediary or SHFA under Applicant
Category 2 or 3, but not both. The only
exception to this rule is that HUDapproved LHCAs with one or more HUD
HECM Network Counselors may receive
a sub-grant or be reimbursed exclusively
for HECM counseling activities from a
HUD-approved intermediary
administering the HECM supplemental
funds made available through this
NOFA.
Funded LHCAs may not make subgrants to other HUD-approved LHCAs or
non-HUD-approved entities.
b. HUD-approved Intermediaries.
HUD approved intermediaries may only
apply for a grant under Applicant
Category 2. HUD-approved
intermediaries are also eligible for
supplemental funding for HECM
counseling.
c. SHFAs. SHFAs may only apply for
grants under Applicant Category 3 for
comprehensive counseling funds.
3. Sub-grantees of Intermediaries and
SHFAs.
a. Sub-grantees of intermediaries and
SHFAs are not required to be HUDapproved, although HUD-approved
LHCAs may apply to an intermediary or
SHFA as a sub-grantee.
b. Intermediaries and SHFAs that
award sub-grants to counseling agencies
that are not HUD-approved must assure
that the sub-grantee organizations meet
or exceed HUD’s approval standards,
listed in Section III.C.4.c, Program
Requirements.
c. Sub-grantees must also be in
compliance with all civil rights
threshold requirements. Intermediaries
that do not ensure their sub-grantee’s
compliance with HUD standards may be
prohibited from participating in the
Housing Counseling Program. HUD will
monitor sub-grantees.
d. To be eligible for funding under
Categories 2 or 3, Sub-grantees or
branches must not have directly applied
for or received a grant under Category 1
of this NOFA, or applied for or received
a sub-grant or funding from another
intermediary or SHFA under Category 2
or 3 of this NOFA. Sub-grantees may
apply for and receive funding from only
one intermediary or SHFA under
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Category 2 or 3, but not both. The only
exception to this rule is that subgrantees that have one or more HUD
HECM Network Counselors that receive
a sub-grant from an intermediary or
SHFA under Category 2 or 3 may also
receive a sub-grant or be reimbursed
exclusively for HECM counseling
activities, from a HUD-approved
intermediary administering the HECM
supplemental funds made available
through this NOFA.
e. Intermediaries and SHFAs that
make sub-grants must execute sub-grant
agreements with sub-grantees that
clearly delineate the mutual
responsibilities for program
management, including appropriate
time frames for reporting results to
HUD. Intermediaries and SHFAs have
wide discretion to decide how to
allocate their HUD Housing Counseling
funding among sub-grantees, with the
understanding that a written record
must be kept documenting and
justifying funding decisions. This record
must be made available to sub-grantees
and to HUD.
4. List of HUD-approved Housing
Counseling Agencies. Pursuant to
section 106(C)(5) of the Housing and
Urban Development Act of 1968, HUD
maintains a list of all HUD-approved
and HUD-funded counseling agencies,
including contact information that
interested persons can access. All HUDapproved LHCAs and their branches,
and all sub-grantees and branches that
receive funding under Applicant
Categories 2 and 3 of this NOFA will be
placed on this list and must accept
subsequent referrals, or when they do
not provide the services sought, refer
the person to another organization in
the area that does provide the services.
5. Non-Discrimination Requirement.
a. Grant recipients and sub-grantees
are prohibited from discriminating on
behalf of or against any segment of the
population in the provision of services
or in outreach.
b. Organizations funded under this
program may not engage in inherently
religious activities, such as worship,
religious instruction, or proselytization,
as part of the programs or services
funded under this program. If an
organization conducts such activities,
these activities must be offered
separately, in time or location, from the
programs or services funded under this
part, and participation must be
voluntary for the HUD-funded programs
or services.
6. Indirect Cost Rate. Grantees that
plan to use grant funds to cover direct
costs only are not required to provide an
indirect cost rate. However, Grantees
that plan to use grant funds to cover any
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indirect costs must submit their
approved indirect cost rate established
by the cognizant federal agency. If the
grantee does not have an established
indirect cost rate, it will be required to
develop and submit an indirect cost
proposal to HUD, or the cognizant
federal agency as applicable, for
determination of an indirect cost rate
that will govern the award. Applicants
that do not have a previously
established indirect cost rate with a
federal agency shall submit an initial
indirect cost rate proposal immediately
after the applicant is advised that it will
be offered a grant and, in no event, later
than three months after the start date of
the grant. OMB Circular A–122
established the requirements to
determine allowable direct and indirect
costs and the preparation of indirect
cost proposals, and can be found at
https://www.whitehouse.gov/omb.
Applicants can review Indirect Cost
Training on https://www.hud.gov at:
https://www.hud.gov/offices/adm/grants/
training/training.cfm.
7. Economic Opportunities for Lowand Very Low-Income Persons (Section
3). Section 3 does not apply to Housing
Counseling Grants.
8. Ensuring the Participation of Small
Businesses, Small Disadvantaged
Businesses, and Woman-Owned
Businesses. See the General Section for
information on this topic.
9. Subcontracting. Grantees and subgrantees must deliver all of the
counseling activities set forth in the
applicant’s work plan provided in
Factor 3 of this NOFA. Subcontracting
with other entities is permitted only in
geographical areas where no HUDapproved housing counseling agency
exists; however, the subcontractor must
meet or exceed the standards for a HUD
approved agency.
10. Conflicts of Interest. See the
General Section. In addition, a grantee
or sub-grantee that is using grant funds
to pay a subcontractor for housing
counseling services pursuant to a
housing counseling sub-agreement is
prohibited from having a controlling
interest in that subcontractor or vice
versa. In other words, a grantee or subgrantee cannot use grant funds to pay
for housing counseling services by a
subcontractor, if the subcontractor is
partially or fully-controlled by the
grantee or sub-grantee, or affiliate or
vice versa.
11. Accessible Technology. See the
General Section.
12. Participation in HUD Sponsored
Program Evaluation. See the General
Section.
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IV. Application and Submission
Information
A. Receiving an Application Package.
Applicants may download the
Instructions to the application found on
the Grants.gov Web site at
www.Grants.gov. The instructions
contain the General Section and
Program Section of the published NOFA
as well as forms that you must complete
and attach as a zip file to your
application submission. If you have
difficulty accessing the information you
may call the Grants.gov Support desk
toll free 800–518–GRANTS or e-mail
your questions to Support@Grants.gov.
B. Content and Form of Application
Submission. Please be sure to read the
General Section for application deadline
and timely receipt requirements as HUD
is using electronic application
submission via www.Grants.gov. In
addition to the instructions in the
General Section follow the instructions
below:
1. Size Limitations and Format for
Narrative Statements. Applicants must
be as specific and direct as possible. For
LHCAs, the narrative portion (responses
to all factors) must be limited to 50
double-spaced, 12-point font, singlesided pages. Intermediaries and SHFAs
are limited to a total of 100 doublespaced, 12-point font, single-sided pages
for the narrative portion. Pages in excess
of the size limit will not be read.
Number the pages of the narrative
statements and include a header that
includes the applicant’s name and the
Rating Factor number and title. Within
each narrative, clearly identify each subfactor immediately above the response
for that sub-factor.
2. Application Checklist. The
Application Checklist indicates forms,
information, certifications and
assurances that apply to this NOFA.
Housing Counseling NOFA Application
Checklist
a. SF–424, Application for Federal
Assistance.
b. SF–424 Supplement—Survey on
Ensuring Equal Opportunity for
Applicants (optional).
c. HUD 424 CB, Grant Application
Detailed Budget.
d. SF–LLL, Disclosure of Lobbying
Activities (if applicable).
e. HUD–27300, Questionnaire for
HUD’s Initiative on Removal of
Regulatory Barriers (optional regarding
eligibility, but mandatory to receive
credit in Factor 2 for the Regulatory
Barriers policy priority).
f. HUD–2880, Applicant/Recipient
Disclosure/Update Report.
g. HUD–2990, Certification of
Consistency with the RC/EZ/EC–II
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Strategic Plan (LHCAs only, if
applicable).
h. HUD–2991, Certification of
Consistency with the Consolidated Plan
(if applicable).
i. HUD–2994, You Are Our Client
Grant Applicant Survey (optional).
j. HUD–96010, Program Outcome
Logic Model.
k. HUD–96011 Facsimile Transmittal
Cover Page (to be used to transmit third
party documents as part of your
electronic application).
l. HUD–9902, Housing Counseling
Agency Fiscal Year Activity Report
(only required for Applicants who did
not electronically submit to HUD a form
HUD–9902 for the period October 1,
2004 through September 30, 2005, for
example, applicants that received
approval as a HUD housing counseling
agency after September 30, 2005.
m. SHFA Statutory Authority. SHFAs
must submit evidence of their statutory
authority to operate as a SHFA, as
defined in this NOFA, and must submit
evidence of their authority to apply for
funds and subsequently use any funds
awarded. Applicants should verify that
their agency profile information is
accurately represented in HUD’s
Housing Counseling System (HCS) and
validate the information prior to
submitting the grant application.
n. List of all offices. Intermediaries
must provide a list of the states in
which they maintain offices, including
the central office and all affiliates or
branch offices. Provide this information
for all affiliates and branch offices, not
just the ones the applicant proposes to
fund through this grant. Indicate with
an asterisk or other notation those that
will be funded through this grant and
the amount, if known.
o. Organization Description.
Applicants must provide a brief
description, no more than 225 words, of
their organizational history and
proposed grant activities, as they would
like them to appear in the press release
issued by HUD in the event that the
applicant is funded through this NOFA.
p. Narrative statements as required in
this NOFA.
C. Submission Dates and Times.
Application Deadline Date and Proof of
Timely Submission. The application
deadline date is May 23, 2006. Please be
sure to read the General Section for
timely submission and receipt. Failure
to follow the submission requirements
and procedures may affect your ability
to receive an award.
D. Intergovernmental Review. The
Housing Counseling Program is not
subject to Intergovernmental Review.
E. Funding Restrictions.
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1. Funding is limited to the eligible
activities described in Section III.D of
this NOFA.
2. Pre-award Costs. Grantees may
incur pre-award costs not more than 90
calendar days prior to the effective date
of the grant agreement and only with
prior approval from HUD. All pre-award
costs are incurred at the applicant’s risk
and HUD has no obligation to reimburse
such costs if the award is inadequate to
cover such costs or the award offer is
withdrawn because of the applicant’s
failure to satisfy the requirements of this
NOFA.
F. Other Submission Requirements.
Applications must be submitted via the
Grants.gov Web site at https://
www.grants.gov/Apply by no later than
the established deadline date and time.
See the General Section for further
information.
V. Application Review Information
A. Criteria. The Factors for Award,
and maximum points for each factor, are
outlined below. These factors will be
used to evaluate all applications. The
maximum number of points for each
applicant is 102 for LHCAs and 100 for
all other applicants.
1. Bonus Points—‘‘RC/EZ/EC–II.’’
ONLY LHCAs are eligible for 2 bonus
points. See the General Section for
information regarding ‘‘RC/EZ/EC–II’’
bonus points.
2. Additional Information. HUD may
rely on information from performance
reports, financial status information,
monitoring reports, audit reports, and
other information available to HUD to
make score determinations to any
relevant Rating Factor.
3. Responses to Factors for Award.
Responses to the following rating factors
should provide HUD with detailed
quantitative and qualitative information
and relevant examples regarding the
housing counseling work of the
organization. The Rating Factors contain
requests for additional information from
applicants interested in supplemental
HECM funding.
In responses to the various factors and
sub-factors, intermediaries and SHFAs
should not submit a separate response
for each proposed sub-grantee and
branch, but should provide a brief
profile of each and summary response
for their entire network, highlighting
individual activities, partnerships,
needs and/or results when appropriate.
a. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Staff (30 Points).
HUD uses responses to this Rating
Factor to evaluate the readiness and
ability of an applicant and proposed
sub-grantee and branch staff, to
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immediately begin, and successfully
implement, the proposed work plan
detailed in Rating Factor 3. HUD will
also evaluate how effectively the
applicant managed work plan
adjustments that may have been
required if performance targets were not
met within established timeframes and
how often work plan adjustments were
required.
(1) Applicants must provide the
following information to support
evaluation of this Rating Factor.
Information may be provided in a chart
or table.
(a) Number of full-time (35 hours +
per week) housing counselors working
for the applicant and, if applicable,
proposed sub-grantees or branches;
(b) Number of part-time housing
counselors working for the applicant
and, if applicable, proposed subgrantees or branches;
(c) Number of bilingual housing
counselors working for the applicant
and, if applicable, proposed subgrantees or branches;
(d) Average years of housing
counseling experience for housing
counselors working for the applicant
and, if applicable, proposed subgrantees or branches;
(e) Average years of housing
counseling program management
experience for the project director(s) for
the applicant and, if applicable,
proposed sub-grantees or branches;
(f) Average years of related
experience, such as experience in
mortgage lending, for counselors and
project managers;
(g) For intermediaries and SHFAs, the
number of sub-grantees and branches
that received funding from the applicant
through a FY 2004 HUD housing
counseling grant(s), if applicable,
covering the period October 1, 2004–
September 30, 2005.
(2) Knowledge and Experience (11
points).
Using the information provided
above, demonstrate that the applicant,
including proposed sub-grantees and
branches, has sufficient personnel with
the relevant knowledge and experience
to implement the proposed activities in
a timely and effective manner, and
bilingual language skills, if appropriate.
Specifically, for LHCAs, scoring will
be based on the number of years of
recent and relevant experience of
Housing Counseling Program project
directors and recent housing counseling
and relevant experience of housing
counselors.
For intermediaries and SHFAs,
scoring will be based on: The number of
years of recent and relevant experience
of project directors of proposed sub-
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grantees and branches; the number of
years of recent housing counseling and
relevant experience of counselors in
proposed sub-grantees and branches;
and the number of years, for key
intermediary or SHFA personnel, of
recent experience running a housing
counseling program consisting of a
network of multiple housing counseling
agencies. HUD will award higher scores
to applicants with more experienced
staff and management.
Related experience, such as
experience in mortgage lending, will
also be considered, but will not be
weighted as heavily in the scoring as
direct housing counseling or housing
counseling program management
experience. HUD will also factor in
other information that demonstrates the
capacity of the applicant, such as
relevant staff trainings and
certifications. In scoring this section,
HUD will evaluate whether the
applicant has experience providing the
proposed services. HUD will award
higher scores to applicants with staff
and management that have the greatest
combination of experience, training and
demonstrated competency.
(a) Submit the names and titles of
employees, including subcontractors
and consultants who will perform the
activities proposed in the applicant’s
work plan in Rating Factor 3. Clerical
staff should not be listed. Describe each
employee’s, subcontractor’s, or
consultant’s current housing counseling
duties and responsibilities, experience
in providing one-on-one and group
counseling (describe each separately),
relevant professional background and
experience, and bilingual language
skills, if applicable. Experience is
relevant if it corresponds directly to
projects of a similar scale and purpose.
Provide the number of years of
experience for each position listed, and
indicate where and when each position
was held. Indicate whether the position
was full-time or part-time, and in the
case of part-time positions, provide the
number of hours per week. LHCAs may
provide individual descriptions of staff
limited to one page. These descriptions
do not count toward narrative page
limitations. Intermediaries and SHFAs
acting as intermediaries should
summarize in a single chart, for each
applicable employee, subcontractor, and
consultant of proposed sub-grantees or
branches, the number of years of direct
counseling or counseling program
management experience, and the
number of years of relevant experience.
Total each column. Do not submit
individual resumes for sub-grantee staff.
HUD staff will verify experience
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information submitted during
monitoring reviews.
Applicants for HECM supplemental
funding must specify the HECM
experience of project directors, HUD
HECM Network Counselors and the
organization. They must also indicate
the number of HUD HECM Network
Counselors that are in the applicant’s
network at the time of application, and
that the applicant proposes to fund with
the requested award.
(b) Indicate for all housing counselors
and project directors the specialized
trainings received within the last two
years relevant to the proposed activities,
including specific trainings regarding
FHA programs. Include when the
training was received and who provided
it. Do not include on-the-job training.
Applicants that seek supplemental
funds for HECM counseling must
indicate what relevant training
counselors received to prepare them as
HECM counselors.
(c) Indicate which housing counselors
are certified housing or financial
counselors. Describe what type of
certification is held, who provided it,
when the certification was received, and
if applicable, the date certification
expires.
(d) Indicate if the applicant, affiliates
and branches, utilized an on-line Client
Management System during the grant
period October 1, 2004, to September
30, 2005. Applicants that use a webbased system during this period will be
awarded more points than applicants
that did not utilize a web-based system.
Identify the system and describe what
data is input and if applicable, how the
system analyzes client data, what
reports are generated using the system
and whether or not it is web-based. If
applicable, indicate how the system is
used to advise clients about their
mortgage options including eligibility
for FHA or other types of financing. If
the applicant does not currently use an
on-line or web-based system but plans
to in the coming grant period, October
1, 2006 through September 30, 2007,
indicate which system will be used,
whether or not it is web based, and how
its use will be implemented in terms of
training employees to use it and its
ability to improve client services and
generate reports.
(3) Grant and Program Requirement
Compliance (14 points).
In scoring this Section, HUD will
evaluate how well the applicant met the
Program requirements, including
reporting and grant document
execution, if applicable, for the period
October 1, 2004, to September 30, 2005,
and its ability to spend all grant funds
allotted.
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If the applicant did not receive an FY
2004 HUD grant, it must provide a
response, with sufficient detail for HUD
to evaluate compliance, based on
activities and requirements under other
sources of funding, such as other
federal, state, or local grant awards.
Identify the source(s) and amount(s) of
funds used for housing counseling.
Provide relevant contact information for
the agencies or organizations
administering these programs so HUD
can verify that the information you
report is accurate.
(a) Grantee Requirements. HUD will
evaluate the applicant’s performance
with regard to the timeliness and
completeness with which the applicant
satisfied grant requirements, including
grant document execution, grant
reporting requirements including
quarterly (if applicable), mid-term and
final reports,
(b) Form HUD–9902. HUD will deduct
points if the applicant was required to
submit a form HUD–9902 for the period
October 1, 2004 through September 30,
2005, but failed to do so in a timely
manner.
(c) Expending Grant Funds. If grant
awards were not fully expended during
the grant period October 1, 2004, to
September 30, 2005, provide an
explanation as to the reason why and
the steps the applicant has taken to
ensure that future funding will be
expended according to the terms of the
grant agreement. To receive full credit,
either 100 percent of grant funds must
have been expended in a timely manner
or all goals must have been achieved
prior to expending 100 percent of grant
funds. If goals were achieved with fewer
funds, state so and briefly provide
details of efficiencies realized (if any).
(d) Biennial Performance Reviews.
Significant findings on biennial
performance reviews conducted by HUD
staff will be taken into consideration
when scoring this section.
(e) Housing Counseling System (HCS).
HUD will evaluate applicant’s
timeliness and effectiveness in
validating and updating agency
information in HCS. Intermediaries and
SHFAs must describe procedures and
quality control measures used to verify
sub-grantee, and if applicable branch or
affiliate, information is validated in HCS
on a regular basis.
(4) Management—Goals and Results
(5 points).
In scoring this section, HUD will
compare applicant goals and actual
results for the period October 1, 2004
through September 30, 2005, and
evaluate subsequent changes in
approach resulting from any differences,
if applicable. HUD’s primary concern is
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how the applicant managed change,
when needed, within the organization
as well as a clear and reasonable
explanation as to why goals were not
met, or why they were exceeded, and
what steps were taken organizationally
to accommodate either scenario.
For applicants that received a FY
2004 housing counseling grant covering
the period October 1, 2004 to September
30, 2005, HUD will compare the
projections made in the Program
Outcome Logic Model, Form HUD–
96010 submitted with the FY2004
Housing Counseling NOFA, including
any adjustments based on actual award
amounts, to the corresponding actual
results for that period reported by the
applicant in the Form HUD–9902
submitted to HUD.
Applicants who did not receive a FY
2004 Housing Counseling Grant and
therefore did not finalize outcome
projections, or who are recently
approved, or who were a sub-grantee of
an intermediary or SHFA for the period
of October 1, 2004 through September
30, 2005, and are now applying for
funding under the LHCA category must
indicate the detailed, quantifiable goals
the organization set for itself for the
period covering October 1, 2004 to
September 30, 2005, or for the 12 month
period ending December 31, 2005 if
more appropriate to the Applicant’s or
other grant-requiring reporting
schedule. Also provide the actual
results corresponding to these goals and
explain any differences in goals versus
actual results and indicate what
measurement reporting tools were used
as well as describe the evaluation
process. Form HUD–96010–1, Logic
Model Instructions, which is part of
Form HUD–96010, provides information
regarding measurement reporting tools
and the evaluation process. If describing
goals corresponding to other grant
programs or sources of funding, provide
relevant contact information for the
agencies or organizations administering
those programs so HUD can verify that
the goals and corresponding
achievements you report are accurate.
b. Rating Factor 2: Need/Extent of the
Problem (12 Points).
This factor addresses the extent to
which there is a need for funding the
proposed activities described in the
applicant’s work plan, and the degree to
which the applicant’s work plan
substantively addresses departmental
policy priorities.
(1) Needs Data (6 points).
Provide current or recent economic
and demographic data, and any other
evidence that demonstrates housing
counseling need relevant to the target
area. All proposed activities in Factor 3
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must have corresponding need-related
data. Sources for all data provided must
be clearly cited. Do not submit copies of
reports or tables.
To the extent that the community the
applicant serves has documented need
in its Consolidated Plan, Analysis of
Impediments to Fair Housing Choice
(AI), or other planning documents,
provide these in the response. Economic
and demographic data must include
persons with disabilities located in the
target area. The U.S. Census Bureau, for
example, maintains disability data by
state, county, and metropolitan
statistical area (MSA) at the following
Web site: https://www.census.gov/hhes/
www/disability.html.
Additionally, the HUD USER
Research Information Service and
Clearinghouse, available at https://
www.huduser.org/, allows users to
search over 800 HUD publications by
subjects and keywords.
In scoring this Section, HUD will
evaluate the degree to which the
applicant provides current or recent
economic and demographic data, and
any other evidence that demonstrates
housing counseling need relevant to the
target area and the activities proposed in
projected work plan activities detailed
in Rating Factor 3. Applicants that fail
to identify current or recent objective
data will not receive full points for this
factor.
(2) Departmental Policy Priorities (6
points).
The Departmental policy priorities are
described in detail in the General
Section. Of those listed, the following
five apply to the Housing Counseling
Program for the purpose of this NOFA.
Indicate if and describe how the
applicant’s work plan substantively
addresses each of these departmental
policy priorities. Applicants are advised
to review the policy priorities in the
General Section, to assure they fully
understand the meaning of each, prior
to responding to this sub-factor.
In scoring this section, the applicant
will receive one point for each of the
departmental policy priorities (a)–(d)
that the projected work plan in Factor
3 substantively addresses. Up to 2
points are available for priority (e). The
General Section and HUD’s Notices
identify how policy priority points will
be awarded. Copies of HUD’s notices
published on this issue, can be found on
HUD’s Web site at https://www.hud.gov/
grants/index.cfm.
(a) Providing Increased
Homeownership and Rental
Opportunities for Low- and ModerateIncome Persons, Persons with
Disabilities, the Elderly, Minorities, and
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Families with Limited English
Proficiency.
(b) Providing Full and Equal Access to
Grassroots, Faith-Based and Other
Community-Based Organizations in
HUD Program Implementation.
(c) Participation of Minority-Serving
Institutions in HUD Programs. Identify
partnerships with minority-serving
institutions of higher learning such as
colleges and trade schools.
(d) Participation in Energy Star.
Applicants must provide information on
how they promote or plan to promote
Energy Star materials and practices and
buildings constructed to Energy Star
standards to homebuyers, renters and
other applicable counseling clients.
Describe any outreach activities
previously conducted and/or planned to
promote Energy Star products.
(e) Removal of Regulatory Barriers to
Affordable Housing. Under this policy
priority, higher rating points are
available to (1) governmental applicants
that are able to demonstrate successful
efforts in removing regulatory barriers to
affordable housing and (2)
nongovernmental applicants that are
associated with jurisdictions that have
undertaken successful efforts in
removing barriers. To obtain the policy
priority points for efforts to successfully
remove regulatory barriers, applicants
must complete form HUD–27300,
‘‘Questionnaire for HUD’s Initiative on
Removal of Regulatory Barriers.’’ A
limited number of questions on form
HUD–27300 expressly request the
applicant to provide brief
documentation with its response. Other
questions require that, for each
affirmative statement made, the
applicant supply a reference, URL or
brief statement indicating where the
back-up information may be found, and
a point of contact, including a telephone
number or e-mail address. Applicants
that do not provide the required URL
references or other back-up
documentation will not be eligible for
the points associated with this policy
priority.
c. Rating Factor 3: Soundness of
Approach/Scope of Housing Counseling
Services (35 Points).
This factor addresses the quality and
effectiveness of the applicant’s
historical and proposed housing
counseling activities.
(1) Historical Performance—Quality
and Complexity of Services (8 Points).
In scoring this section, HUD will
evaluate the quality of, the variety of,
and the level of effort and time
associated with the housing counseling
services provided by the applicant
during the period October 1, 2004
through September 30, 2005. Responses
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should contain ‘‘Historical
Performance’’ as part of the heading for
the response. Applicants must provide
the following information:
(a) Average hours of housing
counseling per client, for the period
October 1, 2004, through September 30,
2005, for each of the following service
types, including follow-up, the
applicant organization provides:
(i) Pre-purchase Counseling.
(ii) Homebuyer Education.
(iii) Delinquency/Default Counseling.
(iv) Non-Delinquency Post-Purchase
Counseling.
(v) Home Equity Conversion Mortgage
(HECM) Counseling.
(vi) Post-Purchase Education.
(vii) Rental Counseling.
(viii) Homeless/Displacement
Counseling.
(ix) Predatory Lending Counseling.
(x) Homeownership Voucher
Counseling and Education.
(xi) Other (describe).
Describe the level of effort and time
required to provide the housing
counseling services described and to
meet the needs of clients. Explain the
average counseling time per client
figures above. Scoring will be based on
the degree to which the applicant
demonstrates, as compared to other
applicants, that sufficient time and
resources were devoted to ensure that
clients received quality counseling.
(b) Types of Counseling and Services
Offered: HUD will retrieve this
information from the HUD–9902 and the
Housing Counseling System (HCS).
Verify that the information in these
sources is accurate. If applicant received
supplemental funding and the services
offered were not captured on the HUD–
9902, they must describe their activities
in detail. Scoring of the variety of
housing counseling services offered is
weighted to provide the most points for
HECM and Post Purchase Default/Loss
Mitigation counseling.
(c) Group Education and One-On-One
Counseling. For the period October 1,
2004, through September 30, 2005, HUD
will retrieve from Section 6 of form
HUD–9902, the number of clients that
participated in Homebuyer Education
Workshops or other types of classes
offered as group sessions and will
retrieve from Section 7a–e, the number
of clients that participated in one-onone counseling. Applicants should
explain the figures provided in Form
HUD–9902 regarding group session
participation and one-on-one
counseling. Describe how clients come
to participate in one or the other, the
relationship between the two, and the
role that each plays in the applicant’s
overall service provision. Estimate the
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percentage of clients participating in
both group education sessions and oneon-one counseling. Scorers will evaluate
the extent to which an agency
encouraged and provided one-on-one
counseling, which HUD considers the
most effective form of housing
counseling, instead of over-relying on
homebuyer education workshops and
other forms of group sessions.
(2) Historical Performance—Impact/
Outcomes (9 points).
To score this Section, HUD will
evaluate the applicant’s performance for
the period October 1, 2004, to
September 30, 2005. The quantity of
clients the applicant served will be
compared to similar applicants
providing similar services. Clients
served numbers will also be analyzed in
the context of the applicant’s total
housing counseling budget for the same
period, FY2004. HUD will also consider
the degree to which the services
provided were time and resource
intensive. Additionally, for
intermediaries and SHFAs, HUD will
evaluate the geographic coverage and
scope of the applicant’s activities for the
period October 1, 2004, through
September 30, 2005, including the
number of states served by affiliates or
branches, if applicable, and the overall
size of the housing counseling network
during that period.
(a) Cost per client. Clients served
figures will be obtained from the Form
HUD–9902 for the period October 1,
2004 through September 30, 2005,
submitted to HUD by the applicant,
which reflects activities funded both
with HUD housing counseling grant
funds, if applicable, and with other
leveraged resources. Applicants that
were not required to submit Form HUD–
9902 for the period October 1, 2004
through September 30, 2005 must
complete one as part of this application.
In addition, the applicant must provide
the following information.
(i) FY 2005 total housing counseling
budget, covering the period October 1,
2004–September 30, 2005, including
HUD housing counseling grant(s) or subgrants, if applicable, as well as other
resources leveraged specifically for
housing counseling. Do not include
funds for down payment or closing cost
assistance, Individual Development
Accounts, emergency services, or other
resources not used for the direct
provision of housing counseling.
(ii) Indicate how location, type of
counseling, client type, and expenses
may have affected client volume. Justify
expenses and explain why they were
reasonable, strategic, and appropriate.
(b) Percentage of Grant Funding
Passed Through: Intermediaries and
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SHFAs that received one or more FY
2004 HUD housing counseling grant, for
the grant period October 1, 2004, to
September 30, 2005, must also indicate
what percentage of their grant(s) was
passed through directly to sub-grantees
or branches, and explain how funds not
passed through were spent.
LHCAs applying under Applicant
Category 1 that received one or more FY
2004 HUD housing counseling grants for
the grant period October 1, 2004, to
September 30, 2005, must indicate what
percentage of their grant(s) was spent on
the salaries and benefits of housing
counselors and project directors.
Explain how other funds were spent.
Applicants that did not receive a FY
2004 HUD housing counseling grant
must characterize their performance
through other housing counseling
funding sources, for example other
federal, state or local government grants,
providing as much detail, similar to that
requested above, as possible.
(c) Geographic Coverage:
Intermediaries and SHFAs must identify
the sub-grantees, affiliates and branches,
and corresponding states, to which the
applicant provided housing counseling
funding, for the period October 1, 2004,
through September 30, 2005, through:
(i) FY 2004 HUD housing counseling
grant funds, if applicable.
(ii) All housing counseling resources.
(3) Projected Performance/Work
Plan—Quality and Complexity of
Services (9 points).
This section involves information on
housing counseling services to be
conducted during the period October 1,
2006, through September 30, 2007. In
scoring this Section, HUD will consider
the types and variety of housing
counseling and education services being
offered, and other activities occurring in
support of the applicant’s housing
counseling program.
HUD will also evaluate the quality of
the applicant’s proposed housing
counseling services, and level of effort
and time associated with providing the
proposed counseling services to the
number of clients it estimates it will
serve. Scoring will be based on the
degree to which the applicant
demonstrates, as compared to other
applicants, that for each type of
counseling service delivered, average,
greater than average or less than average
time and resources will be devoted to
ensure that clients receive quality
counseling.
Applicants must provide the
following information, which will be
used in conjunction with responses in
Rating Factor 5, as a basis to support the
scoring of the sub-factors below. There
must be consistency between Rating
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Factor 3 and the projected outputs and
outcomes in Rating Factor 5. Responses
must contain ‘‘Projected Performance’’
as part of the heading for the response.
(a) Describe the various types of
housing counseling and education
services, and if applicable intermediary
activities, the applicant proposes to
undertake, and identify the geographic
area the services will cover. Also,
describe planned follow-up activities, if
applicable. Proposed services and
activities must relate to the needs
identified in Rating Factor 2. Scoring of
the variety of housing counseling
services offered is weighted to provide
the most points for one-on-one
counseling regarding HECM and Post
Purchase Default/Loss Mitigation. To be
eligible for the full points available for
these service types, applicants
proposing to provide HECM and/or
Default/Loss Mitigation counseling must
have prior HUD-approval to provide
these services.
Intermediaries and SHFAs acting as
intermediaries should describe in detail
their plans to train proposed subgrantees and branches, provide
technical assistance, and evaluate
compliance with program requirements,
for example through site visits.
(b) Average hours of housing
counseling time the applicant estimates
per client, for each of the activities
listed in part (a), including follow-up. If
the projected average times are the same
as those listed for the period covering
October 1, 2004–September 30, 2005,
the applicant may simply state so in lieu
of listing them again here.
Also provide the proposed average
hourly labor-rate for housing counselors
working for the applicant, affiliates, or
branch network, if applicable, including
benefits.
(c) Indicate the names and titles of
employees, including subcontractors
and consultants, allocated to each
proposed activity, as well as the
corresponding staff hours for each task,
and demonstrate that the applicant has
the human resources to accomplish the
proposed activities and serve the
number of individuals the applicant
proposes to serve. The staff information
should include who from Rating Factor
1 will be involved and any new staff,
subcontractors or consultants that will
be hired for the October 1, 2006–
September 30, 2007 grant period.
For intermediaries and SHFAs, the
total number of sub-grantees and
branches, and corresponding number of
states, that the applicant estimates will
receive funding through the proposed
FY 2006 HUD Housing Counseling
Grant during the grant period October 1,
2006, to September 30, 2007. If applying
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for HECM supplemental funding,
indicate the number of sub-grantees and
branches the applicant estimates for
comprehensive counseling, and for any
HECM supplemental funding requested.
(d) Describe plans to effectively serve
and/or communicate with persons with
limited English proficiency (LEP) and
persons with disabilities who require
alternative formats, for example
materials that are available in languages
other than English.
(e) Intermediaries and SHFAs must
also:
(i) Describe the housing counseling
and education activities to be provided
by proposed sub-grantees and branches,
explicitly stating the types of services to
be offered, preferably in a chart.
(ii) Describe the applicant’s legal
relationship with sub-grantees (i.e.
membership organization, field, or
branch office, subsidiary organization,
etc.).
(iii) Explain the process that will be
used to determine sub-grantee funding
levels and distribute funds. If
applicable, indicate how sub-grantee
funding levels are adjusted on an ongoing basis based on performance.
(4) Projected Performance/Work
Plan—Coordination (5 points).
HUD will consider the extent to
which, as compared to similar
applicants, the applicant can
demonstrate it will coordinate proposed
activities with other organizations, and
if applicable with other services and
products offered by the applicant’s
organization, in a manner that benefits
their clients. Scoring will also be based
on the degree to which the applicant
takes steps to avoid conflicts of interest,
and discloses to clients that they have
a choice in matters such as the loan
product they choose and the house that
they purchase.
(a) Describe partnerships and efforts
to coordinate proposed activities with
other organizations, including, but not
limited to, emergency and social
services providers, lending
organizations, homeowner insurance
providers, down payment and closing
cost assistance programs, nonprofit
housing providers, and local or state
government. For example, describe
agreements with lenders regarding nontraditional lending standards or
participation in the Consolidated
Planning process or the Analysis of
Impediments. Any written agreements
or memoranda of understanding in
place should be described. These
agreements and memoranda of
understanding will be reviewed by HUD
staff as a part of the biennial reviews
and on-site monitoring visits.
Applicants should also highlight
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internal products and functions, such as
loan products available to clients, down
payment and closing cost assistance
programs, as well as internal affordable
housing programs that can be a resource
for clients.
Applicants requesting HECM
supplemental funding should highlight
the partnerships or internal products
that are relevant to HECM activities.
(b) Describe plans to avoid conflicts of
interest, such as methods for disclosing
to participants that they are free to
choose lenders, loan products, and
homes, regardless of the
recommendations made by counselors.
To receive full credit in this Section, the
applicant must state their plan and
describe the disclosure forms and
materials used by the applicant to
communicate to clients that, while
affordable homes, lending products and
other forms of assistance might be
available through the applicant, and
partnerships in which the applicant has
entered, the client is under no
obligation to utilize these services.
These plans and disclosures will be
reviewed by HUD staff as a part of the
biennial reviews and on-site monitoring
visits.
(5) Projected Performance/Work
Plan—Coverage/Efficient Use of
Resources (4 points).
In scoring this Section, HUD will
evaluate the geographic coverage of the
applicant’s proposed activities, and
spending decisions.
(a) Percentage of Grant Funding To Be
Passed Through: Intermediaries and
SHFAs must indicate what percentage
of their proposed award will be passed
through directly to sub-grantees and
branches, and explain how funds not
passed through will be spent.
LHCAs that apply under Applicant
Category 1 must indicate what
percentage of their proposed award will
be spent on the salaries and benefits of
housing counselors and project
directors. Explain in detail how other
proposed funds will be spent.
(b) Geographic Coverage:
Intermediaries and SHFAs must identify
the sub-grantees and branches, and
corresponding states, the applicant
proposes will receive funding through
this grant award. Indicate which, if any
proposed sub-grantees and branches,
serve Colonias. In the event that an
intermediary is also applying for HECM
supplemental funding, indicate the
agencies and corresponding states in
which the HUD HECM Network
counselors you propose to fund are
located. Applicants unable to precisely
identify proposed sub-grantees and
branches to receive funding through the
proposed grant must identify the most
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likely sub-grantees and branches, based
on past experience, and explain what
process will be used to select actual subgrantees and branches. Pursuant to the
applicable regulations at 24 CFR
84.82(d)(3)(iii) and 85.30(d)(4), grantees
must receive HUD’s prior written
approval for sub-grants.
d. Rating Factor 4: Leveraging
Resources (10 Points).
HUD housing counseling grants are
not intended to fully fund an applicant’s
housing counseling program, or that of
its sub-grantees. All organizations that
use housing counseling grant funds are
expected to seek other private and
public sources of funding for housing
counseling to supplement HUD funding.
Any agency that does not have other
resources available will receive no
points for this factor.
Applicants will be evaluated based on
their ability to show that they have
obtained additional resources for their
housing counseling activities, for the
period October 1, 2006–September 30,
2007, including: direct financial
assistance; in-kind contributions, such
as services, equipment, office space,
labor; etc. Resources may be provided
by governmental entities, public or
private nonprofit organizations, forprofit private organizations, or other
entities committed to providing
assistance. Grantees will be required to
maintain evidence that leveraged funds
were actually provided to the agency.
These files will be reviewed by HUD
staff as a part of the biennial reviews
and on-site monitoring visits.
(1) Applicants must provide a
comprehensive list of all leveraged
funds and in-kind contributions being
claimed. Include the amount and the
source. All contributions, including
cash and third party in-kind, shall be
accepted as part of the recipient’s cost
sharing or matching when such
contributions meet all of the criteria set
forth in 24 CFR 84.23.
(2) Additionally, resources provided
by the applicant may count as leveraged
resources. These amounts must include
only funds that will directly result in
the provision of housing counseling
services, but not resources for activities
such as down payment and closing cost
assistance, IDA programs, and
emergency services.
(3) Intermediaries and SHFAs should
include information on leveraged
resources for only anticipated subgrantees and branches that will be
funded through this application.
(4) Points for this factor will be
awarded based on the satisfactory level
of leveraging and financial
sustainability and the percentage of the
applicant’s total housing counseling
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budget that the requested HUD housing
counseling funds would represent. The
amount of grant funds requested will
impact the ratio used to score this
factor, as this factor evaluates the
proposed HUD grant as a percentage of
the total counseling budget. For
example, a LHCA requesting the
maximum comprehensive grant amount
of $200,000 with leveraged funds
equaling that grant will only receive 7
points. If that same LHCA requests only
$140,000 with the same leveraged funds
of $200,000, the score will be 8.
Depending on organization type, the
following scales will be used to
determine scores for this factor:
LHCAs and SHFAs
1–25%—10 points
26–40%—9 points
41–48%—8 points
49–55%—7 points
56–65%—6 points
66–75%—5 points
76–85%—4 points
86–91%—3 points
92–95%—2 points
96–99%—1 point
Intermediaries
1–15%—10 points
16–23%—9 points
24–29%—8 points
30–35%—7 points
36–41%—6 points
42–47%—5 points
48–53%—4 points
54–59%—3 points
60–65%—2 points
66–99%—1 point
e. Rating Factor 5: Achieving Results
and Program Evaluation (13 points).
This factor emphasizes HUD’s
determination to ensure that applicants
meet commitments made in their
applications and grant agreements and
assess their performance in achieving
agreed upon performance goals. This
reflects HUD’s Strategic goal to embrace
high standards of ethics, management
and accountability.
The purpose of this factor is for the
applicant to identify projected outputs
and outcomes corresponding to the
proposed workplan in Factor 3. The
developed logic model submitted with
the application will serve as a reporting
tool for applicants selected to receive an
award, allowing HUD to compare
proposed program outputs and
outcomes with actual results. In scoring
this Factor, HUD will consider the
appropriateness of the goals given the
award the applicant is applying for and
evaluate the proposed outputs and
outcomes for their effectiveness and
efficiency in delivering housing
counseling services to the population to
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be serviced. Additionally, scorers will
evaluate the extent to which an
applicant’s proposal includes one-onone counseling or encourages affiliates
to undertake one-on-one counseling.
HUD considers one-on-one counseling
the most effective form of housing
counseling, as compared to homebuyer
education workshops and other forms of
group sessions.
(1) Program Outcome Logic Model (2
points).
This year HUD has created a new
method for completing the Logic Model
form. Applicants will now be able to
select appropriate outputs and outcomes
from a series of ‘‘pick lists’’ for the
Housing Counseling Program. The pick
list can be found in the form HUD–
96010 in the Grants.gov Housing
Counseling Program Instructions
Download. Using the pick list, for each
column of the logic model, applicants
can select and insert their outputs and
outcomes in the appropriate columns of
the Logic Model.
The pick lists also provide for an
associate unit of measure for each
output and outcome, and applicants
must utilize the measure provided that
is associated to the activity. Applicants
must identify projected output and
outcome values that correspond to the
unit of measure. For example, insert
whole numbers, not percentages, when
the unit of measure is ‘‘Households’’.
These amounts should represent
results to be achieved entirely as a result
of the HUD housing counseling funding.
If, in reality, various funding sources
will contribute to the services provided
each individual, the applicant must
prorate their response to reflect a figure
representing services provided with
only funding from the proposed grant.
HUD will ultimately compare these
output projections with actual
accomplishments reported in the form
HUD–9902, so applicants should make
their projections based on what they
expect to achieve for reporting on the
HUD–9902. In other words, applicants
are projecting what their future form
HUD–9902 will look like. In addition,
HUD has provided a series of
management questions, which awardees
will be expected to respond to in
reporting back to HUD. The
management questions place a
framework around the data you will be
reporting to HUD. The management
questions are included in the Logic
Model and applicants should use them
as a guide to understanding what HUD
is interested in learning about the major
element of your program. HUD will
provide training on the Logic Model
through webcasts and detailed step-bystep instructions for using the new form
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and format. The schedule for the
webcasts and instructions can be found
at https://www.hud.gov/offices/adm/
grants/fundsavail.cfm For FY2006, HUD
is considering a new concept for the
Logic Model. The new concept is a
Return on Investment (ROI) statement.
HUD will be publishing a separate
notice on the ROI concept.
Applicants must complete and submit
Form HUD–96010. Applicants will be
scored based on how the applicant’s
Form HUD–96010 corresponds to the
narrative responses for Factor 2 and 3.
To receive full credit, the Form HUD
96010 must identify:
(a) Outputs.
Outputs are the direct products of the
applicant’s activities that lead to the
ultimate achievement of outcomes.
Based on the proposed work plan in
Factor 3 and the amount being
requested through this NOFA,
applicants should select the appropriate
outputs and their associated units of
measure from the choices provided in
the pick list, and provide the
corresponding number to be achieved
for each proposed output.
If requesting supplemental funding,
indicate the specific number of
households the applicant projects it, or
if applicable, sub-grantees and branches,
will serve under the comprehensive
counseling portion of the requested
award and with requested HECM
supplemental funding.
(b) Outcomes.
Outcomes are benefits accruing to the
households as a result of participation
in the program. Outcomes are
performance indicators the applicant
expects to achieve or goals it hopes to
meet over the term of the proposed
grant. Using the pick lists provided,
applicants should select each
appropriate outcome and associated
unit of measure related to the proposed
work plan, and provide the
corresponding number to be achieved
for each proposed outcome. Projected
outcomes should reflect the number you
expect to report in the HUD Housing
Counseling Grant Activities column on
the Form HUD–9902.
The proposed outcomes the applicant
provides will be compared to actual
results in the measurement of grant
performance and future grant
application evaluations.
(2) Projected Performance/Work
Plan—Impact (6 points).
In scoring this Section, HUD will
evaluate the proposed outputs from the
logic model, specifically the number of
clients that the applicant estimates will
be served under the proposed HUD
grant, by the applicant and sub-grantees,
if applicable, for the grant period
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October 1, 2006, to September 30, 2007.
Scoring will be based on the cost per
client, compared historical averages for
similar services and similar applicants.
Proposed clients served numbers will
also be analyzed in the context of
budget, costs, spending decisions, the
types of services provided, level of effort
expended, etc.
(a) Provide a context for, or qualify
the number of clients the applicant
projects to serve with the proposed HUD
grant. Indicate how location, counseling
and client types, and expenses may
affect client volume, and whether the
impact will be short-term or long-term.
Justify proposed expenses and explain
why they are reasonable, strategic, and
appropriate for the counseling activities
identified above.
(3) Projected Performance—Group
Education and One-On-One Counseling.
(3 points)
HUD will utilize logic model output
projections to evaluate what percentage
of total clients the applicant estimates
will participate in group education,
what percentage will participate in oneon-one counseling, and what percentage
will participate in both group sessions
and one-on-one counseling. Describe
how clients are selected for one or the
other, the relationship between the two,
and the role that each will play in the
overall service provision. Scorers will
evaluate the extent to which an agency
plans to encourage and provide one-onone counseling, which HUD considers
the most effective form of housing
counseling, instead of over-relying on
homebuyer education workshops and
other forms of group sessions.
(4) Evaluation Plan. (2 points)
Applicants must also submit an
evaluation plan for how they are going
to track actual accomplishments against
anticipated achievements and ensure
that the program can provide the
services projected to be delivered and
outcomes projected to be achieved.
(a) Information Collection. Describe
the applicant’s procedures for
measuring outputs and outcomes.
Describe follow-up activities with
clients to collect outcome information.
(b) Data Analysis and Work Plan
Adjustments. Indicate how the
information will be evaluated, and the
steps the applicant has in place to make
adjustments to the work plan if
performance targets are not met within
established timeframes. National and
regional intermediaries and SHFAs
should indicate if and how the
performance of sub-grantees and branch
offices affects current and future subgrants and allocations.
B. Review and Selection Process. Two
types of reviews will be conducted.
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1. Technical Review. First, each
application will be reviewed for
technical sufficiency, in other words,
whether the application meets the
threshold requirements set out in this
NOFA and the General Section and
whether all required forms have been
submitted. The General Section
provides the procedures for corrections
to deficient applications.
2. General Review. The second review
considers the responses to the rating
factors outlined above and other
relevant information. Applications will
be evaluated competitively, and ranked
against all other applicants that applied
in the same funding category.
3. Rating Panels. Detailed information
on the rating review panels appears in
the General Section.
4. Minimum Score for Fundable
Applications. The minimum score for
fundable applications is 75 points.
5. Funding Methodology.
a. Comprehensive Counseling. The
following funding formula will be used
to calculate the comprehensive
counseling portion of the awards under
Categories 1–3. Only applicants who
receive a score of 75 points or above
will be considered eligible for funding.
All eligible applicants will then be
funded in proportion to the score they
receive. Regarding the comprehensive
counseling portion of an award, all
grantees will receive the lower of either
the comprehensive award amount
determined with the formula, or the
amount actually requested by the
applicant. HUD will consider the
amount of the comprehensive
counseling grant being requested to be
the value entered into box 15a on form
SF–424. For intermediaries also
requesting HECM supplemental
funding, box 15a of Form SF–424
should reflect the total of the
comprehensive request and the HECM
supplemental request. For these
intermediaries requesting both, the
narrative response to Factor 3 must
make clear the exact comprehensive and
supplemental amounts being requested.
The formula will work as follows for
each category:
(1) Funding Round 1. Every applicant
that scores 75 points or above will
receive a base award ($20,000 for
LHCAs; $50,000 for SHFAs; and
$200,000 for intermediaries). The total
number of applicants receiving the base
award will be multiplied by the relevant
base amount, and that amount will be
subtracted from the total amount
available under the Category, or in the
cases of Categories 1 and 3, available to
the HOC.
(2) Funding Round 2. Then, the
remaining balance after funding the
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Round 1 base awards will be divided by
the total number of points all applicants
in that Category, and HOC in the cases
of Categories 1 and 3, score that are
above the 75-point cutoff. The
calculation will result in a dollar value
for each point. The number of points
that all applicants in a Category, and in
a HOC in the cases of Categories 1 and
3, score above the 75 point base will be
multiplied by that dollar value. The
result of that calculation will be added
to the base award. Any remaining funds
after this calculation will carry over into
the next funding round.
(3) This same methodology will be
used for each subsequent round of
funding until all available funds are
awarded, or until all eligible applicants
are funded to the maximum dollar
amount allowed. Subsequent rounds of
calculations, if needed, will distribute
remaining funds to applicants that
scored above 95 points, 91–95 points,
86–90 points, and 80–85 points,
respectively.
b. Supplemental Funding. The same
methodology described above in section
a will be used to distribute the available
HECM supplemental funds. Regarding
supplemental funding, all grantees will
receive the lower of either the
supplemental award amount
determined with the formula, or the
specific amount of supplemental
funding actually requested by the
applicant. Each applicant will only
submit one application and receive a
score based on the application for the
comprehensive counseling grant.
Comprehensive counseling funds will
be allocated based on this score.
Subsequently, for HECM supplemental
funding, responses to each rating factor
will be evaluated on a yes/no, adequate/
inadequate basis. An adequate response
will result in a score for the
supplemental funding identical to the
comprehensive score on each respective
rating factor. An inadequate
supplemental response will result in a
1-point deduction from the
comprehensive score. After all five
rating factors have been evaluated, the
adjusted ratings will result in a distinct
score for the HECM supplemental funds.
This method will result in scores for
supplemental funding that may be equal
to the comprehensive score, or up to
five points less than the comprehensive
score. In no case can an applicant
receive a higher score on an application
for supplemental funding than it
received on its comprehensive
application. An applicant will receive a
separate score for its application for
comprehensive counseling, and for
HECM supplemental funding. The base
award for the HECM supplemental
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funding will be $40,000 for
intermediaries. Only applicants scoring
75 points or above are eligible for
supplemental funding. However,
because of the limited amount of funds
available, all applicants scoring 75
points or above are not guaranteed
supplemental funding. The top two
scoring intermediary applicants (scoring
75 points or above) that are eligible for
HECM supplemental funds, and have
not already been fully funded in
accordance with the funding
methodology described in this section,
will receive supplemental HECM
funding.
6. Reallocation of Unspent Funds. If
funds designated for a specific grant
Category, HOC, or for supplemental
funding remain unspent after the
formulas have been run and award
recommendations are determined, HUD
may, at its discretion, reallocate those
funds to any other funding Category or
supplemental funding area under this
NOFA. Additionally, HUD may
reallocate unspent funds to any HOC
jurisdiction or to HUD Headquarters for
awards under this NOFA. HUD may also
reallocate unspent funds for housing
counseling support activities. Any
reallocation will be based on demand
and unmet need.
VI. Award Administration Information
A. Award Notices: Following
selection, applicants will receive
notification from HUD regarding their
application.
1. Publication of Recipients of HUD
Funding. HUD’s regulations at 24 CFR
part 4 provide that HUD will publish a
notice in the Federal Register to notify
the public of all decisions made by the
Department. Please see the General
Section for more information on this
topic.
2. Debriefing. Applicants may receive
a debriefing on their application
submission. Please see the General
Section for a further discussion of the
time frame in which the debriefing
request may be submitted.
B. Administrative and National Policy
Requirements:
1. Environmental Requirements. In
accordance with 24 CFR 50.19(b)(9) and
(12) of the HUD regulations, activities
assisted under this program are
categorically excluded from the
requirements of the National
Environmental Policy Act and are not
subject to environmental review under
the related laws and authorities.
2. Audit Requirements. Grantees that
expend $500,000 or more in federal
financial assistance in a single year (this
can be program year or fiscal year) must
be audited in accordance with the OMB
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requirements as established in 24 CFR
Part 84. Additional information
regarding this requirement can be
accessed at the following Web site:
https://harvester.census.gov/sac.
3. Other Matters.
a. Relocation. See the General Section.
b. OMB Circulars and Governmentwide Regulations Applicable to
Financial Assistance Programs. See the
General Section.
c. Prohibition Against Lobbying
Activities. See the General Section.
d. Procurement of Recovered
Materials. See the General Section.
f. Executive Order 13279 Equal
Protection of the Laws for Faith-Based
and Community Organizations. See the
General Section.
g. Salary Limitation for Consultants.
See the General Section.
h. Executive Order 13132, Federalism.
See the General Section.
i. Sense of Congress. See the General
Section.
C. Reporting:
1. Fiscal Year Activity Report.
Grantees are required to submit Form
HUD–9902, Fiscal Year Activity Report,
via HUD’s web-based Housing
Counseling System (HCS). The
information compiled from this report
provides HUD with its primary means of
measuring program performance.
2. Program Outcome Logic Model. If
the actual award amount differs from
the proposed award, Grantees are
required to submit an updated Form
HUD–96010, Program Outcome Logic
Model before the grant agreement will
be executed. Additionally, Grantees will
be required to submit an updated Form
HUD–96010, Program Outcome Logic
Model, reflecting actual achievements,
with each quarterly, midterm and final
report, in accordance with the reporting
requirements of the grant agreement.
The information in this form provides
the primary means through which HUD
will monitor the ongoing performance of
the grantee.
VII. Agency Contact(s)
A. Technical Assistance. For
technical assistance in downloading or
submitting an application package using
www.Grants.gov, contact the Grants.gov
support desk at 800–518–Grants or by
sending an e-mail to
support@grants.gov.
B. Programmatic Information. For
program related information, LHCAs
and SHFAs should contact the HOC
serving their area, as indicated below.
Intermediaries should contact HUD
Headquarters, Program Support Division
at (202) 708–0317 (this is not a toll-free
number). Hearing and speech
challenged persons may access the
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telephone numbers listed below by
11813
calling the Federal Information Relay
Service at 800–877–8339.
Homeownership Center
States
Philadelphia Homeownership Center, Ms. Brenda Bellisario, Acting Director, Program Support Division, Wannamaker Building, 100 Penn
Square East, 12th Fl, Philadelphia, PA 19107–3389. For programmatic
information
contact:
Robert
Wright,
Robert_Wright@hud.gov (215) 656–0527 x3406.
Atlanta Homeownership Center, Ms. Gayle Knowlson, Director, Program Support Division, 40 Marietta Street, 8th Floor, Atlanta, GA
30303–2806. For programmatic information contact: E. Carolyn Hogans, E._Carolyn_Hogans@hud.gov (404) 331–5001, x2129.
Denver Homeownership Center, Ms. Irma Devich, Director, Program
Support Division, 1670 Broadway, Denver, CO 80202–4801, For programmatic information contact: 303–672–5200, Vic Karels x1995,
Victor_E._Karels@hud.gov
Jonna
Munson
x1987,
Jonna_R._Munson@hud.gov.
Santa Ana Homeownership Center, Mr. Jerrold Mayer, Director, Program Support Division, Santa Ana Federal Building, 34 Civic Center
Plaza, Room 7015, Santa Ana, CA 92701–4003, For programmatic
information contact: Rhonda J. Rivera, rhonda_j._rivera@hud.gov 1–
888–827–5605 x3210.
Connecticut, Delaware, District of Columbia, Maine, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, Ohio,
Pennsylvania, Rhode Island, Vermont, Virginia, West Virginia.
VIII. Other Information
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A. Satellite Broadcast. HUD will hold
an informational broadcast via satellite
for potential applicants to learn more
about the program, the FY 2006 Logic
Model requirements, and the
application. For more information about
the date and time of the broadcast,
consult the HUD Web site at: https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm.
B. Public Access, Documentation, and
Disclosure. See the General Section for
more information on this topic.
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Alabama, Puerto Rico, Florida, Georgia, Illinois, Indiana, Kentucky,
Mississippi, North Carolina, South Carolina, Tennessee.
Arkansas, Colorado, Iowa, Kansas, Louisiana, Minnesota, Missouri,
Montana, Nebraska, New Mexico, North Dakota, Oklahoma, South
Dakota, Texas, Utah, Wisconsin, Wyoming.
Alaska, Arizona, California, Hawaii, Oregon, Idaho, Nevada, Washington.
C. Paperwork Reduction Act. The
information collection requirements
contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
number 2502–0261. In accordance with
the Paperwork Reduction Act, HUD may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless the collection
displays a currently valid OMB control
number. Public reporting burden for the
collection of information is estimated to
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average 68 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, semi-annual
reports and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
BILLING CODE 4210–01–P
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Lead-Based Paint Hazard Control Grant
Program, Lead Hazard Reduction
Demonstration Grant Program, and
Operation Lead Elimination Action
Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Healthy Homes and Lead
Hazard Control.
B. Funding Opportunity Title: LeadBased Paint Hazard Control Program
and Lead Hazard Reduction
Demonstration Program and Operation
Lead Elimination Action Program
(LEAP).
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: FR–
5030–N–13; OMB Approval Number
2539–0015.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): 14.900
Lead-Based Paint Hazard Control in
Privately Owned Housing and 14.905
Lead Hazard Reduction Demonstration
Program, and 14.903 Operation Lead
Elimination Action Program.
F. Dates: Applications must be
received and validated by Grants.gov no
later than 11:59:59 p.m. Eastern Time on
June 7, 2006. See the General Section for
specific instructions regarding
application submission.
G. Optional, Additional Overview
Content Information:
1. Purpose of the Program.
a. The purpose of the Lead-Based
Paint Hazard Control Program is to
assist states, Native American Tribes
and local governments in undertaking
comprehensive programs to identify and
control lead-based paint hazards in
eligible privately owned housing for
rental or owner-occupants.
b. The purpose of the Lead Hazard
Reduction Demonstration Program is the
same as the Lead Hazard Control, but
the Lead Hazard Reduction
Demonstration Program is targeted for
urban jurisdictions with the highest
lead-based paint hazard control needs.
c. The purpose of the Operation Lead
Elimination Action Program (LEAP) is
to provide grants to private sector and
nonprofit organizations to leverage
funds for addressing lead hazards in
privately owned housing units and
eliminating lead poisoning as a major
public health threat to young children.
2. Available Funds. Approximately
$159,136,036 million (Lead Hazard
Control Program, Lead Hazard
Reduction Program and Lead
Elimination Action Program (LEAP)).
3. Eligible Applicants.
a. To be eligible to apply for funding
under the Lead-Based Paint Hazard
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Control Program, the applicant must be
a state, Native American Tribe, city,
county, or other unit of local
government. Multiple units of a local
government (or multiple local
governments) may apply as a
consortium; however, you must identify
a lead applicant that will be responsible
for ensuring compliance with all
requirements specified in this NOFA.
State government and Native American
tribal applicants must have an EPA
approved State Program for certification
of lead-based paint contractors,
inspectors, and risk assessors in
accordance with 40 CFR part 745 in
effect on the application deadline date
to be eligible to apply for Lead-Based
Paint Hazard Control Program funds.
b. To be eligible to apply for the Lead
Hazard Reduction Demonstration
Program, the applicant must be a city,
county, or other unit of local
government. States and Indian Tribes
may apply on behalf of units of local
government within their jurisdiction, if
the local government designates the
state or the Indian Tribe as their
applicant. Multiple units of a local
government (or multiple local
governments) may apply as part of a
consortium; however, you must identify
a prime applicant that will be
responsible for ensuring compliance
with all requirements specified in this
NOFA. State government and Native
American tribal applicants must have an
EPA approved State Program for
certification of lead-based paint
contractors, inspectors, and risk
assessors in accordance with 40 CFR
part 745 in effect on the application
deadline date to be eligible to apply for
Lead Hazard Reduction Demonstration
Grant funds.
c. To be eligible to apply for funding
under the Operation Lead Elimination
Action Program (LEAP), the applicant
must be a non-profit or for-profit entity
or firm. For-profit institutions are not
allowed to earn a fee. Colleges and
Universities are also eligible to apply.
National and local groups are
encouraged to apply. States, cities,
counties and units of local government
and their departments are not eligible.
4. Match. See NOFA Criteria by Grant
Program Chart in Section III. Eligibility
Information.
Full Text of Announcement
Section I. Funding Opportunity
Description
A. Program Description
The Lead-Based Paint Hazard Control
Program and the Lead Hazard Reduction
Demonstration Program are authorized
by Section 1011 of the Residential Lead-
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Based Paint Hazard Reduction Act of
1992 (Title X of the Housing and
Community Development Act of 1992,
Pub. L. 102–550). HUD’s authority for
making funding available under this
NOFA for the Lead-Based Paint Hazard
Control Program, and the Lead Hazard
Reduction Demonstration Program is the
Transportation, Treasury, and Housing
and Urban Development, the Judiciary,
the District of Columbia, Independent
Agencies Appropriations Act, 2006
(Pub. L. 109–115; approved November
30, 2005). The Lead-Based Paint Hazard
Control Grant Program assists states,
Native American Tribes and local
governments in undertaking programs
for the identification and control of
lead-based paint hazards in eligible
privately owned rental and owneroccupied housing units. The Lead
Hazard Reduction Demonstration
Program has the same goal as Lead
Hazard Control Program, but is targeted
for urban jurisdictions with the highest
lead-based paint hazard control needs.
The purpose of the Operation Lead
Elimination Action Program (LEAP) is
to provide grants to private sector and
nonprofit organizations to leverage
funds for addressing lead hazards in
privately owned housing units and
eliminating lead poisoning as a major
public health threat to young children.
Refer to the HUD Web site https://
www.hud.gov/offices/lead/lhc/
index.cfm for instructions on
downloading the table, ‘‘Eligibility of
HUD Assisted Housing,’’ that lists the
HUD-associated housing programs that
meet the definition of eligible housing
under this NOFA. HUD is interested in
promoting lead hazard control
approaches that result in the reduction
of elevated blood lead levels in children
for the maximum number of low-income
families with children under six years of
age, for the longest period of time, and
that demonstrate techniques which are
cost-effective, efficient, and replicable
elsewhere. For purposes of this NOFA,
‘‘children under six years of age’’ are
defined as children up to six years of
age. Refer to the HUD Web site https://
www.hud.gov/offices/lead/lhc/
index.cfm, for instructions on how to
obtain copies of Title X, HUD’s LeadSafe Housing Regulation, and the
companion interpretive guidance
publication. If you are a hearing-or
speech-impaired person, you may reach
the telephone number via TTY by
calling the toll-free Federal Information
Relay Service at 1–800–877–8339.
Because lead-based paint is a national
problem, these funds will be awarded to
programs that will fulfill the following
objectives:
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1. Maximize the combination of
children less than six years of age
protected from lead poisoning and
housing units where lead-hazards are
controlled;
2. Target the reduction of elevated
blood lead levels in children for the
maximum number of low-income
families with children less than six
years of age, for the longest period of
time;
3. Stimulate lower-cost and costeffective methods and approaches to
lead hazard control work that can be
replicated;
4. Build local capacity to safely and
effectively address lead hazards during
lead hazard control, renovation,
remodeling, and maintenance activities
by integrating lead safe work practices
into housing maintenance, repair,
weatherization, rehabilitation and other
programs that will continue beyond the
grant period;
5. Affirmatively further fair housing
and environmental justice;
6. Develop a comprehensive
community approach to address lead
hazards in housing by mobilizing public
and private resources, involving
cooperation among all levels of
government, the private sector, and
grassroots community-based nonprofit
organizations, including faith-based
organizations, to develop cost-effective
methods for identifying and controlling
lead-based paint hazards;
7. Establish a public registry (listing)
of lead-safe housing or inclusion of the
lead-safe status of properties in a
publicly accessible address-based
property information system to be
affirmatively marketed to families with
young children; and
8. To the greatest extent feasible,
promote job training, employment, and
other economic opportunities for lowincome and minority residents and
businesses that are owned by and/or
employ minorities and low-income
persons as defined in 24 CFR 135.5 (see
59 FR 33881, June 30, 1994).
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B. Changes in the FY 2006 Competitive
NOFA
1. The Lead-Based Paint Hazard
Control Program, Lead Hazard
Reduction Demonstration Program, and
Operation LEAP are included in this
single NOFA.
2. The Competitive PerformanceBased Renewal category, under the Lead
Hazard Control Grant Program, is not
offered in this NOFA.
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3. Direct lead hazard control activities
are detailed below at Section 3 C 1.
4. Number of pages for the rating
factor responses has been increased
from 15 to 20 pages.
5. Funding requests greater than the
maximum amount for the grant program
will be deemed ineligible and not
reviewed.
Section II. Award Information
A. Funding Available
From current and past years’ funding,
approximately $84,911,331 will be
available for the Lead-Based Paint
Hazard Control Program, approximately
$59,615,180 will be available for the
Lead-Based Paint Hazard Reduction
Grant Program, and approximately
$14,609,525 will be available for
Operation Lead Elimination Action
Program (LEAP).
1. Approximately 32 to approximately
40 grants will be awarded to applicants
for the Lead-Based Paint Hazard Control
Program. In addition, HUD will award a
grant for $3,000,000 in fiscal year 2005
funds to the City of Charleston, 823
Meeting Street, Charleston, SC 29403, to
resolve a funding error under the fiscal
year 2004 Lead-Based Paint Hazard
Control Program NOFA, in accordance
with Sec. VI.A.3 of the fiscal year 2004
General Section. Approximately 10 to
approximately 12 grants will be
awarded to applicants for the Lead
Hazard Reduction Demonstration
Program, and approximately 4 to
approximately 6 grants will be awarded
to applicants for Operation LEAP. Grant
award amounts for the Lead-Based Paint
Hazard Control Program shall be from
approximately $1 million up to a
maximum of $3 million per grant, for
the Lead Hazard Reduction
Demonstration Program, from
approximately $1 million up to a
maximum of $4 million, and for
Operation Lead Elimination Action
Program (LEAP) a maximum of $2
million per grant. Applications for
amounts larger than the applicable
maximum amount for a program will be
deemed ineligible and will not be
reviewed.
2. The project duration shall be up to
36 months for all grant recipients.
Period of performance extensions for
delays due to exceptional conditions
beyond the grantee’s control will be
considered by HUD in accordance with
24 CFR 84.25(e)(2) or 85.30(d)(2), as
applicable, and the OHHLHC Program
Guide. Such extensions, when granted,
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are one time only, and for no longer
than a period of one year from the
original period of performance end date.
B. Contracts or Other Formal
Arrangements
1. If selected for funding, grantees are
required to maintain a contract
administration system to ensure subgrantee and contractor conformance
with the terms, conditions, and
specifications of contracts. Grantees
must enter into written contracts or
agreements with sub-grantees and
contractors, which identify specific
services to be provided such as staffing
requirements, time periods for the
performance of work, project budget,
and total amount of compensation to be
provided; methods and documentation
requirements for obtaining
reimbursement of expenses; record
keeping and reporting requirements;
requirements placed upon the subgrantee or contractor to comply with
applicable federal laws, regulations,
circulars, and Executive Orders; and
provisions providing the grantee with
access to financial and other documents
and files for the purpose of monitoring
sub-grantee or contractor performance
and compliance with the local contract
or agreement, and applicable Federal
laws, regulations, circulars and
Executive orders.
2. All applicants are encouraged to
enter into formal arrangements with
grassroots community-based nonprofit
organizations, including faith-based
organizations, or other communitybased organizations, particularly if such
organizations will be reimbursed for
eligible activities under this NOFA.
(This does not apply to Native American
Tribes.) These formal arrangements
could be a contract, a Memorandum of
Understanding (MOU), a Memorandum
of Agreement (MOA), or a letter of
commitment. Such relationships should
be established prior to the actual
execution of an award or within 120
days of the effective start date of the
grant agreement.
Section III. Eligibility Information
See the General Section for additional
eligibility requirements applicable to
HUD Programs.
A. Eligible Applicants
See chart below that describes eligible
applicants, required match, and an
amount for direct activities required for
each of the three programs.
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NOFA CRITERIA BY GRANT PROGRAM CHART
Percent of HUD Award
Programs
Match
Lead Hazard Control Program (LHC).
Lead Hazard Reduction
Demonstration.
Operation Lead Elimination Action Program.
Eligible applicants
Direct lead
hazard
control costs
Administrative and other
allowable costs
State, Native American Tribe, city, county, or other
unit of local government. Multiple units of a local
government (or multiple local governments) may
apply as part of a consortium.
City, county, or other unit of local government. Multiple units of a local government (or multiple local
governments) may apply as part of a consortium.
Minimum 10%
Minimum 65%
Minimum 25%
Minimum 90%
For-profit entity or firm. (not to earn a fee); Nonprofit entities; Colleges and Universities; and National and Local Groups.
No match requirement.
Minimum 65%
Administrative Maximum
10%. Balance may be
used for Other Allowable Costs.
Administrative Maximum
10%. Balance may be
used for Other Allowable Costs.
Administrative Maximum
10%. Balance may be
used for Other Allowable Costs.
is providing a match, whether cash and/
or in-kind. The letter must indicate the
amount and source of match, and detail
how the matching funds will be
specifically dedicated to and integrated
into supporting the proposed grant
program. The signature of the
authorized official on the Form SF–424
commits matching or other contributed
resources of the applicant organization.
A separate letter from the applicant
organization is not required.
B. Cost Sharing or Matching
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1. Fiscal Year 2005 awardees of any
of the three competitive programs
detailed in this NOFA, including the
Lead-Based Paint Hazard Control, Lead
Hazard Reduction Demonstration and
Operation LEAP, are not eligible to
apply for any of these three programs
during this competitive NOFA cycle.
2. Applicants may submit only one
application for each of the three
competitive programs covered by this
NOFA.
C. Other
This section applies to all three grant
programs.
See NOFA Criteria by Grant Program
Chart above. If an applicant does not
include the minimum 10 percent for
lead hazard control or 25 percent for
Lead Hazard Reduction Demonstration
match requirements in the application,
it will be considered ineligible for an
award. Matching and/or leverage
contributions may be in the form of cash
including private sector funding, or inkind (non-cash) contributions or a
combination of these sources. With the
exception of Community Development
Block Grant (CDBG) funds, or other
programs that only allow their funds to
be considered local funds and therefore
eligible to be used as matching funds,
federal funds may not be used to satisfy
any statutorily required matching
requirement, as applicable. Federal
funds may be used, however, for
contributions above the statutory (10
and 25 percent match) requirement.
Program match shall be limited to
contributions, which would be eligible
for payment from grant funds, and may
be in the form of cash, including private
sector funding, or in-kind (non-cash)
contributions or a combination of these
sources. The applicant must submit a
letter of commitment for the match from
each organization other than itself that
1. Eligible Costs and Activities. This
section applies to all three grant
programs unless otherwise specified.
All lead hazard control activities
funded under the Lead-Based Paint
Hazard Control Program, the Lead
Hazard Reduction Demonstration
Program and Operation LEAP must be
conducted in compliance with the
applicable requirements of HUD’s LeadSafe Housing Regulation, 24 CFR part
35, and the companion Interpretive
Guidance publication. Activities must
also comply with any additional
requirements in effect under a state or
Tribal Lead-Based Paint Training and
Certification Program that has been
authorized by the EPA pursuant to 40
CFR 745.320. There are, in general, four
categories of eligible costs under each
competitive grant program included in
this NOFA, including: direct costs for
lead-based paint hazard identification
and control activities, other direct costs,
indirect costs, and administrative costs.
a. Description of Direct Lead-Based
Paint Hazard Identification and Control
Activities. Direct costs are defined as
the allocable portion of allowable costs
incurred directly for the purposes of the
grant. Direct costs for lead hazard
control activities consist of lead dust,
soil and paint-chip testing and
associated laboratory costs, the purchase
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or lease of a maximum of two X-ray
fluorescence analyzers used by the grant
program (if not otherwise available) and
necessary maintenance during the grant
period, combined lead paint inspection
and risk assessments, interim controls,
abatement of lead-based paint or leadbased paint hazards (but see section
C.1(a)(6) for abatement limitations),
occupant protection and temporary
relocation of occupants when lead
hazard control intervention work
supported by this program is conducted
in a unit, and clearance examinations.
Direct costs for lead-based paint hazard
identification and control activities do
not include blood lead testing of
residents or workers, housing
rehabilitation beyond what is
specifically required to carry out
effective lead hazard control, and
training, community education and
outreach, applied research, purchase of
supplies or equipment, or
administrative costs without which the
hazard control could not be completed
and maintained.
(1) Performing lead dust, soil and
paint-chip testing, combined lead-based
paint inspections and risk assessments,
and engineering and architectural
activities that are required for, and in
direct support of, interim control and
lead hazard abatement work, of eligible
housing units constructed prior to 1978
to determine the presence of lead-based
paint and/or lead hazards from paint,
dust, or soil through the use of
acceptable testing procedures.
(2) All laboratory analysis in support
of required testing and evaluation under
this NOFA must be conducted by a
laboratory recognized for the analysis by
the EPA National Lead Laboratory
Accreditation Program (NLLAP).
(3) All lead-based paint testing
results, summaries of lead-based
paintwork, and clearances must be
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provided to the owner of the unit,
together with a notice describing the
owner’s legal duty to disclose the results
to tenants and buyers. Files must
contain verifiable evidence, such as a
signed and dated receipt. Refer to 24
CFR 35.125 of the Lead Safe Housing
Regulation.
(4) All lead-based paint hazards
identified in a housing unit or common
area of multifamily housing enrolled in
this grant program must be controlled or
eliminated by either of the following
strategies or a combination of the two.
(5) Interim Controls. According to the
HUD Guidelines, interim controls of
lead-based paint hazards including leadcontaminated dust and soil in housing
must include specialized cleaning
techniques to address lead dust.
(6) Lead-Based Paint Hazard
Abatement. Abatement is regarded as
complete abatement of all lead-based
paint or lead-based paint hazards and is
only authorized in states or localities
that require complete abatement by law.
HUD does not consider abatement of all
lead hazards to be cost effective in most
circumstances; therefore, a grantee must
make a special request in writing prior
to conducting complete abatement of
lead hazards. Abatement of leadcontaminated soil should be limited to
areas with bare soil in the immediate
vicinity of the structure (i.e., the drip
line or foundation of the unit being
treated, and children’s play areas).
(7) Undertaking minimal housing
rehabilitation activities that are
specifically required to carry out
effective hazard control, and without
which the hazard control could not be
completed and maintained. These grant
funds may be used for lead hazard
control work done in conjunction with
other housing rehabilitation programs,
to the extent practicable. HUD
encourages integration of this grant
program with housing rehabilitation,
maintenance, weatherization, and other
energy conservation activities.
(8) Carrying out temporary relocation
of families and individuals during the
period in which hazard control is
conducted and until the time the
affected unit receives clearance for reoccupancy. If families or individuals are
temporarily relocated in a project which
utilizes Community Development Block
Grant funds, the guidance and
requirements of 24 CFR
570.606(b)(2)(i)(D)(1)–(3) must be met.
HUD recommends you review these
regulations when preparing your
proposal.
(9) Conducting clearance dust-wipe
testing and laboratory analysis.
b. Description of Eligible Other Direct
Costs.
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(1) Purchasing or leasing supplies
having a per-unit cost under $5,000
(except for the purchase or lease of up
to two X-ray florescence analyzers used
by the grant program).
(2) Performing blood lead testing and
air sampling to protect the health of the
hazard control workers, supervisors,
and contractors.
(3) Conducting targeted community
awareness, affirmative marketing,
education or outreach programs on lead
hazard control and lead poisoning
prevention designed to increase the
ability of the program to deliver lead
hazard control services including
educating owners of rental properties,
tenants, and others on the Residential
Lead-Based Paint Hazard Reduction Act,
Lead-Safe Housing Rule, and applicable
provisions of the Fair Housing Act
especially as it pertains to familial
status (e.g., families with children) and
disability discrimination, offering
educational materials in languages that
are common in the community other
than English, consistent with HUD’s
published LEP Recipient Guidance, 68
FR 70968, and providing training on
lead-safe maintenance and renovation
practices and management. Upon
request, this also would include making
all materials available in alternative
formats to persons with disabilities (e.g.,
Braille, audio, and large type).
(4) Supporting data collection,
analysis, and evaluation of grant
program activities. This includes
compiling and delivering such data as
may be required by HUD. This activity
is an item under other direct costs.
(5) Preparing a final report at the
conclusion of grant activities.
(6) Conducting required pre-hazard
control blood lead testing of children
under six years of age residing in or
frequently visiting units undergoing
lead hazard control work.
(7) Providing resources to build
capacity for lead-safe housing and lead
hazard control, including free delivery
of HUD-approved lead-safe work
practices training courses for housing
rehabilitation contractors, rehabilitation
workers, homeowners, renters, painters,
remodelers, maintenance staff, and
others conducting renovation,
rehabilitation, maintenance or other
work in private housing; free delivery of
lead sampling technician training, leadbased paint worker or contractor
certification training; and subsidies for
licensing or certification fees to lowincome persons seeking credentials as
lead-based paint workers or contractors
or lead sampling technicians.
(8) Conducting planning,
coordination, and training activities to
comply with HUD’s Lead-Safe Housing
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Regulation (24 CFR part 35, subparts B–
R). These activities should support the
expansion of a workforce properly
trained in lead-safe work practices
which is available to conduct interim
controls on HUD-assisted housing
covered by these regulations.
(9) Conducting outreach and related
activities that are directly tied to a
matching and/or leveraging strategy,
and that will result in increased lead
hazard control activities in low-income
privately owned or owner-occupied
housing with lead-based paint hazards.
If applicants propose outreach and/or
related activities, keep in mind that
these activities must be tied to a
leveraging strategy. Therefore, you must
describe when and what this activity
will match and/or leverage, and how it
will be used to address a lead hazard.
(10) Lead hazard control activities
tied directly to a matching and/or
leveraging strategy and conducted in
low- and very low-income eligible
privately owned owner-occupied or
investor-owned rental units. All units
must be occupied by a family with a
child under the age of six, except rental
properties must be occupied by a family
with a child under the age of six, or
preference provided to a low- and very
low-income family with a child under
age six and the rents must be affordable
for a minimum of 3 years after
completion of the final lead clearance.
(11) Participating in applied research,
studies, or developing information
systems to enhance the delivery,
analysis, or conduct of lead hazard
control activities, or to facilitate
targeting and consolidating resources to
further childhood lead poisoning
prevention efforts.
c. For reference to the Administrative
Cost requirements, please see https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm.
d. For reference to the Indirect Cost
requirements, please see https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm.
2. Eligibility of HUD-Assisted
Housing. The table ‘‘Eligibility of HUDAssisted Housing,’’ posted at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm, lists the housing units
that may participate under each of the
three competitive programs detailed in
this NOFA. Only those HUD-assisted
units on the list are eligible to
participate and receive Lead-Based
Paint Hazard Control Grant, Lead
Hazard Reduction Demonstration Grant
and Operation LEAP funds.
3. Threshold Requirements. As an
eligible applicant, you must meet all of
the threshold requirements in Section
III.C of the General Section as well as
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any specific threshold requirements
listed in this subsection. Applications
will not be funded if they do not meet
the threshold requirements.
a. Applicants under the Lead-Based
Paint Hazard Control Program are
required to match 10 percent of the
funds requested with other funds or
resources, while a 25 percent match is
required for the Lead Hazard Reduction
Demonstration Grant Program. There is
no match requirement for Operation
LEAP.
b. Applicants under the Lead Hazard
Reduction Demonstration Program must
have at least 3,500 pre-1940 occupied
rental housing units in order to apply
under the Lead Hazard Reduction
Demonstration Program. Failure to
provide the number of pre-1940
occupied rental units referenced in the
Factor 2 Table (Form HUD 96013) will
result in the application not being rated
or ranked. Multiple local governments
may apply as part of a consortium in an
effort to meet the required number
(3,500) of occupied rental units;
however, you must identify a prime
applicant that will be responsible for
ensuring compliance with all
requirements under this NOFA. No
minimum requirement for the number
of pre-1940 occupied units for Lead
Hazard Control and Operation LEAP.
c. All applicants under the Lead
Hazard Reduction Demonstration
Program must provide the actual
number of children with documented
elevated blood lead levels residing
within the jurisdiction(s) where the lead
hazard control work will be conducted
for the 2002, 2003 and 2004 complete
calendar years and identify the source of
the data. Failure to provide these data
will result in the application not being
rated or ranked.
d. EPA Authorization. If you are a
state government or Native American
Tribal government, you must have an
EPA-authorized Lead-Based Paint
Training and Certification Program in
effect on the application deadline date
to be eligible to apply for Lead Based
Paint Hazard Control Grant funds. The
approval date in the Federal Register
notice published by the EPA will be
used in determining the Training and
Certification status of the applicant state
or Native American Tribal government.
If you do not have an EPA authorized
program, the application will not be
rated or ranked.
e. DUNS Requirement. You will need
a Dun and Bradstreet Universal Data
Numbering System (DUNS) number in
order to register and submit your
electronic application through https://
www.grants.gov. Refer to the General
Section for more information.
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f. Consolidated Plans. (This
requirement does not apply to Native
American Tribes.) You must submit, as
an appendix, the current lead-based
paint element from the approved
Consolidated Plan or the jurisdiction(s)
where the lead hazard control will be
conducted. In lieu of submitting a hard
copy of the lead-based paint element
from the current consolidated plan(s),
you may substitute a Web site address.
The Web site must contain the leadbased paint element of the current
Consolidated Plan(s). If the jurisdiction
does not have a currently approved
Consolidated Plan, but it is otherwise
eligible for this grant program, you must
include the jurisdiction’s abbreviated
Consolidated Plan, which includes a
lead-based paint hazard control strategy
developed in accordance with 24 CFR
91.235.
g. An applicant requesting a funding
amount greater than the maximum grant
award amount will be deemed ineligible
and not reviewed.
4. Environmental Requirements. a.
Recipients of lead-based paint hazard
control grants and lead hazard reduction
demonstration grants must comply with
24 CFR part 58, Environmental Review
Procedures for Entities Assuming HUD
Environmental Responsibilities and
must carry out environmental review
responsibilities as a responsible entity
under part 58.
b. Properties assisted with Operation
LEAP funds under the Department of
Housing and Urban Development
Appropriations Act, 2006, are covered
by the provisions of section 305(c) of the
Multifamily Housing Property
Disposition Reform Act of 1994, which
are implemented by HUD regulations at
24 CFR part 58. Under part 58, a
responsible entity, usually the unit of
general local government, must assume
the environmental review
responsibilities for activities funded
under Operation LEAP. Under 24 CFR
58.11, if a responsible entity or the
recipient objects to the responsible
entity performing the environmental
review for Operation LEAP activities,
HUD may designate another responsible
entity to perform the review or may
perform the environmental review itself
under the provisions of 24 CFR part 50.
c. For all grants under this NOFA,
recipients and other participants in the
project are prohibited from undertaking,
or committing or expending HUD or
non-HUD funds (including HUD
leveraged or match funds) on a project
or activities under this NOFA (other
than activities listed in 24 CFR 58.34,
58.35(b) or 58.22(f)) until the
responsible entity completes an
environmental review and the applicant
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submits and HUD approves a Request
for the Release of Funds and the
responsible entity’s environmental
certification (both on form HUD
7015.15) or, in the case of Operation
LEAP grants where HUD has
determined to perform the
environmental review under part 50,
HUD has completed the review and
notified the grantee of its approval. The
results of the environmental reviews
may require that proposed activities be
modified or proposed sites rejected. For
part 58 procedures, see https://
www.hud.gov/offices/cpd/
energyenviron/environment/index.cfm.
For assistance, contact Karen Choi, the
Office of Healthy Homes and Lead
Hazard Control Environmental Officer at
(213) 534–2458 (this is not a toll-freenumber) or the HUD Environmental
Review Officer in the HUD Field Office
serving your area. If you are a hearingor speech-impaired person, you may
reach the telephone number via TTY by
calling the toll-free Federal Information
Relay Service at 1–800–877–8339.
Recipients of a grant under these funded
programs will be given additional
guidance in these environmental
responsibilities.
5. Administrative and Other
Requirements. If awarded, the applicant
must comply with the requirements
below and maintain appropriate
documentation to demonstrate
compliance with the requirements
specified below. The requirements
apply to all grant programs unless
otherwise specified.
a. Lead-Based Paint Hazard Reduction
Act (Title X of the Housing and
Community Development Act of 1992),
Section 1011 of Title X. Section 217 of
Public Law 104–134 (the Omnibus
Consolidated Rescissions and
Appropriations Act of 1996, 110 Stat.
1321, approved April 26, 1996)
amended Section 1011(a) of the
Residential Lead-Based Paint Hazard
Reduction Act of 1992 (Title X) to read
as follows:
Section 1011. Grants for Lead-Based
Paint Hazard Reduction in Target
Housing
‘‘(a) General Authority. The Secretary
is authorized to provide grants to
eligible applicants to evaluate and
reduce lead-based paint hazards in
housing that is not federally assisted
housing, federally owned housing, or
public housing, in accordance with the
provisions of this section. Grants shall
only be made under this section to
provide assistance for housing that
meets the following criteria—
(1) For grants made to assist rental
housing, at least 50 percent of the units
must be occupied by or made available
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to families with incomes at or below 50
percent of the area median income level
and the remaining units shall be
occupied or made available to families
with incomes at or below 80 percent of
the area median income level, and in all
cases the landlord shall give priority in
renting units assisted under this section,
for not less than 3 years following the
completion of lead abatement activities,
to families with a child under the age of
six years, except that buildings with five
or more units may have 20 percent of
the units occupied by families with
incomes above 80 percent of area
median income level;
(2) For grants made to assist housing
owned by owner-occupants, all units
assisted with grants under this section
shall be the principal residence of
families with income at or below 80
percent of the area median income level,
and not less than 90 percent of the units
assisted with grants under this section
shall be occupied by a child under the
age of six years or shall be units where
a child under the age of six years spends
a significant amount of time visiting
* * *’’
(1) Certified and Trained Performers.
Funded activities must be conducted by
persons qualified for the activities
according to 24 CFR part 35, subparts
B–R (possessing certification as
abatement contractors, risk assessors,
inspectors, abatement workers, or
sampling technicians, or others having
been trained in a HUD-approved course
in lead-safe work practices).
(2) Lead hazard evaluation and
control work must be conducted in
compliance with HUD’s Lead Safe
Housing Rule, 24 CFR part 35, the HUD
Guidelines, and applicable federal, state
and local regulations and guidance.
6. Prohibited Practices. You must not
engage in the following prohibited
practices:
a. Open flame burning or torching;
b. Machine sanding or grinding
without a high-efficiency particulate air
(HEPA) exhaust control;
c. Uncontained hydroblasting or highpressure wash;
d. Abrasive blasting or sandblasting
without HEPA exhaust control;
e. Heat guns operating above 1,100
degrees Fahrenheit;
f. Chemical paint strippers containing
methylene chloride or other volatile
hazardous chemicals in a poorly
ventilated space; and
g. Dry scraping or dry sanding, except
scraping in conjunction with heat guns
or around electrical outlets or when
treating no more than two square feet in
any one interior room or space, or
totaling no more than 20 square feet on
exterior surfaces.
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7. Written Policies and Procedures.
You must have clearly established,
written policies and procedures for
eligibility, program marketing, unit
selection, expediting work on homes
occupied by children with elevated
blood lead levels, and all phases of lead
hazard control, including risk
assessment, inspection, development of
specifications, pre-hazard control blood
lead testing, financing, temporary
relocation and clearance testing.
Grantees, subcontractors, sub-grantees,
sub-recipients, and their contractors
must adhere to these policies and
procedures.
8. Continued Availability of Lead-Safe
Housing to Low-Income Families. Units
in which lead hazards have been
controlled under this program shall be
occupied by or continue to be available
to low-income residents as required by
Title X (Section 1011). You must
maintain a publicly available registry
(listing) of units in which lead hazards
have been controlled and ensure that
these units are affirmatively marketed to
agencies and families as suitable
housing for families with children less
than six years of age. The grantee must
also provide the owner with the lead
hazard evaluation and control
information generated by activities
under this grant, so that the owner can
comply with his/her disclosure
requirements under 24 CFR part 35,
Subpart A.
9. Testing. In developing your
application budget, include costs for
lead paint inspection, risk assessment,
and clearance testing for each dwelling
that will receive lead hazard control, as
follows:
a. General. All testing and sampling
shall comply with the Lead Safe
Housing and conform to the current
HUD Guidelines, the EPA lead hazard
standards at 40 CFR part 745, and
federal, state, or tribal regulations
developed as part of the appropriate
contractor certification program,
whichever is more stringent. It is
particularly important to provide this
full cycle of testing for lead hazard
control, including interim controls.
b. Lead-Based Paint and Lead-Based
Paint Hazard Identification. A combined
lead-based paint inspection and risk
assessment is required.
c. Clearance Testing. If rehabilitation
is conducted in conjunction with lead
hazard control, clearance may be
conducted either after the lead hazard
control work is completed, and again
after any subsequent rehabilitation work
is completed, or after all of the lead
hazard control and rehabilitation work
is completed. Clearance shall be
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successfully completed before reoccupancy.
10. Blood lead testing. Each child
under six years of age should be tested
for lead poisoning within the six
months preceding the lead hazard
control work. Any child with an
elevated blood lead level must be
referred for appropriate medical followup. The standards for such testing are
described in the Centers for Disease
Control and Prevention (CDC)
publications Preventing Lead Poisoning
in Young Children (1991), and
Screening Young Children for Lead
Poisoning: Guidance for State and Local
Public Health Officials (1997).
11. Cooperation With Related
Research and Evaluation. You shall
cooperate fully with any research or
evaluation sponsored by HUD, CDC,
EPA or other government agency and
associated with this grant program,
including preservation of project data
and records and compiling requested
information in formats provided by the
researchers, evaluators or HUD. This
also may include the compiling of
certain relevant local demographic,
dwelling unit, and participant data not
contemplated in your original proposal.
Participant data shall be subject to the
Privacy Rule of the Health Insurance
Portability and Accountability Act of
1996 (HIPAA). HIPAA and the Privacy
Rule can be found at https://
www.hhs.gov/ocr/hipaa.
12. Data collection. You will be
required to collect, maintain, and
provide to HUD the data necessary to
document and evaluate grant program
outputs and outcomes.
13. Financial Control. Financial
control systems shall be established
including methods and procedures to
ensure that only grant eligible expenses
are charged to the grant as reimbursable
expenses or project match; that
appropriate documentation of time
worked on and charged to the grant is
maintained; and that no more than 10
percent of grant funds are used for
administrative costs and that indirect
cost allocation plans are updated
annually.
14. Section 3 Employment
Opportunities. Please refer to Section
III.C of the General Section. The
requirements of Section 3 of the
Housing and Urban Development Act of
1968 (12 U.S.C. 1701u) are applicable to
this program. This sub-factor will be
evaluated on the extent to which an
applicant describes how it proposes to:
a. Provide opportunities to train and
employ lower-income residents of the
project area; and
b. Award substantial contracts to
persons residing in the project area.
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Applicants that demonstrate their
responsiveness to the section 3
requirement may receive up to 2 rating
points. Annual submission of Form
HUD–60002 is required.
Regulations regarding the provision of
Section 3 of the Housing and Urban
Development Act of 1968 can be located
at 24 CFR part 135.
15. Replacing Existing Resources.
Funds received under the grant
programs covered under this NOFA
shall not be used to replace existing
community resources dedicated to any
ongoing project.
16. Certifications and Assurances. By
signing the SF–424, you are agreeing to
the certifications and assurances listed
in the General Section and this NOFA.
17. Code of Conduct. If awarded
assistance, you will be required, prior to
entering into a grant agreement with
HUD, to submit a copy of your Code of
Conduct and describe the methods you
will use to ensure that all officers,
employees, and agents of your
organization are aware of your Code of
Conduct. Refer to the General Section
for information about conducting
business in accordance with HUD’s core
values and ethical standards.
18. Lead-Safe Work Practice Training
Activities. Applicants under the LeadBased Paint Hazard Control Grant
Program are encouraged to provide
resources to promote the expansion of a
workforce properly trained in lead-safe
work practices and which is available to
conduct interim controls and/or lead
hazard abatement as well as follow leadsafe work practices while performing
work on HUD assisted housing units
and to safely repair, rehabilitate, and
maintain other privately owned
residential property. The effort is
permissible under the Lead Hazard
Reduction Demonstration Program,
when funded as part of the 10 percent
remaining after direct lead hazard
control activities are funded under this
program.
19. Coordination Among Critical
Agencies. If awarded assistance under
the Lead-Based Paint Hazard Control or
Lead Hazard Reduction Demonstration
programs, applicants shall participate in
the state-wide or jurisdiction-wide
strategic plan to eliminate childhood
lead poisoning as a major public health
problem by 2010, or assist in the
development of one plan in states or
localities that do not have such a plan.
The CDC strategic elimination plans for
state and local childhood lead poisoning
prevention programs can be
downloaded from https://www.cdc.gov/
nceh/lead/Strategic%20Elim%20Plans/
strategicplans.htm.
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Additionally, if awarded lead hazard
control and lead hazard demonstration
funds, applicants shall enter into or
extend existing collaborative agreements
or arrangements with childhood lead
poisoning prevention programs among
health agencies, housing agencies,
community development agencies, and
code enforcement agencies (or
equivalent) for their target area(s) local
jurisdiction(s), and, for state or tribal
applicants, with their state or tribal
health agencies, housing agencies,
development agencies, and code
enforcement agencies (or equivalent).
Agreements or arrangements must
describe how the health department and
the housing and/or development agency
have or will consider enrolling housing
units (or multifamily buildings) in
which one or more children under age
6 years have elevated blood lead levels,
with priority to housing where repeated
and/or severe cases of childhood lead
poisoning have occurred. (Because of
the presence of a variety of priorities, it
is not a requirement that units with
lead-poisoned children be enrolled, but
the process for giving such units high
priority should be described and
implemented.) HUD encourages
Operation LEAP applicants to enter into
such agreements.
20. Work Plan. Upon award, a work
plan shall be developed and consist of
the measurable quarterly performance
goals and specific time-phased
objectives established for each of the
major activities and tasks required to
implement the program. These major
activities and tasks are outlined in the
Quarterly Progress Reporting System
(Form HUD–96006) and include:
Program Management and Capacity
Building including data collection and
program evaluation; Community
Education, Outreach and Training; and
Lead Hazard Activities including
testing, interventions conducted, and
temporary relocation.
a. Describe how lead hazard units,
especially those known to house
elevated blood lead levels of children
under six years of age, will be
identified, selected, prioritized, and
considered for treatment under this
grant and/or other programs of the
grantee or grantee’s team members. An
elevated blood lead level is defined as
an excessive absorption of lead that is
a confirmed concentration of ten (10)
micrograms of lead per deciliter of
whole blood.
You must demonstrate how you
consider housing units identified by
local health and child welfare agencies
where incidences of childhood lead
poisoning have occurred, particularly
those where multiple poisonings have
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11821
been reported, for enrollment into lead
hazard control treatment programs, as
well as demonstrate the use of other
sources of information on high priority
housing;
b. Your work plan should address
your jurisdiction’s Consolidated Plan
goals for pursuing community planning
and development and housing programs
relative to lead and other housingrelated issues that affect the health of
residents. The work plan must include
a detailed strategy to:
(1) Obtain data from state or local
health departments or from families
themselves (either directly, for example,
through service organizations that
families distribute their information) on
the addresses of housing units in which
children have been identified as lead
poisoned, as required by 24 CFR
91.100(a)(2); and
(2) Continue or enter into
collaborative agreements or
arrangements with applicable state or
local health and child welfare agencies,
community development organizations,
and housing agencies and/or other
housing organizations to team with
HUD Lead Hazard Control, Lead Hazard
Reduction Demonstration, and LEAP
grantees to identify and address
childhood lead poisoning in the
jurisdiction collaboratively, and
describe the methods for coordinating
among these agencies.
(3) Demonstrate specific steps and/or
actions that will be taken to ensure that
other resources in the community are
utilized to increase funding, to locate
and provide training, and to link with
other local programs engaged in lead
hazard control activities;
(4) Describe how the project will be
managed, and the timeline for staffing
the program, establishing a lead-based
paint contractor pool, and obtaining
HUD approval for the Request for the
Release of Funds (HUD Form 7015.15);
(5) Describe how assistance and
funding will flow from you to the actual
performers of the hazard reduction
work;
(6) Describe the selection process for
sub-grantees, sub-contractors, or subrecipients;
(7) Describe the financing mechanism
used to support lead hazard control
work in units (name of administering
agency, eligibility requirements, type of
financing (grant, forgivable or deferred
loans, private sector financing, etc.)),
any owner matching requirement, and
the terms, conditions, and amounts of
assistance available, include
affordability terms and forgiveness and
recapture of funds provisions;
(8) Perform combined lead-based
paint inspection and risk assessment
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testing procedures using the HUD
Guidelines, applicable sections of the
Lead Safe Housing Regulations and EPA
standards to identify lead hazards and
to conduct clearance testing.
(9) Describe the process for
developing work specifications and bids
on properties selected for lead hazard
control work;
(10) The specific intervention
methods and clearance procedures to be
conducted for units enrolled and
treated;
(11) The number of rental-occupied,
vacant, and owner-occupied units,
including the number of single-family
and multifamily units, proposed for
interim controls and hazard abatement;
(12) The occupant protection and
relocation plan that will be carried out
for residents required to be out of their
homes during hazard control activities;
(13) The education, outreach, and
training activities to be undertaken by
the program;
(14) The overall outcomes for
community education, outreach, and
training activities, including the number
of events and the number of individuals
to receive education, outreach, and
training.
(15) The blood lead testing and other
health measures to be undertaken to
protect children under six years of age
and other occupants of units undergoing
lead hazard control work; and
(16) The evaluation process used to
measure program performance, with
particular attention given to program
performance in the five key areas
evaluated by OHHLHC on a quarterly
basis ( NOFA Rating Factor 5 response):
Number of units inspected and risk
assessed; number of units cleared of
lead hazards; the amount of grant funds
disbursed through the Line of Credit
Control System (LOCCS); the number of
persons reached through outreach and
education efforts; and the number of
persons trained in lead hazard control
courses. For Operation LEAP, only the
quarterly assessment will include one
additional performance measure which
is the amount of leverage.
(17) The grantee’s accounting,
finance, and internal audit procedures.
(a) Procedures for obtaining funding
through government resources, match,
leverage, and other contributed
resources,
(b) Procedures for the procurement
process and the reimbursement process
of vendors, contractors, and subgrantees
(18) Quarterly performance
benchmarks. The benchmarks for a 36month grant are on the Work Plan
Development Worksheet with Minimum
Benchmark Standards for 36 Months—
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Form HUD–96008, (You can download
Form HUD–96008 at https://
www.hudclips.org/subnonhud/html/
forms.htm. and can also find it on the
HUD OHHLHC Web site at: https://
www.hud.gov/offices/lead/lhc/
index.cfm.
The development of your work plan
should include and reflect the
benchmark standards. All applicants are
required to complete the Factor 3
Table—Soundness of Approach, and the
Work Plan Development Worksheet
with Minimum Benchmark Standards
for 36 Months—Form HUD–96008.
21. Detailed budget. A detailed budget
submission which identifies the total
budget (federal share and matching and/
or leverage contribution) identified on
Form HUD–424 CBW with supporting
narrative and cost justifications for all
budget categories of your grant request.
You must provide a separate estimate
for the overall grant management
element (Administrative Costs), which
is more fully defined in Section IV.E of
this NOFA. All applicants must provide
a detailed budget for any subcontractors,
sub-grantees, or sub-recipients receiving
greater than 10 percent of the federal
budget request. In the event of a
discrepancy between grant amounts
requested in various sections of the
application, the amount you indicate on
the Form SF–424 will govern as the
correct value.
22. Institutional Review Board (IRB).
Indicate if your program includes
conducting research involving human
subjects in a manner which requires IRB
approval and periodic monitoring under
24 CFR part 60, which incorporates the
Department of Health and Human
Service’s regulations, at 45 CFR part 46.
For additional information on what
constitutes human subjects, research or
how to obtain an institutional
assurance, see the Department of Health
and Human Services, Office of Human
Research Protection (OHRP) Web site at
https://www.hhs.gov/ohrp.
Section IV. Application and Submission
Procedures
A. Address To Request Application
Package
See the General Section for specific
procedures concerning the electronic
application submission requirements.
Guidebook and Further Information: If
you have difficulty accessing the
information, you may call the help desk
help line at (800) 518–GRANTS or emailing support@grants.gov. If you are
hearing impaired you may reach the
numbers above through (800) HUD–
2209 (TTY) (these are toll-free numbers).
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B. Content and Form of Application
Submission
Applicants eligible to apply under
this NOFA are to follow the submission
requirements described in Section
IV.C.1.a. below:
1. Applicant Information.
a. Application Format. The
application narrative response to the
Rating Factors from new and eligible
prior grantees is limited to a maximum
of 20 pages (excluding appendices and
worksheets) of size 81⁄2″ x 11″ using a
12-point (minimum) font with not less
than 3⁄4″ margins on all sides. Materials
provided in the appendices should
directly apply to the specific rating
factor narrative. Applicants are strongly
urged not to submit information that is
not required and/or requested by the
NOFA or does not directly apply to a
specific narrative response. The
narrative rating responses should be
submitted as a single Microsoft Word
document file. All attachments must
identify the related factor in the footer
by providing the rating factor and the
page number (e.g., Factor 1 Attachment,
pg. 1), and should be submitted as a
single zip file, attachment to the
electronic application.
b. Application Checklist (Voluntary).
Your application must contain all of the
required information noted in this
NOFA and the General Section. These
items include the standard forms, and
the certifications and assurances listed
in the General Section that are
applicable to this NOFA. The forms
required for application submission and
instructions can be found in the
application at https://www.grants.gov.
The ‘‘Checklist and Submission Table of
Contents’’ below includes a list of the
required items needed for submitting a
complete application and receiving
consideration for funding. Inclusion of
this ‘‘Checklist and Submission Table of
Contents’’ with your proposal is
recommended but not required.
Checklist and Submission Table of
Contents
• Application Checklist (Paper copy
applications only).
• Applicant Abstract (limited to a
maximum of 2 pages).
• Rating Factor Response (limited to
a maximum of 20 narrative pages plus
the following forms).
1. Capacity of the Applicant and
Relevant Organizational Experience—
Form HUD–96012.
2. Needs/Extent of the Problem—
Form HUD–96013.
3. Soundness of Approach (Work
Plan/Budget)—Form HUD–96014;
4. Leveraging and Matching
Resources—Form HUD–96015
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5. Achieving Results and Program
Evaluation—Logic Model—Form HUD–
96010
• Materials to be submitted in
response to rating factors (does not
count towards 20-page limit).
Application for Federal Assistance—
Form SF–424.
Survey on Ensuring Equal
Opportunity for Applicants—Form SF–
424 Supplement.
Grant Application Detailed Budget
Worksheet—HUD–424 CBW, Total
Budget (Federal Share and Matching)
with Supporting Narrative and Cost
Justification.
Disclosure and Update Report—Form
HUD–2880.0
Certification of Consistency with the
RC/EZ/EC—II Strategic Plan—Form
HUD–2990.
Certification of Consistency with the
Consolidated Plan—Form HUD–2991.
Disclosure of Lobbying Activities (if
applicable)—Form SF–LLL.
Development Worksheet with
Minimum Benchmark Standards (36
Months) Form HUD–96008.
Facsimile Transmittal (for electronic
applications)—Form HUD–96011.
Questionnaire for HUD’s Initiative on
Removal of Regulatory Barriers,
including the required information (if
applicable)—Form HUD–27300,
including required documentation or
URL references—
You Are Our Client Survey—Form
HUD–2994–A (optional).
• Threshold Requirements.
Only those applications that meet the
threshold review requirements will be
rated and ranked. Threshold
requirements are identified below:
a. Lead-Based Paint Element in
Consolidated Plan.
b. 10 Percent (Lead Hazard Control
Program) or 25 Percent (Lead Hazard
Reduction Demonstration Program)
Matching Contribution and no match
requirement for Operation LEAP.
c. Funding request no greater than the
maximum amount for the grant
program.
• Material in support of the Rating
Factors (20 page limit).
Budget Narrative.
Match, Leverage, and other sources of
contributed resources. Submit an
itemized breakout of your required
matching contribution, including:
a. Letters or other evidence of
commitment from donors; and
b. The amounts and sources of
contributed resources, including
donated in-kind services.
c. Applicant Contributors. Provide
contracts, Memoranda of Understanding
or Agreement, letters of commitment or
other documentation describing the
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proposed roles of agencies, local broadbased task forces, participating
grassroots community-based nonprofit
organizations, including faith-based
organizations, local businesses, and
others working with the program.
d. Consolidated Plan Element. (This
requirement does not apply to Native
American Tribes). You must submit as
an appendix a current lead-based paint
element from your current approved
Consolidated Plan or the jurisdiction(s)
where the lead hazard control work will
be conducted. In lieu of submitting a
hard copy of the lead-based paint
element from your current consolidated
plan, you may substitute a Web-site
address. The Web-site must link directly
to the lead-based paint element of a
current Consolidated Plan. If your
jurisdiction does not have a currently
approved Consolidated Plan, but it is
otherwise eligible for this grant
program, you must also include your
jurisdiction’s abbreviated Consolidated
Plan, which includes a lead-based paint
hazard control strategy in accordance
with 24 CFR 91.235. You should
include the discussion of any lead-based
paint issues in your jurisdiction’s
Analysis of Impediments, particularly as
it addresses your target areas.
manufactured home that is located in an
area identified by the Federal
Emergency Management Agency
(FEMA) under the Flood Disaster
Protection Act of 1973 (42 U.S.C. 4001–
4128) as having special flood hazards
unless:
(1) The community in which the area
is situated is participating in the
National Flood Insurance Program in
accordance with the applicable
regulations (44 CFR parts 59–79), or less
than a year has passed since FEMA
notification regarding these hazards;
and
(2) Where the community is
participating in the National Flood
Insurance Program, flood insurance on
the property is obtained in accordance
with section 102(a) of the Flood Disaster
Protection Act (42 U.S.C. 4012a(a)). You
are responsible for assuring that flood
insurance is obtained and maintained
for the appropriate amount and term.
(3) Please see https://www.hud.gov/
offices/adm/grants/fundsavail.cfm for
reference to the Administrative Cost
requirements.
(4) Please see https://www.hud.gov/
offices/adm/grants/fundsavail.cfm for
reference to the Indirect Cost
requirements.
C. Submission Dates and Times
Application Submission Dates: The
application deadline date is June 7,
2006. Refer to the General Section for
timely submission requirements.
F. Other Submission Requirements
D. Intergovernmental Review
Not required.
E. Funding Restrictions
1. Ineligible Activities. You may not
use grant funds for any of the following
ineligible activities:
a. Purchase of real property.
b. Purchase or lease of supplies
having a per-unit cost in excess of
$5,000, except for the purchase and
lease of up to two X-ray fluorescence
analyzers used by the grant program;
c. Chelation or other medical
treatment costs related to children with
Elevated Blood Lead levels (EBLs). Nonfederal funds used to cover these costs
may be counted as part of the required
matching contribution.
d. Lead hazard control activities in
publicly owned housing, or projectbased Section 8 housing (this housing
stock is not eligible under Section 1011
of the Lead-Based Paint Hazard
Reduction Act).
e. Activities that do not comply with
the Coastal Barrier Resources Act (16
U.S.C. 3501).
f. Lead-hazard control or
rehabilitation of a building or
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Applicants are required to submit
applications electronically via the Web
site https://www.grants.gov. See section
IV.F of the General Section for
additional information on the electronic
process and how to request a waiver
from the requirement if necessary.
Section V. Application Review
Information
A. Criteria
The following section applies to all
applicants unless otherwise specified.
1. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Experience (Up to 20 Points Maximum
for All Applicants)
a. Capacity of the Applicant (10
points). This rating factor addresses
your organizational capacity necessary
to successfully implement the proposed
activities in an efficient manner. All
applicants must respond to this Rating
Factor, including completing the Factor
1 Table. The technical merit or
threshold compliance of the applicant
will be rated unless otherwise specified.
The ‘‘applicant’’ includes the applicant
organization as a whole, the applicant
staff, including key personnel
responsible for implementing the
program, grassroots community-based
nonprofit organizations, including faith-
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based organizations, sub-contractors,
consultants, sub-recipients, and
members of consortia that are firmly
committed to your program.
Applicants are to list by name and/or
position title all key personnel, whether
currently vacant or contingent upon an
award, including the percentage of time
to be dedicated to the proposed
program. Key personnel should include,
at a minimum, one Project Director and
one Program Manager. The applicant
must describe the relevant knowledge
and experience of the Project Director
and Program Manager, and any
additional key personnel, who will
carry out program activities, including
the time commitment of each to the
proposed program. The applicant must
describe the proposed roles and
responsibilities of each key personnel,
including any/all relevant current or
previous experience in the planning and
management of large, complex and
interdisciplinary programs involving
housing rehabilitation or lead hazard
control, childhood lead poisoning
prevention, or similar work. The day-today program manager must be
experienced in the management of
housing rehabilitation or lead hazard
control, childhood lead poisoning
prevention, or similar work involving
project management, and must be
dedicated to the proposed program for
a minimum of 75 percent of the time. If
awarded two or three grants under this
NOFA, HUD grantees will negotiate 100
percent of total time spent on the grants.
Additional program staff experience,
roles, responsibilities and time
commitment must also be described.
Similarly, applicants must list and
describe sub-grantees and subcontractor organizations that will
provide services and carry out critical
activities for the proposed grant
program, including their capacity, as
demonstrated by experience in initiating
and implementing related
environmental, health, or housing
projects. List key personnel from each
sub-grantee or sub-contractor
organization who will provide services,
their respective roles and
responsibilities on the proposed
program and the time to be dedicated to
the proposed program.
The applicant must demonstrate that
it has sufficient personnel or will have
the capability to retain qualified experts
or professionals, and be prepared to
perform lead-based paint hazard
evaluation, lead-based paint hazard
control intervention work, and other
proposed activities within 120 days of
the effective date of the grant award.
HUD reserves the right to terminate the
grant if sufficient personnel or qualified
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experts are not retained within this 120´
´
day period. Resumes (for up to three key
personnel) or position descriptions for
those key personnel to be hired, and
organizational charts for the grant
program must be submitted. Factor 1
Table—Key Personnel and Partners,
must be completed and submitted.
b. Relevant Organization Experience
(10 points).
(1) New Applicants. In rating this
factor, HUD will consider a new
applicant’s recent, relevant, and
demonstrated experience in undertaking
eligible program activities.
Organizational capacity should be
demonstrated in a table that describes
prior experience in initiating and
implementing lead hazard control
efforts and/or related environmental,
health or housing projects or programs.
Applicants must indicate how this prior
experience will be used in carrying out
the proposed comprehensive LeadBased Paint Hazard Control, Lead
Hazard Reduction Demonstration and
Operation LEAP Grant Programs.
The applicant should include, as an
appendix item to this rating factor, 1–2´
´
page resume of up to three key
personnel responsible for the grant (e.g.,
project director, program manager, etc).
Include a table that lists the relevant
and most recent experience in initiating
and implementing lead hazard control
efforts and/or related environmental,
health or housing projects or programs
and/or grants awarded (which may also
include philanthropic/foundation
awards for LEAP applicants) that you
currently manage or have previously
managed within the past three years
(e.g., Lead Hazard Control, CDBG
Housing Rehabilitation, Childhood Lead
Poisoning Prevention Program, Healthy
Homes Demonstration, Weatherization,
Operation LEAP, etc.), an organizational
chart for the overall organization and
the project/grant program, and include
the following details for each project:
• Federal/state/local/private agency
providing the project;
• Title of the project; and
• Name of the Project Director and
Program Manager.
• Dollar amount of the project;
• Deliverables planned;
• Deliverables and accomplishments
achieved;
• Start and end date of the project;
• Whether or not the project was
completed on time;
• Discussion of any significant
obstacles and how they were resolved.
HUD’s evaluation process will
consider an applicant’s past
performance record as reported to HUD
in effectively organizing and managing
its grant operations, in meeting
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performance and work plan benchmarks
and goals, and in managing funds,
including its ability to account for funds
appropriately, the timely use of funds
received either from HUD or other
federal, state or local programs, and
meeting performance milestones. HUD
may also use other information relating
to these items from sources at hand,
including public sources such as
newspapers, Inspector General or
Government Accountability Office
Reports or Findings, hotline complaints,
or other sources of information that
possess merit.
(2) Current or previous grantee under
any of this NOFA’s programs. HUD will
evaluate the applicant’s quarterly
performance reports for the last four (4)
quarters as of the most recent reporting
year. Based on the overall performance
rating of the last 4 reporting quarters
under the OHHLHC Quarterly Progress
Reporting System, up to a maximum of
10 points will be awarded based on the
combination of green, yellow, or red
performance ratings.
2. Rating Factor 2: Need/Extent of the
Problem (20 Points Maximum for LeadBased Paint Hazard Control and Lead
Hazard Reduction Demonstration
Programs, and 10 Points Maximum for
Operation LEAP)
This factor refers to whether or not
the community where eligible lead
hazard control activities will be
conducted has significant lead-based
paint hazards to be addressed and an
urgent need for HUD funding to address
the problem in your identified target
area(s). Each applicant will be evaluated
and scored in this rating factor based on
documented need as evidenced by
thorough, credible, and applicable data
and information. The applicant is to
complete the Factor 2 Table—Need/
Extent of the Problem.
Multiple tables (one per target area)
are permissible. Provide the number of
children less than 6 years of age in the
target and jurisdiction area(s). The data
submitted to HUD may be verified using
data available from the Census, HUD
user, other data available to HUD and/
or in cooperation with the CDC. Points
will be awarded in this rating factor
based on the information documenting
the number of children with an elevated
blood lead level, the number of pre-1978
housing units (use pre-1980 data, if pre1978 data are unavailable), and the
number and percentage of families with
incomes at or below 80% of the Area
Medium Income as determined by HUD
within your jurisdiction and/or target
areas.
a. Points will be awarded based on the
documented number of children with an
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EBL entered in the Rating Factor 2 table.
Documented Number of Children with
an Elevated Blood Lead (EBL) (10 Points
Maximum for Lead-Based Paint Hazard
Control and Lead Hazard Reduction
Demonstration Programs, and 3 Points
Maximum for Operation LEAP). Provide
the actual number of children
documented as having an elevated
blood lead (EBL) residing within the
jurisdiction where the lead hazard
control work will be conducted for the
most recent complete calendar year and
identify the source of the data. HUD will
accept data for the most recent of the
following calendar years: 2003, 2004,
and 2005. States must report the number
in the city, county, or other area where
funds will actually be used. Consortia of
local governments must report the
number in the cities or counties making
up the consortium. Operation LEAP
applicants must report the EBL data
from the designated targeted areas. For
the purposes of this application, the
‘‘documented number of children’’ with
an EBL is based on the CDC level of
concern. A child under six years of age
with a blood lead level test result equal
to or greater than 10 micrograms of lead
per deciliter of blood, based on a test
that was performed by a medical health
care provider, is considered to have an
EBL. The actual number of children
with an EBL (not an estimate) must be
included in this application in order to
receive points for this sub-factor. Do not
send the children’s names or addresses
or other identifiers. Failure to provide
this number in the application means
that no points will be awarded for this
sub-factor. For you to receive maximum
points for this rating factor, there must
be a direct and substantial relationship
between your proposed lead hazard
control activities, Consolidated Plan’s
lead element, and the documented
community needs. Since an objective of
the program is to prevent at-risk
children from being poisoned, specific
attention must be paid to documenting
the identified need as it applies to any
selected targeted area(s). Applicants
shall complete the Factor 2 Table.
b. Points will be awarded based on
the documented housing market data
relevant to the specified target area(s)
entered in the Rating Factor 2 table. (5
Points for Lead-Based Paint Hazard
Control and Lead Hazard Reduction
Demonstration Programs, and 3 Points
Maximum for Operation LEAP). Points
will be awarded for the number of pre1940 housing units in the applicant’s
jurisdiction(s) according to the table,
‘‘Points Awarded for Number of Pre1940 Occupied Rental Housing Units in
Target Area,’’ that can be downloaded
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from https://www.hud.gov/offices/adm/
grants/fundsavail.cfm. Housing Age for
the following sub-categories: Pre-1940,
1940–1949, 1950–1959, 1960–1969,
1970–1979 and 1980 or newer (Census
information includes 1970–1979
category). The table shows the number
of points awarded based on the number
of pre-1940 housing units in the grant
target area(s).
c. Points will be awarded based on the
documented percentage of very-low
(income less than 50 percent of the area
median) and low- (income less than 80
percent of the area median) income
families, as determined by HUD and
entered in the Rating Factor 2 table (5
Points Maximum for Lead-Based Paint
Hazard Control and Lead Hazard
Reduction Demonstration Grant
Programs and 4 Points Maximum for
Operation LEAP). ‘‘Points Awarded for
Number of Very Low and Low-Income
Percentages of Families in Target Area’’
can be downloaded from https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm. The table shows the
number of points awarded based on the
number of very low and low-income
percentages of families in target area(s).
3. Rating Factor 3: Soundness of
Approach (40 Points Maximum for All
Applicants)
Applicants for these grant programs
shall complete the Rating Factor 3 Table
Soundness of Approach. All Applicants:
Based on analysis of internal historical
data, lead hazard control grant programs
average approximately 1 unit for every
$8,000 of grant and matching/leveraged
dollars spent. It is, therefore, anticipated
that all programs under this NOFA will
meet or exceed this standard. If your
particular work plan will exceed this
unit per grant and match or leverage
threshold, you will be expected to
justify and explain the cost per unit
ratio. This factor addresses the quantity,
quality and cost-effectiveness of your
proposed work plan. The work plan
should include specific, measurable,
and time-phased objectives for each
major program activity and should
reflect benchmark performance
standards for unit production,
expenditures, obtaining match/leverage
funds, community outreach and
education, skills training, and other
activities including accounting for
program activities. These benchmark
standards as well as policy guidance on
developing work plans are available at
the HUD Web site: https://www.hud.gov/
offices/lead/grantfrm/hudgrantee.cfm.
This policy guidance provides a sample
format and outline for developing a
Work Plan.
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Applicants for Lead-Based Paint
Hazard Control and Lead Hazard
Reduction Demonstration Programs
should describe the proposed activities
and provide HUD with measurable
outcome results to be achieved with the
requested funds. Measurable outcome
results should be stated in terms
relevant to the purpose of the program
funds as a direct result of the work
performed within the performance
period of the grant (e.g., estimated
number of units to be made lead-safe,
estimated number of children living in
units made lead-safe, estimated number
of persons to be trained to perform lead
hazard control activities, estimated
number of educational programs to be
presented and/or the number of persons
to be served by such programs, and the
basis for these estimates). Each
proposed activity must be eligible in
accordance with the requirements of
this NOFA and meet statutory
requirements for assistance to low- and
very low-income persons.
Applicants for the Operation Lead
Elimination Action Program (LEAP)
should describe in detail their approach
for leveraging private sector resources.
LEAP is intended to leverage significant
private sector resources that will then be
used to address lead hazards in
privately owned housing occupied by
low- and moderate-income families with
children less than 6 years of age.
Keeping in mind that HUD’s Lead-Based
Paint Hazard Control grants average
approximately 1 unit for every $8,000 of
grant and matching dollars spent,
therefore, a LEAP program should meet
or exceed this performance using
private resources. HUD expects that the
leveraged funds in comparison to the
HUD funds would be substantially
greater (for example, a grant applicant is
proposing to use $4 million in private
sector resources with $2 million in
LEAP funds (a 2:1 ratio)). The number
of units the applicant would expect to
control by these resources would be
approximately 500 units. Your
application should indicate in Rating
Factor 4—Leveraging—the extent of
funding you commit to leverage. Your
application should include in this
Rating Factor 3 your approach for
obtaining the leveraged funding and
your approach to controlling lead-based
paint hazards in housing using the HUD
and leveraged funds.
a. Lead Hazard Control Work Plan
Strategy (20 Points all Applicants):
Describe the overall work plan goals and
time-phased strategy to complete work
within the 36-month period of
performance (Form HUD–96008).
Describe the methods, schedule and
milestones that will be used to identify
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and control lead-based paint hazards
and to achieve the desired project
outcomes. Include summary
information about the estimated
numbers of clients to be contacted, units
and families enrolled, units to receive
risk assessments and inspections, units
to receive lead hazard control work,
individuals or groups to be trained, and
individuals and groups to be reached
through education and/or outreach
activities.
Additionally, provide responses to the
following: Program Management.
Describe the overall approach to
implement the proposed program.
Describe how the program will be
organized, managed and staffed.
(1) Program Administration and
Financial Management. Describe the
approach and method to successfully
administer the proposed program.
(a) Include details about staff and
project oversight/monitoring, contract
administration (to ensure sub-grantees
and contractors conform to the terms,
conditions and specifications of
contracts or other formal agreements),
and how assistance and funding will
flow from the grantee to those who will
perform work under the proposed
program.
(b) Explain how your proposed
technical approach addresses local
conditions and needs, e.g., especially
maximizing the number of children
protected from lead hazards.
(c) Discuss the lead hazard control
financing strategy, including financing
eligibility requirements, terms,
conditions, dollar limits, amounts
available for lead hazard control work in
the various categories (explain) of
housing intended for intervention (e.g.,
single-family, multi-family, vacant,
owner- or tenant-occupied), and who is
responsible for establishing,
administering and overseeing this
aspect of the program. Describe how
recapture of grants or loan funds to
owners of assisted units will occur
when recipients fail to comply with any
terms and conditions of the financing
arrangement (e.g., failure to comply
with affordability, affirmatively
marketing and providing priority to
renting units to families with children
under six years of age, sale of property,
etc.). Explain the assistance instrument
(e.g., grants, deferred loans and/or
forgivable loans and the basis and
schedule for forgiveness), and the role of
other resources such as private sector
financing and matching requirements, if
any, from rental property owners.
Identify the process and those
responsible for coordination and
payment between the program and
contractors performing the work.
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(2) Program Start-Up. Describe
program start-up activities during the
first 120 days of the grant.
(a) Provide information about internal
and external capacity-building steps
necessary to ensure a smooth and timely
start-up phase. Provide detailed
information about hiring staff, training
staff or other organizations to provide
the knowledge and skills required to
address lead hazard control, including
establishment of a qualified contractor
pool, and lead poisoning prevention
actions that are essential for
successfully implementing your
program (e.g., education, testing,
housing interventions).
(b) Include a description of how subgrantees, sub-contractors or subrecipients are selected to carry out
intended activities. If these entities have
already committed to the program,
provide a detailed description of
previous or existing goals,
accomplishments and outcomes relative
to such collaborative agreements or
arrangements with and among these
agencies. If these collaborative
agreements or arrangements have not
yet been entered into, provide a detailed
description to address plans and
strategies to do so.
(c) Describe your proposed
involvement of grassroots communitybased nonprofit organizations, including
faith-based organizations, in the
proposed activities including the
development of consortia. These
activities may include outreach,
community education, marketing,
inspection, and housing evaluations and
interventions.
(d) Explain the environmental review
and Request for Release of Funds
process, and who is responsible, to
obtain the required HUD approval for
intended lead hazard control work on
eligible, enrolled units. Include a
description of the steps to be taken, and
who will be responsible, to comply with
applicable environmental reviews for
individual projects.
(3) Outreach, Recruitment and Unit
Enrollment. Describe the methods and
strategies, including the individuals
and/or sub-grantees, sub-recipients or
contractors responsible for marketing
and outreach to intended target area(s)
and/or residents, including recruitment
and enrollment activities to supply the
program with sufficient numbers of
eligible clients within an established
timeframe.
(a) Describe how you will identify,
select, prioritize and enroll eligible
housing units in which you will
undertake lead hazard control
interventions, especially those known to
house EBL children. Include the number
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of eligible privately owned housing
units, including the number of owneroccupied, rental, vacant, single and/or
multi-family units to be enrolled.
(b) Discuss the eligibility criteria for
unit selection, who will identify and
how the program will identify units that
meet these criteria.
(c) Describe measures you will
perform to sustain recruitment. The staff
is responsible for both monitoring
recruitment status and implementing
the measures identified to sustain
recruitment.
(d) Discuss possible recruitment
problems, impediments that you
anticipate to recruitment, probability of
dropouts and plans to over-recruit to
compensate for dropouts.
(e) Explain how you will obtain data
from state or local health departments
on the addresses of housing units in
which children have been identified as
lead poisoned. Explain how referrals of
eligible units will be obtained from
childhood lead poisoning prevention
programs, other health care or housing
agencies or health providers that serve
children.
(f) Discuss how referrals from the
Section 8, Housing Choice Voucher
program and other agencies that provide
housing assistance to low-income
households with children, including
CDBG, HOME Investment Partnerships
Program-funded housing programs,
Weatherization or other sources, will be
received and processed.
(g) Describe how you will obtain
information in order to document the
occupants of units assisted, meet the
Title X income and family composition
requirements by identifying key staff
who will certify as to the eligibility of
each unit assisted, based on the
determination of income, and when
required, the presence of a child or
children under six years of age.
(h) Discuss the degree to which your
proposed program focuses on eligible
privately owned housing units occupied
or to be occupied by low-income
families with children under six years of
age. Include in this discussion, details
on how you will consider, prioritize and
treat units known to house one or more
lead poisoned children.
(i) Describe your planned approach to
control lead hazards in vacant and/or
occupied units before children are
poisoned.
(j) Indicate how you intend to respond
to the needs of EBL children housed in
units located outside of the target
area(s).
(k) Address the issue of patient
confidentiality per the requirements of
the Health Insurance Portability and
Accountability Act of 1996 (HIPAA), as
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it relates to the release of addresses of
units where children have been
poisoned by lead-based paint hazards
within your jurisdiction(s). Provide
thorough details of all security measures
to be taken to ensure that the privacy of
patient information obtained for the
purposes of public health services
conducted through the lead hazard
control program will be safeguarded.
b. Technical Approach/Lead Hazard
Control Intervention (10 Points for all
Applicants). Applicants shall describe
the technical approach and associated
costs for testing enrolled units, bloodlead testing of children in enrolled
units, lead hazard control methods and
strategies, occupant protection and
temporary relocation.
Describe who will perform the
process of conducting combined leadbased paint inspections and risk
assessments in eligible privately owned
housing to confirm the presence of leadbased paint hazards in enrolled units to
receive lead hazard control work.
Explain how you will ensure that all
information regarding lead hazard
control work, lead-based paint test
results, etc. are provided to property
owners, including the provision of a
statement describing the owner’s legal
obligation to disclose the results to
tenants (before initial leasing, or before
lease renewal with changes) and buyers
(prior to sale) per the requirements of 24
CFR part 35, subpart A. Disclosure of
other identified housing-related health
or safety hazards to the owner of the
unit, for purposes of remediation, is
encouraged but not required. Describe
your testing methods, schedule, and
costs for combined lead-based paint
inspections and risk assessments and
clearance examinations. If you propose
to use a more restrictive standard than
the HUD/EPA thresholds (e.g., less than
0.5 percent or 1.0 milligrams/square
centimeter for lead in paint, or less than
40, 250, 400 micrograms/square foot for
lead in dust on floors, sills and troughs,
respectively, or less than 400 parts per
million (ppm) in bare soil in children’s
play areas and 1200 ppm for bare soil
in the rest of the yard) identify the
standard(s) that will be used. All testing
shall be performed in accordance with
applicable regulations.
(1) Describe the methods, measures
and cost for performing blood lead
testing in children less than six years of
age.
(a) Describe strategies to increase
blood lead testing of children within the
target area(s).
(b) Explain who will be responsible
for ensuring and how you will ensure
that all children less than six years of
age who occupy units to be assisted
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with lead hazard control work receive
blood lead testing within six months of
commencement of work on the unit.
(c) Identify the individual responsible
for and measures to ensure that children
identified with an elevated blood-lead
level are referred to appropriate medical
care and how patient confidentiality,
privacy and the security of medical
information is protected as required by
the Health Insurance Portability and
Accountability Act of 1996 (HIPAA).
(2) Describe the lead hazard control
methods and strategies you will
undertake and the number of single
family and multi-family units that you
will treat for each method selected (e.g.,
interim controls and/or hazard
abatement), including the estimated cost
for each strategy per unit type and the
basis for those estimates. Applicants
should assume that interim controls are
the preferred approach for their
strategies and project unit output targets
accordingly.
(a) Discuss efforts to incorporate costeffective lead hazard control methods.
(b) If applicants maintain that
approaches other than interim controls
are necessary, a justification is
necessary. For example, abatement
might be justified in an area where
significant amounts of low-income
housing stock are highly distressed or
where lead hazard control work is being
combined with rehabilitation. Where
highly distressed housing stock exists,
applicants should explain why options
for households to move to lead-safe
housing are not viable.
(c) Complete abatement in all leadbased painted surfaces in all units is
generally not an accepted strategy. In
cases where only a few surfaces have
identified lead-based paint hazards and
abatement is cost-effective, the
applicant must provide a detailed
rationale for selecting complete
abatement as a strategy.
(3) Indicate the individual or entity
responsible for, and describe the process
for developing the work specifications
and the lead hazard control contractor
bid and selection process (i.e., the
contracting) on properties selected for
lead hazard control work. Explain the
management process to ensure the costeffectiveness of intended lead hazard
control methods. Explain the
coordination of germane activities
among lead hazard control,
rehabilitation, weatherization, and other
contractors performing work other than
lead hazard control.
(4) Describe your plan and the
individual(s) responsible for occupant
protection and the temporary relocation
(Information on Relocation Guidelines
will appear on the Web site) of
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occupants of units selected to receive
lead hazard control work. Describe
strategies to avoid overnight relocation
in small-scale projects consistent with
applicable subsections of HUD’s Lead
Safe Housing Regulations. Your plan
should address the use of safe houses
and other temporary housing
arrangements, storage of household
goods, stipends, incentives, etc.
(5) Describe who will ensure and how
the applicant will ensure that
contractors, property owners and
maintenance personnel performing
interim controls and lead hazard
abatement work are properly trained
and/or certified, and how work will be
monitored and supervised to ensure that
contractors perform work of reasonable
quality in compliance with work
specifications and applicable federal
regulations.
(6) Provide a realistic schedule for
completing key program activities and
outputs, by quarter, so that all activities
and outputs can be completed before or
within the grant period of performance.
Key production activities include unit
enrollment, lead-based paint inspection
and risk assessments, completion and
clearance of units.
(7) Describe the estimated elapsed
timeframe for treating a typical unit that
will receive lead hazard control work,
from referral and intake to completion
and clearance. Estimate the amount of
time required to treat a typical unit to
receive lead hazard control work.
Explain how the program will
accommodate emergency referrals (e.g.,
units occupied by a child under six
years of age with an EBL).
(8) Describe the workflow and
production control methods. Provide
guidelines and/or flowcharts that
demonstrate the agency and team
member responsibilities for each step in
the unit production process (from intake
and enrollment to completion and
clearance of units). Describe how
coordination and hand-offs from
individuals or agencies to and from each
step in the unit production process will
be carried out. Discuss how the actual
production status of units, from intake
and enrollment to completion and
clearance, will be monitored, and how
and when impediments to production
will be identified and remedied.
(9) Explain how the proposed
program will integrate and stage
proposed lead hazard control activities
with rehabilitation (or weatherization,
Healthy Homes Demonstration, etc.).
Identify the individuals and agencies to
coordinate these efforts and the number
of units anticipated to be blended from
these other programs and resources.
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c. Economic Opportunity (Up to 7
maximum points for all applicants).
Describe the individual or agency
responsible for the promotion,
recruitment, and provision of training in
lead-safe work practices and other lead
certification disciplines (e.g.,
supervisor, worker, risk assessor,
inspector, etc.) to individuals and
contractors in housing related trades,
such as painters, remodelers,
renovators, maintenance personnel,
rehabilitation specialists, and others.
Also, describe the methods you will
employ to promote, recruit and provide
the training.
(1) Section 3 Requirement (2 of 7
points). Detail the means to be used to
provide appropriate economic
opportunities to residents and
businesses of the target area, in
compliance with Section 3 of the
Housing and Urban Development Act of
1968 (12 U.S.C. 1701u) and HUD’s
implementing rules at 24 CFR part 135.
Describe how you will accomplish said
Section 3 requirements by identifying
the number of individuals to receive
such training per discipline, the
schedule for delivering said training
opportunities for low and very lowincome persons living within the
applicant’s jurisdiction, and how
trained individuals will be linked to
employment opportunities with
businesses owned by low and very lowincome persons living within the
grantee’s jurisdiction.
(2) Lead Hazard Control Outreach
and Coordination (5 of 7 points).
(a) Coordination on Health Programs.
(i) Describe your involvement in
coordination among critical agencies,
including participation in the CDC statewide or jurisdiction-wide strategic plan
to eliminate childhood lead poisoning
by 2010.
(ii) Describe your involvement in
collaborative agreements or
arrangements with childhood lead
poisoning prevention programs among
health agencies, housing agencies,
community development agencies, and
code enforcement agencies (or
equivalent) for the target jurisdiction, as
applicable. Applicants shall include a
description of their previous or existing
goals, accomplishments, and outcomes
relative to such collaborative
agreements or arrangements with and
among these agencies. If these
collaborative agreements or
arrangements have not yet been entered
into, a detailed description to address
plans and strategies to do so shall be
provided.
(iii) Describe the learning
opportunities to be made available to
community members, including
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families, workers, small businesses and
others, to help develop a strategic
community health education model that
identifies lead-related health hazards
and their solutions, and educates
community members and affects wider
efforts in the applicant’s targeted area.
Applicants shall discuss the
opportunity-to-learn approaches to
educate children, parents, workers,
business people, and other community
members about lead poisoning
prevention and lead hazard control.
Include how the proposed educational
program will continue to meet the needs
of those children already living in units
to receive lead hazard control work.
(b) Lead Hazard Control Outreach and
Community Private Sector Involvement.
(i) Applicants are encouraged to
solicit participation of grassroots
community-based and private sector
organizations, including faith-based
organizations to accomplish outreach
and community involvement activities
intended to build long-term capacity to
sustain accomplishments in the target
area.
(ii) Describe the role of grassroots
community-based nonprofit
organizations, including faith-based
organizations, in specific program
activities (e.g., hazard evaluation and
control, monitoring, awareness,
education and outreach within the
community).
(c) Proposed Methods of
Communication and Outreach.
(i) Describe how the applicant will
ensure that outreach and related
education commitments by sub-grantees
and/or sub-contractors will be honored
and executed.
(ii) Identify the individuals and/or
entities responsible for community
education and the delivery methods.
Include a brief description of the
proposed curriculum or subjects to be
communicated, and the groups to be
targeted to receive said education.
(iii) Explain how the intended
education program(s) will be culturally
sensitive, targeted, and linguistically
appropriate. Identify the means
available to supply the educational
materials in other languages (identify all
that apply) common to the community.
(iv) Include the estimated number of
individuals to receive the intended
education and the estimated number of
events to be delivered.
(d) Affirmatively Furthering Fair
Housing.
(i) Describe strategies and
methodologies that affirmatively further
fair housing and increase access to leadsafe housing for all segments of the
population: homeowners, owners of
rental properties, and tenants.
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(ii) Identify who will ensure and how
the applicant will ensure that the
program will continue to affirmatively
market and match treated units with
low-income families with children less
than six years of age in the future.
(iii) Explain how this outreach
strategy will avoid housing
discrimination against families with
young children, and how families will
have adequate, lead-safe housing
choices in the future. This strategy
could include plans to develop and
implement a registry of lead-safe
housing that is available to the public,
or to incorporate the inclusion of the
lead-safe status of properties in another
publicly accessible address-based
property information system. The
strategy could also include affirmatively
marketing your services to those
populations least likely to apply and
who may not be served by any of the
organizations working with you or the
grantee team.
d. HUD’s Departmental Policy
Priorities and Consolidated Plan (6
Points for all applicants; each policy
priority is 1 point, except Removal of
Regulatory Barriers (#4) is 2 rating
points—HUD Form 27300 is required to
receive point (s)). Indicate if, and
describe how, you will address any of
HUD’s departmental policy priorities
(see General Section for more detailed
explanation of HUD’s policy priorities).
Applicants shall also provide evidence
of the priority that the community’s
Consolidated Plan and Analysis of
Impediments to Fair Housing Choice
has placed on addressing the needs
described.
The policy priorities that are
applicable to this NOFA, and which the
applicant should address, are: (1)
Improving our Nation’s Communities
(focus on distressed communities); (2)
Providing Full and Equal Access to
Grassroots Community-based Nonprofit
Organizations, including Faith-based
Organizations in HUD Program
Implementation; (3) Participation of
Minority-Serving Institutions in HUD
Programs; (4) Removal of Regulatory
Barriers to Affordable Housing; and (5)
Promoting Energy Efficiency and Energy
Star. HUD expects the applicants to
implement Energy Star building
techniques and utilize Energy Star
appliances whenever activities of the
grant afford the opportunity. (For
information on Energy Star Programs
and Appliances, see https://
www.epa.gov/epahome/athome.htm.
(1) Describe how the proposed
program would contribute to satisfying
the stated needs in the Consolidated
Plan or Indian Housing Plan, and
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eliminate impediments identified in the
Analysis of Impediments (AI).
(2) Describe how your strategy will
provide long-term benefits to families
with children less than six years of age.
e. Data Collection and other Program
Support Activities (2 points for all
applicants).
(1) Identify and discuss the specific
methods you will use (in addition to
HUD reporting requirements) to
document activities, progress, program
effectiveness, and how changes
necessary to improve performance will
be identified and implemented. Explain
who is responsible and how you will
collect, document and report on
information collected.
(2) Describe how databases, including
Web sites, computer, paper or other
formats, will incorporate the provisions
of the Privacy Act of 1974, such that the
addresses of enrolled, treated and/or
cleared housing units shall not include
personal information that could identify
any child affected.
(3) Provide a detailed description of
any proposed participation in research
activities, studies, or development of
information systems designed to
enhance the delivery, analysis, or
conduct of lead hazard control
activities, or that will facilitate the
targeting and pooling of resources to
further childhood lead poisoning
prevention efforts. If you are proposing
to participate in research activities,
describe the objectives, methodology,
and impact of the proposed research
activities.
4. Rating Factor 4: Matching and
Leveraging Resources (10 Points
Maximum for Lead-Based Paint Hazard
Control and Lead Hazard Reduction
Demonstration Program, and 20 Points
Maximum for Operation LEAP)
This rating factor applies to all
programs unless otherwise specified.
This factor addresses your ability to
obtain other community and private
sector funds that can be combined with
HUD’s program resources to achieve
program objectives. In evaluating this
factor, HUD will primarily consider the
amount of match and/or leveraged
funding you commit to provide (in
relation to the amount of HUD funding
you request). In evaluating this factor,
HUD will consider the extent to which
you have established working
relationships with other entities to get
additional funds or commitments to
increase the effectiveness of the
proposed program activities. Describe
how you will obtain information in
order to document the occupants of
units assisted to meet Title X income
and family composition requirements.
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Identify the key staff who will certify as
to the eligibility of each unit assisted
under the grant based on the
determination of income, and when
required, the presence of a child under
six years of age. Funds may include
cash or in-kind contributions of
services, equipment, or supplies
allocated to the proposed program.
Funds may be provided by
governmental entities, public, or private
organizations, and other entities
teaming with you. Matching and other
contribution arrangements (other funds
not meant for direct eligible activities
under this program) with rental
property owners may have the benefits
of increasing the efficiency of public
lead hazard identification and control
expenditures and creating a financial
stake for rental property owners in the
quality of lead hazard control work.
Contractual or other formal
relationships with grassroots
community-based nonprofit
organizations, including faith-based
organizations, are a requirement for
state and local government applicants.
Documentation of relationships with
grassroots community-based nonprofit
organizations, including faith-based
organizations, must be provided in this
application in the form of either signed
agreements or commitment letters from
organization officials who have the
authority to commit the organization.
This requirement does not apply to
Native American Tribe applicants. You
also may team with other program
funding recipients to coordinate the use
of funds in your target area(s).
a. Strategy and Approach (5 points
Lead-Based Paint Hazard Control and
Lead Hazard Reduction Demonstration
Program, and 15 points maximum for
Operation LEAP).
(1) Describe the proposed strategy for
leveraging (e.g., private sector for
Operation LEAP and public and private
for Lead-Based Paint Hazard Control
and Lead Hazard Reduction
Demonstration Program) resources
including:
(a) Target audiences/constituencies;
(b) Use of contractors/subgrantees/
team organizations and their method of
selection;
(c) Methods of outreach/promotion;
(d) Types of leveraging to be
employed;
(e) Proposed use and distribution of
funds/resources leveraged;
(f) Overall project management and
coordination; and
(g) Proposed schedule of activities
within the 36-month period of
performance;
b. Matching and/or Leveraging
Contributions (5 maximum points for all
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applicants). Points based on the
documented leverage funding will be
awarded based on the charts below.
(1) Matching and leveraged funds
must be shown to be specifically
dedicated to and integrated into
supporting activities. Refer to Section
III.B, Cost Sharing or Matching
Requirements for additional
information. Project match and/or
leverage shall be limited to
contributions which would be eligible
for payment from grant funds, and may
be in the form of cash, including private
sector funding, or in-kind (non-cash)
contributions or a combination of these
resources. Leverage may be in the form
of cash from private sector funding or
other resources or in the form of noncash contributions or a combination of
these resources. You may not include
any federal funds as part of the match,
unless those funds are specifically
permitted by statute to be used as
matching funds, such as CDBG funds.
Other funds from the private sector or
other sources committed to the program
that exceed the required match, if any,
will provide points for this rating factor.
Contributions (match funds or other
contributed resources) above any
statutory minimum match may include
funds from other federally funded
programs, and/or state, local, charity,
nonprofit or for-profit entities. The
signature of the authorized official on
the Form SF–424 commits matching or
other contributed resources of the
applicant organization.
Staff in-kind contributions should be
given a monetary value based on the
local market value of the staff skills; you
are responsible for tracking the number
of labor hours provided in the match for
each labor category. If you do not
provide letters from contributors
specifying details and the amount of the
actual contributions, those contributions
will not be counted. Contributions
required of rental property owners may
be included as part of your match. You
should document and provide the
amount of the match and/or leverage
from each funding source.
Applicants will not receive full points
under this rating factor if they do not
submit evidence of a firm commitment
and the appropriate use of match and/
or leveraged resources under the grant
program. Such evidence must be
provided in the form of letters of firm
commitment, memoranda of
understanding, or other signed
agreements to participate from those
entities identified as team members in
your application. Each letter of
commitment, memorandum of
understanding, or agreement to
participate should include the
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organization’s name, the proposed level
of commitment, and the responsibilities
as they relate to your proposed program.
The commitment must be signed by an
official of the organization legally able
to make commitments on behalf of the
organization and should be submitted at
the time of the application submission.
Describe the role of grassroots
community-based nonprofit
organizations, including faith-based
organizations, in specific program
activities, such as hazard evaluation and
control; monitoring; and awareness,
education, and outreach within the
community. Describe how you will
ensure that commitments to subgrantees specified in your proposal will
be honored and executed, contingent
upon an award from HUD.
The applicant is encouraged to
employ creativity and initiative in
achieving the objectives of the program.
Some examples of possible strategies/
approaches include the following:
(a) Enlisting the support and resource
commitment of financial institutions,
foundations, private industry, the
general public, property owners, and
others to make residential housing leadsafe and eliminate lead poisoning as a
public health threat to children;
(b) Soliciting the support of national
building materials providers, building
component manufacturers, and housingrelated national retail outlets to donate
money and/or materials to lead hazard
control programs in housing and health
departments, landlords and owneroccupants to eliminate lead-based paint
hazards in privately owned low-income
dwellings. For example, a window,
wallboard, or paint manufacturer/
retailer could donate or coordinate the
donation and distribution of windows,
wallboard, or paint to lead-based paint
hazard control and/or lead hazard
control elements of rehabilitation
projects throughout the country. This
strategy could also include the
distribution of discount coupons for
purchases of paint or other materials
from national suppliers for lead-based
paint hazard control projects;
(c) Forming teams with banks or other
mortgage or financial institutions
willing to provide no- or low-interest
home improvement loans to finance
lead hazard control activities and
abatement measures among low-income
recipients who would not otherwise be
served. By participating, banks could
fulfill a major element of their
responsibilities under the Community
Reinvestment Act;
(d) Forming teams to facilitate the
coordination and distribution of
donated building materials, such as
windows, trim molding, or paint, etc. to
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local projects involved in lead hazard
control programs;
(e) Identifying and facilitating the
availability and use of temporary
relocation facilities for families who
need to move out of their dwellings
while lead hazard control work is being
undertaken. For example, hotel chains,
colleges, and other lead-safe sites could
be contacted to make housing available
for the temporary relocation of families
during lead hazard control;
(f) Working with landlords, tenant
groups and others to form consortia or
otherwise engage landlords and owneroccupants to enroll their eligible
housing units in local lead hazard
control or rehabilitation programs. The
applicant should obtain commitments
from landlords to provide matching
resources for work to be done on their
units. For example, the lead hazard
control program could offer landlords
grant funds for replacement windows if
the landlords contribute the cost of
additional repairs (such as basic system
upgrades, or other rehabilitation work
including painting and maintenance)
that is associated with lead hazard
control. To encourage such
commitments, efforts should be made to
educate landlords about the primary
benefits (effect on children’s health) and
supplementary benefits that can result
from lead hazard reduction work such
as improving an apartment’s physical
condition and marketability;
(g) Expanding dust testing and
clearance testing, especially in high-risk
communities;
(h) Promoting homebuilder,
remodeler, or contractor associations to
coordinate efforts to reduce lead hazards
by contributing technical assistance,
training, presentations and materials
and/or labor to lead hazard control
efforts;
(i) Encouraging landscaping firms,
nurseries, and landscape architects to
contribute lead-safe soil, mulch, and
other forms of vegetation cover and
shrubbery designed to mitigate lead
contamination of soil around the
exterior/perimeter and play areas of
affected housing units;
(j) Working with health, housing, and
community development organizations
or other entities to conduct lead
poisoning prevention activities,
including efforts to plan, participate in,
and/or facilitate strategic planning to
eliminate lead poisoning as a public
health threat to young children by 2010.
As part of this effort, the applicant
should describe the process for
considering enrolling housing units (or
multi-family buildings) in which one or
more children under age 6 years have
EBLs, with priority to housing where
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repeated and/or severe cases of
childhood lead poisoning have
occurred. (Because of the presence of a
variety of priorities, it is not a
requirement that units with leadpoisoned children be enrolled, but the
process for giving such units high
priority should be described and
implemented.);
(k) Working with grassroots nonprofit
community organizations, including
faith-based or other community-based
organizations, that are committed to
improving the quality of life of young
children in high risk housing; and
(l) Providing training for significant
numbers of trades people to implement
lead-safe work practices, such as
window replacement and
weatherization work
OPERATION LEAP APPLICANTS
Documented leverage above
requested HUD amount
(percent)
Points
awarded
≤50 ............................................
>50–≤100 ..................................
>100–≤150 ................................
>150–≤200 ................................
>200–≤300 ................................
>300 ..........................................
0
1
2
3
4
5
LEAD HAZARD CONTROL APPLICANTS
Documented match and other
contributions of the requested
HUD amount
(percent)
Points
awarded
10 ..............................................
>10–≤20 ....................................
>20–≤30 ....................................
>30–≤40 ....................................
>40–≤50 ....................................
>50 ............................................
0
1
2
3
4
5
LEAD HAZARD REDUCTION
DEMONSTRATION APPLICANTS
Documented match and other
contributions of the requested
HUD amount
(percent)
Points
awarded
25 ..............................................
>25–≤30 ....................................
>30–≤35 ....................................
>35–≤40 ....................................
>40–≤50 ....................................
>50 ............................................
5. Rating Factor 5: Achieving Results
and Program Evaluation (10 Points
Maximum for All Applicants)
This rating factor reflects HUD’s goal
to embrace high standards of ethics,
management, and accountability.
a. Describe in detail your needs and
service activities, identify the outputs
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and short-term, intermediate-term and
long-term outcomes (5 points).
(1) State clearly the project activities
including specific goals (‘‘benchmarks’’)
of each activity and how you will
achieve those goals.
(2) Describe how you will measure the
results. Provide your goals, inputs,
activities, outcomes and performance
benchmarks (goals) for the entire grant
period. In the narrative, explain how
you will document and track your goals,
program activities, and schedules.
Identify the procedures you will follow
to make adjustments to your work plan
to improve performance if benchmarks
are not met within established
timeframes.
b. Logic Model (5 points).
(1) Applicants must complete and
return the Form HUD–96010.
Information about developing a Logic
Model is available at: https://
www.hud.gov/offices/admin/grants/
fundsavail.cfm. HUD is moving to a
standardized ‘‘Master’’ Logic Model
from which you can select needs,
activities, and outcomes appropriate to
your program. See the General Section
for detailed information on use of the
‘‘Master’’ Logic Model. HUD is requiring
grantees to use program-specific
questions to self-evaluate the
management and performance of their
program. Training on HUD’s logic
model and the reporting requirements
for addressing the Management
questions will be provided via satellite
broadcast. In evaluating Rating Factor 5,
HUD will consider how you have
described the benefits and outcome
measures of your program. HUD will
also consider the evaluation plan, to
ensure the project is on schedule and
within budget. For FY2006, HUD is
considering a new concept for the Logic
Model. The new concept is a Return on
Investment statement. HUD will be
publishing a separate notice on the ROI
concept.
(2) Performance indicators should be
objectively quantifiable and should
measure actual achievements against
anticipated achievements. Step 1. The
planning component of the logic model
should identify the problem or need and
develop a plan. Step 2. The intervention
component of the logic model should
identify the kinds of services, activities,
and outputs projected. Step 3. The
impact component of the logic model
should identify the projected outcomes.
Step 4. The accountability (phase one)
component of the logic model should
include data sources, measurement, and
reporting tools. Step 5. The
accountability (phase two) component
of the logic model should include the
evaluation methodology or the
evaluation process. As a planning tool,
the logic model can provide the
statement of need and also provide the
rationale for the proposed service or
activity. For goals or benchmarks, the
logic model can provide a set of
quantifiable goals including timeframes.
These goals allow you, the applicant,
and HUD to monitor and assess your
progress in achieving your program
work plan. The process for the
achievement of outcome goals should
include identifying the expected
outcome and the estimated number
needed to achieve the goal or the
expected outcome in terms of the
community impact or changes in
economic and social status. The
following describes what are
measurement-reporting tools. Some
examples are survey instruments;
attendance log; case report; pre-post
tests; or waiting lists. Describe where
data are maintained, for example,
central databases; individual case
records; specialized access databases,
tax assessor databases; and local
precinct. Also, identify the location
where the database is maintained,
updated, etc., for example, on-site,
subcontractor, or specify (e.g., identify
what the other is).
6. Bonus Points (2 Rating Points for All
Programs)
This NOFA provides for the award of
two bonus points for eligible activities/
projects that the applicant proposes to
locate in federally designated
Empowerment Zones (EZs), Renewal
Communities (RCs), or Enterprise
Communities designated by United
States Department of Agriculture
(USDA) in round II (EC-IIs) and that are
certified to be consistent with the area’s
strategic plan or RC Tax Incentive
Utilization Plan (TIUP). Discuss
whether any of the proposed activities
will occur in any of these areas and how
they will benefit the residents of those
zones or communities. Applicants must
submit a completed Certification of
Consistency with the RC/EZ/EC-II
Strategic Plan—Form HUD–2990, and
also meet the requirements listed in the
General Section for a possible award of
two bonus points.
B. Reviews and Selection Process
1. Rating and Ranking. Please Refer to
the General Section
a. Only those applications that meet
the threshold review requirements will
be rated and ranked. HUD intends to
fund the highest ranked applications in
each category receiving a minimum
score of 75 within the limits of funding.
b. Remaining Funds. Refer to the
General Section for HUD’s procedures if
funds remain after all selections have
been made within a category.
c. The scoring criteria to be used to
award the maximum points for this
NOFA are how fully and thoroughly the
applicant answers each item listed in
each rating factor. Criteria may be
obtained at https://www.hud.gov/offices/
lead/index.cfm.
2. Factors for Award Used To Rate and
Rank Applications
a. Implementing HUD’s Strategic
Framework and Demonstrating Results.
HUD is committed to ensuring that
programs result in the achievement of
HUD’s strategic mission. To support this
effort, grant applications submitted for
HUD programs will be rated on how
well they tie proposed outcomes to
HUD’s policy priorities and Annual
Goals and Objectives, and the quality of
proposed Evaluation and Monitoring
Plans.
b. The maximum number of points to
be awarded is 102. This maximum
includes two bonus points as described
in the General Section.
c. The factors for rating and ranking
eligible grantees under all categories,
and the maximum points for each factor
are stated below:
Maximum points
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Rating factors
LHC * &
LHRD **
1. Capacity of the Applicant and Relevant Organizational Experience ..........................................................................
2. Need/Extent of the Problem ........................................................................................................................................
3. Soundness of Approach ..............................................................................................................................................
4. Matching and Leveraging Resources ..........................................................................................................................
5. Achieving Results and Program Evaluation ................................................................................................................
Empowerment Zone, Renewal Zones and Enterprise Community (II), Bonus Points ....................................................
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20
40
10
10
2
LEAP ***
20
10
40
20
10
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Maximum points
Rating factors
LHC * &
LHRD **
Total ..........................................................................................................................................................................
102
LEAP ***
102
* Lead-Based Paint Hazard Control.
** Lead Hazard Reduction Demonstration.
*** Operation Lead Elimination Action Program.
Section VI. Award Administration
Information: Refer to the General
Section for Additional Details on
Award Administration
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A. Award Notices
1. Successful applicants will receive a
letter from the Office of Healthy Homes
and Lead Hazard Control Grant Officer
indicating that they have been selected
for an award. This letter will provide
additional details regarding the effective
start date of the grant and any additional
data and information to be submitted to
execute a grant agreement. This letter is
not an authorization to begin work or
incur costs under the grant. A fully
executed grant agreement is the
authorizing document. Unsuccessful
applicants will also be notified that
their application was not selected for an
award and will be afforded an
opportunity to request a debriefing on
the unsuccessful application according
to the procedures outlined in the
General Section.
2. Negotiation. Refer to the General
Section for additional details.
3. Adjustments to Funding. Refer to
the General Section for additional
details.
B. Administrative and National Policy
Requirements
Refer to the General Section for
additional details regarding the
Administrative and National Policy
Requirements applicable to HUD
Programs.
1. Flood Disaster Protection Act.
Under the Flood Disaster Protection Act
of 1973 (42 U.S.C. 4001–4128), you may
not use these grant funds for leadhazard control or rehabilitation of a
building or manufactured home that is
located in an area identified by the
Federal Emergency Management Agency
(FEMA) as having special flood hazards
unless:
a. The community in which the area
is situated is participating in the
National Flood Insurance Program in
accordance with the applicable
regulations (44 CFR parts 59–79), or less
than a year has passed since FEMA
notification regarding these hazards;
and
b. Where the community is
participating in the National Flood
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Insurance Program, flood insurance on
the property is obtained in accordance
with section 102(a) of the Flood Disaster
Protection Act (42 U.S.C. 4012a(a)). You
are responsible for assuring that flood
insurance is obtained and maintained
for the appropriate amount and term.
2. National Historic Preservation Act.
The National Historic Preservation Act
of 1966 (16 U.S.C. 470) and the
regulations at 36 CFR part 800 apply to
the lead-hazard control or rehabilitation
activities that are undertaken pursuant
to this NOFA.
3. Waste Disposal. You must handle
waste disposal according to the
requirements of the appropriate local,
state, and federal regulatory agencies.
You must handle disposal of wastes
from hazard control activities that
contain lead-based paint, but are not
classified as hazardous in accordance
with state or local law or the HUD
Guidelines for the Evaluation and
Control of Lead-Based Hazards in
Housing (HUD Guidelines). The
Guidelines are available from the HUD
Web site at: https://www.hud.gov/offices/
lead/guidelines/hudguidelines/
index.cfm.
4. Worker Protection Procedures. You
must observe the procedures for worker
protection established in the HUD
Guidelines, as well as the requirements
of the Occupational Health and Safety
Administration (OSHA) (29 CFR
1926.62, Lead Exposure in
Construction), or the state or local
occupational safety and health
regulations, whichever are most
protective. If other applicable
requirements contain more stringent
requirements than the HUD Guidelines,
the more rigorous standards shall be
followed.
5. Davis-Bacon Act. The Davis-Bacon
Act does not apply to these programs.
However, if you use grant funds in
conjunction with other federal programs
in which Davis-Bacon prevailing wage
rates apply, then Davis-Bacon
provisions will apply to the extent
required under the other federal
programs.
6. Procurement of Recovered
Materials. See the General Section for
information concerning this
requirement.
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7. Executive Order 13202. Refer to the
General Section.
C. Reporting
Successful applicants will be required
to submit quarterly, annual, and final
program and financial reports according
to the requirements of the Office of
Healthy Homes and Lead Hazard
Control. Your quarterly, annual and
final report must include a completed
Logic Model form HUD–96010,
approved and incorporated into your
award agreement, showing specific
outputs and outcome results against
those proposed and accepted as part of
your approved grant agreement. For
specific reporting requirements, see
policy guidance: https://www.hud.gov/
offices/lead/index.cfm. Specific
guidance and additional details will be
provided to successful applicants.
Section VII. Agency Contact(s)
For Further Information and
Technical Assistance: You may contact
Jonnette Hawkins, Director, Program
Management and Assurance Division,
Office of Healthy Homes and Lead
Hazard Control, 451 Seventh Street,
SW., Washington, DC 20410–3000,
telephone (202) 755–1785, extension
7593 (this is not a toll-free number)
facsimile (202) 755–1000, e-mail:
Jonnette_G._Hawkins@hud.gov (use
underscores). For grants administrative
questions, you may contact Ms. Curtissa
L. Coleman, Office of Healthy Homes
and Lead Hazard Control; telephone
(202) 755–1785, extension 7580 (this is
not a toll-free number) or via e-mail at
Curtissa_L._Coleman@hud.gov. If you
are a hearing-or speech-impaired
person, you may reach the above
telephone number via TTY by calling
the toll-free Federal Information Relay
Service at 1–800–877–8339.
Section VIII. Other Information
For additional general, technical, and
grant program information pertaining to
the Office of Healthy Homes and Lead
Hazard Control, visit: https://
www.hud.gov/offices/lead.
Section IX. Paperwork Reduction Act
The information collection
requirements contained in this
document have been approved by the
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Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520) and
assigned OMB control number 2539–
0015. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to a collection of information
unless the collection displays a
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currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 80 hours per application and 16
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
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final report. The information will be
used for grantee selection and
monitoring the administration of funds.
Response to this request for information
is required in order to receive the
benefits to be derived.
BILLING CODE 4210–01–P
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Federal Register / Vol. 71, No. 45 / Wednesday, March 8, 2006 / Notices
Lead Technical Studies and Healthy
Homes Technical Studies Programs
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Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Healthy Homes and Lead
Hazard Control.
B. Funding Opportunity Title: Lead
Technical Studies and Healthy Homes
Technical Studies.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Funding Opportunity Number is: FR–
5030–N–29. The OMB Paperwork
Approval number is: 2539–0015.
E. Catalog of Federal Domestic
Assistance (CFDA) Numbers: 14.902,
Lead Technical Studies Grant Program,
and 14.906, Healthy Homes Technical
Studies Grant Program.
F. Dates: The application deadline
date is June 6, 2006. Applications
submitted through https://
www.grants.gov must be received and
validated by grants.gov no later than
11:59:59 pm eastern time on the
application deadline date. See the
General Section IV, regarding
application submission procedures and
timely filing requirements.
G. Additional Overview Content
Information: 1. Purpose: To fund
technical studies to improve existing
methods for detecting and controlling
lead-based paint and other housingrelated health and safety hazards, to
develop new methods to detect and
control these hazards, and to improve
our knowledge of lead-based paint and
other housing-related health hazards.
2. Available funding: The total
amount to be awarded is approximately
$5.75 million, of which approximately
$3.75 million is for Lead Technical
Studies and approximately $2 million is
for Healthy Homes Technical Studies.
3. Anticipated awards: The
anticipated amounts and numbers of
individual awards for the Lead
Technical Studies Program will be
approximately 3 to approximately 10
awards, ranging from approximately
$200,000 to a maximum of $1 million.
The anticipated amounts and number of
individual awards for the Healthy
Homes Technical Studies Program will
be approximately 2 to approximately 5
awards, ranging from approximately
$200,000 to a maximum of $1 million.
In addition, there will be one award in
each technical studies program to
correct funding errors made in the fiscal
year 2004 Technical Studies NOFAs.
4. Type of awards: Cooperative
agreements, with substantial
involvement of the government will be
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awarded (see Paragraph II.C for a
description of substantial involvement).
5. Eligible applicants: Academic, notfor-profit and for-profit institutions
located in the U.S., state and units of
local general government, and federally
recognized Native American tribes are
eligible to apply. For-profit firms are not
allowed to earn a fee (i.e., make a profit
from the project).
6. Cost sharing or ‘‘matching’’ is not
required; however, applicant
‘‘leveraging’’ contributions are
encouraged (see Section V.A.4.d).
7. There is no limit on the number of
applications that each applicant may
submit.
8. The applications for this NOFA can
be found at https://www.grants.gov. The
application is an electronic application.
You must be registered at https://
www.grants.gov to submit your
application. Registration is a multi-step
process, and HUD recommends that you
allow at least 10 days to complete the
registration process. The General
Section contains information on
submission requirements and
procedures. Please carefully review the
General Section before reading the
program section so that you understand
the Grants.gov electronic application
process.
Full Text of Announcement
I. Funding Opportunity Description
A. Purpose of the Programs
The overall goal of both the Lead and
the Healthy Homes Technical Studies
programs is to gain knowledge to
improve the efficacy and costeffectiveness of methods for evaluation
and control of lead-based paint and
other housing related health and safety
hazards. This also supports HUD’s
Strategic Goal to Strengthen
Communities and the associated policy
priority to Improve Our Nation’s
Communities by improving the
environmental health and safety of
families living in public and privately
owned housing.
B. Program Description
HUD is funding studies to improve
HUD’s knowledge of lead-based paint
hazards and other housing-related
health hazards, and to improve or
develop new hazard assessment and
control methods, with a focus on the
key residential health and safety
hazards. Key hazards are discussed in
Appendix A of this NOFA. A list of
references that serves as the basis for the
information provided in this NOFA is
provided as Appendix B to this NOFA.
Both Appendix A and Appendix B of
this NOFA can be found on HUD’s Web
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site at https://www.hud.gov/offices/adm/
grants/fundsavail.cfm).
1. General Goals
a. Lead Technical Studies (LTS). The
overall goal of the Lead Technical
Studies grant program is to gain
knowledge to improve the efficacy and
cost-effectiveness of methods for
evaluation and control of residential
lead-based paint hazards.
Through the Lead Technical Studies
Program, HUD is working to fulfill the
requirements of sections 1051 and 1052
of the Residential Lead-Based Paint
Hazard Reduction Act of 1992 (Title X)
(42 U.S.C. 4854 and 4854a) which
directs HUD to conduct research on
topics which include the development
of ‘‘improved methods for evaluating
[and] reducing lead-based paint hazards
in housing,’’ among others.
Brief descriptions of active and
previously funded lead technical
studies projects can be found on HUD’s
Web site at https://www.hud.gov/offices/
lead/techstudies/index.cfm. Where
appropriate, you are strongly
encouraged to ensure that your
proposed study builds upon HUDsponsored work that has been
previously completed, in addition to
other relevant research (i.e., that
contained in government reports and in
the published literature).
The results of the technical studies
will be used in part to update HUD’s
Guidelines for the Evaluation and
Control of Lead-Based Paint Hazards in
Housing (Guidelines). For supporting
references, including where to find the
Guidelines, see Appendix B on HUD’s
Web site at https://www.hud.gov/offices/
adm/grants/fundsavail.cfm.
b. Healthy Homes Technical Studies
(HHTS). The overall goals and
objectives of the Healthy Home
Initiative (HHI), which includes the
HHTS Program and the Healthy Homes
Demonstration Grant Program (see the
Healthy Homes Demonstration Grant
Program NOFA published in this
SuperNOFA), are to:
(1) Mobilize public and private
resources, involving cooperation among
all levels of government, the private
sector, grassroots community-based
organizations, including faith-based
organizations, and other non-profit
organizations, to develop the most
promising, cost-effective methods for
identifying and controlling housingrelated hazards; and
(2) Build local capacity to operate
sustainable programs that will continue
to prevent, minimize, and control
housing-related hazards in low- and
very low-income residences when HUD
funding is exhausted.
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The HHI departs from the more
traditional approach of attempting to
correct one hazard at a time. HUD is
interested in promoting approaches that
are cost-effective and efficient and result
in the reduction of health threats for the
maximum number of residents, and in
particular, low-income children.
In April 1999, HUD submitted a
preliminary plan that described the HHI
to Congress. The submission (Summary
and Full Report), and a description of
the HHI are available on the HUD Web
site at https://www.hud.gov/offices/lead/
hhi/index.cfm.
In addition to deficiencies in basic
housing facilities that may impact
health, changes in the U.S. housing
stock and more sophisticated
epidemiological methods and
biomedical research have led to the
identification of new and often more
subtle health hazards in the residential
environment (e.g., asthma triggers).
While such hazards will tend to be
found disproportionately in housing
that is substandard (e.g., structural
problems, lack of adequate heat, poor
maintenance, etc.), such housing-related
environmental hazards may also exist in
housing that is otherwise of good
quality. Appendix A of this NOFA
briefly describes the key housingassociated health and injury hazards
HUD considers targets for intervention.
HUD has also developed resource
papers on a number of topics of
importance under the HHI, including
mold, environmental aspects of asthma,
carbon monoxide, and unintentional
injuries. These resource papers can be
downloaded at https://www.hud.gov/
offices/lead/hhi.
Brief descriptions of current and
recently completed Healthy Homes
Technical Studies projects and grantee
contact information can be found on the
HUD Web site at https://www.hud.gov/
offices/lead/hhi/hhigranteeinfo.cfm.
2. Community Participation
HUD believes that it is important for
researchers to incorporate some aspect
of meaningful community participation
in the development and implementation
of studies that are conducted in
communities and/or involve significant
interaction with community residents.
Community participation can improve
study effectiveness in various ways,
including the development of more
appropriate research objectives,
improving recruitment and retention of
study participants, improving
participants’ involvement in and
understanding of the study, improving
ongoing communication between
researchers and the affected community,
and more effectively disseminating
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study findings. HUD encourages
applicants to consider using a
‘‘community based participatory
research (CBPR)’’ approach, where
applicable, in study design and
implementation. (See e.g., the report
published by the National Institute of
Environmental Health Sciences titled
‘‘Successful Models of CommunityBased Participatory Research’’ at:
https://www.niehs.nih.gov/translat/
pubs.htm). CBPR is characterized by
substantial community input in all
phases of a study (i.e., design,
implementation, data interpretation,
conclusions, and communication of
results).
C. Authority
The lead technical studies program is
authorized under sections 1011(g)(1),
1011(o), and 1051–1053 of the
Residential Lead Based Paint Hazard
Reduction Act of 1992 (Title X of the
Housing and Community Development
Act of 1992, 42 U.S.C. 4851 et seq.). The
Healthy Homes technical studies
program is authorized under sections
501 and 502 of the Housing and Urban
Development Act of 1970 (12 U.S.C.
1701z–1 and 1701z–2). Fiscal Year 2006
funds for both programs are authorized
under Public Law 109–115, 119 Stat.
2396, approved November 30, 2005.
II. Award Information
A. Funding Available
Approximately $3.75 million in fiscal
year 2006 funds is available for Lead
Technical Studies. In addition, HUD
will award a grant for $745,471 in fiscal
year 2005 funds to the Regents of the
University of California, Irvine, 300
University Towers, Irvine, CA 92697–
7600, to resolve a funding error under
the fiscal year 2004 Lead Technical
Studies Program NOFA, in accordance
with Sec. VI.A.3 of the fiscal year 2004
General Section. Approximately $2
million is available for Healthy Homes
Technical Studies, of which HUD will
award $829,880 to Advanced Energy,
909 Capability Drive, Suite 2100,
Raleigh, NC 27606, to resolve a funding
error under the fiscal year 2004 Healthy
Homes Technical Studies Program
NOFA, in accordance with Sec. VI.A.3
of the fiscal year 2004 General Section.
Cooperative agreements will be awarded
on a competitive basis following
evaluation of all eligible proposals
according to the rating factors described
in Section V.A.4 of this NOFA. HUD
anticipates that approximately three to
ten awards will be made for the Lead
Technical Studies Program, and that 2
to 5 awards will be made for the Healthy
Homes Technical Studies Program with
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awards ranging from approximately
$200,000 to no more than $1 million for
each program. Applications for
additional work related to existing
HUD-funded technical studies (i.e., for
work outside of the scope of the original
agreement) are eligible to compete with
applications for new awards. These
applications will be evaluated in the
same manner as new applicants.
B. Anticipated Start Date and Period of
Performance for New Grants
The start date for new awards is
expected to be October 1, 2006. The
period of performance cannot exceed 36
months from the time of award. The
proposed performance period should
include adequate time for project
components such as the Institutional
Review Board process, if required, the
recruitment of new staff and/or study
participants, and the development of
new instrumentation or methods (e.g.,
analytical methods), all of which have
been found to delay projects in the past.
Period of performance extensions for
delays due to exceptional conditions
beyond the grantee’s control will be
considered for approval by HUD in
accordance with 24 CFR 85.25(d)(2) or
85.30(e)(2), as applicable, and the
OHHLHC Program Guide. If approved,
grantees will be eligible to receive a
single extension of up to 12 months in
length. Applicants are encouraged to
plan studies with shorter performance
periods than 36 months; however, when
developing your schedule, you should
consider the possibility that issues may
arise that could cause delays.
C. Type of Award Instrument
Awards will be made as cooperative
agreements. Anticipated substantial
involvement by HUD staff for
cooperative agreements may include,
but will not be limited to:
1. Review and suggestion of
amendments to the study design,
including: Study objectives; field
sampling plan; data collection methods;
sample handling and preparation; and
sample and data analysis.
2. Review and provision of technical
recommendations in response to
quarterly progress reports (e.g.,
amendments to study design based on
preliminary results).
3. Review and provision of technical
recommendations on the journal
article(s) and final study report
(including electronic format for
submission of research data).
4. Requirements for peer review of
scientific data in accord with the Office
of Management and Budget Information
Quality Guidelines. All HUD-sponsored
research is subject to the OMB Final
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Information Quality Bulletin for Peer
Review (70 FR 2664–2677, January 14,
2005) prior to its public dissemination.
In accordance with paragraph II.2 of the
Bulletin, HUD will not need further peer
review conducted on information that
has already been subjected to adequate
peer review. Therefore grantees must
provide enough information on their
peer review process for HUD to
determine whether additional review is
needed.
III. Eligibility Information
A. Eligible Applicants
Academic and not-for-profit
institutions located in the U.S., state
and units of local general government,
and federally recognized Native
American tribes are eligible under all
existing authorizations. For-profit firms
also are eligible; however, they are not
allowed to earn a profit from the project.
Applications to supplement existing
projects are eligible to compete with
applications for new awards. Federal
agencies are not eligible to submit
applications. The General Section
identifies threshold requirements that
must be met for an organization to
receive an award.
B. Cost Sharing or Matching
Cost sharing or matching is not
required. In rating your application,
however, you will receive a higher score
under Rating Factor 4 if you provide
evidence of significant leveraging.
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C. Eligible Activities
1. Lead Technical Studies
HUD is interested in the following
lead technical studies topics:
a. Development of alternative or
improved clearance methods. The
clearance of a dwelling following lead
hazard control activities is achieved by
collecting dust-wipe samples following
a standard protocol, with subsequent
analysis of the samples by a laboratory
recognized under the National Lead
Laboratory Accreditation Program
(NLLAP). Lead hazard control costs
could be reduced if immediate clearance
results could be obtained in the field.
Existing techniques that can be used to
analyze dust samples in the field
include the use of portable X-ray
fluorescence (XRF) analyzers and
anodic stripping voltammetry (ASV)
instruments. It is theoretically possible
to also employ colorimetric methods to
analyze clearance samples. These
techniques can be used in a screening
context in which a ‘‘failure’’ would
indicate the need for additional cleaning
before definitive clearance wipe
samples are collected for analysis by an
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appropriate laboratory. It is possible for
an organization using a field-based
technology to achieve recognition as a
portable laboratory under NLLAP;
however, it is HUD’s understanding
that, to date, this has not been done.
HUD is interested in funding research
that improves the performance of
portable analytical technologies for lead
dust-wipe analysis with the ultimate
goal of improving the feasibility for such
technologies to be used to conduct
definitive analyses in the field.
HUD has funded research for the onsite use of X-ray Fluorescence (XRF) for
dust wipe lead analysis and does not
intend to fund additional work on this
topic through this NOFA.
b. Reducing exterior soil and dustlead hazards. Studies have shown that
lead in exterior dust and soil can be an
important source of lead exposure to
young children, both through direct
contact and indirectly when tracked or
blown into the home. HUD has funded
several studies that have assessed
approaches to reducing the risk posed
by this large environmental lead
reservoir. Examples of these studies
have focused on the following topics:
reducing the bioavailability (as
determined using in vitro testing) of
lead in soil through the addition of
composted biosolids or other additives;
reducing soil hazards in urban yards
through targeted landscaping (e.g.,
raised beds, improving ground cover);
reducing exterior dust-lead levels
through exterior building treatments
and street and sidewalk cleaning; and
reducing surface soil-lead hazards by
overlaying clean soil with grass cover
(see, e.g.: Binns et al., 2004 and Farfel
et al., 2005 in Appendix B).
Additional study is needed to assess
the long-term effectiveness of interim
controls to reduce soil and exterior dustlead hazards. Research is also needed to
develop interim controls and strategies
for exterior dust and soil that are
reasonable in cost, feasible to
implement, and which do not require
frequent maintenance to retain their
effectiveness. Also, the relationship
between control of soil lead hazards and
interior dust lead levels has not been
adequately described.
c. Effectiveness of Ongoing
Maintenance Program Activities in
Controlling Lead-Based Paint Hazards.
There are few studies directly assessing
the effectiveness of ongoing lead-based
paint maintenance programs. HUD is
interested in evaluating the
effectiveness and feasibility of ongoing
lead-based paint maintenance programs,
identifying program components for
which particular implementation
difficulties exist, and evaluating
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proposed measures for overcoming
those difficulties. Such an evaluation of
program components could address
whether and how technically-acceptable
and cost-effective work practices are
selected and implemented, how
effectively supervisors monitor work
activities to ensure that lead-based paint
hazards are controlled and that dust and
debris are contained and cleaned up
during and after work, and how well
clearance procedures (including
necessary re-cleaning) are integrated
into the maintenance program, among
other factors.
d. Use of Available Databases to
Evaluate the Efficacy of Lead Hazard
Control Activities. Public databases can
be used to help target and assess the
effectiveness of lead hazard control
activities. Examples of this include the
use of census data to identify
neighborhoods that are at high risk for
lead poisoning (e.g., age and value of
housing used in combination with
indicators of socioeconomic status) and
the use of blood-lead screening data to
target dwellings that have been
associated with repeated identification
of resident children with elevated
blood-lead levels. Geographic
Information Systems (GIS) have also
been successfully used as a tool to help
target high-risk housing. At a broader
level, serial blood-lead screening data
could be used to assess the effectiveness
of lead hazard control activities or laws
that require lead hazard control
treatments in high risk housing (e.g., by
comparing community screening results
before and after laws were enacted
while accounting for the overall
downward trend in blood lead levels).
HUD is interested in studies that assess
effective and creative uses of public
databases to improve the efficacy of lead
hazard control programs (e.g., targeting
neighborhoods), assess the effectiveness
of enforcement and lead hazard control
activities and regulations, and other
uses of these data that further the goal
of improving methods for the
identification and control of residential
lead-based paint hazards. Applicants
proposing projects under this topic area
should focus primarily on the use of
existing data as opposed to the
collection of new data through field
activities. An applicant must
demonstrate why the collection of any
new data is important in the context of
a proposed study (e.g., to validate a
model developed using publicly
available data) and that there is a
limited amount of new data being
collected.
e. Other Focus Areas that are
Consistent with the Overall Goals of
HUD’s Lead Technical Studies Program.
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HUD will consider funding applications
for technical studies on other topics that
are consistent with the overall goals and
objectives of the LTS program, as
described above. In such instances, for
an applicant to receive an award, it is
necessary that the applicant describe in
sufficient detail how the proposed study
is consistent with the overall lead
technical studies program goals and
objectives.
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Note: A limited amount of lead hazard
control activities, which are construction as
opposed to research, may be conducted as
part of a project (see Section IV.E.8 of this
NOFA).
2. Healthy Homes Technical Studies
HUD hopes to advance the
recognition and control of residential
health and safety hazards and more
closely examine the link between
housing and health. The overall
objectives of the HHTS studies projects
to be funded through this NOFA
include, but are not limited to:
a. Development and evaluation of
low-cost test methods and protocols for
identification and assessment of
housing-related hazards;
b. Development and assessment of
cost-effective methods for reducing or
eliminating housing-related hazards;
c. Evaluation of the effectiveness of
housing interventions and public
education campaigns, and barriers and
incentives affecting future use of the
most cost-effective strategies;
d. Investigation of the epidemiology
of housing-related hazards and illness
and injuries associated with these
hazards, with an emphasis on children’s
health;
e. Evaluation of residential health and
safety hazard assessment and control
methodologies and approaches
(including both existing methods and
the evaluation of improved or novel
approaches);
f. Analysis of existing data or justified
generation of limited new data to
improve knowledge regarding the
prevalence and severity of specific
hazards in various classes of housing,
with a focus on low-income housing.
Specific examples include:
(1) The prevalence of carbon
monoxide and other indoor air quality
hazards;
(2) The prevalence and patterns of
moisture problems and biological
contaminants associated with excess
moisture (e.g., fungi, mold, bacteria,
dust mites);
(3) The prevalence of specific
childhood injury hazards in housing;
and
(4) Improved understanding of the
relationship between a residential
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exposure and childhood illness or
injury.
Applicants that propose this type of
study should discuss how the
knowledge that is gained from the study
could be used in a program to reduce
these hazards in target communities.
g. Low-cost analytical techniques and
instruments for the rapid, on- and offsite determination of environmental
contaminants of concern (e.g.,
bioaerosols, pesticides, allergens).
HUD’s primary interest is in the
improvement of existing instruments or
methods, and not in the development of
new technologies or instruments. The
OHHLHC has noted that these types of
studies pose a high risk of experiencing
significant delays. Applicants seeking to
develop new technologies/instruments
should discuss why, if funded, their
proposed project would be unlikely to
experience significant delays in its
completion.
h. Objectives of particular interest to
HUD include:
(1) Improving or assessing the efficacy
of current methods for residential
Integrated Pest Management (IPM). IPM
approaches focus on the use of
economical means for managing pests,
which incorporate information on the
life cycles of pests and their interaction
with the environment, while
minimizing hazards to people, property,
and the environment. HUD is
particularly interested in IPM methods
for reducing cockroach and/or rodent
populations in multifamily housing,
with an emphasis on low-income
housing.
(2) Controlling excess moisture by
reducing migration through the building
envelope and condensation of water
vapor on interior surfaces, with an
emphasis on low-cost interventions for
low-income housing;
(3) Improving indoor air quality, such
as through cost-effective approaches to
upgrading residential ventilation or
improving control/management of
combustion appliances. Applicants
should discuss how proposed
approaches might affect residential
energy costs (e.g., increasing air
exchange rates resulting in an increase
in heating costs);
(4) Dust control measures (e.g.,
preventing track-in of exterior dust and
soil, improved methods for interior dust
cleaning) have been identified as key
areas in the HHI Preliminary Plan;
(5) Evaluating the effectiveness of
education and outreach methods
designed to provide at-risk families with
the knowledge to adopt self-protective
behaviors with respect to housingrelated health hazards.
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(6) Other Focus Areas that are
Consistent with the Overall Goals of
HUD’s Healthy Homes Technical
Studies Program. HUD will consider
funding applications for technical
studies on other topics that are
consistent with the overall goals and
objectives of the HHTS program, as
described above. In such instances, for
an applicant to receive an award, it is
necessary that the applicant describe in
sufficient detail how the proposed study
is consistent with the overall healthy
homes technical studies program goals
and objectives.
i. General Information. In proposing
to conduct a study on a particular topic,
applicants should consider:
(1) The ‘‘fit’’ of the proposed hazard
assessment and/or control methods
within the overall goal of addressing
‘‘priority’’ health and safety hazards in
a cost-effective manner;
(2) The efficacy of the proposed
methods for hazard control and risk
reduction (e.g., how long is effective
hazard reduction maintained);
(3) Where and how these methods
would be applied and tested, and/or
perform demonstration activities; and
(4) The degree to which the study will
help develop practical, widely
applicable methods and protocols or
improve our understanding of a
residential health hazard.
Applications for a study for which the
sole or primary focus is on lead-based
paint hazards are ineligible for funding
under the HHTS program. Such studies
should be submitted for funding under
the Lead Technical Studies Program.
Applicants should consider the
efficiencies that might be gained by
working cooperatively with one or more
recipients of HUD’s Healthy Homes
Demonstration and/or Lead Hazard
Control grants, which are widely
distributed throughout the U.S.
Information on current grantees is
available at hhtp://www.hud.gov/
offices/lead.
You may address one or more of the
technical studies topic areas within
your proposal, or submit separate
applications for different topic areas.
Note: A limited amount of hazard control
activities, which are construction as opposed
to research, may be conducted as part of an
HHTS project (see Section IV.E.8 of this
NOFA).
D. Other
1. Threshold Requirements
Applicable to all Applicants.
To be scored and ranked under the
Rating Factors, and thus be eligible to
receive funds from HUD, you must meet
all of the threshold requirements
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described in the General Section.
Threshold requirements include
Eligibility, Compliance with Fair
Housing and Civil Rights Laws,
Conducting Business in Accordance
with Core Values and Ethical Standards,
Delinquent Federal Debts, and PreAward Accounting System Surveys.
2. Program Requirements.
The following requirements are
applicable to both Healthy Homes
Technical Studies and Lead Technical
Studies Programs:
a. Program Performance. Grantees
shall take all reasonable steps to
accomplish all activities within the
approved period of performance. HUD
reserves the right to terminate the grant
prior to the expiration of the period of
performance if the grantee fails to make
reasonable progress in implementing the
approved program of activities or fails to
comply with the terms of the grant
agreement.
b. Regulatory Compliance. Grantees
must comply with all relevant federal,
state, and local regulations regarding
exposure to and proper disposal of
hazardous materials.
c. Blood Lead Testing. Any blood lead
testing, blood lead level test results,
medical referral, or follow-up for
children under six years of age will be
conducted according to the
recommendations of the Centers for
Disease Control and Prevention (CDC),
Preventing Lead Poisoning in Young
Children (see Appendix B of this
NOFA).
d. Restricted Use of Funds. HUD
technical studies grant funds will not
replace existing resources dedicated to
any ongoing project.
e. Laboratory Analysis for Lead.
Laboratory analysis covered by the
NLLAP will be conducted by a
laboratory recognized under the
program.
f. Human Research. Human research
subjects will be protected from research
risks in conformance with Federal
Policy for the Protection of Human
Subjects, required by HUD at 24 CFR
60.101, which incorporates the
Department of Health and Human
Services (DHHS) Protection of Human
Subjects regulation at 45 CFR part 46.
g. OSHA Compliance. The
requirements of the Occupational Safety
and Health Administration (OSHA)
(e.g., 29 CFR part 1910 and/or 1926, as
applicable) or the state or local
occupational safety and health
regulations, whichever are most
stringent, will be met;
h. Civil Rights. The institution
administering the grant must meet the
civil rights threshold set forth in the
General Section.
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i. Disclosure. All test results and other
information in pre-1978 housing related
to lead-based paint or lead-based paint
hazards must be provided to the owner
of the unit, together with a statement
describing the owner’s legal duty to
disclose the knowledge of lead-based
paint and its hazards to tenants (before
initial leasing, or before lease renewal
with changes) and buyers (before sale)
(24 CFR Part 35, subpart A). Disclosure
of other identified housing-related
health or safety hazards to the owner of
the unit, for purposes of remediation, is
encouraged but not required.
j. Privacy. Submission of any
information on the properties to
databases (whether web site, computer,
paper, or other format) of addresses of
identified, treated or cleared housing
units is subject to the protections of the
Privacy Act of 1974, and shall not
include any personal information that
could identify any child affected. You
should also check to ensure you meet
state privacy regulations.
k. Applicants must incorporate
meaningful community involvement
into any study that requires a significant
level of interaction with a community
during implementation (e.g., projects
being conducted within occupied
dwellings or which involve surveys of
community residents). The term
community refers to a variety of
populations comprised of persons who
have commonalities that can be
identified (e.g., based on geographic
location, ethnicity, health condition,
common interests). Applicants should
identify the community that is most
relevant to their particular project.
There are many different approaches to
involving the community in the
conception, design, and implementation
of a study and the subsequent
dissemination of findings. Examples
include but are not limited to:
establishing a structured approach to
obtain community input and feedback
(e.g., through a community advisory
board); including one or more
community-based organizations as
study partners; employing community
residents to recruit study participants
and collect data; and enlisting the
community in the dissemination of
findings and translation of results into
improved policies and/or practices. A
discussion of community involvement
in research involving housing-related
health hazards can be found in Chapter
5 of the Institute of Medicine
publication titled ‘‘Ethical
Considerations for Research on
Housing-Related Health Hazards
Involving Children’’ (see Appendix B
for more information on this report).
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l. Economic Opportunities for Lowand Very Low-Income Persons (Section
3). This program is subject to the
requirements of Section 3 of the
Housing and Urban Development Act of
1968 (12 U.S.C. 1701u). Section 3
requires recipients to ensure that, to the
greatest extent feasible, training,
employment, and other economic
opportunities will be directed to lowand very low-income persons,
particularly those who are recipients of
government assistance for housing, and
to businesses which provide economic
opportunities to low- and very lowincome persons. The regulations may be
found at 24 CFR part 135.
m. Standardized Dust Sampling
Protocol and Quality Control
Requirements. Grantees collecting
samples of settled dust from participant
homes for environmental allergen
analyses (e.g., cockroach, dust mite) will
be required to use a standard dust
sampling protocol, unless there is a
strong justification to use an alternate
protocol (e.g., the study involves the
development of an alternative sampling
method). The HUD protocol can be
found on the OHHLHC website at:
https://www.hud.gov/offices/lead/hhi/
hhiresources.cfm. Grantees conducting
these analyses will also be required to
include quality control dust samples,
provided by OHHLHC at no cost to the
grantee, with the samples that are
submitted for laboratory analyses. For
the purpose of budgeting laboratory
costs, you should assume that five
percent of your total allergen dust
samples would consist of QC samples.
3. DUNS Requirement.
Refer to the General Section for
information regarding the DUNS
requirement. A DUNS number must be
provided for the institution that is
submitting an application. Your DUNS
number must be included in your
electronic application submission. Be
sure to use the DUNS number that you
have registered as an Authorized
Organization Representative (AOR) with
Grants.gov and that your eBusiness
Point of Contact has authorized you to
submit an application on behalf of the
applicant organization (see the General
Section for details about the Grants.gov
registration process).
IV. Application and Submission
Information
If you are interested in applying for
funding under this program, please
review carefully the General Section
and the following additional
information.
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A. Addresses To Request Application
Package
All the information required to submit
an application is contained in the
program section of this NOFA and the
General Section. Applications can be
downloaded from the Web at: https://
apply.grants.gov/forms_apps_idx.html
https://www.grants.gov/APPLY. If you
have difficulty accessing the
information you may call the Grants.gov
helpline toll-free at (800) 518–GRANTS
(4726) from Monday to Friday from 7
a.m. to 9 p.m. eastern time, or send an
e-mail to Support@grants.gov.
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B. Content and Form of Application
Submission
1. Applicant Data. Your application
must contain the items listed in this
section. These items include the
standard forms contained in the General
Section that are applicable to this
funding announcement (collectively
referred to as the ‘‘standard forms’’).
Copies of these forms are available on
line at https://www.hud.gov/offices/adm/
grants/nofa06/nofaforms.cfm. The
required items are:
a. Application Abstract. An abstract
with the project title, the names and
affiliations of all investigators, and a
summary of the objectives, expected
results, and study design (two-page
maximum) must be included in the
proposal.
b. All forms as required by the
General Section. However, forms HUD–
2991 (Certification of Consistency with
the Consolidated Plan) and HUD–27061
(Race and Ethnicity Data) are not
required with the application for these
programs.
c. Materials Submitted. A project
description/narrative statement
addressing the rating factors for award
under the program (LTS or HHTS) for
which you are applying. The narrative
statement must be identified in
accordance with each factor for award
(Rating Factors 1 through 5). Number
the pages of your narrative statement
and include a header and a footer that
provides the name of the applicant and
the name of the HUD program to which
you are applying. The project
description or narrative must be
included in the responses to the rating
factors. The response to the rating
factors should not exceed a total of 25
pages, single-sided, with a minimum 12point font. Any pages in excess of this
limit will not be read. The points you
receive for each Rating Factor will be
based on the portion of your narrative
statement that you submit in response to
that particular factor, supplemented by
any appendices that are referenced in
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your response and discussed in that
portion of your narrative statement.
Supporting materials that are not
referenced or discussed in your
responses to the individual rating
factors will not be considered.
Additional materials (e.g., appendices)
must be submitted with your
application according the directions in
the General Section. The footer on the
pages of these materials should
accurately describe the Factor that they
are supporting.
d. Evidence of leveraging/
partnerships. You should provide
evidence of leveraging/partnerships by
submitting the following with your
application: Letters of firm commitment;
memoranda of understanding; and/or
agreements to participate by those
entities identified as partners in the
project efforts. Each document of
commitment must include the
organization’s name, proposed level of
commitment (with monetary value) and
responsibilities as they relate to specific
activities or tasks of your proposed
program. The commitment must also be
signed by an official of the organization
legally able to make commitments on
behalf of the organization.
e. Institutional Review Boards. In
conformance with the Common Rule
(Federal Policy for the Protection of
Human Subjects, codified by HUD at 24
CFR part 60.101, which incorporates the
DHHS regulation at 45 CFR part 46), if
your research involves human subjects,
your organization must provide an
assurance (e.g., a letter signed by an
appropriate official) that the research
has been reviewed and approved by an
Institutional Review Board (IRB) before
you can initiate activities that require
IRB approval. To be eligible for these
funds, before initiating such activities
you must also provide the number for
your organization’s assurance (i.e., an
‘‘institutional assurance’’) that has been
approved by the Department of Health
and Human Service’s Office for Human
Research Protections (OHRP). For
additional information on what
constitutes human subject research or
how to obtain an institutional assurance
see the OHRP Web site at https://
www.hhs.gov/ohrp/.
f. Supporting Materials. Include the
resumes of the principal investigator
and other key personnel and other
materials that are needed in your
response to the rating factors (e.g.,
organizational chart, letters of
commitment, a list of references cited in
your responses to the rating factors).
Each resume shall not exceed three
pages, and is limited to information that
is relevant in assessing the
qualifications and experience of key
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personnel to conduct and/or manage the
proposed technical studies. This
information will not be counted towards
the Rating Factors narrative 25-page
limit.
g. Additional Information. Submit
other optional information provided in
support of your application following
the directions in the General Section.
These additional optional materials
must not exceed 20 pages. Any pages in
excess of this limit will not be read. h.
Budget. Include a total budget with
supporting cost justification for all
budget categories of the federal grant
request. Use the budget format
discussed in Rating Factor 3, Section
V.A.4.c, below. In completing the
budget forms and justification, you
should address the following elements:
(1) Direct Labor costs, including all
full- and part-time staff required for the
planning and implementation phases of
the project. These costs should be based
on full time equivalent (FTE) or hours
per year (hours/year) (i.e., one FTE
equals 2,080 hours/year);
(2) Allowance for one trip to HUD
Headquarters in Washington, DC, for
each year of your grant, planning each
trip for two people. The first trip will
occur shortly after grant award for a stay
of two or three days, depending on the
location, and the remaining trips will
have a stay of one or two days,
depending on the location;
(3) A separate budget proposal for
each subrecipient receiving more than
10 percent of the total federal budget
request;
(4) Supporting documentation for
salaries and prices of materials and
equipment, upon request; and
(5) Indirect Cost Rates. Organizations
that have a federally negotiated indirect
cost rate should use that rate and the
appropriate base. The documentation
will be verified during award
negotiations. Organizations that do not
have a federally negotiated rate
schedule must obtain a rate from their
cognizant federal agency, otherwise the
organization will be required to obtain
a negotiated rate through HUD.
Checklist for Technical Studies Program
Applicants
Item
(1) Applicant Abstract (limited to a 2pages).
(2) Rating Factor Responses (Total
narrative response limited to 25 pages).
(a) Capacity of the Applicant and
Relevant Organizational Experience (22
points).
(b) Need/Extent of the Problem (15
points).
(c) Soundness of Approach (45
points).
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(d) Leveraging Resources (8 points).
(e) Achieving Results and Program
Evaluation (10 points).
(3) Required materials in response to
rating factors (does not count towards
25-page limit).
(a) Resumes of Key Personnel (limited
to 3 pages per resume).
(b) Organizational Chart.
(c) Letters of Commitment (if
applicable)—Letters of commitment
should include language defining the
activities to be performed, the
contributions to be made, and the
monetary value of each.
Note: HUD recommends against including
letters of support that do not commit
services, materials, or funds; they will not
add to the consideration of your application.
(4) Optional material in support of the
Rating Factors (20 page limit).
(5) Required Forms and Budget
Material.
(a) Form SF 424 (Application for
Federal Assistance).
(b) Form HUD–424–CBW (Budget
Worksheet).
(c) Form HUD–96010 (Logic Model
Form).
(d) Form SF 424 Supplement (Survey
on Ensuring Equal Opportunity for
Applicants) (to be completed by private
nonprofit organizations only).
(e) Form SF LLL (Disclosure of
Lobbying Activities, if applicable).
(f) Form HUD–2880 (Applicant/
Recipient Disclosure/Update Report)
(g) Form HUD–2990 (Certification of
Consistency with the RC/EZ/EC–II
Strategic Plan, required only for
applicants who are seeking these bonus
points).
(h) Form HUD 2994–A (You Are Our
Client Grant Applicant Survey,
Optional).
(i) Form HUD–96011 (Facsimile
Transmittal, for electronic applications)
(Used as the cover page to transmit third
party documents and other information
designed for each specific application
for tracking purposes. HUD will not
read faxes that do not use the HUD–
96011 as the cover page to the fax).
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C. Submission Dates and Times
Electronic applications must be
received and validated by Grants.gov on
or before 11:59:59 p.m. eastern time on
June 6, 2006. All narrative files and any
scanned documents must be submitted
as a single zip file attachment to the
electronic application. Refer to the
General Section for specific application
submission instructions including
acceptable submission dates, times,
methods, acceptable proof of
application submission and receipt
procedures, and other information
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regarding application submission.
Materials associated with your
electronic application submitted by
facsimile transmission must also be
received by 11:59:59 p.m. eastern time
on the application deadline date. See
the General Section for information on
how to submit third party letters and
other documents as part of your
electronic submission utilizing form
HUD–96011, Facsimile Transmittal.
D. Intergovernmental Review
This NOFA is excluded from the
requirement of an Intergovernmental
Review.
E. Funding Restrictions
1. Administrative Costs. There is a 10
percent maximum allowance for
administrative costs. Additional
information about allowable
administrative costs is provided in
Appendix C of this NOFA, which is
available at: http//www.hud.gov/offices/
adm/grants/fundsavail.cfm.
2. Purchase of Real Property. The
purchase of real property is not an
allowable cost under this program.
3. Purchase or Lease of Equipment.
The purchase or lease of equipment
having a per unit cost in excess of
$5,000 is not an allowable cost, unless
prior written approval is obtained from
HUD.
4. Medical treatment. Medical
treatment costs are not allowable under
this program.
5. Profit. For profit institutions are not
allowed to earn a profit.
6. You must comply with the Coastal
Barrier Resources Act (16 U.S.C. 3501).
7. You may not conduct lead-based
paint or healthy home hazard control
activities or related work that
constitutes construction, reconstruction,
repair or improvement (as referenced in
Section 3(a)(4) of the Flood Disaster
Protection Act of 1973 (42 U.S.C. 4001–
4128)) of a building or mobile home
which is located in an area identified by
the Federal Emergency Management
Agency (FEMA) as having special flood
hazards unless:
a. The community in which the area
is situated is participating in the
National Flood Insurance Program in
accordance with the applicable
regulations (44 CFR parts 59–79), or less
than a year has passed since FEMA
notification regarding these hazards;
and
b. Where the community is
participating in the National Flood
Insurance Program, flood insurance on
the property is obtained in accordance
with section 102(a) of the Flood Disaster
Protection Act (42 U.S.C. 4012a(a)). You
are responsible for assuring that flood
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11841
insurance is obtained and maintained
for the appropriate amount and term.
8. Construction activities. The amount
of HUD technical studies grant funds
used for lead-based paint hazard control
activities may not exceed 10% of the
total HUD funds awarded under the LTS
application. The amount of HUD
technical studies grant funds used for
construction activities may not exceed
50% of the of the total HUD funds
awarded under the HHTS application.
F. Other Submission Requirements
1. Application Submission and
Receipt Procedure. Please read the
General Section carefully and
completely for the electronic
submission and receipt procedures for
all applications because failure to
comply may disqualify your
application.
2. Waiver of Electronic Submission
Requirements. Applicants must submit
their request to waive the electronic
application requirement at least 30 days
before the submission deadline date by
e-mail to
OHHLHC_2006_NOFA@hud.gov or by
fax to (202) 755–1000. The submission
must address all items identified in the
General Section. HUD will provide its
decision regarding the request. If you
are granted a waiver of the electronic
application submission, the program
office will provide instructions for
submission. HUD will only accept
alternate submissions from applicants
whose waiver request was granted that
are received no later than 11:59:59 pm
eastern time on the application deadline
date. The applicant must retain
documentation to prove its waiver
request was actually received by HUD
(e.g., FAX transmittal report showing
telephone number dialed and number of
pages successfully transmitted).
V. Application Review Information
A. Criteria
1. Threshold Requirements.
Applications that meet all of the
threshold requirements will be eligible
to be scored and ranked, based on the
total number of points allocated for each
of the rating factors described in Section
V.A.4 of this NOFA. Your application
must receive a total score of at least 75
points to remain in consideration for
funding.
2. Award Factors. Each of the five
factors is weighted as indicated by the
number of points that are assigned to it.
The maximum score that can be attained
is 102 points. Applicants should be
certain that each of these factors is
adequately addressed in the project
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description and accompanying
materials.
Applicants are eligible to receive up
to two bonus points for projects located
within federally designated Renewable
Communities (RCs), Empowerment
Zones (EZs), or Enterprise Communities
(ECs) designated by USDA in round II
(EC–IIs) (collectively referred to as RC/
EZ/EC–IIs), and which will serve the
residents of these communities (see the
General Section). In order to be eligible
for these bonus points, applicants must
meet the requirements of the General
Section and submit a completed form
HUD–2990, with descriptive language in
the budget discussion describing the
actual work that is to be done in these
communities.
3. Rating Factors. a. Rating Factor 1:
Capacity of the Applicant and Relevant
Organizational Experience (22 Points).
This factor addresses the extent to
which you have the ability and
organizational resources necessary to
successfully implement your proposed
activities in a timely manner. The rating
of your application will include any
sub-grantees, consultants, subrecipients, and members of consortia
that are firmly committed to the project
(generally, ‘‘subordinate
organizations’’). In rating this factor,
HUD will consider the extent to which
your application demonstrates:
(1) The capability and qualifications
of the principal investigator and key
personnel (14 points). HUD will assess
the qualifications of these people to
carry out the proposed study as
evidenced by academic background,
relevant publications, and recent
(within the past 10 years) relevant
research experience. Publications and
research experience are considered
relevant if they required the acquisition
and use of knowledge and skills that can
be applied in the planning and
execution of the technical study that is
proposed under this NOFA; and
(2) Past performance of the study
team in managing similar projects (8
points). HUD will evaluate your
demonstrated ability to successfully
manage various aspects of a complex
technical study in such areas as
logistics, study personnel management,
data management, quality control,
community study involvement (if
applicable), and report writing, as well
as overall success in project completion
(i.e., projects completed on time and
within budget). You should also
demonstrate that your project would
have adequate administrative support,
including clerical and specialized
support in areas such as accounting and
equipment maintenance.
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If applicable, provide the number and
title of current and past OHHLHC grants
as well as past performance of the
organization (applicant or partners) on
other grant(s) or project(s) related to
environmental health and safety issues,
or other experience in a similar
program. Provide details about the
nature of the project, the funding
agency, and your performance (e.g.,
timely completion, achievement of
desired outcomes). If your organization
has an active OHHLHC grant or
cooperative agreement, provide a
description of the progress and
outcomes achieved under that award.
(This may include an updated logic
model.)
If you completed one or more HUDfunded Technical Studies grants, your
performance will be evaluated in terms
of achievements made under the
previous grant(s).
b. Rating Factor 2: Need/Extent of the
Problem (15 Points). This factor
addresses the extent to which there is a
need for your proposed technical study.
In responding to this factor, you should
document in detail how your project
would make a significant contribution
towards achieving some or all of HUD’s
stated goals and objectives for one or
more of the topic areas described in
Section I.B.1.a (LTS) or I.B.1.b (HHTS),
as appropriate for the program to which
you are applying. For example, you
should demonstrate how your proposed
study addresses a need with respect to
the development of improved methods
for the assessment and control of
residential lead-based paint hazards or
addresses a need associated with an
important housing-related health
hazard, with an emphasis on children’s
health. This is especially important for
applicants that are proposing to study a
lead or healthy homes topic that is not
highlighted as a priority area by HUD in
section I.C of this NOFA; such
applicants that do not provide
supporting language to demonstrate this
will not receive points under this rating
factor. Specific topics to be addressed
for this factor include (five points for
each item):
(1) A concise review of the research
need that is addressed in your study and
why it is high priority with respect to
the program. For HHTS applicants,
include available documented rates of
illness or injury associated with the
hazard or hazards that you are
addressing, including local, regional,
and national data, as applicable.
(2) A discussion of how your
proposed project would significantly
advance the current state of knowledge
for your focus area, especially with
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respect to the development of practical
solutions.
(3) A discussion on how you
anticipate your study findings will be
used to improve current methods for
assessing or mitigating the hazards
under study. Indicate why the method/
protocol that would be improved
through your study would likely be
widely adopted (e.g., low cost, easily
replicated, lack of other options).
c. Rating Factor 3: Soundness of
Approach (45 Points). This factor
addresses the quality of your proposed
technical study plan. Specific
components include:
(1) Soundness of the study design (22
points). The project description/study
design must be thorough and feasible,
and reflect your knowledge of the
relevant scientific literature, which
should be thoroughly cited in your
application. You should clearly describe
how your study builds upon the current
state of knowledge for your focus area.
If possible, your study should be
designed to address testable hypotheses
that are clearly stated. Your study
design should be statistically based with
adequate power to test your stated
hypotheses. The study design should be
presented as a logical sequence of steps
or phases with individual tasks
described for each phase. You should
identify any important ‘‘decision
points’’ in your study plan and you
should discuss plans for data
management, analysis and archiving.
HUD has observed that studies can miss
targeted performance timelines because
of delays in the IRB approval process or
unexpected difficulties with recruiting
study participants. If applicable,
describe actions that you will take to
minimize the possibility that your study
would experience delays in these areas
(e.g., understanding likely IRB
requirements in advance, planning on
additional avenues for recruitment).
If you are proposing to conduct a
study that includes a significant level of
community interaction (e.g., studies
involving participant recruitment,
survey research, environmental
sampling on private property), describe
your plan for meaningful involvement
of the affected community in your
proposed study. You should define the
community of interest with respect to
your proposed study and discuss why
your proposed approach to community
involvement will make a meaningful
contribution to your study and to the
community.
(2) Policy Priorities (5 points). Indicate
if your proposed study will address any
of the FY 2006 policy priorities that are
applicable to this NOFA (see the
General Section for additional details
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regarding these policy priorities). You
will receive one point under Rating
Factor 3(2) for each of the applicable FY
2006 policy priorities that are found in
the General Section and applicable to
the Technical Studies NOFA that are
adequately addressed in your
application, with the exception of
‘‘Removal of Barriers to Affordable
Housing,’’ for which you can receive up
to two points (see the General Section).
Policy priorities that are applicable to
the Lead Technical Studies Program
NOFA are: (1) Improving our Nation’s
Communities (focus on distressed
communities); (2) Providing Full and
Equal Access to Grass-Roots Faith-based
and other Community-based
Organizations in HUD Program
Implementation; (3) Participation of
Minority -Serving Institutions in HUD
Programs, and (4) Removal of Barriers to
Affordable Housing.
(3) Quality assurance mechanisms (8
points). You must describe the quality
assurance mechanisms that will be
integrated into your project design to
ensure the validity and quality of the
results. Applicants that receive awards
will be required to submit a Quality
Assurance Plan to HUD (see paragraph
VI.C.2).
(a) Areas to be addressed include, but
are not limited to: Acceptance criteria
for data quality, procedures for selection
of samples/sample sites, sample
handling, measurement and analysis,
pre-testing and validation of
questionnaires or surveys, measures to
ensure accuracy during data
management, and any standard/
nonstandard quality assurance/control
procedures to be followed. Documents
(e.g., government reports, peer-reviewed
academic literature) that provide the
basis for your quality assurance
mechanisms should be cited.
(b) If your project involves human
subjects in a manner that requires IRB
approval and periodic monitoring,
address how you will obtain such
approval. Before you can receive funds
from HUD for activities that require IRB
approval, you must provide an
assurance that your study has been
reviewed and approved by an IRB and
evidence of your organization’s
‘‘institutional assurance.’’ Describe how
you will provide informed consent (e.g.,
from the subjects, their parents or their
guardians, as applicable) to help ensure
their understanding of, and consent to,
the elements of informed consent, such
as the purposes, benefits and risks of the
research. Describe how this information
will be provided and how the consent
will be collected. For example, describe
your use of ‘‘plain language’’ forms,
flyers and verbal scripts, and how you
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plan to work with families with limited
English proficiency or primary
languages other than English, and with
families including persons with
disabilities.
(c) For the collection of data using
instruments, such as surveys and visual
assessment tools, describe the
procedures that you will follow to
ensure accurate data capture and
transfer. Also, describe any research
done (or planned) to validate the
instrument.
(4) Project management plan (6
points). The proposal should include a
management plan that provides a
schedule for the completion of major
tasks, with associated benchmarks and
major study milestones, and major
deliverables, with an indication that
there will be adequate resources (e.g.,
personnel, financial) to successfully
meet the proposed schedule. The major
tasks and benchmarks/deliverables
identified in the management plan
should be consistent with those
identified in the Logic Model (see
description under Rating Factor 5). You
should include preparation of one or
more articles for peer-reviewed
academic journals and submission of
the draft(s) to the journal(s) after HUD
acceptance during the agreed upon
performance period of your grant. The
final deliverable can be submitted to
HUD during the agreed upon period of
performance or during the 90-day
closeout period following award
expiration.
(5) Budget Proposal (4 points).
(a) Your budget proposal should
thoroughly estimate all applicable direct
and indirect costs, and be presented in
a clear and coherent format in
accordance with the requirements listed
in the General Section. HUD is not
required to approve or fund all
proposed activities. You must
thoroughly document and justify all
budget categories and costs (Form HUD–
424–CBW) and all major tasks, for
yourself, sub-recipients, major
subcontractors, joint venture
participants, or others contributing
resources to the project. A separate
budget must be provided for partners
who are proposed to receive more than
10 percent of the federal budget request.
(b) Your narrative justification
associated with these budgeted costs
should be submitted as part of the Total
Budget (Federal Share and Matching),
but is not included in the 25-page limit
for this submission.
(c) The application will not be rated
on the proposed cost; however, cost will
be considered in addition to the rated
factors to determine the proposal most
advantageous to the Federal
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Government. Cost will be the deciding
factor when proposals ranked under the
listed factors are considered acceptable
and are substantially equal.
d. Rating Factor 4: Leveraging
Resources (8 Points). Your proposal
should demonstrate that the
effectiveness of HUD’s Technical
Studies grant funds is being increased
by securing other public and/or private
resources or by structuring the project in
a cost-effective manner, such as
integrating the project into an existing
study (either funded by HUD or another
source) that will be concurrent with
your proposed study. Resources may
include funding or in-kind
contributions (such as services, facilities
or equipment) allocated to the
purpose(s) of your project. Staff and inkind contributions should be assigned a
monetary value.
You should provide evidence of
leveraging/partnerships by submitting:
Letters of firm commitment, memoranda
of understanding, and/or agreements to
participate from those entities identified
as partners in the project efforts. Each
document must include the
organization’s name, proposed level of
commitment (with monetary value) and
responsibilities as they relate to specific
activities or tasks of your proposed
program. The commitment must also be
signed by an official of the organization
legally able to make commitments on
behalf of the organization. Simple letters
that only indicate support of the
proposed study are not sufficient.
e. Rating Factor 5: Achieving Results
and Program Evaluation (10 Points).
This factor emphasizes HUD’s
commitment to ensuring that applicants
keep promises made in their
applications and assess their
performance to ensure performance
goals are met. Achieving results means
you, the applicant, have clearly
identified the benefits or outcomes of
your program. Outcomes are ultimate
goals. Benchmarks or outputs are
interim activities or products that lead
to the ultimate achievement of your
goals.
Program evaluation requires that you,
the applicant, identify program
outcomes, interim products or
benchmarks, and indicators that will
allow you to measure your performance.
Performance indicators should be
objectively quantifiable and measure
actual achievements against anticipated
goals. Your evaluation plan should
identify what you are going to measure,
how you are going to measure it, and the
steps you have in place to make
adjustments to your work plan if
performance targets are not met within
established timeframes.
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This rating factor reflects HUD’s goal
to embrace high standards of ethics,
management and accountability. In
evaluating this factor, HUD will
consider how you have described the
procedures you will follow to have
reliable outcome measures and
performance, so that the project will be
recognized as being of high quality that
provides benefits to the community.
In your response to this Rating Factor,
discuss the performance goals for your
project and identify specific outcome
measures. Describe how the outcome
information will be obtained,
documented, and reported. You must
complete and return the eLogic
Model TM Form HUD–96010 included in
the download instructions found as part
of the application at https://
www.Grants.gov/Apply. You must show
your proposed project short-term,
intermediate, long-term and final
results. Instructions on the Logic model
is contained in the General Section and
instructions that are contained in Tab 1
of the electronic form. The form features
drop down menus from which to select
and construct the Logic Model response
relevant to your proposal. The Master
Logic Model is on the HUD Web site at
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm and the electronic
version is in the instruction download
at https://www.Grants.gov/APPLY under
the program NOFA.
Also, in responding to this factor, you
should:
(1) Identify benchmarks that you will
use to track the progress of your study;
(2) Identify important study
milestones (e.g., the end of specific
phases in a multiphase study,
recruitment of study participants,
developing a new analytical protocol),
which should also be clearly indicated
in your study timeline. Also identify
potential obstacles in meeting these
objectives, and discuss how you would
respond to these obstacles;
(3) For FY2006, HUD is considering a
new concept for the Logic Model. The
new concept is a Return on Investment
statement. HUD will be publishing a
separate notice on the ROI concept.
B. Review and Selection Process
1. Corrections to Deficient
Applications. The General Section
provides the procedures for correcting
deficient applications.
2. Rating and Ranking. Awards will
be made in rank order for each type of
Technical Studies Program applications
(Lead or Healthy Homes), within the
limits of funding availability for the
program.
a. Partial Funding. In the selection
process, HUD reserves the right to offer
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partial funding to any or all applicants.
If you are offered a reduced grant
amount, you will have a maximum of 14
calendar days to accept such a reduced
award. If you fail to respond within the
14-day limit, you shall be considered to
have declined the award.
b. Remaining Funds. See the General
Section for HUD’s procedures if funds
remain after all selections have been
made within either type of Technical
Studies Program.
VI. Award Administration Information
A. Award Notices
1. Notice of Award. Applicants who
have been selected for award will be
notified by letter from the Grant Officer.
The letter will state the program for
which the application has been selected,
the amount the applicant is eligible to
receive, and the name of the
Government Technical Representative
(GTR). This letter is not an authorization
to begin work or incur costs under the
award. An executed grant or cooperative
agreement is the authorizing document.
HUD may require that all the selected
applicants participate in negotiations to
determine the specific terms of the grant
agreement and budget. If you accept the
terms and conditions of the grant, you
must return your signed grant agreement
by the date specified during negotiation.
In cases where HUD cannot successfully
conclude negotiations with a selected
applicant or a selected applicant fails to
provide HUD with requested
information, an award will not be made
to that applicant. In this instance, HUD
may offer an award, and proceed with
negotiations with the next highestranking applicant. After receiving the
letter, additional instructions on how to
have the grant account entered into
HUD’s Line of Credit Control System
(LOCCS) payment system or its
successor will be provided. Other forms
and program requirements will also be
provided.
In accordance with OMB Circular A–
133 (Audits of States, Local
Governments and Non-Profit
Organizations), grantees expending
$500,000 in Federal funds within a
program or fiscal year must submit their
completed audit-reporting package
along with the Data Collection Form
(SF–SAC) to the Single Audit
Clearinghouse, the address can be
obtained from their Web site. The SF–
SAC can be downloaded at https://
harvester.census.gov/sac/.
2. Debriefing. The General Section
provides the procedures applicants
should follow for requesting a
debriefing.
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B. Administrative and National Policy
Requirements
1. Environmental Requirements
a. Eligible Construction and
Rehabilitation Activities.
(1) A Technical Studies award does
not constitute approval of specific sites
where activities that are subject to
environmental review may be carried
out. Recipients conducting eligible
construction and rehabilitation
activities must comply with 24 CFR part
58, ‘‘Environmental Review Procedures
for Entities Assuming HUD
Environmental Responsibilities’’.
Recipients that are States, units of
general local government or Indian
tribes must carry out environmental
review responsibilities as a responsible
entity under part 58. Where the
recipient is not a State, unit of general
local government or Indian tribe, a
responsible entity, usually the unit of
general local government or Indian
tribe, must assume the environmental
review responsibilities for construction
or rehabilitation activities funded under
this NOFA. Under 24 CFR 58.11, where
the recipient is not a State, unit of
general local government or Indian
tribe, if a responsible entity or the
recipient objects to the responsible
entity performing the environmental
review, HUD may designate another
responsible entity to perform the review
or may perform the environmental
review itself under the provisions of 24
CFR part 50. In such cases, following
grant award execution, HUD will be
responsible for ensuring that any
necessary environmental reviews are
completed. See paragraph (2) below for
additional assistance.
(2) For all grants under this NOFA,
recipients and other participants in the
project are prohibited from undertaking,
or committing or expending HUD or
non-HUD funds (including HUD
leveraged or match funds) on, a project
or activities under this NOFA (other
than activities listed in 24 CFR 58.34,
58.35(b) or 58.22(f)) until the
responsible entity completes an
environmental review and the applicant
submits and HUD approves a Request
for the Release of Funds and the
responsible entity’s environmental
certification (both on form HUD
7015.15) or, in the case where the
recipient is not a State, unit of general
local government or Indian tribe and
HUD has determined to perform the
environmental review under part 50,
HUD has completed the review and
notified the grantee of its approval. The
results of the environmental reviews
may require that proposed activities be
modified or proposed sites rejected. For
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part 58 procedures, see https://
www.hud.gov/offices/cpd/
energyenviron/environment/index.cfm.
For assistance, contact Karen Choi, the
Office of Healthy Homes and Lead
Hazard Control Environmental Officer at
(213) 534–2458 (this is not a toll freenumber) or the HUD Environmental
Review Officer in the HUD Field Office
serving your area. If you are a hearingor speech-impaired person, you may
reach the telephone number via TTY by
calling 1–800-HUD–2209. Recipients of
a grant under these funded programs
will be given additional guidance in
these environmental responsibilities.
b. All other activities not related to
construction and rehabilitation
activities are categorically excluded
from the requirements of the National
Environmental Policy Act of 1969 (42
U.S.C. 4321) and are not subject to
environmental review under the related
laws and authorities.
2. Program Performance. Awardees
shall take all reasonable steps to
accomplish all HUD-funded activities
within the approved period of
performance. HUD reserves the right to
terminate the grant or cooperative
agreement prior to the expiration of the
period of performance if an awardee
fails to make reasonable progress in
implementing the approved program of
activities.
3. Conducting Business in Accordance
with HUD Core Values and Ethical
Standards. If awarded assistance under
this NOFA, prior to entering into a grant
agreement with HUD, you will be
required to submit a copy of your code
of conduct and describe the methods
you will use to ensure that all officers,
employees, and agents of your
organization are aware of your code of
conduct. See the General Section for
information about conducting business
in accordance with HUD’s core values
and ethical standards.
4. Participation in HUD-Sponsored
Program Evaluation. See the General
Section.
5. Removal of Barriers to Affordable
Housing. See the General Section.
6. HUD Reform Act of 1989. The
provisions of the HUD Reform Act of
1989 that apply to this NOFA are
explained in the General Section.
7. Audit Requirements. Any grant
recipient that expends $500,000 or more
in federal financial assistance in a single
year must meet the audit requirements
established in 24 CFR parts 84 and 85
in accordance with OMB Circular A–
133.
8. Executive Order 13202. Compliance
with HUD regulations at 24 CFR 5.108
that implement Executive Order 13202,
‘‘Preservation of Open Competition and
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Government Neutrality Towards
Government Contractors’ Labor
Relations on Federal and FederallyFunded Construction Projects’’, is a
condition of receipt of assistance under
this NOFA.
incorporated into your award
agreement).
6. Draft Scientific Manuscript(s).
Copies of materials to be submitted for
publication, at least one of which
should be peer-reviewed.
Note: This Order only applies to
construction work.
VII. Agency Contact(s)
9. Procurement of Recovered
Materials. See the General Section for
information concerning this
requirement.
C. Reporting
1. Post Award Reporting
Requirements. Final budget and work
plans are due 60 days after the start
date.
2. Quality Assurance Plan (QAP).
Successful applicants will be required
to submit a Quality Assurance Plan to
HUD prior to initiating work under the
grant. This is a streamlined version of
the format used by some other federal
agencies, and is intended to help ensure
the accuracy and validity of the data
that you will collect under the grant.
You should plan for this and include it
in your study work plan. See https://
www.hud.gov/offices/lead, for the QAP
template for this program.
3. Progress Reporting. Progress
reporting is required on a quarterly
basis. Project benchmarks and
milestones will be tracked using a
benchmark spreadsheet that uses the
benchmarks and milestones identified
in the Logic Model form (HUD–96010)
approved and incorporated into your
award agreement. For specific reporting
requirements, see policy guidance at:
https://www.hud.gov/offices/lead.
4. Racial and Ethnic Beneficiary Data.
HUD does not require grantees to collect
racial and ethnic beneficiary data for
this program. Grantees conducting
studies that do not involve people, such
as those confined to the laboratory or
certain types of environmental
sampling, will not be required to submit
Form–27061 to HUD. If, however, racial
and ethnic data are collected and
reported as part of a study funded under
this program NOFA, you must use the
Office of Management and Budget’s
Standards for the Collection of Racial
and Ethnic Data as presented on Form
HUD–27061, Racial and Ethnic Data
Reporting Form (and instructions for its
use), found on https://www.grants.gov.
5. Final Report. The grant agreement
will specify the requirements for final
reporting (e.g., final technical report and
final project benchmarks and milestones
achieved against the proposed
benchmarks and milestones in the Logic
Model which was approved and
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For technical help in downloading an
application from Grants.gov or
submitting an application via
Grants.gov, call the Grants.gov help
desk at 800–518-GRANTS. For
programmatic questions on the Lead
Technical Studies program, you may
contact Dr. Robert Weisberg, Office of
Healthy Homes and Lead Hazard
Control, at (202) 755–1785, extension
7687 (this is not a toll-free number) or
via e-mail at
Robert_F._Weisberg@hud.gov. For
programmatic questions on the Healthy
Homes Technical Studies program, you
may contact Dr. Peter Ashley, Office of
Healthy Homes and Lead Hazard
Control, at (202) 755–1785, extension
7595 (this is not a toll-free number) or
via e-mail at Peter_J._Ashley@hud.gov.
For grants administrative questions, you
may contact Ms. Curtissa L. Coleman,
Office of Healthy Homes and Lead
Hazard Control, at telephone (202) 755–
1785, extension 7580 (this is not a tollfree number) or via e-mail at
Curtissa_L._Coleman@hud.gov. If you
are a hearing- or speech-impaired
person, you may reach the above
telephone numbers through TTY by
calling the toll-free Federal Information
Relay Service at 1–800–877–8339.
VIII. Other Information
A. Other Office of Healthy Homes and
Lead Hazard Control Information
For additional general, technical, and
grant program information pertaining to
the Office of Healthy Homes and Lead
Hazard Control, visit https://
www.hud.gov/offices/lead.
B. Paperwork Reduction Act
The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520) and
assigned OMB control number 2539–
0015. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 80 hours per respondent for the
application and 16 hours per
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respondent hours per annum per
respondent for grant administration.
This includes the time for collecting,
reviewing, and reporting the data for the
application, quarterly and final report.
The information will be used for grantee
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selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
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C. Appendices
Appendices A, B and C to this NOFA
are available from HUD’s Web site at:
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm.
BILLING CODE 4210–01–P
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Lead Outreach Grant Program
A. Purpose of the Program
II. Terms of Award
Overview Information
The purpose of this program is to:
1. Raise public awareness of
childhood lead poisoning prevention
and proper lead hazard identification
and control methods for at-risk
communities and children, especially
underserved populations and
minorities;
2. Provide training and education: (A)
Develop a sustainable national or
regional/local capacity of trained and
educated individuals. (B) Educate
certain groups about lead hazards;
educate tenants and homeowners so
they can report lead hazards to property
owners, managers and/or public health
or housing officials, as appropriate.
3. Provide technical assistance to
grantees under OHHLHC’s Lead
Elimination Action Program (‘‘LEAP’’),
Lead Hazard Control, Lead Technical
Studies, and Lead Reduction
Demonstration programs on grant
management and lead technical issues.
A. Available Funding
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Healthy Homes and Lead
Hazard Control (OHHLHC).
B. Funding Opportunity Title: Lead
Outreach Grant Program.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number is: FR–5030–
N–17. The OMB approval number is
2539–0015.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): 14.904,
Lead Outreach Grant Program.
F. Dates: The application deadline
date is June 6, 2006.
G. Additional Important Information:
1. Overall Purpose. This funding
opportunity is to provide funding for
information dissemination about lead
poisoning prevention through outreach,
training and education, and certain
technical assistance activities.
2. Available Funds. Approximately $2
million is available under this program.
3. Number of Awards. Approximately
between 8–12 grants will be awarded.
4. Type of Awards. The awards will be
made as cooperative agreements.
5. Eligible Applicants. Academic and
non-for-profit institutions located in the
U.S., state and local governments, and
federally recognized Native American
tribes are eligible under all existing
authorizations. For-profit firms also are
eligible; however, they are not allowed
to earn a fee (i.e., no profit can be made
from the project).
6. Matching Requirements and
Leveraging. Ten (10) percent match is
required by the applicant. See Section
III.B. for more information on match and
leverage.
7. Application information.
Applications for this NOFA can be
found at www.grants.gov. Applications
must be received and validated by
www.grants.gov no later than 11:59:59
PM eastern time on the application
deadline date of June 6, 2006.
8. Limitations on Applications. There
are three categories of activity under
this NOFA. Applicants must submit a
completed application for each category
for which they are applying.
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I. Funding Opportunity Description
Background information about lead,
lead-based paint hazards and other
information applicable to all OHHLHC
NOFAs can be found on the OHHLHC’s
Web site at: www.hud.gov/offices/adm/
grants/fundsavail.cfm.
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B. Authority
The authority for this program is
sections 1011(e)(8) and (g)(1) of the
Residential Lead-Based Paint Hazard
Reduction Act of 1992 (Title X of the
Housing and Community Development
Act of 1992), and the Department of
Housing and Urban Development
Appropriations Act, 2006 (Pub. L. 109–
115, 119 Stat. 2396; approved November
30, 2005).
Approximately $2 million in fiscal
year 2006 and prior year funds is
available under this program. Available
funds will be divided among three
activity categories: Community
Outreach: Approximately $1.2 million
(approximately 5 cooperative
agreements); Training and Education:
Approximately $400,000 (approximately
2 cooperative agreements); OHHLHC
Lead Grantee Technical Assistance:
Approximately $400,000 (approximately
2 cooperative agreements). Technical
Assistance applicants can apply for the
nation as a whole and/or for one or
more of the geographic areas:
(1) Eastern United States. (HUD
Region I (New England: CT, MA, ME,
NH, RI, VT), Region II (NJ, NY), Region
III (Mid-Atlantic: DC, DE, MD, PA, VA,
WV), Region IV (Southeast: AL, MS, FL,
KY, NC, GA, PR, SC, TN));
(2) Central United States. (HUD
Region V (Midwest: IL, IN, MI, MN, OH,
WI), VI (Southwest: AR, LA, NM, OK,
TX), VII (Great Plains: IA, MO, KS, NE),
and VIII (Rocky Mountains: CO, MT,
ND, SD, UT, WY)); and
(3) Western United States. (HUD
Region IX (Pacific/Hawaii: AZ, CA, HI,
NV) and Region X (Northwest: AK, ID,
OR, WA)).
C. Changes in the FY 2006 Competitive
NOFA
B. Type of Award and Period of
Performance
Listed below are major changes from
the FY 2005 Lead Outreach NOFA:
1. Applicants may choose to apply for
any or all of the three categories: (1)
Outreach; (2) training and education
and/or; (3) technical assistance to
OHHLHC grantees. Applicants must
submit a completed application for each
category for which they are applying.
2. Eligible activities relate to the
category of activity selected and are
narrowly identified.
3. For-profit organizations are eligible
to apply.
4. Referral or enrollment of units in
treatment programs is not required.
5. Ten (10) percent match is required
for eligibility. Leveraging beyond the
match, though not required, will enable
applicants to obtain points.
6. All grantees funded under this
program must use existing outreach,
training curricula and technical
assistance documents unless they
adequately justify the need to create
new ones.
7. HUD has specified application
format requirements.
Awards will be made as cooperative
agreements with substantial government
involvement. The anticipated start dates
for new awards is expected to be
October 1, 2006. The period of
performance is 24 months from date of
award.
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III. Eligibility Information
A. Eligible Applicants
Academic and not-for-profit
institutions located in the U.S., state
and local governments, and federally
recognized Native American Tribes are
eligible under all existing
authorizations. For-profit firms also are
eligible; however, they are not allowed
to earn a fee (i.e., no profit can be made
from the project). Existing OHHLHC
grantees of (or applicants to) the
following programs are not eligible to
apply as applicants, subrecipients or
contractors under this NOFA: lead
hazard control, lead hazard reduction
demonstration, Lead Elimination Action
Program (LEAP), or Lead Technical
Studies.
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B. Cost Sharing or Matching
Requirements
Applicants must provide a matching
contribution of at least 10 percent of the
requested cooperative agreement sum.
Matching contributions may be in the
form of cash, including private sector
funding, or in-kind (non-cash)
contributions or a combination of these
sources. Program match shall be limited
to contributions, which would be
eligible for payment from cooperative
agreement funds, and may be in the
form of cash, including private sector
funding, or in-kind (non-cash)
contributions or a combination of these
sources. The applicant must submit a
letter of commitment for the match from
each organization other than itself that
is providing a match, whether cash and/
or in-kind. The letter must indicate the
amount and source of the match, and
detail how the matching funds will be
specifically dedicated to and integrated
into supporting the proposed
cooperative agreement program. The
signature of the authorized official on
the Form SF–424 commits matching or
other contributed resources of the
applicant organization. A separate letter
from the applicant is not required.
C. Other
1. Threshold Requirements.
Applicants must also meet the threshold
requirements of the General Section,
including the Civil Rights threshold.
2. Program Requirements and Program
Priorities. This section consists of both
general requirements for all three
activity categories followed by specific
program requirements for each activity
category. Although it is possible that, in
a particular community, one or more of
these policy priorities may not be
appropriate, applicants should conform
to the following policies or explain their
proposed deviation from them:
a. General.
(1) All activities under this program
must assist the regional/local area to
develop or implement a strategy to
eliminate lead poisoning, target at-risk
populations or areas, and implement
programs to meet those populations’
information needs.
(2) All grantees’ regular, routine
activities must provide information to
owners and low-income occupants
about regional/local resources for
housing rehabilitation and lead hazard
control programs.
(3) All applicants are encouraged to
target minority populations and utilize
minority media in an effort to achieve
diversity in outreach and educational
efforts.
(4) All printed products are to be
submitted to HUD for review and in
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final form as deliverables in electronic
format suitable for web posting.
(5) Each awardee is expected to
manage their program and use a project
management tool, such as a logic model,
to manage and evaluate their programs’
effectiveness and modify their strategies
as needed to achieve the greatest return
on HUD’s investment. Often, modest
additional actions to gather information
about results would enable grantees to
better measure the impact of their
outreach and education efforts.
(6) Each awardee will be assigned a
GTR (Government Technical
Representative) at Headquarters, who
will provide oversight and approve
grantees’ activities and deliverables. The
Government Technical Monitor (GTM)
will be the Healthy Homes Field
Representative for the awardee’s region.
When planning and conducting
activities to be held in the GTM’s
region, awardees shall inform the GTM
of its plans and activities, consider the
GTM’s input and recommendations and
report to the GTM (in addition to any
other reporting requirements) the
accomplishments of the assistance.
However, the GTR has the ultimate
authority to monitor the performance
and approve deliverables and
drawdowns.
b. Specific program requirements for
each of the three activity categories.
(1) Outreach providers must:
(a) Increase lead awareness among the
general public;
(b) Provide information to owners and
low-income occupants about regional/
local resources for housing
rehabilitation and lead hazard control
programs; and
(c) Create a detailed outreach strategy
as part of their work plan.
(2) Training and Education providers
must:
(a) meet a documented regional/local
need for:
(i) sustainable capacity of lead-safety
trained workers and/or EPA-or statecertified lead professionals; or
(ii) structured education of other
groups about lead poisoning prevention
and control;
(b) target a specific, appropriate
audience;
(c) use a HUD-approved curriculum
for all interim controls training and
specify training materials to be used;
(d) provide plans for sustainability
including train-the-trainer programs.
(3) TA providers must:
(a) Observe the following priorities for
content of TA:
(i) performance of assessment,
intervention or clearance goals
according to work plan,
(ii) improvement in the ability of
grantees to design and implement
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programs that reflect sound
management and fiscal controls,
(iii) adequate documentation of
income eligibility,
(iv) adequate monitoring of
subgrantees/subrecipients,
(v) adequate monitoring and
documenting of match and/or leverage
funds, as applicable,
(vi) compliance with Title X rules
regarding the presence of children less
than six years of age in assisted, owneroccupied units, and
(vii) organizational, management and
financial management controls.
3. Description of National TA and
Regional/local TA. Two types of
technical assistance (TA) may be
performed under this NOFA: National
and Regional/local TA.
a. National TA activities are those that
address, at a nationwide level, one or
more of the program activities and/or
priorities identified in Section III of this
NOFA. National TA activities may
include the development of written
products (if adequately justified),
development of online materials and
training courses, delivery of training
courses previously approved by HUD,
organization and delivery of workshops
and conferences, and delivery of direct
TA as part of a national program.
b. Regional/local TA activities also
must address the priorities identified in
this NOFA. However, the Regional/local
TA is targeted to the specific needs of
OHHLHC’s grantees in the regional area
in which the TA is proposed. Regional/
local TA activities are limited to the
development of need assessments,
direct TA to certain OHHLHC grantees,
organization and delivery of workshops
and conferences, and customization and
delivery of previously HUD-approved
trainings. Regional/local TA providers
must notify regional/local HUD field
offices of proposed activities, as
appropriate. All TA activities will be
administered by a Government
Technical Representative (GTR) at HUD
Headquarters and Government
Technical Monitors (GTM) in various
regions of the U.S. For more information
on OHHLHC’s grantees or a list of
HUD’s Healthy Homes Representatives
and their regional distribution, please
visit https://www.hud.gov/offices/lead.
Information about HUD’s field office
locations may also be obtained on
HUD’s Web site at: https://www.hud.gov/
localoffices.cfm.
4. Demand-Response System. TA
providers must operate within the
structure of OHHLHC’s demandresponse system. Under the demandresponse system, TA providers are
required to:
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a. When requested by a GTR, market
the availability of their services to
existing and potential recipients within
the jurisdictions in which the assistance
will be delivered;
b. Respond to requests for assistance
from the TA provider’s GTR;
c. When requested by its GTR,
conduct a needs assessment to identify
the type and nature of the assistance
needed by the recipient of the
assistance; and,
d. Obtain its GTR’s approval before
responding to direct requests for
technical assistance from OHHLHC
personnel or grantees.
5. Training. All training activities
performed under this program must
conform to the following requirements:
a. Design the course materials as
’’step-in’’ packages so that HUD or other
TA providers may independently
conduct the course on their own;
b. Make the course materials available
to the GTR in sufficient time for review
(minimum of three weeks) and receive
concurrence from the GTR on the
content and quality prior to delivery;
c. Provide all course materials in an
electronic format that will permit wide
distribution among TA providers, field
offices, and HUD grantees;
d. Arrange for delivery of the training
with HUD participation when requested
by the GTR;
e. Establish minimum enrollments for
deliveries of training courses;
implement and disseminate fair course
cancellation policies;
f. Deliver HUD-approved training
courses that have been designed and
developed by others on a ’’step-in’’ basis
when requested; and
g. For Interim Controls (Lead Safe
Work Practices), training providers must
comply with HUD’s Interim Criteria to
Evaluate Training Courses in Lead-Safe
Work Practices. The costs associated
with attending these required sessions
are eligible under the cooperative
agreement.
D. Policies Applicable to All Categories
in This NOFA
1. Awardees must use or minimally
adapt existing outreach, training and
technical assistance documents unless
they can adequately justify in their
application that a dire need exists in
their community to create new ones.
Before creating a new product (such as
a brochure, curriculum or technical
document), grantees must investigate if
a similar item already exists and can be
used or revised with a level of effort
lower than would be spent creating a
new equivalent product. Applicants
must ensure that materials are
appropriate for the target populations,
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including persons with Limited English
Proficiency (LEP), and for visually
impaired or other disabled persons (see
Eligible Activities, below). All new
products and adaptations/translations
must be submitted to HUD as
deliverables, in electronic format
suitable for Web posting.
2. For use under this program, all
documents in languages other than
English must be culturally neutral
(understandable by speakers of all
dialects of the target language).
Translators must be certified by the
American Translators Association.
Quality reviews are required for all
translations. Translations will not be
allowed for federal documents that have
been translated into the target language.
Awardees are responsible to determine
if a translation already exists.
3. Grantees are expected to
communicate and coordinate, as
appropriate, with other HUD program
personnel and field offices at the
direction of the GTR.
4. All training activities must conform
to the training requirements applicable
to TA providers as described in this
NOFA.
E. Eligible Activities
Consideration will only be given to
proposed activities that are specifically
listed as eligible in this NOFA. Other
work activities, although they may be
supportive of lead hazard control
grantees or their activities, are
ineligible. All activities must address
childhood lead poisoning prevention
and/or control at the national and/or
regional/local levels. Eligible activities
relate to the three activity categories.
The following section lists categoryspecific eligible activities.
1. Activities Eligible under the
Community Outreach Category:
a. Door-to-door canvasses, smallgroup meetings, community meeting
visits, health fairs, conducting
presentations or speaking engagements
to inform the public and owners of
housing, including owners receiving
rehabilitation or other tax credits, about
programs that can assist in the control
of the identified hazards; other activities
to publicize or conduct events that
highlight lead hazards in the home
environment;
b. Earned media (no-cost PSAs, news
stories in radio, print, or TV to raise
public awareness and promoting name
recognition for treatment program);
c. Advertising (paid ads on buses,
billboards, etc.);
d. Use of collateral materials and
campaign props and incentives. These
materials include outreach brochures
and printed materials, visual
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presentations, giveaways with phone
numbers/ contact information on
Outreach Provider, mascots, cleaning
kits, meals not to exceed $10 in value
per meal per person, etc., but not
training materials (see Training and
Education category). Outreach materials
and props can support general outreach
and education efforts. However, the
budget must include details of the items
including cost per item. All
expenditures made by a grantee must be
linked to specific outreach activities and
listed in the approved budget.
e. Development and maintenance of
infrastructure and support such as
telephone hotlines and web sites;
f. Entering into working arrangements
with regional/local non-profit
organizations, including grassroots
community-based organizations, faithbased organizations; chambers of
commerce; public and private social
service agencies; corporations, retailers,
construction organizations, or unions
for the purpose of coordinating or
conducting joint outreach activities.
g. Other outreach activities designed
to disseminate information to targeted
populations identified as being at-risk of
lead poisoning;
h. Making materials available in
alternative formats for persons with
disabilities (e.g., Braille, audio, large
type) upon request, and providing
materials in languages other than
English that are common in the
community, consistent with HUD’s
published Limited English Proficiency
(LEP) Recipient Guidance, 68 FR 70968
(see above);
i. Program administration in
accordance with the guidelines
established under funding restrictions;
j. Program evaluation and assessment
activities to improve the effectiveness of
present and future outreach efforts and
to measure whether efforts have
successfully been targeted to at risk
populations;
k. Innovative use of funds to provide
direct technical expertise and assistance
to regional/local community groups,
residents, and other appropriate
community stakeholders to resolve
regional/local lead poisoning problems,
as approved by the GTR;
2. Activities Eligible under the
Training and Education Category:
a. Delivery of HUD-approved (or stateapproved, as applicable) Lead-Safe
Work Practices (Interim Controls), EPAor state-approved lead training, or Lead
Awareness training curricula to the
target audience, visual assessment
training;
b. Training regional/local residents
and businesses, including retail paint
sales associates and managers, on
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identifying and preventing lead-based
paint hazards, and lead-safe
maintenance and renovation work
practices, etc.;
c. Educating tenants, owners, housing
inspectors, and others about HUD’s lead
safety regulations, including the Lead
Disclosure Rule (24 CFR part 35),
regional/local building codes, and
HUD’s Housing Quality Standards
(HQS) and Uniform Physical Condition
Standards (UPCS), as applicable;
d. Training curriculum design,
development, maintenance and
evaluation; preparing training materials,
including photographs or other
graphics. (Compliance with copyright
laws is the responsibility of the grantee);
e. Applying for or maintaining
curriculum/provider jurisdictional or
HUD approval (as applicable);
f. Promoting or marketing training
courses directly or through partnerships
with organizations conducting outreach;
g. Delivery of formal or one-on-one or
group educational or training sessions
in classrooms, homes or other locations;
h. Delivery of informal one-on-one or
group educational sessions, workshops
or demonstrations in homes or other
locations (cleaning techniques, etc.);
i. Participation in training-related
partnerships and task forces; and,
j. Auditing course delivery, training,
mentoring and evaluating trainers to
increase lead safety training capacity.
3. Activities Eligible under the
Technical Assistance (TA) Category:
Funds may be used to provide TA to
grantees, their sub-grantees and
contractors of OHHLHC’s grant
programs for the following activities:
a. Provide technical and/or general
programmatic assistance to OHHLHC
grantees in need of such assistance to
develop recommendations for
facilitating the quick and cost-effective
implementation of Grantee work plans.
Eligible activities for the TA category
include communication with the GTR of
the grant receiving TA, its GTM and
grant officer, as described below.
(1) Maintain liaison with the grantee,
GTR for the grant receiving TA, GTM,
and Grant Officer to help avoid resolve
grant performance problems and resolve
them when they occur.
(2) Review grantee documents and
records of operations, staff
communications, grantee field and/or
financial performance (within the limits
of confidentiality), as well as meet with
program personnel and partners.
(3) Provide the GTR of the grant
receiving TA and Grant Officer with
copies of all correspondence issued to
the grantee pertinent to activities for
which the technical assistance is being
provided.
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(4) Make recommendations to the
GTR of the grant receiving TA on:
(a) Program design;
(b) Program management; and
(c) Marketing.
(5) Provide the GTR of the grant
receiving TA with a final written TA
report.
b. TA activities also include, but are
not limited to, reporting, developing or
providing written information such as
papers, manuals, guides, and brochures;
needs assessments; and training.
IV. Application and Submission
Information
A. Address To Request Application
Package
All the information required to submit
an application can be downloaded from
the Web at: https://www.grants.gov.
Consult the General Section for more
information. If you have difficulty
accessing the information, you may call
the Grants.gov helpline toll-free at (800)
518–GRANTS or e-mail
Support@grants.gov.
B. Content and Form of Application
Submission
1. Application Format. Because of the
electronic submission process,
proposals must conform to the
formatting requirements below to be
eligible. All material submitted must be
required or be in support of the
narrative response to the rating factors.
Any material, whether required or
supplemental, that is not properly
located in the application, and
referenced and discussed within the
narrative statement as described below,
will not be rated. The narrative response
to all rating factors (see below) must be
submitted within a single electronic file
within the zip file attached to the
application. The narrative response to
the five rating factors may not exceed 25
pages (excluding required additional
materials and worksheets, see below)
equivalent to one-side only on 81⁄2 × 11
inch paper using a standard 12-point
font with not less than 3⁄4 inch margins
on all sides. Each attachment or
appendix must be an individual
electronic file. All pages must be
numbered in order starting with the
cover page and continuing through the
appendices.
2. Prohibition on Materials Not
Required. Submission of materials other
than those specified as allowable by this
NOFA are prohibited. Reviewers will
not consider other resumes, reports,
charts, letters, or any other documents
attached to the application.
3. Required Application Contents:
Applications must contain all of the
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information required by this NOFA,
including the following items:
a. Application Abstract. An abstract is
required. It may not exceed 2 pages in
length, and must summarize the
proposed project, including the
objectives, proposed activities and
expected results, the dollar amount
requested, and contact information for
the applicant and project partners. The
abstract will be used for developing the
Congressional Release and Public
Announcement if the application is
funded.
b. Narrative Response. A narrative
statement with supporting required
forms and other documents addressing
the five rating factors for award is
required. This portion of the application
consists of a narrative response to each
of the five rating factors (25-page limit),
specific HUD-required forms documents
(which do not count toward the page
limit), and optional supplemental
material (20-page limit). Pages in excess
of these limits will not be read. Each of
Rating Factors 1–5 has an associated
required form (HUD–96012, HUD–
96013, HUD–96014, HUD–96015, and
HUD–96010, respectively) that does not
count toward the page limits, and must
be located immediately after the
response to that rating factor (see list of
forms, below). Applicants are advised to
review each factor carefully for program
specific requirements. The response to
each factor should be concise and
contain only information relevant to the
factor, but detailed enough to address
each factor fully. Please do not repeat
material in response to the five factors;
instead, focus on how well the proposal
responds to each of the factors. In
factors where there are sub-factors, each
sub-factor must be presented separately,
with the short title of the sub-factor
presented. Make sure to address each
sub-factor and provide sufficient
information about every element of the
sub-factor. All information relative to a
given rating factor MUST be contained
in the narrative for that rating factor. If
it is found in a different rating factor, IT
WILL NOT BE CONSIDERED. In
addition, supplemental material that is
not referenced and discussed within
that portion of the narrative will not be
considered.
c. In addition to the abstract and
narrative response described above, the
following materials (which do not count
toward the page limits) must be
included in the locations specified:
resumes, process flow diagram for the
project (not the employer’s
organizational chart), budget, and other
required forms. The standard forms can
be found in the application package on
Grants.gov and on HUD’s Web site.
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(1) Resumes and a process flow
diagram for your project must be placed
immediately following the narrative
response to Rating Factor 1. Resumes for
project director, day-to-day program
manager and up to 3 key personnel
(limited to 3 pages per resume for a
maximum of 15 pages total) are
required. (See Rating Factor 1.)
(2) Include a detailed budget for any
subcontractors, subgrantees, or
subrecipients receiving greater than 10
percent of the federal budget request.
Use the budget format discussed in
Rating Factor 3.
(3) Form HUD–96010, Logic Model,
must be placed immediately following
Rating Factor 5.
(4) General letters of support have no
value and are discouraged.
d. Applicants are encouraged to use
the following checklist to ensure that all
required materials have been prepared
and submitted. Do not submit the
checklist (see below) with the
application.
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Checklist for Applicants
• Abstract (limited to 2 pages).
• Required information supporting
Rating Factors.
1. Capacity of the Applicant and
Relevant Organizational Experience
plus Form HUD–96012; Resumes of
Proposed Project Director, Day-to-day
Program Manager and up to 3 Key
Personnel; Project Organization Chart.
2. Need/Extent of the Problem plus
Form HUD–96013.
3. Soundness of Approach plus Form
HUD–96014; budget forms and narrative
budget justification.
4. Matching and Leveraging Resources
plus Forms HUD–96015, Leveraging
Resources; Letters of Commitment
attached immediately after Rating Factor
4.
5. Achieving Results and Program
Evaluation plus HUD–96010 Logic
Model.
• Additional Material Supporting the
Rating Factors (attachments,
appendices, etc.: 20-page limit).
• Complete List of Required Forms
and Budget Material.
• Form SF–424 (Application for
Federal Assistance).
• Form HUD–CBW (Budget
Worksheet).
• Form SF–424 Supplement (Survey
on Ensuring Equal Opportunity for
Applicants) (to be completed by private
nonprofit organizations only).
• Form SF–LLL (if applicable)
(Disclosure of Lobbying Activities).
• Form HUD–2880 (Applicant/
Recipient Disclosure/Update Report).
• Form–2990 Certification of
Consistency with the EZ/EC Strategic
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Plan (required only for applicants who
are seeking these bonus points).
• Form HUD–2994A You Are Our
Client Grant Applicant Survey
(Optional).
• Form HUD–27300 Removal of
Regulatory Barriers (if applicable) (up to
2 points can be awarded).
• Rating Factor Forms:
» Rating Factor 1: HUD–96012.
» Rating Factor 2: HUD–96013.
» Rating Factor 3: HUD–96014.
» Rating Factor 4: HUD–96015.
» Rating Factor 5: HUD–96010.
» Form HUD–96011 Facsimile
Transmittal, for electronic applications
(used as the cover page to transmit
third-party documents and other
documentation designed for each
specific application for tracking
purposes. HUD will not read faxes that
do not use the HUD–96011 as the cover
page to the fax).
C. Submission Dates and Times
Application Submission Dates: The
application deadline date is June 6,
2006. Refer to the General Section for
additional requirements including
registration requirements, deadline
dates, Grants.gov validation, proof of
delivery, and other information
regarding electronic application
submission via www.grants.gov.
D. Intergovernmental Review
Not applicable to this program. See 24
CFR part 52.
1. Administrative Costs.
Administrative costs are eligible.
Administrative costs are the awardee’s
allowable direct and indirect costs for
the overall management, coordination,
monitoring, and evaluation for the
program. No more than 10 percent of the
funds can be used for administrative
costs. This applies to applicants electing
to serve as a conduit to sub-recipients,
who will in turn perform the direct
program activities eligible under this
NOFA. Applicants are responsible for
reviewing the important information
about administrative costs that apply to
this NOFA, which is posted on the
OHHLHC’s Web site at: https://
www.hud.gov/offices/lead. Eligible
administrative costs include leases for
office space, under the following
conditions:
(1) The lease must be for existing
facilities not requiring rehabilitation or
construction;
(2) No repairs or renovations of the
property may be undertaken with
federal funds:
(3) Properties in the Coastal Barrier
Resources System designated under the
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F. Other Submission Requirements
Applications are required to be
submitted electronically via the Web
site https://www.grants.gov. See Section
IV.F of the General Section for
additional information on the electronic
process. Waivers may only be granted
for cause. See General Section for
further discussion.
V. Application Review Information
E. Funding Restrictions
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Coastal Barrier Resources Act (16 U.S.C.
3501) cannot be leased with federal
funds.
2. HUD will not fund the following
ineligible activities:
a. Purchase of real property.
b. Purchase or lease of equipment
having a per-unit cost in excess of
$5,000, unless prior written approval is
obtained from HUD.
c. Identification of lead-based paint or
hazards, hazard reduction (including,
interim controls or abatement),
rehabilitation, remodeling,
maintenance, repair, or any other
construction work, blood lead testing of
adults or children, laboratory analysis,
medical treatment, clearance
examinations and visual assessment.
d. Activities, by parties following a
determination of non-compliance,
required in order to fulfill court orders
or consent decrees, settlements,
conciliation agreements, or other
compliance agreements.
e. Renovations or construction work
on office space leased for the program.
A. Criteria
1. Following threshold review,
applications will be reviewed by an
Application Review Panel (ARP) which
will assign each application a score
based on the rating factors. Awards will
be made separately in rank order within
the limits of funding availability.
2. HUD may use other information
from sources at hand, such as
Department records, newspapers,
Inspector General or Government
Accounting Office Reports or Findings,
hotline complaints, or other sources of
information that have been proven to
have merit. HUD may also request
additional information from successful
applicants as conditions of award. If the
applicant fails to provide the
information at that time, the award will
not be made.
3. Factors for Award Used to Evaluate
and Rate Application. The factors for
rating and ranking applicants, and
maximum points for each factor, are
provided below. The maximum number
of points to be awarded is 102,
including the two (2) RC/EZ/EC–II
bonus points. A specific number of
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points is assigned to each rating factor.
Applicants should be certain that these
factors are adequately addressed in the
project description and accompanying
materials. Do not assume that HUD has
any information about you or your
project.
4. Rating Factors for All Categories.
a. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Experience (20 points). This factor
includes information about the
organization, its individual employees
and partners, and past performance.
Higher points will be given for more
recent, relevant experience of high
quality. The following areas will be
evaluated: organizational capacity,
experience and past performance (for
previous grantees), individual staff and
participants’ qualifications including
education and experience, and specific
qualifications related to the categories of
activities under this NOFA.
(1) Organizational Experience. This
sub-factor addresses the extent to which
the applicant has the organizational
experience necessary to successfully
implement the proposed activities in a
timely manner. HUD will evaluate the
organization’s experience in initiating,
implementing, and evaluating related
outreach, health education and training,
technical assistance and recruitment
projects, or solving community
problems directly related to this
program. In rating this sub-factor, HUD
will consider the extent to which the
proposal demonstrates organizational
experience that is recent and relevant.
HUD will consider organizational
experience within the last five (5) years
to be recent and experience pertaining
to activities of similar scope to be
relevant.
(a) Describe whether you have
sufficient personnel, or will be able to
quickly hire qualified experts or
professionals to begin your proposed
project within 30 days of award, if
funded.
(b) Describe how the principal
components of your project organization
will participate in, or support, your
project, and how you propose to
coordinate with your partners. Include a
project-specific organizational chart
indicating the organizational capacities
of and interrelationships among the
various entities involved in the project.
(c) Past performance in previous
projects with an emphasis on health
education, outreach and recruitment,
training and education, or technical
assistance. This sub-factor evaluates the
extent to which an applicant has
performed previous work successfully.
Provide details about the nature of
projects performed through grants or
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contracts. Applicants failing to disclose
previous grants or contracts with
OHHLHC or HUD may be deemed
ineligible for award. Provide the
following specific information:
(i) A detailed list outlining the
achievement of specific tasks,
measurable objectives (benchmarks) and
outcomes consistent with the approved
timeline/work plan;
(ii) Comparison of proposed required
match funds and resources in a previous
grant with what was actually matched;
and,
(iii) A detailed list outlining the
timeliness and completeness of
complying with all reporting
requirements. In addressing timeliness,
compare when reports were due with
when they were actually submitted.
(2) Individual Qualifications:
(a) Project Director and Day-to-Day
Project Manager. Identify the
individuals proposed to serve as the
proposed overall project director and
day-to-day project manager. The terms
‘‘Project Director’’ and ‘‘Day-to-Day
Project Manager’’ must be used in the
application to earn points for
individuals having these
responsibilities, regardless of their
current, employer-assigned position
titles. Describe their individual
qualifications that will enable them to
function effectively in their assigned
roles. Include knowledge, work
experience, management experience,
education, training, and publications.
Include specific projects they have
performed involving planning and
managing large and complex
interdisciplinary outreach, educational
or TA programs, especially those
involving housing, public health, or
environmental initiatives.
(b) Other Key Personnel. Identify up
to three additional key personnel. For
each, provide individual qualifications,
experience, percentage commitment to
the project, salary costs to be paid by
funds from this program, and role in the
proposed project. You must provide
resumes (or position descriptions and
copies of job announcements including
salary range, for vacant positions) for
the project director, project manager,
and three additional key personnel.
(c) Sub-recipients (sub-grantees,
subcontractors and consultants). Include
descriptions of their experience and
qualifications. Detail their grant and
financial management experience. You
may find it useful to include a table
indicating the name, position and
percentage contribution of participating
individuals, specifying organizational
affiliation. Describe who is responsible
for quality control of processes and
materials produced by sub-recipients.
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(3) In addition to other eligibility
criteria and knowledge of OHHLHC’s
grant programs, category applicants
must also demonstrate specific capacity
as follows:
(a) Outreach Providers: specific
capacity to provide outreach services,
such as holding community meetings,
health fairs, adapting printed materials,
writing public service announcements,
etc. Applications that include
development and distribution of media
products in languages other than
English must include a discussion of the
applicant’s (or sub-grantee’s/
contractor’s) expertise in those
languages and in meeting the
informational needs of non-Englishspeaking, underserved populations.
Outreach grantees involving face-to-face
interaction with the community should
have staff that are well-trained,
motivated, committed to the program,
and reflect the characteristics of the
target community.
(b) Training and Education Providers:
Specific capacity to provide the type of
training programs proposed.
(c) Technical Assistance Providers:
Specific capacity to provide technical
assistance services related to grant
management and lead-based paint
technical issues. Applicants may use inhouse staff, sub-contractors, subgrantees, and regional/local
organizations with the requisite
experience and capabilities. Where
appropriate, applicants should make use
of TA providers located in the
jurisdiction receiving services. This
draws upon regional/local expertise and
persons familiar with the opportunities
and resources available in the area to be
served while reducing travel and other
costs associated with delivery of
services.
b. Rating Factor 2: Need/Extent of the
Problem (10 Points). This factor
addresses the extent to which there is a
need for funding the proposed program
activities and an indication of the
importance of meeting the need(s) in the
target area. The proposal will be
evaluated on the extent to which the
level of need for the proposed activities
and the importance of meeting the
need(s) are documented. Applicants
must use statistics or other analyses
contained in at least one or more current
data sources that are sound and reliable.
In rating this factor, HUD will consider
data collected within the last five (5)
years to be current. The data used must
be specific to the area where the
proposed activities will be carried out
(for projects with specific regional/local
target areas, do not apply the data to the
entire regional/locality or state). To
receive maximum points for this factor,
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proposals addressing one or a few
communities must explain the extent to
which the targeted community’s Five
Year Consolidated Plan(s) and
Analysis(es) of Impediments to Fair
Housing Choice (AI) identify the level of
the problem and the urgency in meeting
the need. Applicants proposing TA
services on a regional or national basis
may demonstrate the extent to which
there is a regional or national need to
address deficiencies in Consolidated
Plans. Sources for regional/localized
data can be found at: https://
www.ffiec.gov. Other reliable sources of
data include, but are not limited to,
Census reports, HUD Continuum of Care
gap analysis and its E-Map (to find
additional information, go to HUD’s
Web site: https://www.hud.gov/emaps),
Comprehensive Plans, community
needs analyses such as provided by the
United Way, the applicant’s institution,
and other sound, reliable, and
appropriate sources. Needs in terms of
fulfilling court orders or consent
decrees, settlements, conciliation
agreements, and voluntary compliance
agreements may also be addressed. TA
providers may identify their specific
areas of expertise and relate them to a
demonstrated need.
c. Rating Factor 3: Soundness of
Approach (40 Points). This factor
contains three sub-factors:
(1) Your goals and objectives,
(2) The quality and cost-effectiveness
of your proposed work plan, and
(3) Proposed budget.
Higher points will be given to
applications that contain approaches
with clearly articulated goals, activities
and sub-activities, and demonstrate a
logical progression of implementation
steps.
(1) Project Goals (10 Points). Describe:
(a) The goals and objectives for your
project based on the need described
under Rating Factor 2, and
(b) How proposed activities would
address your goals and HUD’s policy
priorities. See the General Section for
information on HUD’s policy priorities.
The policy priorities that are applicable
to the Lead Outreach grant NOFA and
that are eligible for one point each are:
(1) Improving our Nation’s Communities
(focus on distressed communities); and
(2) providing full and equal access to
grass-roots faith-based and other
community-based organizations in HUD
program implementation. Removal of
regulatory barriers to affordable housing
is eligible for up to 2 points provided
the required documentation, as
specified in form HUD 27300 (Removal
of Regulatory Barriers), is part of the
application submission to HUD.
Applicants may also provide a Web site
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URL for a Web site where the required
documentation is readily accessible for
use.
(2) Work Plan (20 Points). This
portion of the response will be
evaluated based on the extent to which
the proposed work plan demonstrates
the following:
(a) The general approach and overall
strategy to achieve stated goals. For
maximum points for this factor, clearly
define the relationship between a
community’s needs (goals) and
proposed activities;
(b) Specific, measurable and timephased objectives for each major
program activity, accompanied by a
complementary schedule indicating
proposed date(s) of completion (in
three-month intervals);
(c) Specific services and/or activities.
The work plan must identify all major
tasks and list all proposed activities in
sequential order. Describe in detail how
you will identify and serve participants
receiving services, especially
participants in high-risk groups and
communities, vulnerable populations
and persons traditionally underserved.
Include a brief, concise outreach
strategy or marketing plan, as
applicable, in the work plan and list on
the Logic Model (submitted under
Rating Factor 5). Applicants must
identify their approaches to overcoming
poor response, attendance or
participation difficulties. Explain how
you will ensure that proposed activities
do not duplicate activities by others for
the target area previously completed or
currently underway;
(d) Identify the personnel responsible
for major tasks;
(e) Products or outputs and expected
outcomes or impacts;
(f) Proposed methods to research
existing materials or develop new ones,
and print and disseminate materials for
outreach, training or TA. Describe how
you will ensure that materials will be of
consistently high quality and
technically sound;
(g) The quality of the plan to manage
the project. Include details about your
management and financial systems, and
how you will track and ensure the costeffectiveness of expenditures and will
link them to specific activities;
(h) How you propose to coordinate
with HUD field offices and HUD
program personnel, as applicable, in
their applications; and
(i) A detailed description of how you
will make materials available in
alternative formats for persons with
disabilities (e.g., Braille, audio, large
type) upon request, and provide
materials in languages other than
English that are common in the
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community, consistent with HUD’s
published Limited English Proficiency
(LEP) Recipient Guidance, 68 FR 70968.
(j) Institutionalization (applies to
outreach and training category
applicants only). A detailed description
of how the applicant plans to
mainstream lead poisoning prevention
into its regular, permanent programs. To
evaluate institutionalization, HUD will
evaluate the extent to which the
applicant (and partners) demonstrate:
(i) Commitment to undertake project
activities in the future;
(ii) Support and involvement of the
applicant’s organizational leadership;
(iii) Commitment to include leadrelated work in decisions affecting
policy and program development; and,
(iv) Evidence of mainstreaming of
permanent lead safety content into
programmatic materials, outreach,
training, and technical assistance
initiatives.
In evaluating this sub-factor, HUD
will also assess the probability of
success of the program, the significance
of the tasks identified, and how realistic
the proposed time frames are. HUD will
consider the extent to which proposals
in the outreach category demonstrate
the following characteristics derived
from HUD’s evaluation of successful
outreach activities in its grant programs:
• Well-functioning, effective program;
• Solid communication capabilities;
• Participation in community events
and presentation at small group
meetings;
• Well-known and respected in the
community;
• Staff that reflect the linguistic and
ethnic characteristics of the target
community;
• Establish good communication and
coordination with sub-grantees;
• Sub-grantees whose primary
mission has a clear connection to
protecting children from lead poisoning;
• Sub-grantees who are respected in
their communities, capable of
performing their required duties, and
view lead safety as a critical component
of serving the target community.
(3) Budget Justification (10 Points).
HUD is not required to approve or fund
all proposed activities. Your budget will
be evaluated for its reasonableness, clear
justification, and consistency with the
work plan. Submit a narrative
justification associated with the budget
that documents and explains all budget
categories and costs for each major task
of the work plan. Identify the source of
funds as HUD, match or leverage. Each
budget page should identify the entity
and project year to which it applies.
Higher points will be awarded for
greater percentages of sub-contracting
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and substantive work performed by
grassroots organizations, including
faith-based and other community-based
non-profit organizations, Fair Housing
Organizations, advocates for various
minority and ethnic groups, and persons
with disabilities.
In completing the budget forms and
justification, you should address the
following specific elements:
(a) Direct Labor. Direct Labor costs
should include all full- and part-time
staff required for the planning and
implementation phases of the project.
These costs should be based on full time
equivalent (FTE) or hours per year
(hours/year) (i.e., one FTE equals 2,080
hours/year);
(b) Travel to HUD Meetings. You
should budget for three trips to HUD
Headquarters in Washington, DC,
planning each trip for two people for 2
or 3 days, depending on your location;
(c) Sub-grantee and Sub-recipient
Budgets. A separate budget proposal
must be provided for any subrecipient(s) receiving greater than 10
percent of the total federal budget
request;
(d) Provide supporting documentation
for salaries and cost of materials and
equipment;
(e) Federally Negotiated Indirect Cost
Rate. Organizations that have a federally
negotiated indirect cost rate should
provide documentation of that rate.
Organizations not having a federally
negotiated rate schedule must obtain a
rate from their cognizant federal agency.
Applicant and sub-grantee budgets
should reference only their own indirect
cost rates.
d. Rating Factor 4: (15 points). This
factor evaluates ability to: (1) Contribute
matching resources from your
organization; (2) leverage (secure) other
public and/or private sector resources
(such as financing, supplies, or services)
that can be added to HUD’s funds to
perform eligible activities; and, (3)
sustain your proposed project from
sources other than HUD. Ten (10)
percent matching is required for funding
eligibility and represents the applicant’s
contribution to the project. Leveraging,
from entities other than the applicant, is
not required for eligibility. Higher
points will be awarded for higher
percentages of matched and/or
leveraged resources, compared to the
amount of HUD funds requested. To
receive points for match and leverage,
all contributions promised during the
period of performance must be
expressed in dollar values and
documented in a commitment letter
submitted with the application from a
responsible official of each contributing
organization. Matching funds must be
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provided unconditionally. Indirect costs
cannot be used as matching
contributions in excess of the required
ten (10) percent match. For more
information on matching and leveraging
resources, see OHHLHC’s Web site at
www.hud.gov/offices/lead.
e. Rating Factor 5: Achieving Results
and Program Evaluation (15 points).
This rating factor reflects HUD’s goal to
embrace high standards of ethics,
management, and accountability.
Describe in detail your needs and
service activities, identify the outputs
and short-term, intermediate-term and
long-term outcomes. State clearly the
project activities including specific
goals (‘‘benchmarks’’) of each activity
and how you will achieve those goals.
Describe how you will measure the
results. Provide your goals, inputs,
activities, outcomes and performance
benchmarks (goals) for the entire grant
period. In the narrative, explain how
you will document and track your goals,
program activities, and schedules.
Identify the procedures you will follow
to make adjustments to your work plan
to improve performance if benchmarks
are not met within established
timeframes.
Applicants must complete and return
the Logic Model Form HUD–90610.
HUD is moving to a standardized
‘‘Master’’ Logic Model from which you
can select needs, activities, and
outcomes appropriate to your program.
See the General Section for detailed
information on use of the ‘‘Master’’
Logic Model. HUD is requiring grantees
to use program-specific questions to
self-evaluate the management and
performance of their program. For
FY2006, HUD is considering a new
concept for the Logic Model. The new
concept is a Return on Investment
statement. HUD will be publishing a
separate notice on the ROI concept.
Training on HUD’s Logic Model and
reporting requirements for addressing
the Management questions will be
provided via satellite broadcast. In
evaluating Rating Factor 5, HUD will
consider how you have described the
benefits and outcome measures of your
program. HUD will also consider the
evaluation plan, to ensure the project is
on schedule and within budget.
Information about developing a Logic
Model is available at: https://
www.hud.gov/offices/admin/grants/
fundsavail.cfm.
f. Bonus Points for Federally
Designated Zones and Communities (2
points). HUD will award two bonus
points to each application that includes
a valid form HUD–2990 certifying that
the proposed activities/projects in the
application are consistent with the
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strategic plan for an empowerment zone
(EZ) designated by HUD or the United
States Department of Agriculture
(USDA), the tax incentive utilization
plan for an urban or rural renewal
community designated by HUD (RC), or
the strategic plan for an enterprise
community designated in round II by
USDA (EC–II) and that the proposed
activities/projects will be located within
the RC/EZ/EC–II identified above and
are intended to serve the residents. A
listing of the RC/EZ/EC–IIs is available
on the Internet at https://www.hud.gov/
cr.
B. Reviews and Selection Process
1. Rating and Ranking. Awards will be
made in rank order for applications
within the limits of funds available.
2. Partial Funding. In the selection
process, HUD reserves the right to offer
partial funding to any or all applicants.
If you are offered a reduced grant
amount, you will have a maximum of 14
calendar days to accept such a reduced
award. If you fail to respond within the
14-day limit, you shall be considered to
have declined the award. Please see the
General Section for a discussion of
adjustments to funding that may be
made by HUD during the selection
process.
3. Remaining Funds. See the General
Section for HUD’s procedures if funds
remain after all selections have been
made.
4. Minimum Points for Award. Your
application must receive a total score of
at least 75 points to be considered for
funding.
C. Anticipated Announcement and
Award Dates
HUD anticipates announcing awards
under this program on or about October
1, 2006.
VI. Award Administration Information
A. Award Notices
1. Notice of Award. Applicants that
have been selected for award will be
notified by letter from the Grant Officer.
The letter will state the program for
which the application has been selected,
the amount the grantee is eligible to
receive, and the name of the
Government Technical Representative
(GTR). This letter is not an authorization
to begin work or incur costs under the
grant.
2. Negotiations. HUD may require that
selected applicants participate in
negotiations to determine the specific
terms of the grant agreement and
budget. In cases where HUD cannot
successfully conclude negotiations with
a selected applicant or a selected
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applicant fails to provide HUD with
requested information, an award will
not be made to that applicant. In this
instance, HUD may offer an award, and
proceed with negotiations with the next
highest-ranking applicant. If you accept
the terms and conditions of the grant,
you must return your signed grant
agreement by the date specified during
negotiation.
3. Award Adjustments. Additionally,
HUD may adjust the amount of funds
allocated for specific geographical areas
to fund National TA providers and other
TA providers for activities that cannot
be fully budgeted for or estimated by
HUD at the time this NOFA was
published. HUD may also require
selected applicants, as a condition of
funding, to provide coverage on a
geographically broader basis than
proposed in order to supplement or
strengthen the TA network in terms of
the size of the area covered and types
and scope of TA proposed. If funds
remain after all selections have been
made, the remaining funds may be
redistributed for Local TA and/or used
for National TA, or made available for
other TA program competitions.
4. LOCCS Payment System. After
receiving the letter, additional
instructions on how to have the grant
account entered into HUD’s Line of
Credit Control System (LOCCS)
payment system will be provided. Other
forms and program requirements will
also be provided.
5. Start of Work. All awardees are
expected to commence activity
immediately upon completion of budget
and work plan negotiations, and
execution of the grant agreement.
6. Applicant Debriefing. See the
General Section for information
regarding unsuccessful applicant
debriefing.
B. Administrative and National Policy
Requirements
1. Environmental Review. In
accordance with 24 CFR 50.19(b)(2),
(b)(3) and (b)(9), activities assisted
under this program are categorically
excluded from the requirements of the
National Environmental Policy Act of
1969 (42 U.S.C. 4321) and are not
subject to environmental review under
the related laws and authorities.
2. HUD Reform Act of 1989.
Applicants must comply with the
requirements for funding competitions
established by the HUD Reform Act of
1989 (42 U.S.C. 3531 et seq.) as defined
in the General Section.
3. Audit Requirements. Any grant
recipient that expends $500,000 or more
in federal financial assistance in a single
year must meet the audit requirements
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established in 24 CFR parts 84 and 85
in accordance with OMB Circular A–
133. In accordance with OMB Circular
A–133 (Audits of States, Regional/local
Governments and Non-Profit
Organizations), grantees will have to
submit their completed audit-reporting
package along with the Data Collection
Form (SF–SAC) to the Single Audit
Clearinghouse, at the address obtained
from their Web site. The SF–SAC can be
downloaded at: https://
harvester.census.gov/sac/.
4. Timely Hiring of Staff. HUD
reserves the right to terminate grant
awards made to applicants that fail to
timely hire (within 90 days of award)
staff to fill key positions identified in
the applicant’s proposal as vacant.
5. Executive Order 13202. Compliance
with HUD regulations at 24 CFR 5.108
that implement Executive Order 13202,
‘‘Preservation of Open Competition and
Government Neutrality Towards
Government Contractors’ Labor
Relations on Federal and Federally
Funded Construction Projects’’, is a
condition of receipt of assistance under
this NOFA.
6. Procurement of Recovered
Materials. See the General Section for
further information.
7. Conducting Business in
Accordance with HUD Core Values and
Ethical Standards. Refer to the General
Section for information about
conducting business in accordance with
HUD’s core values and ethical
standards.
C. Reporting
The following items are Post-Award
Reporting Requirements.
1. Final Budget and Work Plan. Final
budget and work plans are due 60 days
after the effective date of the grant.
2. Racial and Ethnic Data Reporting
Form. For all activities that involve
working directly with beneficiaries,
HUD requires that funded recipients
collect racial and ethnic beneficiary
data. HUD does not require Outreach
awardees to report ethnic and racial
beneficiary data as part of their
application package. However, such
data must be reported annually, at a
minimum, during the implementation of
your program. You must use the Office
of Management and Budget’s Standards
for the Collection of Racial and Ethnic
Data to report these data, using Form
HUD–27061, Racial and Ethnic Data
Reporting Form, found on
www.grants.gov, along with instructions
for its use, or a comparable electronic
data system for this purpose.
3. Progress reporting. Progress
reporting is done on a quarterly basis.
For specific reporting requirements, see
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policy guidance at: https://www.hud.gov/
offices/lead. OHHLHC awardees submit
quarterly reports via an on-line
reporting system. Beginning in FY 2006,
OHHLHC will use the awardee’s Logic
Model to measure its performance. The
quarterly report must reflect all
benchmarks (output goals) and
proposed outcomes (results) that are
indicated on the Logic Model with an
associated cost estimate. Attaching a
dollar value to the outputs and
outcomes enables awardees to meet
HUD’s reporting requirements.
4. Final Report. An overall final grant
report, due at the completion of the
grant, will detail activities (e.g., the
number of low-income housing units
enrolled in lead hazard treatment
programs as a result of activities
performed under this grant, number and
type of materials produced, activities
conducted, evaluation of the various
outreach and educational methods used,
findings, and recommended future
actions at the conclusion of grant
activities). The final report shall include
final project benchmarks and milestones
achieved against the proposed
benchmarks and milestones in the Logic
Model (Form HUD–96010) approved
and incorporated into your award
agreement.
VII. Agency Contacts
For programmatic questions, you may
contact Jonnette Hawkins, Office of
Healthy Homes and Lead Hazard
Control; telephone (202) 755–1785,
extension 7593 (this is not a toll-free
number) or via e-mail at
Jonnette_G._Hawkins@hud.gov. For
grants administrative questions, you
may contact Mr. Royal Rucker, Office of
Healthy Homes and Lead Hazard
Control; telephone (202) 755–1785,
extension 7584 (this is not a toll-free
number) or via e-mail at Royal A.
Rucker@hud.gov. If neither of these
individuals is available, you may
contact the Office’s general Lead
Regulations hotline, at (202) 755–1785,
extension 7698. Your call will be
forwarded in one business day for
subsequent response by the appropriate
staff. If you are a hearing-or speechimpaired person, you may reach the
above telephone numbers through TTY
by calling the toll-free Federal
Information Relay Service at 800–877–
8339.
VIII. Other Information
For additional information about this
NOFA, program, or for general,
technical, and grant program
information pertaining to the Office of
Healthy Homes and Lead Hazard
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Control, visit: https://www.hud.gov/
offices/lead.
IX. Paperwork Reduction Act
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The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520) and
assigned OMB control number 2539–
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0015. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 80 hours per annum per
respondent for the application and 16
hours per annum for grant
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administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, semi-annual
reports, and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
BILLING CODE 4210–01–P
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Healthy Homes Demonstration Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Healthy Homes and Lead
Hazard Control (OHHLHC).
B. Funding Opportunity Title: Healthy
Homes Demonstration Program.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number is: FR–5030–
N–10. The OMB Paperwork approval
number is: 2539–0015.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): 14.901
Healthy Homes Demonstration Program.
F. Dates: The application deadline
date is June 7, 2006. Applications
submitted through https://
www.grants.gov must be received and
validated by grants.gov no later than
11:59:59 pm eastern time on the
application deadline date. See the
General Section IV, regarding
application submission procedures and
timely filing requirements.
G. Additional Overview Content
Information. 1. Purpose of the Program.
The purpose of the Healthy Homes
Demonstration Program is to develop,
demonstrate, and promote cost-effective,
preventive measures to correct multiple
safety and health hazards in the home
environment that produce serious
diseases and injuries in children of lowincome families.
2. Available Funds. HUD anticipates
that approximately $4,370,000 million
in fiscal year 2006 and prior year funds
will be available.
3. Number of Awards. Approximately
four to approximately six cooperative
agreements will be awarded ranging up
to a maximum of $1,000,000, and an
award will be made to resolve a funding
error under the fiscal year 2004 Healthy
Homes Demonstration NOFA.
4. Eligible Applicants. Include not-forprofit institutions and for-profit firms,
located in the U.S., state and local
governments, federally recognized
Indian Tribes, and colleges and
universities. For-profit firms are not
allowed to make a profit from the
project.
5. Type of award. Cooperative
Agreement.
6. Match. None required, but strongly
encouraged.
7. Limitations. There are no
limitations on the number of
applications that each applicant can
submit.
8. Information on application. The
applications for this NOFA can be found
at www.grants.gov. The General Section
contains information about Grants.gov
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registration, submission requirements,
and submission procedures.
Full Text of Announcement
I. Funding Opportunity Description
A. Background
The Healthy Homes Demonstration
Program is a part of HUD’s Healthy
Homes Initiative (HHI). In April 1999,
HUD submitted to Congress a
preliminary plan containing a full
description of the HHI. This description
(Summary and Full Report) is available
on the HUD Web site at: https://
www.hud.gov/offices/lead/reports/
HHIFull.pdf; this site also contains
additional information on the HHI and
a link to its Web site.
HUD believes that it is important for
grantees to incorporate meaningful
community participation, to the greatest
extent possible, in the development and
implementation of programs that are
conducted in communities and/or
involve significant interaction with
community residents. Community
participation can improve program
effectiveness in various ways, including
the development of more salient
program objectives, recruitment and
retention of study participants,
participants’ understanding of the
program, ongoing communication, and
more effectively disseminating study
findings.
HUD encourages applicants to
consider using a ‘‘community based
participatory research (CBPR)’’
approach, where applicable, in study
design and implementation. (See, e.g.,
the report published by the National
Institute of Environmental Health
Sciences titled ‘‘Successful Models of
Community-Based Participatory
Research’’ at: https://www.niehs.nih.gov/
translat/pubs.htm). CBPR is
characterized by substantial community
input in all phases of a study (i.e.,
design, implementation, data
interpretation, conclusions, and
communication of results). The HHI
seeks proposals that provide a
coordinated approach to address
multiple hazards caused by a limited
number of building deficiencies. The
HHI approach should result in
substantial savings since separate visits
to a home by an inspector, public health
nurse, or outreach worker can add
significant costs.
In addition to deficiencies in basic
housing facilities that may impact
health, changes in the U.S. housing
stock and more sophisticated
epidemiological methods and
biomedical research have led to the
identification of new and often more
subtle health hazards in the residential
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environment. While such health hazards
will tend to be found disproportionately
in housing that is substandard (e.g.,
structural problems, lack of adequate
heat, etc.), these environmental health
hazards also exist in housing that is
otherwise of good quality. A brief
description of the housing-associated
health and injury hazards HUD
considers key targets for intervention
can be found on HUD’s website at:
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm. The website also lists
some of the references that serve as the
basis for the information provided in the
Healthy Homes Demonstration Program
NOFA.
B. Healthy Homes Initiative Goals
1. Develop and implement
demonstration projects that address
multiple housing-related problems
affecting the health of children;
2. Mobilize public and private
resources, involving cooperation among
all levels of government, the private
sector, and grassroots community-based,
nonprofit organizations, including faithbased organizations, to develop the most
promising, cost-effective methods for
identifying and controlling housingbased health hazards;
3. Build local capacity to operate
sustainable programs that will prevent
and control housing-based health
hazards in low- and very low-income
residences when HUD funding is
exhausted; and
4. Affirmatively further fair housing
and environmental justice. HUD
encourages applicants to undertake
specific activities that will assist the
Department in implementing its Policy
Priorities. HUD’s fiscal year 2006 Policy
Priorities are discussed in the General
Section.
C. Healthy Homes Demonstration
Objectives
The objectives of the Healthy Homes
Demonstration Program include direct
remediations, (that include assessment
of housing-related hazards), education
and outreach and capacity building.
HUD recognizes that, in many cases,
activities may meet multiple objectives.
Awardees must expend at least 65% of
grant funds on direct remediations in
the home.
1. Direct remediations that target
children in homes where environmental
triggers may be contributing to the
child’s illness may include the
following kinds of activities:
a. As part of your targeted home
intervention program, development of
cost-effective protocols for identifying
homes that are candidates for
remediations, identifying health hazards
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in these homes, and screening out
homes where structural or other factors
(e.g., cost) make remediations
impractical;
b. As part of your targeted home
intervention program, development of
appropriately scaled, flexible, costeffective and efficient assessment and
intervention strategies that take into
account the range of unhealthy
conditions encountered in housing, that
maximize the number of housing units
that receive remediations and the
number of positive or negative health
outcomes as a result. HUD believes
health outcomes are an important
component of this NOFA and wants to
assess how remediations affect the
health of the population being served,
and be able to compare with the
population at large. Therefore any
health outcome, positive, negative or
neutral, should be documented where
appropriate.
c. As part of your targeted home
intervention programs, development of
methodologies for evaluating
intervention effectiveness and assessing
the effect of the intervention on resident
or program participant health.
2. Education and outreach that
furthers the goal of protecting children
from environmentally induced illness,
including:
a. Targeting, through education and
outreach, specific high-risk
communities and other identified
audiences such as homeowners,
landlords, health care deliverers,
pregnant women, children, residential
construction contractors, maintenance
personnel, housing inspectors, real
estate professionals, home buyers, and
low-income minority families;
b. Development and delivery of public
outreach programs that provide
information about effective methods for
preventing housing-related childhood
diseases and injuries, and promote the
use of these remediations, especially in
low- and very low-income residences;
c. Increased public awareness of
housing-related health hazards that
threaten children, through the use of
media strategies using print, radio and
television, including the use of minority
media and provision of materials in
alternative formats and materials for
populations with Limited English
Proficiency (LEP)).
3. Capacity Building in the target
community to assure Healthy Homes
programs are sustained beyond the life
of the award period, including:
a. Development of local capacity in
target areas for target groups to operate
sustainable programs to prevent and
control housing-based health hazards.
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The authority for this program is
sections 501 and 502 of the Housing and
Urban Development Act of 1970 and the
Consolidated Appropriations Act, 2006
(Transportation, Treasury, Housing and
Urban Development, the Judiciary, the
District of Columbia, and Independent
Agencies Appropriations Act, 2006
Public Law 109–115, 119 Stat. 2396,
approved: November 30, 2006.)
II. Award Information
A. Funding Available
Approximately $4,370,000 million in
fiscal year 2006 funds are available for
the Healthy Homes Demonstration
Program cooperative agreements, of
which HUD will award a grant of
$1,000,000 in fiscal year 2006 funds to
Self-Help, Inc., Avon, MA, to resolve a
funding error under the fiscal year 2004
Healthy Homes Demonstration Program
NOFA, in accordance with Sec. VI.A.3
of the fiscal year 2004 General Section.
HUD anticipates that approximately
four to six cooperative agreements will
be awarded, ranging up to and including
$1,000,000.
Applicants may wish to review of
currently funded grants on the Healthy
Homes Web site at https://www.hud.gov/
offices/adm/grants/fundsavail.cfm/
offics/adm/grants/fundsavail.cfm.
B. Anticipated Start Date and Period of
Performance for New Cooperative
Agreements
The start date for new Cooperative
Agreements is expected to be October 1,
2006, with a period of performance not
to exceed 36 months. Applicants may
need to plan studies with performance
periods less than 36 months, if
necessary to include adequate time for
the Institutional Review Board process,
recruitment of study participants, and
development of new methods (e.g.,
survey forms, data base, etc).
III. Eligibility Information
A. Eligible Applicants
Eligible applicants include not-forprofit institutions and for-profit firms,
located in the U.S., state and local
governments, and federally recognized
Indian Tribes. For-profit firms are not
allowed to make a profit from the
project.
B. Cost Sharing or Matching
Cost sharing or matching is not
required. In rating your application,
however, HUD will award a higher score
under Rating Factor 4 if you provide
evidence of significant leveraging.
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C. Other
1. Threshold Requirements Applicable
to All Applicants Under the
SuperNOFA
As an applicant, you must meet all
the threshold requirements described in
the General Section. Applications that
do not address the threshold items will
not be funded. Cooperative agreements
will be awarded on a competitive basis
following evaluation of all proposals
according to the rating factors described
in this NOFA. A minimum score of 75
out of a possible 102, which includes up
to 2 bonus points for activities proposed
to be located in RC/EZ/EC–II
communities is required for award
consideration.
2. Eligible Activities
The following activities and support
tasks are eligible under the Healthy
Homes Demonstration Program.
a. Evaluating housing to determine
the presence of health hazards (e.g.,
moisture intrusion, mold growth, pests
and allergens, unvented appliances,
exposed steam pipes or radiators,
deteriorated lead-based paint) through
the use of accepted assessment
procedures.
b. Remediating existing housing-based
health hazards and addressing
conditions that could recur.
c. Undertaking rehabilitation
activities to effectively control housingbased health hazards, without which the
intervention could not be completed
and maintained. Funds under this
program may only be used to address
lead-based hazards at the de minims
level (see 24 CFR 35.1350(d)). Such lead
hazard evaluation and/or controls may
not be a principal focus of the
cooperative agreement or grant. (Lead
hazard evaluation control activities are
carried out under HUD’s Lead-Based
Paint Hazard Control Grant Program,
Lead Hazard Demonstration Grant
Program, Operation Lead Elimination
Action Program, and Lead Outreach
Grant Program.) For information about
conducting de minims remediation for
lead-based paint hazards, refer to the
HUD Guidelines for the Evaluation and
Control of Lead-Based Hazards in
Housing (HUD Guidelines). The
Guidelines and/or applicable
regulations may be downloaded from
HUD’s Web site at www.hud.gov/offices/
lead/leadsaferule/
LSFRFinal_21June04.rte.
d. Carrying out temporary relocation
of families and individuals while the
remediation is conducted and until the
time the affected unit receives clearance
for re-occupancy. See the General
Section and Section VI.B.4 of this NOFA
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for discussion of regulations that apply
when relocating families.
e. Environmental sampling and
medical testing to protect the health of
the intervention workers, supervisors,
and contractors, unless reimbursable
from another source.
f. Conducting testing, analysis, and
mitigation for lead, mold, carbon
monoxide and/or other housing-related
health hazards as appropriate, following
generally accepted standards or criteria.
A laboratory recognized by the
Environmental Protection Agency’s
(EPA’s) National Lead Laboratory
Accreditation Program (NLLAP) must
analyze clearance dust samples related
to lead-based paint. Samples to be
analyzed for fungible submitted to a
laboratory accredited in the
Environmental Microbiological
Laboratory Accreditation Program
(EMLAP), administered by the
American Industrial Hygiene
Association (AIHA).
g. Carrying out necessary
architectural, engineering and work
specification development and other
construction management services.
h. Providing training on Healthy
Homes practices to homeowners,
renters, painters, remodelers, and
housing maintenance staff working in
low- or very low-income housing.
i. Providing cleaning supplies for
hazard intervention and hazard control
to grassroots community-based
nonprofit organizations, including faithbased organizations, for use by
homeowners and tenants in low-income
housing, or to such homeowners and
tenants directly. (See the General
Section for more information about
grassroots community-based nonprofit
organizations, including faith-based
organizations.)
j. Providing modest incentives
(financial or other, i.e. coupons for a
video rental, coupons for groceries;
stipends for completion of surveys,
child care, cleaning kits, etc.) subject to
approval by HUD, to encourage
recruitment and retention in the
interventions, participation in
educational and training activities and
other program-related functions.
k. Conducting community education
programs on environmental health and
safety hazards. Materials should be
available in alternative formats for
persons with disabilities (e.g., Braille,
audio, large type) upon request, and in
languages other than English that are
common in the community, consistent
with HUD’s published ‘‘Limited English
Proficiency (LEP) Recipient Guidance’’
(see https://www.hud.gov/offices/fheo/
promotingFH/LEP/cfm).
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l. Securing liability insurance for
housing-related health hazard
evaluation and control activities. This is
not considered an administrative cost.
m. Supporting data collection,
analysis, and evaluation of project
activities. (As a condition of the receipt
of financial assistance under this NOFA,
all successful applicants will be
required to cooperate with all HUD staff
and contractors performing HUD funded
research and evaluation studies.)
3. Program Requirements
In addition to the program
requirements in the General Section,
applicants must also meet the following
program requirements.
a. Institutional Review Board (IRB)
Approval. In conformance with the
Common Rule (Federal Policy for the
Protection of Human Subjects, codified
by HUD at 24 CFR 60.101), if your grant
activities include research involving
human subjects, your organization must
provide an assurance (e.g., a letter
signed by an appropriate official) that
the research has been reviewed and
approved by an IRB before you can
initiate activities that require IRB
approval. You must also provide the
number for your organization’s
assurance (i.e., an ‘‘institutional
assurance’’) that has been approved by
the Department of Health and Human
Service’s Office of Human Research
Protections (OHRP). For additional
information on what constitutes human
subject research or how to obtain an
institutional assurance see the OHRP
Web site at: https://www.hhs.gov/ohrp.
b. HIPAA Authorization. The Privacy
Rule of the Health Insurance Portability
and Accountability Act of 1996 requires
covered entities that transmit health
information electronically (health care
providers, health plans, etc.) to protect
that information. This may be
accomplished by obtaining
authorization from the patient or parent,
obtaining a waiver of authorization from
an IRB or HIPAA Privacy Board or deidentifying data. You should identify
whether your proposal will fall under
the HIPAA Privacy Rule and if so how
you plan to address these requirements.
Additional information on HIPAA and
the Privacy Rule can be found at
https://www.hhs.gov/ocr/hipaa.
c. Community Involvement.
Applicants must incorporate meaningful
community involvement throughout the
entire program in any study that
requires a significant level of interaction
with a community (e.g., projects being
conducted within occupied dwellings or
which involve surveys of community
residents). A community is made up of
various groups of persons who have
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commonalities that can be identified
(e.g., based on geographic location,
ethnicity, health condition, common
interests). Applicants should identify
the community that is most relevant to
their particular project. There are many
different approaches to involving the
community in the conception, design,
and implementation of a project and the
subsequent dissemination of findings.
Examples include, but are not limited
to: Establishing a structured approach to
obtain community input and feedback
(e.g., through a community advisory
board); including one or more
community-based organizations as
study partners; employing community
residents to recruit study participants
and collect data; and enlisting the
community in the dissemination of
findings and translation of results into
improved policies and/or practices. A
discussion of community involvement
in research involving housing-related
health hazards can be found in Chapter
5 of the Institute of Medicine
publication titled ‘‘Ethical
Considerations for Research on
Housing-Related Health Hazards
Involving Children,’’ at: https://
www.iom.edu/cms/12552/26004/
2981.aspx.
d. Program Performance. Awardees
shall take all reasonable steps to
accomplish all healthy homes activities
within the approved period of
performance. HUD will closely monitor
the awardee’s performance with
particular attention to completion of
specified activities, deliverables and
milestones, and number of units
proposed to be assessed or to receive
remediation. Any previous requests for
no cost extensions will be taken into
account when evaluating the capacity of
the applicant to do the work under
Rating Factor 1.
e. Work Activities. All lead hazard
control activities must be conducted in
compliance with HUD’s Lead-Safe
Housing Rule, 24 CFR Part 35. Grantees
must also comply with any additional
requirements in effect under a state or
Native American Tribal Lead-Based
Paint Training and Certification
Program that has been authorized by the
EPA pursuant to 40 CFR 745.320.
f. Compliance with Lead Disclosure
Rule. All lead-based paint and leadbased paint hazard test and hazard
reduction results must be provided to
the owner of the unit, with a statement
describing the owner’s legal duty to
disclose the results to tenants (before
initial leasing, or before lease renewal
with changes) and buyers (before sale) if
the housing was constructed before
1978 (24 CFR Part 35, subpart A). This
information may only be used for
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purposes of remediation of hazards in
the unit and not for retribution/eviction.
Disclosure of other identified housingrelated health or safety hazards to the
owner of the unit, for purposes of
remediation, is encouraged but not
required.
g. Integrated Pest Management. All
pest control activities shall incorporate
the principles and methods of integrated
pest management (IPM). In technical
terms, IPM is the coordinated use of
pest and environmental information
with available pest control methods to
prevent unacceptable levels of pest
damage by the most economical means
and with the least possible hazard to
people, property, and the environment.
The IPM approach emphasizes a
targeted use of pesticides that limits the
possibility of human exposure (e.g., as
opposed to wide-spread applications)
and includes interventions based on the
behavior of the target pest (e.g.,
preventing access to food or water). One
source for information on IPM is
Environmental Health Watch; you can
download information from its web site:
https://www.ehw.org/Asthma/
ASTH_Cockroach_Control.htm.
h. Dust Sampling Protocol. Awardees
collecting samples of settled dust from
participant homes for environmental
allergen analyses (e.g., cockroach, dust
mite) will be required to use a standard
dust sampling protocol, unless there is
a strong justification to use an alternate
protocol. The HUD protocol is posted on
the OHHLHC Web site at: https://
www.hud.gov/offices/lead/techstudies/
allergen-dust-sample.protocol.doc.
Awardees conducting these analyses
will also be required to include quality
control dust samples, provided by
OHHLHC at no cost, with the samples
that are submitted for laboratory
analyses. For the purpose of budgeting
laboratory costs, assume that 5% of your
total allergen dust samples would
consist of QC samples.
i. Hazardous Waste Disposal.
Awardees must follow procedures for
hazardous waste disposal as required by
the EPA (e.g., 40 CFR parts 61, 260–282,
300–374, and/or 700–799, as
applicable), the Department of
Transportation (e.g., 49 CFR parts 171–
177), and/or appropriate state or local
regulatory agencies.
j. Worker Protection Procedures.
Awardees must comply with the
procedures for worker protection
established in the HUD Guidelines as
well as the requirements of OHSA, e.g.,
29 CFR part 1910 and/or 1926, as
applicable, or the state or local
occupational safety and health
regulations, whichever are more
stringent.
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k. Written Policies and Procedures.
You must have written policies and
procedures for all phases of
interventions, including evaluation,
development of specifications,
financing, occupant relocation,
independent project inspection, and
clearance testing (e.g., for mold, lead,
carbon monoxide or other hazards, as
applicable). You and all your
subcontractors, sub-recipients, and their
contractors must comply with these
policies and procedures.
l. Data Collection and Provision. You
must collect, maintain, and provide to
HUD the data necessary to document
the various approaches used to evaluate
and control housing-based health
hazards, including evaluation and
control methods, building conditions,
medical and familial information (with
confidentiality of individuallyidentifiable information ensured) in
order to determine the effectiveness and
relative cost of these methods.
m. Section 3 Employment
Opportunities. Recipients of assistance
in the Healthy Homes Demonstration
Program must comply with Section 3 of
the Housing and Urban Development
Act of 1968, 12 U.S.C. 1701u (Economic
Opportunities for Low- and Very LowIncome Persons in Connection with
Assisted Projects) and the HUD
regulations at 24 CFR part 135,
including the reporting requirements of
subpart E. See Section V, Rating Factor
3 for recommendations for
implementing Section 3 Employment
Opportunities.
n. Conducting Business in
Accordance with HUD Core Values and
Ethical Standards. If awarded assistance
under the Healthy Homes
Demonstration NOFA, you will be
required to submit a copy of your code
of conduct and describe the methods
you will use to ensure that all officers,
employees, and agents of your
organization are aware of your code of
conduct. If you previously submitted
your Code of Conduct to HUD and it
appears in the listing on HUD’s Web site
at https://www.hud.gov/offices/adm/
grants/codeofconduct/conduct.cfm, you
do not have to resubmit the information
unless there has been a change in the
legal name, address or authorizing
official for your organization. See the
General Section for information about
conducting business in accordance with
HUD’s core values and ethical
standards.
4. DUNS Requirement
Refer to the General Section for
information regarding the DUNS
requirement.
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IV. Application and Submission
Information
A. Web Address To Access an
Application Package
Copies of this published NOFA and
application forms for this program may
be downloaded from the Grants.gov
Web site at https://www.grants.gov. If
you have difficulty accessing the
information you may call the Grants.gov
helpline toll-free at (800) 518–GRANTS
or e-mail Support@grants.gov. Helpline
customer representatives will assist you
in accessing the information.
B. Content and Form of Application
Submission
The following provides instructions
on the items to be submitted as part of
the application. See the General Section
for instructions for submitting third
party documents and electronic files.
1. An abstract describing the goals
and objectives of your proposed
program (2-page limit, single-spaced,
12-point standard font, 3⁄4-inch margins)
must be included in the proposal. The
abstract should include the title of your
proposed project, the name, mailing
address and telephone number of the
principal contact person for the primary
entity and the same information for subcontractors, partners, etc.
2. A narrative statement addressing
the rating factors for award. Number the
pages of your narrative statement and
include a header and a footer that
provides the name of the applicant and
the name of the program to which you
are applying. Narrative statements
provided as part of the application
should be individually labeled to
identify the rating factor to which the
narrative is responding (e.g. Factor 1,
Capacity, etc.). You are strongly advised
to use the format of the NOFA as an
outline for discussion of your rating
factors. The overall response to the
rating factors must not exceed a total of
25 pages including all rating factors
(single-sided, single-spaced, 12 point
standard font, 3⁄4-inch margins). Any
pages in excess of this limit will not be
read.
3. The score for each rating factor will
be based on the rating factor’s numbered
portion of your narrative statement,
supplemented by materials referenced
and discussed in that portion of your
narrative statement. Information relative
to a given rating factor must be
contained in the narrative for that rating
factor. If it is found in another rating
factor, it will not be considered. In
addition, supplemental material that is
not referenced and discussed within the
narrative statements will not be rated.
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4. The position descriptions and
resumes, if available, of your project
director and project manager and up to
three additional key personnel (in
accordance with Rating Factor 1), not to
exceed 2 pages each (single-spaced, 12point font with 3⁄4-inch margins). This
information will not be counted toward
the page limit.
5. Any attachments, materials,
references, or other relevant information
that directly support the narrative must
not exceed 20 pages for your entire
application. Any pages in excess of this
limit will not be read. See the General
Section for instructions for submitting
third party documents or material not
readily available in electronic format.
6. A detailed budget with supporting
justification for all budget categories of
your funding request, in accordance
with Rating Factor 3, (2)(b). This
information will not be counted towards
the page limits. In completing the
budget forms and justification, you
should address the following elements:
a. Direct Labor costs should include
all full- and part-time staff required for
the planning and implementation
phases of the project. These costs
should be based on full time equivalent
(FTE) or hours per year (hours/year)
(i.e., one FTE equals 2,080 hours/year).
b. You should budget for three trips
for two people to HUD Headquarters in
Washington, DC, assuming a 2–3 day
stay.
c. A separate budget proposal should
be provided for any sub-recipients
receiving more than 10 percent of the
total federal budget request.
d. You should be prepared to provide
supporting documentation for salaries
and prices of materials and equipment
upon request.
e. Organizations that have a federally
negotiated indirect cost rate should use
that rate and the appropriate base. Other
organizations should submit their
proposal with their suggested indirect
rate. If they are funded and HUD is the
cognizant agency, it will set a rate;
otherwise HUD will request the
cognizant federal agency to set the rate.
f. You should submit a copy of the
negotiated rate agreements for fringe
benefits and indirect costs, if applicable,
as an attachment to the budget sheets.
7. Applicants are encouraged to use
the following checklist to ensure that all
required materials have been prepared
and submitted. You are not required to
submit this checklist with your
application.
Checklist for Healthy Homes
Demonstration Program Applicants
• Applicant Abstract (limited to 2
pages).
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• Rating Factor Responses (Total
narrative response limited to 25 pages).
1. Capacity of the Applicant and
Relevant Organizational Experience—
Form HUD 96012.
2. Need/Extent of the Problem-Form
HUD–96016.
3. Soundness of Approach.
4. Leveraging Resources—Form HUD–
96015.
5. Achieving Results and Program
Evaluation—Form HUD–96010 Logic
Model.
• Required materials in response to
rating factors (does not count towards
25-page limit).
Form SF 424 Application for Federal
Assistance.
Form HUD–424–CB Grant
Application Detailed Budget Work
Sheet.
Form SF–424 Supplement Survey
on Ensuring Equal Opportunity for
Applicants (to be completed by private
nonprofit organizations only).
Form SF–LLL Disclosure of
Lobbying Activities.
Form HUD–2880 Applicant/
Recipient Disclosure/Update Report.
Form HUD–2990 Certification of
Consistency with the RC/EZ/EC–II
Strategic Plan (if applicable).
Form HUD–96011 Facsimile
Transmittal to be used as the cover page
for faxing third party information for
electronic applications only. See the
General Section.
Resumes of Key Personnel (limited to
2 pages per resume).
Organizational Chart.
Letters of Commitment (if applicable).
Form HUD–2994–A You are Our
Client Grant Applicant Survey
(Optional).
• Optional material in support of the
Rating Factors (20 page limit).
C. Submission Dates and Times
Electronic applications must be
submitted and received and validated
by Grants.gov on or before 11:59:59 p.m.
eastern time on June 7, 2006. All
narrative files and any scanned
documents must be submitted as a zip
file, single attachment to the electronic
application. Refer to the General Section
for additional submission requirements.
Materials associated to your electronic
application submitted by facsimile
transmission must also be received by
11:59:59 p.m. eastern time on the
application submission date. Applicants
submitting a waiver from electronic
submission must submit their request at
least 15 days before the application due
date. If a waiver request is approved, the
applicant will receive instructions for
submitting the paper application. All
paper applications must be received at
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the appropriate HUD office(s) by the
deadline date.
D. Intergovernmental Review
Not required for this submission.
E. Funding Restrictions
1. Administrative Costs. There is a
10% maximum allowance for
administrative costs. Additional
information about allowable
administrative costs is provided in
Appendix D of this NOFA at: https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm.
2. Purchase of Real Property is not
permitted.
3. Purchase or lease of equipment
having a per unit cost in excess of
$5,000 is not permitted, unless prior
written approval is obtained from HUD.
4. Medical costs are not permitted.
5. For-profit organizations cannot
receive a fee or profit.
6. Applicants must comply with the
Coastal Barrier Resources Act (16 U.S.C.
3501).
7. Awardees may not use grant funds
for hazard control of a building or
manufactured home that is located in an
area identified by the Federal
Emergency Management Agency
(FEMA) under the Flood Disaster
Protection Act of 1973 (42 U.S.C. 4001–
4128) as having special flood hazards
unless:
a. The community in which the area
is situated is participating in the
National Flood Insurance Program in
accordance with the applicable
regulations (44 CFR parts 59–79), or less
than a year has passed since FEMA
notification regarding these hazards;
and
b. Where the community is
participating in the National Flood
Insurance Program, flood insurance on
the property is obtained in accordance
with section 102(a) of the Flood Disaster
Protection Act (42 U.S.C. 4012a(a)). You
are responsible for assuring that flood
insurance is obtained and maintained
for the appropriate amount and term.
F. Other Submission Requirements
HUD requires applicants to submit
applications electronically through
www.grants.gov unless you request and
are granted a waiver to the electronic
submission requirements. See the
General Section.
V. Application Review Information
A. Criteria
1. Rating and Ranking
Applications will be reviewed by an
Application Review Panel (ARP) which
will assign each application a numerical
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score based on the rating factors
presented below. The ARP chairperson
initially selects and provides at least
one application to panel members to
score during a calibration round to
ensure that all panel members are
consistent in their interpretation of the
rating factors. When the calibration
round is completed, each application is
reviewed and scored by at least two
panel members who will assign a score
based on the rating factors. Each factor
is weighted as indicated by the number
of points that are attainable for it. An
average score is then computed for each
application. The ARP chair may call
upon an advisor to the ARP to review
and comment on a proposal; however,
the advisor does not score the
application. Nonetheless, advisor
comments will be documented and
retained as a part of the record. The ARP
holds a final meeting to identify the topranking applications to be
recommended for funding. Awards will
be made separately in rank order within
the limits of funding availability. The
maximum score that can be assigned to
an application is 102 points.
Applicants are eligible to receive up
to two bonus points for projects located
within federally designated Renewable
Communities (RCs), Empowerment
Zones (EZs), or Enterprise Communities
(ECs) designated by USDA in round II
(EC–IIs) (collectively referred to as RC/
EZ/EC–IIs), and which will serve the
residents of these communities (see the
General Section). In order to be eligible
for the bonus points, applicants must
submit a completed Form HUD–2990.
2. Rating Factors
The factors for rating and ranking
applicants, and maximum points for
each factor, are provided below.
Applicants should be certain that these
factors are adequately addressed in the
narrative relevant to the rating factors
and the accompanying materials. Please
refer to the guide to Scoring of Rating
Factors at: https://www.hud.gov/offices/
adm/grants/fundsavail.cfm/offices/
adm/grants/fundsavail.cfm.
a. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Experience (15 Points). This factor
addresses your organizational capacity
necessary to successfully implement
your proposed activities in a timely
manner. The rating of you or your staff
includes any grassroots communitybased nonprofit organizations, including
faith-based organizations, subcontractors, consultants, sub-recipients,
and members of consortia that are firmly
committed to your project. HUD
strongly encourages the formation and
development of consortia in
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implementing your project goals.
Applicants that either are or propose to
partner, fund, or sub-contract with
grassroots community-based nonprofit
organizations, including faith-based
organizations, in conducting their work
programs will receive higher rating
points as specified in the General
Section. In rating this factor, HUD will
consider the four items listed below.
(1) Capacity and Qualifications of
Principal Investigator and Key
Personnel. (6 points). Describe your
recent, relevant, and successful
demonstrated experience in undertaking
eligible program activities. Describe the
knowledge and experience of the
proposed overall project director and
day-to-day project manager in planning
and managing large and complex
interdisciplinary programs, especially
those involving housing, public health,
or environmental programs. Include
information on your project staff, their
experience with housing and health
programs, percentage commitment to
the project, and position titles. Project
directors should make a time
commitment of at least 20% and project
manager’s time commitment should be
at least 50%. Resumes of up to two
pages each and position descriptions for
up to three key personnel in addition to
the project director and project manager,
and a clearly delineated organizational
chart for the Healthy Homes project you
propose, must be included in your
application submission. Position
descriptions and copies of job
announcements (including salary range,
percent time commitment, specifying
percentage covered by the grant) should
be included for any key positions that
are currently vacant or contingent upon
an award. Document that you have
sufficient personnel, or will be able to
quickly retain qualified personnel to
begin your project immediately, and to
perform activities in a timely and
effective fashion. Successful applicants
must hire all key staff positions
identified in the proposal as vacant or
required in the award agreement within
120 days of award. Describe how
principal components of your
organization will participate in, or
support, your project.
(2) Qualifications of Applicant and
Partner Organizations (4 points).
Include names, descriptions of the
experience and qualifications of
subcontractors. Document how you
propose to coordinate with and monitor
sub-contractors, including frequency of
meetings, on site inspections and
submission of formal monthly or
quarterly reports. Discuss your
communication and coordination with
partners, including partner
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responsibilities, meeting frequency, etc.
If partners are community-based
grassroots, non-profit organizations,
including faith-based organizations,
include documentation demonstrating
their community-based grassroots
status, such as organizational profile,
501(c)(3) status, Social Services budget.
(Lengthy documents are not required.
Face pages or extracted relevant text is
adequate.)
(3) Past Performance of the
Organization (5 points). This section
refers to applicants who have any prior
experience in another Healthy Homes or
Lead Hazard Control grant, another
grant related to environmental health
and safety issues, or other experience in
a similar program. Provide details about
the nature of the project, the funding
agency, and your performance, relative
to performance measures and the
achievement of desired housing- and
health-related outcomes. If your
organization is an existing Healthy
Homes grantee, provide a description of
the progress and outcomes achieved in
that grant. Current grantees that are on
or ahead of target may earn one point
based on their demonstrated ability to
date. If you received previous Healthy
Homes Demonstration funding, you will
be evaluated in terms of cumulative
progress and achievements under the
previous grant.
You must complete and submit the
Factor 1, Table 1, posted at
www.hud.gov/offices/adm/grants/
fundsavail.cfm, to support narrative
information. This table in supporting
materials for your application. It will
not be counted towards your page limit.
b. Rating Factor 2: Need/Extent of the
Problem (15 Points). This factor
addresses the extent for your proposed
activities to document healthy homes
and housing-related hazards in your
target area(s) and target group(s).
(1) Target Area for Proposed Activities
(5 points). Specifically identify a target
area for your proposed activities.
Document a critical level of need for
your proposed activities in this target
area by providing data documenting
targeted groups that are traditionally
underserved or have special needs. For
a maximum score, data provided should
specifically represent the target area,
rather than general statistics or
information pertinent to a larger
geographic area. If specific statistics are
not available, discuss why this is the
case.
HUD will award two bonus points to
each application that includes a valid
Form HUD 2990 certifying that the
activities/projects in the application are
consistent with the strategic plan for an
empowerment zone (EZ) designated by
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HUD or the United States Department of
Agriculture (USDA), the tax incentive
utilization plan for an urban or rural
renewal community designated by HUD
(RC), or the strategic plan for an
enterprise community designated in
round II by USDA (EZ–II), and that the
proposed activities/projects will be
located within the RC/EZ/EC–II
identified above and are intended to
serve the residents.
(2) Link to Housing based Health
Hazard (10 points). Your documentation
should summarize available data linking
housing-based health hazards to disease
or injuries to children in your target
area. Examples of data that might be
used to demonstrate need include:
(a) Economic and demographic data (3
points) including poverty and
unemployment rates and the number
and percentage of low- and very lowincome families with incomes less than
50 percent and 80 percent of the median
income, respectively, as determined by
HUD, for the area. Statistics that
describe low- and very-low income
families are available at: https://
factfinder.census.gov/home/saff/
main.HTML?lang=en. Applicants
should also consult local data sources,
such as city government web sites, for
target area data.
(b) Rates of childhood illnesses (4
points) (e.g., asthma, elevated blood
lead levels) or injuries (e.g., falls, burns)
among children residing in your target
areas that could be caused or
exacerbated by exposure to conditions
in the home environment; and
(c) The age and condition of housing
(3 points). In responding, provide data
available in your jurisdiction’s currently
approved Consolidated Plan and the
Analysis of Impediments to Fair
Housing Choice (AI) or Indian Housing
Plan or derived from current census
data or from other sources of
comparable quality.
c. Rating Factor 3: Soundness of
Approach (50 Points). (1) Approach for
Implementing the Project (36 points).
HUD is interested in comparability
among the Healthy Homes Programs, in
order to further standardize outcomes
and performance measures. As a result,
we have provided at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm/offices/adm/grants/
fundsavail.cfm, a standardized
approach for implementing home
remediations. Applicants are
encouraged to use this model for
carrying out your project activities and
designing and implementing your work
plan.
(a) Project Approach (3 points).
Describe your approach to implement
your proposed project. In particular
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describe the methods, schedule and
milestones that will be used to identify
and control housing-based health
hazards and to achieve the desired
improvements in the health of the
families you serve. Include summary
information about the estimated
numbers of clients to be contacted,
clients enrolled, units to be assessed,
units to receive remediations,
individuals to be trained, and
individuals or groups that will be
reached through education or outreach
activities. Health outcome measures,
such as pediatric asthma
hospitalizations, emergency room visits
for asthma, falls, burns, etc., should be
documented to the extent possible. The
use of tables to describe schedule,
milestones and summary data is
encouraged.
(b) Start up (4 Points). (i) Describe the
process you intend to follow for
obtaining IRB approval and HIPAA
Authorization, if necessary. In
particular, identify the organization that
will review your project and provide a
timeframe.
(ii) Provide detailed information
regarding how program staff and, where
applicable, partnering organizations will
be trained in the disciplines needed to
successfully implement your project
(e.g., resident education, assessments
and remediations). Include an outline of
training curricula, a description of
qualifications of trainers, and describe
how individuals or groups to be trained
will be selected.
(iii) If you are proposing to conduct a
study or intervention that includes a
significant level of community
interaction (e.g., resident recruitment,
home-based remediations, data
collection, environmental sampling on
private property) describe your plan for
meaningful involvement of the affected
community in your proposed study.
You should define the community of
interest with respect to your proposed
project and discuss why your proposed
approach to community involvement
will make a meaningful contribution to
your project and to the community.
(iv) Describe any proposed
involvement of grassroots communitybased, nonprofit organizations,
including faith-based organizations, in
the proposed activities including the
development of consortia. These
activities may include outreach,
community education, marketing,
inspection, and housing evaluations and
remediations.
(c) Outreach and Recruitment (7
Points). (i) Describe how you will
identify, select, prioritize, and enroll
units of housing in which you will
undertake housing-based health hazard
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remediations, targeting low-income
families with young children under the
age of six (72 months) to the extent
feasible.
(ii) Describe measures you will
perform to sustain recruitment,
including incentives, and the staff
responsible for both monitoring
recruitment status and implementing
the measures identified to sustain
recruitment.
(iii) Discuss possible recruitment
problems, impediments that you
anticipate, probability of dropouts and
plans to over-recruit to compensate for
dropouts.
(iv) Discuss strategies to address the
effect of the Health Insurance Portability
and Accountability Act (HIPAA) on
your recruitment, if applicable.
(v) Describe how you will provide
appropriate program information and
gain informed consent from the subjects,
their parents and guardians, as
applicable. Describe how you will
ensure that participants understand and
consent to the elements of the program
such as the purposes, benefits and risks
of the research activities.
(vi) Describe your proposed methods
to reach high-risk groups and
communities, vulnerable populations
and persons traditionally underserved.
(vii) Describe how you will
affirmatively further fair housing, which
would include, but not be limited to:
Affirmative marketing of the program to
those least likely to apply based on race,
color, sex, familial status, national
origin, religion, or disability, (especially
when persons in these demographic
groups are generally not served by the
grassroots community-based, nonprofit
organizations, including faith-based
organizations or other partner
organizations); providing materials in
alternative formats for persons with
disabilities; providing materials in
languages other than English for
individuals with limited English
proficiency and their families; assuring
long-term residency by families
currently living in the community; and
assuring that priority for treated units go
to those who need the features
(treatment) of the unit.
(d) Unit Assessments, Occupant
Health Surveys and Medical Referrals (3
Points). (i) Describe the assessment tools
your project will employ to establish
baseline data for unit condition,
knowledge of program participant and/
or the health of the occupant(s). These
tools include questionnaires, visual
assessment protocols and environmental
sampling and analysis.
(ii) Describe your process for
evaluating units of housing in which
you will undertake housing-based
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health hazard remediations. Provide the
estimated total number of owneroccupied and/or rental units in which
you will perform assessments and
conduct remediations.
(iii) Describe the process to be
followed for referring children for
medical case management when
needed. Describe the organizations that
will be involved in this process and
their prior experience serving the target
population(s).
(e) Remediations (7 Points). (i)
Describe your process for the
development of work specifications for
the selected physical remediations.
(ii) Discuss your process to select and
obtain contractors for conducting
remediations in selected units and
provide details about the competitive
bidding process.
(iii) Discuss efforts to incorporate
cost-effective methods to address
multiple environmental health and
safety hazards, and describe the specific
remediations you will employ to control
housing-based health hazards before
children are affected; and/or to control
these hazards in units where children
have already been treated for illnesses
or injuries associated with housingbased health hazards (e.g., burns, lead
poisoning, asthma). In your budget
submission, provide an estimate of the
cost of each intervention (material costs
and labor costs associated with
installation) and an estimate of costs
projected per unit.
(iv) Discuss how you will assure that
the contractor will comply with all
applicable Federal regulations.
(v) Describe the financing strategy,
including eligibility requirements,
terms, conditions, and amounts
available, to be employed for
conducting housing remediations. You
must discuss the way funds will be
administered (e.g., use of grants,
deferred loans, forgivable loans, other
resources, private sector financing, etc.)
as well as the agency that will
administer the process.
(vi) Describe your plan for the
relocation of occupants of units selected
for intervention, if temporary relocation
is necessary (see Section VI, below).
Address the use of safe houses and other
housing arrangements, storage of
household goods, stipends, incentives,
etc., and the source of funding for
relocation.
(vii) Describe your plan for ensuring
right of return and/or first referral for
occupants of units selected for
intervention who have had to move for
intervention to occur.
(f) Community Education, Outreach
and Capacity Building/Training (3
Points). (i) Describe your proposed
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methods for community and/or targeted
education and training. These should
include community awareness,
education, training, and outreach
programs that support your work plan
and are culturally sensitive and targeted
appropriately. Provide information
about specific educational/outreach
activities with quantitative data
(number of individuals to be reached,
etc.) and a description of the intended
audience.
(ii) Discuss if Healthy Homes training
programs will be expanded to include
public housing agencies or Tribally
Designated Housing Entities and other
potential collaborators, such as
grassroots community-based, nonprofit
organizations, including faith-based
organizations, and if so, your plan for
doing this.
(g) HUD’s Departmental Policy
Priorities (6 Points). Indicate if, and
describe how, you will address any of
HUD’s departmental policy priorities
(see General Section). You will receive
points for each of the applicable FY
2006 policy priorities that are
adequately addressed in your
application to a maximum of six points.
Policy priorities that are applicable to
the Healthy Homes Demonstration
NOFA are: (1) Improving our Nation’s
Communities (focus on distressed
communities); (2) Providing Full and
Equal Access to Grassroots Communitybased, Nonprofit Organizations,
including Faith-based Organizations in
HUD Program Implementation; (3)
Participation of Minority-Serving
Institutions in HUD Programs; (4)
Removal of Regulatory Barriers to
Affordable Housing; and (5) Promoting
Energy Efficiency and Energy Star. HUD
expects the applicant to implement
Energy Star building techniques and
utilize Energy Star appliances whenever
activities of the grant afford the
opportunity. For information on Energy
Star Programs and Appliances, see
https://oaspub.epa.gov/webi/
meta_first_new2.try_these_first; and
energystar.gov.
Each policy priority is worth one
point, except for policy priority (4),
Removal of Regulatory Barriers to
Affordable Housing, which is worth up
to 2 points, provided the applicant
responds to this policy priority as
described in this NOFA and submits the
required documentation as described in
Form HUD 27300. Applicants may also
provide a URL website address where
the documentation can be readily found.
(h) Economic Opportunity (3 points).
To the greatest extent feasible, your
project should promote job training,
employment, and other economic
opportunities for low-income and
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minority residents and businesses
which are owned by, and/or employ,
low-income and minority residents as
defined in 24 CFR 135.5.
(i) Describe how you or your partners
will comply with Section 3 of the
Housing and Urban Development Act of
1968 (12 U.S.C. 1701u) and HUD’s
implementing rules at 24 CFR part 135
by:
(A) Providing training and
employment opportunities for low- and
very low-income persons living within
the awardee’s jurisdiction, and by
(B) Purchasing goods and supplies, or
contracting for services from businesses
owned by low- and very low-income
persons living within the targeted
jurisdiction; information about Section
3 requirements is available at, https://
www.hud.gov/offices/adm/grants/
fundsavil.cfm;
(ii) Describe how your proposed
project will provide opportunities for
self-sufficiency, particularly for persons
enrolled in welfare-to-work programs, or
providing educational and job training
opportunities; and
(iii) Describe the extent to which your
proposed activities will occur within a
federally designated Renewable
Community (RC), Empowerment Zone
(EZ), or Enterprise Community
designated by USDA in round II (EC-II)
as defined in the General Section.
(2) Approach for Managing the Project
(9 points). Considering your project
goals and objectives, describe how you
will manage the project. Provide
information on the general management
approach including a management plan
that:
(a) Incorporates appropriate project
objectives, major tasks/activities,
responsible entities, performance goals,
and the process that you will utilize to
assign, track and monitor the
performance of major tasks and
activities. (All specific activities
necessary to complete the proposed
project must be included in the task.)
(b) Provides a schedule of milestones
and deliverables for the completion of
major tasks and activities, and the
delivery of interim and final products.
(c) Discusses coordination with subrecipients, partners and staff.
(d) Describes all quality assurance
activities and associated corrective
actions.
(3) Budget Justification (5 points).
HUD will not review any grant
application with an award request
greater than $1,000,000. Your proposed
budget will be evaluated for the extent
to which it is reasonable, clearly
justified, and consistent with the project
management plan and intended use of
program funds. HUD is not required to
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approve or fund all proposed activities.
Your detailed budget should be
submitted using Form ‘‘HUD–CBW.’’ An
electronic copy is available at:
www.grants.gov. You must thoroughly
document and justify all budget
categories and costs and all major tasks
for yourself, sub-recipients, partners,
major subcontractors, joint venture
participants, or others contributing
resources to the project. Include a 2page (maximum) narrative that
describes clearly and in detail your
budgeted costs for each required
program element (major task) included
in your overall plan. (You may include
this narrative along with the budget
forms; it will not count toward the 25page limit.) Include a separate, detailed
budget for any sub-grantee who would
receive 10% or more of the grant
funding.
d. Rating Factor 4: Leveraging
Resources (5 Points). This factor
addresses your ability to secure other
community resources (e.g., financing,
supplies, or services) that can be
combined with HUD’s resources to
achieve project purposes. These
community resources may be
contributions from organizations such
as the applicant, partners, or other
organizations not directly involved in
the project. Resources may also be
provided by state and local
governmental entities.
(1) HUD will consider the extent to
which you have developed partnerships
or consortia to secure additional
resources to increase the effectiveness of
your proposed project. Describe how
other organizations will participate in or
support your project. Resources may
include funding or in-kind
contributions (e.g., labor, fringe benefits,
services, supplies, or equipment)
budgeted for your proposed project.
Include in the narrative the details of
the commitment, the amount being
leveraged, or if the commitment is inkind, the specific names, percent of
time, supplies and other resources, and
value of each commitment.
(2) The signature of the authorized
official on the Form SF–424 commits
matching or other contributed resources
of the applicant organization. The
applicant must obtain a letter of
commitment from each organization
other than itself that is providing a
match, whether cash or in-kind. The
letter must describe the contributed
resource(s) that will be used in your
project and the dollar value of each
contribution. Staff and in-kind
contributions should be given a marketbased monetary value. Each letter of
commitment, memorandum of
understanding, or agreement to
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participate shall include the
organization’s name and the proposed
level of commitment and
responsibilities as they relate to the
proposed project. The commitment
must be signed by an official legally able
to make commitments on behalf of the
organization and dated prior to the
deadline date for this NOFA
application.
(3) Include information to address the
following elements. (i) The extent to
which you have coordinated your
activities with other known
organizations that are not directly
participating in your proposed work
activities, but with which you share
common goals and objectives.
(A) Describe your plan for integrating
and coordinating housing-based health
hazard interventions with other
housing-related activities (e.g.,
rehabilitation, weatherization,
correction of code violations, and other
similar work).
(B) Describe your plans to generate
and use public subsidies or other
resources, such as loan funds, to finance
future interventions to prevent and
control housing-based health hazards,
particularly in families with children
under the age of six years (72 months)
living in low- and very low-income
housing.
(ii) The extent to which your project
exhibits the potential to be financially
self-sustaining by decreasing
dependence on federal funding and
relying more on state, local and private
funding to continue healthy homes
activities after the funding period is
completed.
Applicants are to complete the Factor
4 table, Leveraging Resources that is
posted at www.hud.gov/offices/adm/
grants/fundsavail.cfm/offices/adm/
grants/fundsavail.cfm.
e. Rating Factor 5: Achieving Results
and Program Evaluation (15 points).
This rating factor reflects HUD’s goal to
embrace high standards of ethics,
management and accountability. HUD is
committed to ensuring that applicants
keep promises made in their
applications and assess their
performance to ensure that performance
goals are met. In your response to this
rating factor, you are to discuss the
performance goals for your project, and
identify specific outcome measures.
Identify and discuss the specific
methods you will use to measure
progress towards your goals, track and
report results of assessments and
remediations, and evaluate the
effectiveness of remediations; identify
important project milestones (e.g., the
end of specific phases in a multi-phased
project) and deliverables specific to
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your project timeline; and identify
milestones that are critical to achieving
project objectives (e.g., developing
questionnaires or protocols, hiring staff,
recruitment of participants, and IRB
approval and/or HIPAA Authorization,
if applicable); identify benchmarks such
as number of units that received
intervention, percent of remediations
that occurred in high-risk communities,
etc., that you will use to track the
progress of your project.
Identify how your project will be held
accountable for meeting project goals,
objectives, and the actions undertaken
in implementing the program. Provide
assurances that work plans and
performance measures developed for
your project will be achieved in a timely
and cost-effective manner.
Your project should focus particular
attention on identifying specific
resident, or program participant, health
outcomes and describe how these
outcomes will be measured. Resident
health outcomes do not necessarily
require medical testing, such as
spirometry or documenting blood lead
levels, and may be assessed using
questionnaires or other tools. Careful
attention should be given to the
relationship between the program’s
remediations (e.g., physical changes in
the environment, changes to cleaning
protocols, in-home training or provision
of education materials) and the effect on
resident health.
In evaluating Rating Factor 5, HUD
will consider how you have described
the benefits and outcome measures of
your program. HUD will also consider
the proposed objectives and
performance objectives relative to cost
and achieving the purpose of the
program, as well as the evaluation plan,
to ensure the project is on schedule and
within budget.
You must complete and return the
Form HUD–96010. HUD is moving to a
standardized ‘‘Master’’ Logic Model
with drop down menus from which you
can select needs, activities, and
outcomes appropriate to your program.
See the General Section for detailed
information on use of the ‘‘Master’’
Logic Model. HUD is requiring grantees
to use program-specific questions to
self-evaluate the management and
performance of their program. For
FY2006, HUD is considering a new
concept for the Logic Model. The new
concept is a Return on Investment
statement. HUD will be publishing a
separate notice on the ROI concept.
Training on HUD’s logic model will be
provided via satellite broadcast.
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B. Reviews and Selection Process
The review and selection process is
provided in the General Section. The
General Section also provides the
procedures for correcting deficient
applications.
VI. Award Administration Information
A. Award Notices
1. Applicants Selected for Award
Successful applicants will receive a
letter from the Office of Healthy Homes
and Lead Hazard Control Grant Officer
providing details regarding the effective
start date of the cooperative agreement
and any additional data and information
to be submitted to execute a cooperative
agreement. This letter is not an
authorization to begin work or incur
costs under the cooperative agreement
or grant.
HUD may require that all the
awardees participate in negotiations to
determine the specific terms of the
cooperative agreement or grant and
budget. Should HUD not be able to
successfully conclude negotiations with
a selected applicant, an award will not
be made. If the applicant accepts the
terms and conditions of the cooperative
agreement, a signed cooperative
agreement must be returned by the date
specified. Instructions on how to have
the cooperative agreement account
entered into HUD’s Line of Credit
Control System (LOCCS) payment
system will be provided. Other forms
and program requirements will be
provided. In accordance with OMB
Circular A–133 (Audits of States, Local
Governments and Nonprofit
Organizations), awardees will have to
submit their completed audit-reporting
package along with the Data Collection
Form (SF–SAC) to the Single Audit
Clearinghouse. The address can be
obtained from their Web site. The SF–
SAC can be downloaded at: https://
harvester.census.gov/sac/.
2. Debriefing. The General Section
provides the procedures for applicants
to request a debriefing.
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B. Administrative and National Policy
Requirements
1. Environmental Requirements
Under the Consolidated
Appropriations Act, 2006, the
provisions of section 305(c) of the
Multifamily Housing Property
Disposition Reform Act of 1994,
implemented by HUD regulations at 24
CFR part 58, ‘‘Environmental Review
Procedures for Entities Assuming HUD
Environmental Responsibilities,’’ are
applicable to properties assisted with
Healthy Homes Demonstration Grant
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funds. In accordance with part 58,
applicants under this NOFA that are
States, units of general local
governments or Indian Tribes must act
as the responsible entity and assume the
environmental review responsibilities
for activities funded under this NOFA.
Other applicants must arrange for the
unit of general local government or
Indian Tribe to act as the responsible
entity. Under 24 CFR 58.11, if a nonrecipient responsible entity objects to
performing the environmental review,
or if a recipient that is not a responsible
entity objects to the local or tribal
government performing the
environmental review, HUD may
designate another responsible entity to
perform the review or may perform the
environmental review itself under the
provisions of 24 CFR part 50. Healthy
Homes Demonstration grant applicants
and other participants in activities
under this NOFA may not undertake, or
commit or expend federal or non-federal
funds (including HUD-leveraged or
match funds) for housing interventions,
related rehabilitation or other physical
activities until the responsible entity
completes an environmental review and
the applicant submits and obtains HUD
approval of a request for release of funds
and the responsible entity’s
environmental certification in
accordance with part 58 (or until HUD
has completed an environmental review
under part 50). The results of
environmental reviews on individual
projects may require that proposed
activities be modified or proposed sites
rejected. For assistance, contact Karen
Choi, the Office of Healthy Homes and
Lead Hazard Control Environmental
Officer at (213) 534–2458 (this is not a
toll-free number) or the HUD
Environmental Review Officer in the
HUD Field Office serving your area. If
you are a hearing- or speech-impaired
person, you may reach the telephone
number via TTY by calling the toll-free
Federal Information Relay Service at 1–
800–877–8339. Recipients of a
cooperative agreement under this NOFA
will be given guidance in these
responsibilities.
2. Executive Order 13202
‘‘Preservation of Open Competition
and Government Neutrality Towards
Government Contractors’ Labor
Relations on Federal and FederallyFunded Construction Projects.’’ See
General Section for information
concerning this requirement.
3. Procurement of Recovered Materials
See the General Section for
information concerning this
requirement.
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4. Relocation
Any person (including individuals,
partnerships, corporations, or
associations) who moves from real
property or moves personal property
from real property directly (1) because
of a written notice to acquire real
property, in whole or in part, or (2)
because of the acquisition of the real
property, in whole or in part, for a HUDassisted activity, is covered by federal
relocation statutes and regulations.
Specifically, this type of move is
covered by the acquisition policies and
procedures and the relocation
requirements of the Uniform Relocation
Assistance and Real Property
Acquisition Policies Act of 1970 (URA),
as amended, and the implementing
government wide regulation at 49 CFR
part 24. The relocation requirements of
the URA and the government wide
regulations cover any person who
moves permanently from real property
or moves personal property from real
property directly because of acquisition,
rehabilitation or demolition for an
activity undertaken with HUD
assistance. While the Healthy Homes
Demonstration Grant Program is not
HUD assistance, the grantee must
relocate families to decent, safe and
sanitary housing, and should use the
URA as guidance for doing so. If
families or individuals are temporarily
relocated in a project which utilizes
Community Development Block Grant
funds, the guidance and requirements of
24 CFR 570.606(b)(2)(i)(D)(1)–(3) must
be met. HUD recommends you review
these regulations when preparing your
proposal. (They can be downloaded
from the Government Printing Office
Web site at https://www.gpoaccess.gov/
cfr/ by entering ‘‘24 CFR 570.606’’ in
quotes without any spaces in the Quick
Search box.) See Section III.C of the
General Section for additional
information about relocation.
5. Davis-Bacon Act
The Davis-Bacon Act does not apply
to this program. However, if program
funds are used in conjunction with
other federal programs in which DavisBacon prevailing wage rates apply, then
Davis-Bacon provisions would apply to
the extent required under the other
federal programs.
6. Audit Requirements
Any grant recipient that spends
$500,000 or more in federal financial
assistance in a single year must meet the
audit requirements established in 24
CFR part 84 or 85, as applicable, in
accordance with OMB Circular A–133.
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C. Reporting
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Successful applicants will be required
to submit quarterly and final program
and financial reports according the
requirements of the Office of Healthy
Homes and Lead Hazard Control.
Specific guidance and additional details
will be provided to successful
applicants. The following items are a
part of OHHLHC reporting
requirements.
1. Final Work Plan and Budget are
due prior to the effective start of the
cooperative agreement.
2. Quality Assurance Plan (QAP).
Successful Healthy Homes
Demonstration applicants that will be
collecting housing, demographic or
environmental data in a formalized
manner for use in assessing
effectiveness of the approaches being
demonstrated under the cooperative
agreement or grant will be required to
submit a Quality Assurance Plan (QAP)
to HUD prior to initiating work under
the cooperative agreement or grant. This
is a streamlined version of the format
used by some other federal agencies,
and is intended to help ensure the
accuracy and validity of the data that
you will collect under the cooperative
agreement or grant. (See the HUD Office
of Healthy Homes and Lead Hazard
Control’s Internet site, www.hud.gov/
offices/lead, for the QAP template).
Your proposed project activities should
include developing this QAP. The QAP
will be submitted to HUD as a part of
your work plan.3. Progress reports are
due on a quarterly basis. Project
benchmarks and milestones will be
tracked using a benchmark spreadsheet
that uses the benchmarks and
milestones identified in the Logic Model
form (HUD–96010) approved and
incorporated into your award
agreement. For specific reporting
requirements, see policy guidance:
www.hud.gov/offices/lead.
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4. A final report is due at the end of
the project period, which includes final
project benchmarks and milestones
achieved against the proposed
benchmarks and milestones in the Logic
Model (HUD–96010) approved and
incorporated into your award
agreement. Specific information on all
reporting requirements will be provided
to successful applicants.
5. Racial and Ethnic Beneficiary Data.
HUD does not require Healthy Homes
Demonstration Grantees to report ethnic
and racial beneficiary data as part of
their initial application package.
However, such data must be reported on
an annual basis, at a minimum, during
the implementation of your cooperative
agreement. You must use the Office of
Management and Budget’s Standards for
the Collection of Racial and Ethnic Data
to report these data, using Form HUD–
27061, Racial and Ethnic Data Reporting
Form, found on www.grants.gov, along
with instructions for its use.
VII. Agency Contacts
For questions related to the
application process, you may contact
the Grants.gov helpline at 800–518–
GRANTS. For programmatic questions,
you may contact by writing: Emily
Williams, Director; Healthy Homes
Division; Department of Housing and
Urban Development; Office of Healthy
Homes and Lead Hazard Control; 451
Seventh Street, SW., Room P3206;
Washington, DC 20410–3000; or by
telephone by calling (336) 547–4002,
extension 2067 (this is not a toll-free
number); or via e-mail at:
Emily_E._Williams@hud.gov. For
administrative questions, you may
contact Curtissa L. Coleman, Grants
Officer, at the address above or by
telephone at: (202) 755–1785, extension
7580 (this is not a toll-free number) or
via e-mail at:
Curtissa_L._Coleman@hud.gov. If you
are hearing or speech-impaired, you
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may reach the above telephone numbers
via TTY by calling the toll-free Federal
Information Relay Service at 800–877–
8339.
VIII. Other Information
A. HUD Reform Act
The provisions of the HUD Reform
Act of 1989 that apply to this NOFA are
discussed in the General Section. Refer
to the General Section for details
regarding other information on
submitting a complete application that
meets HUD requirements. For additional
general, technical, and program
information pertaining to the Office of
Healthy Homes and Lead Hazard
Control, visit: https://www.hud.gov/
healthyhomes.
B. Paperwork Reduction Act
The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520) and
assigned OMB control number 2539–
0015. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 80 hours per 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 awardee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
BILLING CODE 4210–01–P
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Community Development Act of 1974,
as amended, (42 U.S.C. 5301); 24 CFR
part 570.
Brownfields Economic Development
Initiative (BEDI)
Overview Information
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A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Community Planning and
Development.
B. Funding Opportunity Title:
Brownfields Economic Development
Initiative.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number is FR–5030–N–
14. The OMB approval number is 2506–
0153.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s):
Brownfields Economic Development
Initiative (BEDI), 14.246.
F. Dates: The application deadline
date is June 14, 2006. Applications must
be received and validated by https://
www.grants.gov no later than 11:59:59
p.m. on the application deadline date.
Please see the General Section for
information on electronic deadline and
timeliness requirements.
G. Optional, Additional Overview
Content Information: BEDI funds are
used to enhance the security of a loan
guaranteed by HUD under Section 108
of the Housing and Community
Development Act of 1974, as amended,
for the same brownfields economic
development project, or to improve the
viability of a brownfields economic
development project financed with the
Section 108-guaranteed loan, in order to
stimulate economic development by
local governments and private sector
parties at brownfields sites and to return
those sites to productive, economic
reuse. All BEDI grants must be used in
conjunction with a new Section 108guaranteed loan commitment.
HUD encourages brownfields
economic development projects that
propose the redevelopment of a
brownfield site through new
investments by identified private sector
parties in addition to BEDI/Section 108
financing and that will directly result in
new business or job creation, increases
in the local tax base or other near-term,
measurable economic benefits.
Those interested in applying for
funding under this program should
review carefully the General Section
and the following additional
information.
Full Text of Announcement
I. Funding Opportunity Description
A. Authority
BEDI is authorized pursuant to
Section 108(q), Title I, Housing and
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B. Program Description
BEDI is designed to help local
governments redevelop brownfields,
defined in this NOFA as abandoned,
idled, or underutilized real property,
including industrial and commercial
facilities, where expansion or
redevelopment is complicated by the
presence or potential presence of
environmental contamination. A BEDI
grant award will be conditioned upon,
and must be used in conjunction with,
a new (i.e., not previously approved)
Section 108-guaranteed loan
commitment. Both Section 108 loan
guarantee proceeds and BEDI grant
funds are initially made available by
HUD to units of general local
government eligible for assistance under
HUD’s Community Development Block
Grant (CDBG) program (specifically, the
Entitlement and State programs, certain
jurisdictions in the state of Hawaii
under the Small Cities program, and the
insular areas of Guam, American Samoa,
the Northern Mariana Islands, and the
Virgin Islands). A local government may
re-loan the Section 108 loan proceeds
and provide BEDI funds to a business or
other public entity eligible to carry out
a specific approved brownfields
economic development project, or the
public entity may carry out the eligible
project itself. In either case, BEDI grant
funds and the Section 108 proceeds
must be used to support the same
eligible BEDI project.
Under this program, CDBG
entitlement and non-entitlement
grantees (and states for state-assisted
non-entitlement jurisdictions) pledge
their continuing CDBG allocations as
security for the Section 108 loans
guaranteed by HUD. BEDI grant funds
are intended to reduce grantees’
potential loss of future CDBG
allocations by:
1. Strengthening the economic
feasibility of a project financed with
Section 108 funds (and thereby
increasing the probability that the
project will generate enough cash to
repay the guaranteed loan);
2. Directly enhancing the security of
the Section 108-guaranteed loan; or
3. Employing a combination of these
or other risk mitigation techniques.
BEDI funds must be used as the
stimulus for local governments and/or
private sector parties to commence
redevelopment or continue phased
redevelopment efforts of brownfields
sites where contamination is present or
potentially present and a redevelopment
plan exists. HUD desires to see BEDI
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and Section 108 funds used to finance
projects and activities that involve
investment in the brownfields site by an
identified private sector party that will
provide near-term results and
measurable economic benefits, such as
job creation and increases in the local
tax base.
C. Program Definitions
Unless otherwise defined herein,
terms defined in this NOFA shall have
the same respective meanings as
provided for in 24 CFR part 570.
Act means Title I Housing and
Community Development Act of 1974
(42 U.S.C. 5301 et seq.).
Application means a single set of
documents, including a request for
Section 108 loan guarantee assistance,
submitted by an eligible applicant for
BEDI grant funds, in accordance with
the provisions of this NOFA to finance
a brownfields economic development
project. Section IV.B.1(c) of this NOFA
provides additional information on the
nature and forms of Section 108 loan
guarantee requests that must be
submitted to HUD along with each BEDI
application.
Brownfields means abandoned, idled,
or under-used real property (including
industrial and commercial facilities)
where expansion or redevelopment is
complicated by the presence or
potential presence of contamination.
Brownfields Economic Development
Initiative (BEDI) funds means the
appropriated funds made available for
the competition under this NOFA from
any available appropriation.
Brownfields Economic Development
Initiative (BEDI) project or brownfields
economic development project means a
single activity, or a group of activities
constituting a planned, continuous,
single undertaking, that is eligible under
Section 108(q) of the Act and under 24
CFR 570.703 and projected to create or
retain businesses or jobs, provide area or
housing benefit to low- and moderateincome persons, redevelop blighted
areas or sites, or otherwise lead to
measurable economic benefits from
redevelopment of one or more
brownfields sites within five years.
CDBG funds means those funds
collectively so defined at 24 CFR 570.3,
including grant funds received pursuant
to Section 108(q) and this NOFA.
Economic Development Initiative
(EDI) grant means the provision of
economic development grant assistance
under Section 108(q) of the Act, as
authorized by Section 232 of the
Multifamily Housing Property
Disposition Reform Act of 1994 (Pub. L.
103–233, approved April 11, 1994).
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EPA means the U.S. Environmental
Protection Agency.
Firm Commitment means either a
written agreement or letter of
understanding by which an applicant or
a third party:
(1) Agrees to perform an activity or
provide resources as specified in the
application, and demonstrates their
relationship to the proposed BEDI/
Section 108 project;
(2) Specifies the dollar value of the
commitment and demonstrates that it
has the financial and organizational
capacity to deliver the resources
necessary to successfully complete the
activity; and
(3) Irrevocably commits the resources
to the activity either through cash or inkind services or contributions; if any
portion is to be financed through a grant
or loan from another public or private
organization, that institution’s grant or
loan commitment must be firmly
committed as well.
Any such agreement or letter of
understanding shall be understood as
being contingent upon receipt of the
BEDI grant. Funds expended prior to the
submission of the BEDI application will
not be considered as firmly committed
funds for purposes of this NOFA.
Additional information related to firm
commitments of other resources is
provided in Section V.A.1 of this NOFA,
Rating Factor 4 (Leveraging of Other
Financial Resources). See Section
IV.F.3.d. of the General Section for
instructions on how third party
documents are to be submitted
electronically.
Showcase Community means an
applicant chosen by the federal
government’s Brownfields National
Partnership for inclusion in the federal
government’s Brownfields Showcase
Communities program. A list of the
federally designated Brownfield
Showcase Communities is provided on
the HUD website, at https://
www.hud.gov.
Strategic Plan means a strategy or
course of action developed and agreed
to by the nominating local
government(s) and state(s) and
submitted in partial fulfillment of the
application requirements for an
Empowerment Zone, Enterprise
Community, or a Renewal Community,
designated pursuant to 24 CFR parts
597, 598 or 599.
D. Program Background
HUD has multiple programs that are
intended to stimulate economic and
community development and promote
economic revitalization of distressed
areas, and which can be effectively
employed to address and remedy
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brownfields conditions. Primary among
HUD’s resources are the Community
Development Block Grant (CDBG)
program and the Section 108 loan
guarantee program.
1. CDBG. The CDBG program provides
grant funds by formula to local
governments (either directly or through
states) to carry out community and
economic development activities ($3.7
billion appropriated in FY 2006). The
Section 108 loan guarantee program
provides CDBG-eligible communities
with a source of financing for economic
development, public facilities, and other
eligible large-scale physical
development projects. HUD is
authorized pursuant to Section 108 to
guarantee notes issued by CDBG
entitlement communities and nonentitlement units of general local
government eligible to receive funds
under the CDBG States’ program, as well
as certain non-entitlement units of
general local government in the state of
Hawaii funded under 24 CFR part 570,
subpart F. The Section 108 program is
subject to the regulations applicable to
the CDBG program at 24 CFR part 570
as described in 24 CFR part 570, subpart
M.
2. Section 108 Loan Guarantees. The
loan guarantee authority for the Section
108 program is estimated at $225
million including $135 million in loan
guarantee authority for FY 2006 and
loan guarantee authority that is still
available under the FY 2005
appropriation.
Under this program, communities
(states and insular areas, as applicable)
are required to pledge their continuing
CDBG allocations as security for loans
guaranteed by HUD. The Section 108
program, however, does not require
CDBG funds to be escrowed for loan
repayment (unless such an arrangement
is specifically negotiated as loan
security and included in the applicable
‘‘Contract for Loan Guarantee
Assistance’’). This means that a
community can ordinarily continue to
spend its existing allocation for other
CDBG purposes, unless needed for loan
repayment.
3. Additional Security for Section 108
Loan Guarantees. Applicants should be
aware of the need to provide additional
security for the Section 108 loan
guarantee pursuant to 24 CFR
570.705(b)(3). Although a public entity
(and the corresponding state for a stateassisted non-entitlement entity) is
required by the Act to pledge its current
and future CDBG allocations as security
for the Section 108 loan guarantee, it
will usually be required to furnish
additional collateral. In most cases, the
additional collateral consists (in whole
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or in part) of the asset financed with the
Section 108 loan funds (e.g., a loan
made to a business as part of an
economic development project and the
related mortgage from the business).
Applications proposing uses for BEDI
funding that directly enhance the value
of the assets securing the Section 108
loan will help ensure that the projectbased asset(s) will satisfy the additional
collateral requirements.
4. Integration of Other Government
Economic Development and
Brownfields Programs. HUD encourages
local governments which are assisted by
(a) other federal or state economic
development programs, (b) other federal
brownfields programs (e.g., the federal
Brownfields Showcase Community
program, EPA’s Assessment, Revolving
Loan Fund Cleanup or Grant programs),
or (c) state-supported brownfields
programs, to integrate efforts arising
from those programs in developing
projects for assistance under HUD’s
BEDI and Section 108 programs.
Applicants should elaborate upon these
ties in their response to the rating
factors, where appropriate, in Section
V.A.1 of this NOFA (e.g., ‘‘Capacity of
the Applicant,’’ ‘‘Soundness of
Approach,’’ or ‘‘Leveraging
Resources,’’—Rating Factors 1, 3, and 4,
respectively.)
II. Award Information
A. Available Funds
HUD has available approximately $10
million for grant awards under this
BEDI NOFA, consisting of $10 million
through appropriations under the
FY2006 Consolidated Appropriations
Act (Pub. L. 109–115, approved
December 1, 2005. These funds are
authorized by Section 108(q) of the Act
(as described above). If any additional
funds become available for the BEDI
program during FY2006, including
through the deobligation and recapture
of previous BEDI awards, HUD may
either fund additional applicants in
accordance with this NOFA, or may add
these funds to funds available for future
competitions pursuant to Section 108(q)
of the Act.
B. Maximum Award
The maximum amount of a BEDI
award under this competition is $1
million per project. An application in
excess of $1 million will be reduced to
the extent HUD determines that such a
reduction is appropriate and the project
remains feasible.
C. Limitations on Grant Amounts
1. Ratio of Section 108-Guaranteed
Loan to BEDI Grant. HUD expects to
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approve BEDI grant amounts for
approvable applications with a range of
ratios of BEDI grant funds awarded to
new Section 108-guaranteed loan
commitments for the same project, but
the minimum ratio must be $1.00 of
Section 108-guaranteed loan
commitments for every $1.00 of BEDI
grant funds in order to receive
consideration for funding. Section
V.A.1, Rating Factor 4 (Leveraging of
Resources), provides additional
information on the required ratio of
BEDI to Section 108 funds.
2. Reduction or Deobligation of BEDI
Grant Award.
a. After selection, but prior to grant
award, if HUD determines that an
application can be funded at a lesser
BEDI grant amount than requested and
still be feasible and consistent with the
proposed plan and the purposes of the
Act, it reserves the right to reduce the
amount of the BEDI award and/or
increase the required Section 108 loan
guarantee commitment.
b. In the event a BEDI grant is
awarded and has been reduced below
the original request (e.g., the application
contained some activities that were
ineligible, exceeded the $2 million cap,
or there were insufficient funds to fund
the last competitive application at the
full amount requested), the applicant
will be required to modify the project
plans and application to conform to the
terms of HUD approval before HUD will
execute a grant agreement.
c. HUD also may proportionately
reduce or deobligate the BEDI award if
a grantee does not submit an approvable
Section 108 loan guarantee application,
issue Section 108-guaranteed
obligations, and receive loan guarantee
proceeds on a timely basis, (including
any extension authorized by HUD), in
the amount required by the BEDI/108
leveraging ratio, which will be approved
by HUD as a special condition of the
BEDI grant award (see Section
IV.B.1(c)(2) of this NOFA).
3. Increased Request for Section 108
Loan Guarantee Assistance. In the case
of a requested increase in guarantee
assistance for a project with a
previously approved Section 108 loan
guarantee commitment (as further
discussed in Section IV.B.1(c)(4)), the
BEDI assistance approved will be based
only on the additional amount of
Section 108 loan guarantee assistance
requested.
III. Eligibility Information
A. Eligible Applicants
Any public entity eligible to apply for
Section 108 loan guarantee assistance in
accordance with 24 CFR 570.702,
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including Guam, the Northern Marianas,
American Samoa, and the Virgin Islands
for FY 2006, may apply for BEDI grant
assistance under Section 108(q). Eligible
applicants are CDBG entitlement units
of general local government and nonentitlement units of general local
government eligible to receive loan
guarantees under 24 CFR part 570,
subpart M. Urban Counties, as defined
at 24 CFR 570.3 and 570.307, are
eligible applicants for BEDI funds; units
of general local government that
participate in an Urban County program
are not independently eligible
applicants. For non-entitlement
applicants other than those subject to 24
CFR part 570, subpart F (which applies
only to the state of Hawaii), applicants
are required to provide evidence in the
BEDI application from an authorized
official of the state agency responsible
for administering the State CDBG
program stating that it supports the
related Section 108 loan with a pledge
of its CDBG allocations pursuant to the
requirements of 24 CFR 570.705(b)(2).
Such evidence must be provided by
form HUD–40122, titled ‘‘SECTION 108
LOAN GUARANTEE: State
Certifications Related to Nonentitlement Public Entities.’’ This form
may be downloaded as part of the
application package from the Internet at
www.grants.gov/. Non-entitlement
public entities in 49 states and Puerto
Rico are eligible to participate in the
Section 108 and BEDI programs, with
assistance of the state’s or
commonwealth’s pledge of CDBG
allocations. The non-entitlement entities
in Hawaii are able to make their own
repayment pledge since they now
receive a fixed amount of annual CDBG
funding.
B. Cost Sharing or Matching
As described further in Section V.A.1
of this NOFA, under Rating Factor 4
(Leveraging of Resources), applications
which evidence a greater level of other
funds firmly committed to the BEDI
project will receive more points under
Rating Factor 4. In addition, a BEDI
grant must be used with at least an
equal amount of Section 108 loan
guarantee proceeds for the same
brownfields economic development
project.
C. Program Threshold Requirements
1. Eligible Activities and National
Objectives
a. Applicants for BEDI grant funds
and Section 108 loan guarantee funds
must demonstrate that funds will be
used for activities listed at 24 CFR
570.703 and carried out as part of a
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BEDI project as defined in this NOFA
and meet the CDBG requirements at 24
CFR Sections 570.200, 570.208 and
570.209, as applicable. All applicants
must clearly identify in their narrative
response to Rating Factor 3 (Soundness
of Approach) in Section V.A.1 of this
NOFA each of the eligible activities that
will be carried out under 24 CFR
570.703.
With respect to BEDI projects that
include a housing component,
applicants are cautioned that the
eligible activities at 24 CFR 570.703 do
not allow BEDI and Section 108 funds
to be used to finance the costs of the
construction of housing, unless such
construction is undertaken by a
Community Based Development
Organization (CBDO) or a not-for-profit
organization serving the development
needs of a community in a nonentitlement area as part of a community
economic development project, in
accordance with 24 CFR 570.703(i)(2)
and 24 CFR 570.204(a)(2). Provisions of
24 CFR 570.703(j) that authorized the
use of BEDI or Section 108 funds for
housing construction have expired and
are no longer applicable, as the statute
referenced therein is no longer in effect.
For projects that include the
construction of housing, BEDI and
Section 108 funds may be used to
finance activities necessary to construct
such housing, such as acquisition and
related demolition and clearance on the
acquired site, site improvements, public
facilities and other eligible activities
subject to each of the eligible activity
provisions at 24 CFR 570.703; and
b. Applicants must demonstrate that
each activity assisted with Section 108
loan guarantee or BEDI funds will meet
a national objective of the CDBG
program as described in 24 CFR
570.208. All applicants must clearly
identify in their narrative response to
Rating Factor 3 (Soundness of
Approach) in Section V.A.1 of this
NOFA, the CDBG national objective to
be achieved by the proposed project and
provide the appropriate CDBG national
objective regulatory citation found at 24
CFR 570.208. Applicants must also
address, when applicable, how the
proposed activities will comply with the
public benefit standards of the CDBG
program as reflected in the regulation at
24 CFR 570.209.
c. A grantee’s aggregate use of its
CDBG funds, including any Section 108
loan guarantee proceeds and Section
108(q) (BEDI) funds provided pursuant
to this NOFA, must comply with the
CDBG primary objective requirements as
described in Section 101(c) of the Act
and 24 CFR 570.200(a)(3) for
entitlement grantees, or 24 CFR 570.484
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in the case of a recipient under a state’s
program, requiring that, over the period
of time specified in the applicant’s (or
State’s) CDBG certification, not less than
70 percent of the aggregate expenditures
of CDBG funds be expended for
activities benefiting low- and moderateincome persons under the criteria of 24
CFR 570.208(a) or 570.208(d)(5) or (6).
2. Brownfields Redevelopment
As described further in Section V.A.1
of this NOFA, in the narrative response
to Rating Factor 3 (Soundness of
Approach) applicants must: (1) Describe
the nature and extent of the brownfields
problem(s) actually or potentially
affecting the site and/or structure(s)
already on the site; and (2) how the
proposed activities will contribute to
redevelopment of the site and/or
structures.
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3. General Section Threshold
Requirements
a. Applicants should carefully review
the threshold requirements found in
Section III.C of the General Section that
could result in the failure to receive
funding under this program. Applicants
for BEDI grant funds must comply with
the statutory, regulatory, threshold, and
public policy requirements listed in the
General Section, except as otherwise
specifically provided in this NOFA. In
particular, applicants should carefully
review those provisions that could
result in the failure to receive funding,
including the DUNS Number
Requirement, Compliance with Fair
Housing and Civil Rights Laws,
provisions relating to Delinquent
Federal Debts, and the Name Check
Review.
b. The Dun and Bradstreet Universal
Numbering System (DUNS) Number
Requirement. Refer to the General
Section for information regarding the
DUNS requirement. You will need to
obtain a DUNS number to receive an
award from HUD. You will also need a
DUNS number to complete your
electronic application as it is a
mandatory field on the electronic
application. The Grants.gov registration
also requires use of the DUNS number,
and Grants.gov registration.
c. The maximum number of points to
be awarded under this NOFA is 104. To
be eligible for funding, a BEDI
application must obtain a total score of
at least 75 points. All applications
meeting program and General Section
threshold requirements will be rated
under the selection criteria provided in
Section V.A.1 below.
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4. Other Program Requirements
a. BEDI Funding Request. A single
BEDI application must contain a request
for funds for a single BEDI/108 project.
The application must propose activities
expected to result in redevelopment of
one or more brownfields sites. An
applicant may submit an additional
application for each additional
unrelated BEDI/108 project, but in no
event will HUD rate and rank more than
one BEDI project per application.
b. Related Section 108 Loan
Guarantee Request. The request for
Section 108 Loan Guarantee assistance
must provide for a minimum ratio of
$1.00 of requested Section 108 loan
guarantee commitments for every $1.00
of BEDI grant funds requested, or a
higher ratio, as needed for the project.
c. Nonentitlement Applications.
Applications submitted by
nonentitlement public entities (except
for those in Hawaii and the insular areas
which now receive fixed amounts of
CDBG funds annually) must provide for
the state or commonwealth’s
certification agreeing to pledge its CDBG
allocations to receive funding
consideration, as evidenced by form
HUD–40122. See the General Section
instructions for submission of third
party documents.
d. Narrative Response to Rating
Factors. Each BEDI application must
provide narrative statements in response
to each of the rating factors below in
Section V.A.1 of this NOFA.
e. Time Frame for Submission of
Section 108 Applications. All
applications for Section 108 Loan
Guarantee Assistance required for
approved BEDI projects must be
submitted within 60 days of written
notice of BEDI selection, as provided for
in Section IV.B.1(c)(2) of this NOFA.
f. HUD Environmental Requirements.
Beginning with the submission of a
BEDI application through and after
HUD’s award of BEDI grant funds,
pursuant to 24 CFR 570.604, each
project or activity assisted under this
program is subject to the provisions of
24 CFR part 58. This includes
limitations on the commitment of HUD
and non-HUD funds by the BEDI grantee
and Section 108 public entity, as well as
other participants in the development
process, prior to the completion of
environmental review, notification, and
release of funds. Neither grant nor loan
funds can be disbursed by HUD until a
request for release of funds is submitted
and the requirements of 24 CFR part 58
have been met. All public entities,
including non-entitlement public
entities, shall submit the request for
release of funds and related
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certification, required pursuant to 24
CFR part 58, to the appropriate HUD
field office for each project to be
assisted.
g. Compliance with Environmental
and Other Laws. An award of BEDI
funding does not, in any way, relieve
the applicant or third party users of
BEDI funds from compliance with all
applicable federal, state, and local laws
and regulations, particularly those
addressing the environment. Applicants
are further advised that HUD may
require evidence that any project
involving remediation has been or will
be carried out in accordance with
applicable law, including voluntary
clean up programs.
h. CDBG Program Regulations. In
addition to 24 CFR 570.701
(Definitions), 570.702 (Eligible
applicants), and 570.703 (Eligible
activities), the CDBG regulatory
requirements cited in 24 CFR 570.707,
including subparts J (Grant
Administration), K (Other Program
Requirements), and O (Performance
Reviews), also govern the use of BEDI
funds, as applicable.
i. Obligation to Affirmatively Further
Fair Housing. All BEDI grantees are
obliged to affirmatively further fair
housing, even when the proposed
activities do not appear to be directly
related to housing. Therefore, applicants
that propose to use BEDI funds must
include in their applications an
explanation of how they propose to
further fair housing opportunities for
persons on the basis of race, color,
national origin, sex, religion, familial
status, or disability. Applicants should
respond to this requirement in Section
V.A.1 of this NOFA, under Rating Factor
3, subfactor (1)(b). Affirmative activities
include, but are not limited to: initial
and periodic assessments of the extent
to which affordable and accessible
housing opportunities are provided or
denied to persons by race, color,
national origin, sex, religion, familial
status, or disability; outreach to persons
in underserved population groups or
advocacy organizations representing
such persons; affirmative fair marketing
of job or housing opportunities;
furthering housing choice; addressing
environmental justice concerns; or
ensuring that employment, housing and
other benefits of the BEDI grant are
made available to those individuals and
families living at or near the
brownfields site prior to its
redevelopment.
j. Policy Priorities. Applicants are
reminded of the Department’s Policy
Priorities for FY 2006 found in Section
V.B. of the General Section, several of
which apply to this NOFA, as described
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in Section V.A.1 below, under Rating
Factor 5 (Achieving Results and
Program Evaluation).
k. Ineligible Sites. Applicants must
propose sites that currently meet the
definition of brownfields in this
program section. Applicants may not
propose projects on sites which are: (i)
Listed or proposed to be listed on EPA’s
National Priority List (NPL); (ii) subject
to unilateral administrative orders, court
orders, administrative consent orders or
judicial consent decrees issued or
entered into by parties under the
Comprehensive Environmental
Response, Compensation, and Liability
Act of 1980, as amended (CERCLA); or
(iii) subject to the jurisdiction, custody,
or control of the United States
Government. In order to be eligible to
receive an award under this program,
applicants will be required in Section
V.A.1, Rating Factor 3, Soundness of
Approach, to indicate that the proposed
BEDI project will not be undertaken at
an ineligible site as provided herein.
l. Prior Approved Section 108—
Guaranteed Loans. BEDI grant
assistance cannot be used to leverage a
Section 108 loan guarantee approved
prior to the date of HUD’s
announcement of a BEDI grant pursuant
to this SuperNOFA, unless the applicant
requests to deobligate previously
approved commitment authority as
provided in Section IV.B.1(c)(5) of this
NOFA. In no event, however, may a
previously approved Section 108
commitment to be used with a prior
BEDI or EDI award be subject to such
deobligation. In an instance where a
pending application for Section 108
assistance is to be leveraged by the
proposed BEDI grant, the BEDI grant
may be awarded before HUD approval of
the Section 108 commitment if HUD
determines that such award will further
the purposes of the Act.
m. Use of Section 108 Solely for
Security. A BEDI award will not be
made if the Section 108 request
contained in the application (See
Section IV.B.1(c) of this NOFA) calls for
the use of the Section 108-guaranteed
obligation solely as security for other
financing on the project.
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IV. Application and Submission
Information
A. Addresses To Request Application
Package
1. Copies of the published NOFAs and
application forms for HUD programs
announced through NOFA may be
downloaded from the Grants.gov Web
site at https://www.grants.gov/Find; if
you have difficulty accessing the
information you may receive customer
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support from Grants.gov by calling their
Support Desk at (800) 518–GRANTS, or
sending an e-mail to
support@grants.govsupport@grants.gov.
The operators will assist you in
accessing the information. The hours of
the Support Desk are 7 a.m. to 9 p.m.
Eastern time.
2. Satellite Broadcasts. HUD will hold
informational broadcasts via satellite for
potential applicants to learn more about
the BEDI program and the preparation of
BEDI application(s). For more
information about the date and time of
the broadcast, consult the Web site
https://www.hud.gov.
B. Content and Form of Application
Submission
1. Content of Application
A complete application for a BEDI
grant under this NOFA must contain the
items listed below. The standard forms
that are required for the BEDI
application can also be found in the
General Section. Applicants by signing
the SF–424 are also agreeing to the
Certifications and Assurances found in
the General Section and this NOFA.
Additional program forms, excluding
such items as narratives or letters, etc.
also referred to as the ‘‘non-standard
forms’’, HUD–40122 and HUD–40123,
are included with this NOFA. All forms
required for application submission can
be found in the application package and
instructions on https://www.grants.gov
for the BEDI program.
a. Checklist and Submission Table of
Contents indicating the submission
items included in the application can be
found in Section VIII, Appendix A, of
this NOFA. Applicants are not required
to submit the Checklist but are
encouraged to review it to ensure that
they have submitted a complete
application.
b. EDI/BEDI/Section 108 Funding
Eligibility Statement. A completed EDI/
BEDI/Section 108 Funding Eligibility
Statement (Exhibit D of form HUD–
40123).
c. Request for Loan Guarantee
Assistance. A request for loan guarantee
assistance under Section 108, with the
project name clearly identified (and the
same name of the BEDI project being
applied for), as further described below.
Full application requirements for the
Section 108 program are found at 24
CFR 570.704. Non-entitlement
applicants (except those in Hawaii and
the insular areas) must accompany this
request with the State Certifications
Related to Nonentitlement Public
Entities (form HUD–40122) in order to
be considered for BEDI funding.
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The request for loan guarantee
assistance may take any of the five
forms defined in paragraphs (1), (2), (3),
(4), or (5) below. Notwithstanding the
form of the request for new Section 108
loan guarantee assistance, the applicant
must include citations to the specific
regulatory subsection supporting
activity eligibility and National
Objectives compliance for the Section
108 funds described in the application.
(See Section III.C.1 of this NOFA.) Both
the BEDI and Section 108 funds must be
used in conjunction with the same BEDI
project. Applicants are encouraged to
consult with HUD’s Financial
Management Division in Headquarters
CPD, at (202) 708–1871, before
submission of 108 and/or BEDI
applications if unsure of CDBG national
objectives, eligibility of activities,
program benefits citations and the tests
thereof. The request for new Section 108
guarantee assistance may be presented
in any of the following ways:
(1) Concurrent Application Submitted
Under Separate Cover. A complete
application for a new Section 108 loan
guarantee(s), including the documents
listed at 24 CFR 570.704(b), submitted
under separate cover in accordance with
the procedures in Section IV.F.3 below.
Any full application for loan guarantee
assistance under Section 108 must also
be submitted to the appropriate HUD
field office concurrently with its
submission to Headquarters. As
described further in Section V.A.1, in
Rating Factor 3 (Soundness of
Approach), two points will be awarded
for the submission of a full Section 108
loan guarantee application with a BEDI
application.
(2) Subsequent Application. A brief
description (not to exceed three pages)
of the project to be applied for in a
subsequent new Section 108 loan
guarantee application(s). Such a 108
application(s) shall be submitted within
60 days of written notice of BEDI
selection, with HUD reserving the right
to extend such period on a case-by-case
basis where HUD determines there is
evidence of good cause. BEDI awards
will be conditioned on approval of
actual Section 108 loan commitments
and loan guarantee proceeds in a
specific ratio of BEDI funds to Section
108 funds as approved by HUD in the
BEDI award. The description provided
in the BEDI application must be
sufficient to support the basic eligibility
of the proposed project and activities for
Section 108 assistance. (See Section
III.C.1 of this NOFA.)
(3) Pending, Unapproved Application.
A request to use the BEDI grant award
in conjunction with a pending,
unapproved Section 108 loan guarantee
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application. The request must identify
the project name associated with the
pending application and the date of
submission. Any proposed amendment
to the pending Section 108 application
must be submitted under separate cover,
as provided for in Section IV.F.3 below.
An applicant’s request to use the BEDI
award in conjunction with a pending
application shall be deemed by HUD to
constitute a request to suspend separate
processing of the Section 108
application. The Section 108
application will not be approved until,
on, or after the date of the related BEDI
award.
(4) Increase to a Project Assisted
Under a Previously Approved
Application. A request for Section 108
loan guarantee assistance (analogous to
Section IV.B.1(c)(1) or (2) above of this
section) may propose new Section 108
guarantee assistance in addition to the
amount of Section 108 assistance for a
project assisted under a previously
approved Section 108 application.
However, any amount of Section 108
loan guarantee authority approved
before HUD’s announcement of a BEDI
grant for the same project is not eligible
to be used in conjunction with a BEDI
grant under this NOFA.
(5) Deobligation of Previously
Approved Section 108 Authority Plus a
New Request. A request to deobligate a
previous commitment of Section 108
loan guarantee authority to the
applicant that is no longer to be used by
the applicant (except for an amount
required as a condition of a previously
approved BEDI or EDI award), combined
with a new request or application for
Section 108 loan guarantee assistance.
Such request or application may be a
full application as provided for in
paragraph (1) above, a request for 108
assistance submitted within 60 days as
provided for in paragraph (2) above, a
pending unapproved application as
provided for in paragraph (3) above, or
an increase to a project assisted under
a previously approved application as
provided in paragraph (4) above.
(6) In no event may a Section 108 loan
guarantee amount that is required to be
used in conjunction with a previously
approved BEDI or EDI grant award as of
the date of the submission of the
application, whether or not the Section
108 loan guarantee has been approved
as of the date of this NOFA, be used in
conjunction with a new BEDI award
under this NOFA. For example, if a
public entity has a previously approved
Section 108 loan guarantee commitment
of $12 million, even if none of the funds
have been utilized, or if the public
entity had previously been awarded a
BEDI grant of $1 million and had agreed
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to submit a Section 108 loan application
for $10 million in support of that BEDI
grant, the public entity’s application
under this NOFA must propose to
increase the amount of its total Section
108 loan guarantee commitments
beyond those amounts to which it has
previously agreed (i.e., the $12 million
or $10 million Section 108 loan
guarantee commitments in this
example).
d. Narrative Responses to Factors for
Award (not to exceed 15 double-spaced,
81⁄2 x 11 inch single-sided pages, with
one-inch margins on all sides, for all
responses):
(1) Rating Factor 1: Capacity and
Relevant Organizational Experience.
Provide a narrative indicating the
capacity of the applicant’s organization
and staff and any known third parties to
perform the work for which it is
requesting funding.
(2) Rating Factor 2: Need Statement
Identifying the level of Distress/Extent
of the Problem. Provide a narrative
statement including any documentation
supporting the statement of need,
accompanied by a completed Exhibit A
of form HUD–40123. (See the General
Section for instructions for submitting
documentation found in the download
instructions.)
(3) Rating Factor 3: Soundness of
Approach. Include the CDBG eligible
activities, the CDBG National Objective,
the source and nature of the present or
potential environmental contamination,
the budget, and the time frame for
conducting activities and providing
project benefits to address the needs
identified in Rating Factor 2 in the
narrative response, accompanied by
Exhibits B and C of form HUD–40123.
(4) Rating Factor 4: Leveraging
Resources. The response to this factor
should include any letters of firm
commitment as defined in Section I.C of
this NOFA, and any evidence of
financial capacity or CDBG resolutions,
as appropriate. Such letters, evidence or
resolution must be submitted under the
procedures provided for in Section IV.F
of the General Section.
(5) Rating Factor 5: Achieving Results
and Program Evaluation. Provide a
narrative response to this factor,
accompanied by the logic model
provided in the General Section (Form
HUD–96010) and, if applicable, form
HUD–27300, relating to the removal of
regulatory barriers to affordable
housing, with required documentation.
2. Forms, Certifications, and Assurances
a. In addition to any forms submitted
in response to Section IV.B.1 above, the
following forms and certifications must
also be submitted in accordance with
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the General Section and may be found
in the General Section:
(1) Application for Federal Assistance
(SF–424);
(2) Applicant/Recipient Disclosure/
Update Report, HUD–2880; and, if
applicable,
(3) Certification of Consistency With
RC/EZ/EC–II Strategic Plan, HUD–2990,
if applicable;
(4) Certification of Consistency with
the Consolidated Plan (HUD–2991) if
applicable;
(5) Disclosure of Lobbying Activities
(SF–LLL); if applicable;
(6) Acknowledgement of Application
Receipt (HUD–2993) (For use with
paper application submissions);
(7) You Are Our Client Grant
Applicant Survey (HUD–2994–A)
(Optional);
(8) Program Outcome Logic Model
(HUD–96010);
(9) Questionnaire for HUD’s Initiative
on Removal of Regulatory Barriers
(HUD–27300) with supporting
documentation or URL references;
(10) Facsimile Transmittal (HUD–
96011) (For use with electronic
applications to provide third-party
letters and other documentation in
accordance with the instructions found
in the General Section;
(11) Section 108 Loan Guarantee
(State Certifications Related to Nonentitlement Public Entities) (HUD–
40122), if applicable, and
(12) Responses to BEDI Application
Rating Factors (HUD–40123, Exhibits A
through D).
C. Submission Dates and Times
1. Application Submission Date
Applications submitted through
https://www.grants.gov must be received
and validated by Grants.gov no later
than 11:59:59 p.m. Eastern time on the
application deadline date. If an
applicant receives a waiver of the
electronic application requirement, the
paper application must be received by
the application deadline date. The
approval to submit a paper copy
application will provide detailed
submission instructions. Please see the
General Section for further information
on application submission and timely
receipt requirements.
Be sure to provide a Project Name in
Line 11 of the SF–424 (Application for
Federal Assistance), and all references
to the related Section 108 application
should use the same project title. Be
sure to complete the SF–424 cover page
first and then download the rest of the
forms, as the information from the cover
page will be pre-populated. In addition
a brief (one or two paragraph)
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description of all the activities (not just
those to be funded with BEDI and 108
funds) comprising the proposed project
should be provided, preceding the
narrative statements in response to the
Rating Factors. This project description
does not count against the 15-page
overall limitation.
2. Proof of Timely Submission
Please see Section IVF. of the General
Section for information regarding proof
of timely submission.
D. Intergovernmental Review
BEDI is not subject to the provisions
of Executive Order 12372,
‘‘Intergovernmental Review of Federal
Programs.’’
E. Funding Restrictions
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1. Repayment of Section 108 Principal
The planned use of BEDI funds for the
specific purpose of repayment of the
principal amount of a Section 108guaranteed loan is not an eligible
activity under 24 CFR 570.703 and
therefore should not be proposed in a
BEDI application. Under the ‘‘debt
service reserve’’ eligible activity at 24
CFR 570.703(k), however, the planned
use of a limited amount of BEDI funds
for the repayment of the principal of a
Section 108-guaranteed loan is
permissible if justified and approved by
HUD under a particular application.
Such a debt service reserve may be
justified in the context of a loan loss
reserve set up to support a ‘‘loan pool’’
consisting of a number of smaller third
party loans. For example, the
corresponding principal amount of the
Section 108 loan might be repaid from
a debt service reserve when a third party
loan defaults and liquidation of security
for the third party loan by or on behalf
of the Section 108 borrower/BEDI
grantee does not yield enough cash to
redeem or defease the amount of Section
108 principal corresponding to the
defaulted third party loan. A debt
service reserve may also be proposed
and set up in an amount reasonable to
pay principal and/or interest on a
Section 108-guaranteed loan for a
limited period, such as the start up
period for an assisted business, or a
construction period, when the cash flow
resulting from the primary Section 108
or BEDI-funded activity would not be
sufficient to support repayment. HUD
requires the applicant to provide
information sufficient to support the
reasonableness of the amount of a debt
reserve in relation to its purpose. For
any Section 108- and BEDI-assisted
project, HUD will have rights under the
Section 108 Contract for Loan Guarantee
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Assistance to use undisbursed BEDI
funds to make payment on, or to
defease, the Section 108 loan if HUD
deems that action necessary in order to
avoid the need for HUD to make a
payment under its Section 108 loan
guarantee from non-CDBG funds.
2. Subordination of Section 108
Obligations
Section 108 loan obligations may not
be subordinated, directly or indirectly,
to federally tax-exempt obligations.
Pursuant to Office of Management and
Budget (OMB) Circular A–129 (Rev.)
Appendix A, Sections II.2.c. and d.,
(Policies for Federal Credit Programs
and Non-Tax Receivables), Section 108guaranteed loan funds may not, directly
or indirectly, support federally taxexempt obligations.
3. Remediation by Responsible Parties
BEDI grant funds shall not be used in
any manner by grantees to provide
public or private sector entities with
funding to remediate conditions caused
by their own actions, where the public
entity (or other known prospective
beneficiary of the proposed BEDI grant)
has been determined responsible for
causation and remediation by order of a
court or a federal, state, or local
regulatory agency, or is responsible for
the remediation as part of a settlement
approved by such a court or agency.
Applicants will be required under
Rating Factor 3, Soundness of
Approach, to indicate that the proposed
BEDI project will not be used to provide
assistance.
4. Denial of Funding for Lack of Prior
Performance
HUD may deny funding consideration
to all applicants that fail to submit a full
and complete Section 108 loan
application pursuant to 24 CFR
570.704(b) in connection with a prior
award of BEDI or competitive EDI grants
on or before the application submission
deadline under this NOFA.
F. Other Submission Requirements
1. Application Submission and Receipt
Procedure
HUD requires applicants to submit
applications electronically through
https://www.grants.gov. Applicants must
submit their applications electronically
via the website https://www.grants.gov
unless you request and are granted a
waiver to the electronic submission
requirements. This site has easy to
follow step-by-step instructions that
will enable you to apply for HUD
assistance.
Please read the General Section
carefully and completely for the
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submission and receipt procedures for
all applications because failure to
comply may disqualify your
application.
2. Wavier of Electronic Submission
Requirements
Please refer to Section IV.F of the
General Section for instructions on how
to seek a waiver to the electronic
submission requirement.
3. Submission of Concurrent Section
108 Application Under Separate Cover
Applicants that apply via Grants.gov
should submit the Section 108 Loan
Guarantee application using the mailing
instructions below.
a. The Section 108 Loan Guarantee
application should have the Project
Title in Box 11 of the SF–424 as the
related BEDI project.
b. Concurrent Section 108
Application deadline date. Applicants
choosing to submit a concurrent and
complete Section 108 application as
provided for in Section IV.B.1(c) of this
NOFA above, must be received no later
than the BEDI application deadline date,
to the addresses shown below, in order
to receive points under Section V.A.1,
Rating Factor 3, of this NOFA.
The concurrent Section 108
application must be received no later
than 11:59:59 p.m. by the United States
Postal Service in accordance with the
instructions in the General Section. The
required number of copies should be
sent to the locations indicated below. If
HUD receives at least one completed
concurrent Section 108 application at
either HUD Headquarters or the
appropriate HUD Field Office, HUD will
utilize the complete application for its
review purposes, provided it meets the
deadline and timely submission
requirements.
c. Proof of Timely Submission. Proof
of timely submission of a concurrent
Section 108 application shall be
determined under the provisions of the
General Section related to mailed
applications.
d. Address for Submitting Concurrent
Section 108 Applications to HUD
Headquarters. Submit the concurrent
Section 108 application to: HUD
Headquarters; Robert C. Weaver Federal
Building; 451 Seventh Street, SW.,
Room 7251; Washington, DC 20410,
Attention: BEDI/Section 108
Application.
When submitting the concurrent
Section 108 application, please specify
BEDI/Section 108 Application on any
label or mailing container, and include
the applicant’s name, mailing address
(including zip code), street address (if
different from mailing address), and zip
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code, and voice and facsimile telephone
numbers (including area code), along
with the contact person’s name, and
voice and facsimile telephone numbers
(including area code), and email
address, if available.
e. Concurrent Section 108
Applications to HUD Field Offices. At
the same time the concurrent Section
108 application is submitted to HUD
Headquarters, an additional copy
should be submitted to the Community
Planning and Development Division of
the appropriate HUD field office for the
applicant’s jurisdiction. A listing of CPD
Offices and mailing addresses can be
found on HUD’s Web site at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm.
f. Concurrent Section 108 Application
Submission Procedures. A concurrent
Section 108 application submitted
pursuant to this NOFA shall be subject
to the application submission
procedures for other mailed
applications provided for in Section
IV.F of the General Section. Subsequent
and pending Section 108 applications
are not subject to the above submission
procedures.
V. Application Review Information
A. Criteria
1. Factors for Award Used to Evaluate
and Rate Applications
a. Response to Factors for Award. The
applicant must provide in narrative
form responses to each of the rating
factors below. HUD will evaluate all
applications for funding assistance
based on the following factors, the
responses to which demonstrate the
quality of the proposed project or
activities, and the applicant’s capacity
and commitment to use the BEDI funds
in accordance with the purposes of the
Act. As part of the application review,
HUD reserves the right to contact its
local field offices for the purpose of
verifying information submitted by the
applicant.
b. Responses to Rating Factors 1–5.
Responses to Rating Factors 1–5 below
shall not exceed 15 double-spaced, 81⁄2
x 11 inch single-sided pages, with oneinch margins on all sides, for all
responses.
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2. Rating Factors for Award
Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Experience (20 Points Maximum)
This Factor addresses the extent to
which the applicant has the
organizational resources necessary to
successfully implement the proposed
activities in a timely manner. The rating
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of the applicant will include any
subcontractors, consultants, and subrecipients that are firmly committed to
participate in the activities described in
the application. In responding to
subfactors (1) and (2) of this Factor,
applications that merely summarize the
amount of funds received, spent, or
managed will receive fewer points than
those providing specific measurable
information on program activities
undertaken, outcomes of these activities
and their accomplishments. In rating
this Factor, HUD will consider the
following:
(1) Applicant Capacity (Up to 10
points). The applicant should
demonstrate that it has the organization,
the staff, and the financial resources in
place to implement the specific steps
required to successfully carry out its
proposed BEDI/Section 108 project. The
applicant should offer evidence of this
capacity through a description that
includes:
(a) Performance in the administration
of its CDBG, HOME, or other HUD
programs, including a description of
successfully completed projects and
other outcomes or accomplishments
under these programs. In addition to
citing specific projects, outcomes, or
accomplishments, CDBG entitlement
recipients must also indicate the extent
to which the applicant has met the HUD
standard that the total amount of its
undisbursed entitlement grant funds
may not be more than 1.5 times the
entitlement grant amount for the current
program year (see 24 CFR
570.902(a)(1)(i). All applicants must
also identify any unresolved monitoring
or audit findings by HUD with respect
to the applicant’s administration of
HUD programs.
(b) Performance, if any, in carrying
out economic development projects
similar to that proposed, including
brownfields economic development or
redevelopment projects, if any, and if
applicable, the ability to conduct
prudent underwriting;
(c) If an applicant has received a
federal Renewal Community/
Empowerment Zone/Enterprise
Community designation (including
Enhanced Enterprise Community (EEC)
designation), it must provide
information on the status of its capacity
to achieve state and local commitments
identified in its local implementation
plan, including maximizing the federal
tax benefits made available. Applicants
that have been designated as a Renewal
Community (RC), Empowerment Zone
(EZ), or Enterprise Community (EC/EEC)
must respond to this subfactor even if
the proposed brownfields economic
development project is not to be located
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within the boundaries of the designated
RC/EZ/EC–II; and
(d) An applicant that has previously
received a BEDI or a competitive EDI
grant award or, within the past five
years, a Section 108-guaranteed loan
commitment, must describe the status of
the implementation of those project(s)
assisted with any BEDI or competitive
EDI funds or with any Section 108guaranteed loan funds so approved
within the last five years. An applicant
must address any delays that have been
encountered and the actions it is taking
to overcome any such delays in carrying
out the project(s) in a timely manner.
If HUD has not applied the
performance standard applicable to all
previous BEDI grantees referenced in
Section III.C.1.(c), then for any such
previously funded BEDI or competitive
EDI grant projects, or for those Section
108-guaranteed loan projects committed
within the past five years, HUD will
award more rating points for
applications providing evidence of
achievement of specific measurable
outcomes in carrying out approved
activities funded with such guaranteed
loan or grant funds.
If any of the rating criteria listed
under (a) through (d) above do not apply
to an application, the rating for this
subfactor (1) shall be based solely upon
the other applicable criteria. If the
applicant has no prior relevant
experience, the rating for this Factor
shall be based on the capacity of its
partner(s), if any, as stated below.
(2) Partner Capacity (Up to 10 points).
In response to this subfactor (2), the
applicant should describe the
experience and performance of
subrecipients, private developers and
other businesses, nonprofit
organizations (including grassroots
faith-based and other community-based
organizations), and other entities, if any,
that have a role in implementing the
proposed BEDI/108 program. Applicants
are encouraged to identify specific
economic development or other projects
undertaken by each entity, which reflect
the capacity of each entity to fulfill its
responsibilities under the proposed
brownfields economic development
project, including the location, scale,
and timeframe for completion of other
relevant projects. If there are no third
parties participating with the applicant
in the proposed project, the 10 points
available under this subfactor (2) will be
added to the 10 points available under
subfactor (1), with a maximum of 20
possible points then available under
subfactor (1).
Experience will be judged in terms of
recent (i.e., within the past 5 years) and
successful performance of activities
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relevant to those proposed in the BEDI
application. The more recent and
extensive the positive experience, the
greater the number of points that will be
awarded for this Factor.
In addition to the application, HUD
also may rely on information at hand or
available from public sources such as
newspapers, from performance and/or
monitoring reports, Inspector General or
Government Accounting Office reports
or findings, hotline complaints that
have been proven to have merit, audit
reports, and other reliable public
information in rating this Factor.
Rating Factor 2: Distress/Extent of the
Problem (15 Points Maximum)
This Factor addresses the extent to
which there is need for funding the
proposed activities based on levels of
distress in both the jurisdiction of the
public entity that is the applicant and
the geographic or target area that will
benefit from the project. Applications
will be evaluated on the extent to which
the level of distress for the target area is
documented and compared with
national data and data for the
jurisdiction.
In applying this Factor, HUD will
consider current levels of distress in the
target area, as defined in standard
geographic terms by the applicant. This
may be Census Tract(s) or Block Groups
immediately surrounding the project
site up to a radius of one-half mile, or
it may be the target area to be served by
the proposed project. HUD will also
consider the current levels of distress in
the applicant public entity’s
jurisdiction, if different from the target
area. The applicant should describe the
nature of the distress that the project is
designed to address and the rationale for
its definition of the area to be benefited.
Examples of project beneficiaries may
include: (a) those receiving or using
products or services produced by the
project, and (b) those employed by the
project.
Notwithstanding the above, an
applicant proposing a project to be
located outside the applicant’s
jurisdiction or the target area for which
benefits are claimed could still receive
points under this Factor if a clear
rationale is provided linking the
proposed project location and the
benefits to be derived by persons living
in the target area or the applicant
jurisdiction.
To the extent that the applicant’s
Consolidated Plan, its Analysis of
Impediments to Fair Housing choice
(AI), and/or its Anti-Poverty Strategy
found therein identify the level of
distress in the jurisdiction and the target
area in which the project is to be carried
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out, references to such documents
should be included in preparing the
response to this Factor. Applications
that fail to reference these sources will
receive fewer points under this Factor.
Applicants should provide data that
address the following specific indicators
of distress:
(1) Poverty Rate (Up to 5 points). Data
should be provided in both absolute and
percentage form (i.e., whole numbers
and percents) for both the target area
and the applicant’s jurisdiction as a
whole; an application that compares the
local poverty rate in the following
manner to the national average at the
time of submission will receive points
under this section as follows:
(a) A poverty rate in the target area
that is less than the national average,
but that is greater than the rate for the
applicant’s jurisdiction: (2 points);
(b) A poverty rate in the target area
that is at least equal to, but less than
twice, the national average: (3 points);
(c) A poverty rate in the target area
that is twice or more the national
average: (5 points).
(2) Unemployment Rate (Up to 5
points). An application that compares
the local unemployment rate for the
applicant’s jurisdiction and the target
area in the following manner to the
national average at the time of
submission will receive points under
this subfactor as follows:
(a) An unemployment rate in the
target area that is less than the national
average, but that is greater than the rate
for the applicant’s jurisdiction: (2
points);
(b) An unemployment rate in the
target area that is at least equal to, but
less than twice, the national average: (3
points);
(c) An unemployment rate in the
target area that is twice or more the
national average: (5 points).
(3) Other Indicators of Social and/or
Economic Decline (Up to 5 points).
Applicants should provide other
indicators of social or economic decline
that best capture the applicant’s local
situation. Examples that could be
provided under this section include
information demonstrating the target
area and the jurisdiction’s stagnant or
falling tax base, including recent (within
the last three years) commercial or
industrial closings, downturns or
layoffs; housing conditions, such as the
number and percentage of substandard
and/or overcrowded units; rent burden
(defined as average housing cost divided
by average income) for both the target
area and jurisdiction; local crime
statistics. The response to this subfactor
(3) should paint a picture of the extent
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of need and distress in the target area
and jurisdiction.
HUD requires use of sound and
reliable data (e.g., U.S. Census data,
state statistical reports, university
studies/reports that are verifiable) to
support distress levels cited in each
application. A source for all information
along with the publication or
origination date must also be provided.
Updated Census data are available as
follows for the listed indicators:
Unemployment rate: Unemployment
rates are estimated monthly for
counties, with a two-month lag by the
Bureau of Labor Statistics, while census
tract unemployment rates are available
through the 2000 U.S. Census;
Poverty rate: Poverty rates are
provided through the 2000 U.S. Census
and are estimated every two years, with
a three-year lag. Census and other
relevant data can be accessed through
https://www.ffiec.gov/. In rating
applications under this Factor, HUD
reserves the right to consider sources of
available objective data other than, or in
addition to, those provided by
applicants, in order to compare such
data to those provided by applicants.
Rating Factor 3: Soundness of Approach
(35 Points Maximum)
This Factor addresses the quality and
cost-effectiveness of the proposed plan
for the brownfields economic
development project. Applications that
do not propose the productive reuse of
a specific, identified site or sites and
that do not result in near-term,
measurable economic benefits, such as
projects that involve only the
preparation of a site for potential future
reuse by an unidentified party, or the
capitalization of a loan pool for loans to
unidentified borrowers, will receive
fewer points under this Factor. The
relationship between the proposed site
or sites, the proposed eligible activities
and the community needs and purposes
of the program funding must be clearly
described, as set forth below, in order to
receive points for this Factor. In rating
this Factor, HUD will consider the
following:
(1) Consistency/Appropriateness of
Proposed Activities With Identified
Needs (Up to 3 points). In response to
this subfactor, the applicant should
describe:
(a) the extent to which the proposed
plan for use of BEDI grant/Section 108guaranteed loan funds will address the
needs described in Rating Factor 2
above regarding the distress and extent
of the problem in the target area or area
to be benefited and the long-term benefit
for current residents of the target area.
The applicant should provide a clear
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and quantified explanation of this
relationship;
(b) any unmet needs identified in the
jurisdiction’s Consolidated Plan and
pursuant to Section III.C.4(j) of this
NOFA, any impediments to fair housing
identified in the jurisdiction’s Analysis
of Impediments to Fair Housing Choice,
that will be directly addressed by the
proposed project. See Section III.C.4(j)
of this NOFA for examples of general
affirmative fair housing actions that may
be undertaken to address a jurisdiction’s
Analysis of Impediments to Fair
Housing Choice; and
(c) the activities that will be carried
out with the BEDI grant funds, and the
nature and extent of the brownfields
problem(s) actually or potentially
affecting the site and/or structure(s)
already on the site. This response must
also indicate that the proposed
assistance will not be used to provide
funding to parties to remediate
conditions caused by their own actions
for which they have been determined to
be legally responsible, and that the
proposed brownfields site is not
ineligible, as provided in Section IV.E.4
of this NOFA. This information relates
to a threshold factor as well as a rating
factor, as described in Section III.C.2 of
this NOFA. Applications that fail to
respond satisfactorily to this subfactor
(c) shall not receive funding
consideration.
(2) Eligible Activities and CDBG
National Objectives (Up to 8 points).
The applicant must describe how the
proposed uses of BEDI funds will
qualify as eligible activities under 24
CFR 570.703 governing the Section 108guaranteed loan program, and also will
meet the National Objectives of the
CDBG program under 24 CFR 570.208.
In describing how the proposed uses
will meet the National Objectives of the
CDBG program and the activity
eligibility requirements of the Section
108 program, applications must also
include citations to the specific
regulatory subsections supporting
eligibility of activities and compliance
with National Objectives. (See Section
III.C.1 of this NOFA). This information
relates to a threshold factor as well as
a rating factor, as described in Section
III.C.1 of this NOFA. Applications that
fail to respond satisfactorily to this
subfactor (2) shall not receive funding
consideration.
(3) Project Readiness (12 points
overall, with (a)–(d) worth up to 10
points collectively, and (e) up to 2
points). In responding to this subfactor
(3), the applicant should demonstrate
the extent to which the redevelopment
plan for the brownfields site is logical,
feasible, and likely to achieve its stated
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purpose and the extent to which the
project will directly result in the
productive reuse of the site and the
delivery of near-term, measurable
economic benefits. The applicant’s
response should demonstrate the extent
to which the project is likely to be
completed within a maximum of five
years from the date of the BEDI award
and will produce near-term, measurable
economic benefits. Points for this
subfactor will be awarded based upon
the extent to which the following
critical benchmarks for the
redevelopment plan have been met or
are approaching completion.
(a) Environmental Investigation. This
subfactor (a) will consider the extent to
which the presence or potential
presence of environmental
contamination of the project site is
known or understood. Proposed projects
on sites where the nature and degree of
environmental contamination is not
well-quantified, where no
environmental investigation has
commenced, or that are the subject of
on-going litigation or environmental
enforcement actions will receive fewer
points under this subfactor (a).
Similarly, fewer points will be awarded
to proposed projects at sites with
exceptionally expensive contamination
problems that may be beyond the scope
of the BEDI and Section 108 programs’
financial resources or other resources
firmly committed to the project as
described in the application, and sites
subject to pending and current litigation
that may not be available for
remediation and development or
redevelopment in a time frame that will
produce near-term and measurable
economic benefits through the use of
BEDI and Section 108 funds.
Alternatively, any applicant indicating
the completion of environmental
assessment or review and the issuance
of HUD approval for a Request for
Release of Funds for the project under
24 CFR part 58 will receive more points
under this subfactor.
(b) Site Control. This subfactor (b)
will consider the extent to which
control of the proposed project site has
been secured or is being sought. Points
for this subfactor (b) will be awarded
based upon the degree of site control
secured by the applicant or its
development partner. Projects, for
instance, in which negotiation or
litigation related to site control are
underway or continuing are eligible, but
will receive fewer points than projects
in which an option to purchase has been
secured. Projects in which the applicant
or its development partner has secured
site control through acquisition, longterm lease, eminent domain or other
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means at the time of application will
receive full points under this subfactor
(b). In responding to this subfactor (b),
applicants are encouraged to accompany
their narrative response with a map
indicating the boundaries of the
proposed site or sites on which BEDIassisted improvements are proposed.
Any map included as part of the
application must be submitted in
accordance with the submission
procedures provided for in the General
Section and will not be counted in the
fifteen page limitation on the narrative
response to the Rating Factors as
provided in Section V.A.1(b) of this
NOFA.
(c) Legislative, Regulatory, and Other
Approvals. This subfactor (c) will
consider the extent to which any
required local legislative approvals,
regulatory permits, zoning
classifications, environmental
regulatory approvals, waivers, general,
and special use permits, assessment
district designations, public easements
or rights-of-way, or other similar
approvals have been secured or are
being sought. The greater the number of
outstanding legislative, regulatory, or
other approvals required and not yet
secured, the fewer points will be
awarded. In the case of a CDBG
entitlement unit of general local
government, such as a county,
proposing to undertake a BEDI project
within the jurisdiction of another CDBG
entitlement unit of general local
government, such as a city or other
jurisdiction within that county, the
applicant should also include a letter of
support from the jurisdiction in which
the BEDI project would be located.
(d) User Agreements. This subfactor
(d) will consider the extent to which
any development agreements, tenant
leases, memoranda of understanding, or
other agreements integral to returning
the site to productive reuse and
producing near-term measurable
economic benefits, have been secured or
are being sought. Applicants proposing
projects that do not provide for new
investment by an identified, committed
private entity and the return of a
brownfields site to productive reuse,
with accompanying near-term,
measurable economic benefits, will
receive fewer points under this
subfactor (d).
(e) Delivery of Economic Benefits. The
response to this subfactor (e) must
include the time frame in which the
measurable economic benefits are to be
delivered. For multi-phase projects, the
response to this subfactor (e) must
clearly delineate the different phases of
the project and indicate whether or not
they are to be funded by BEDI/Section
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108 funds. Brownfields economic
development projects that provide nearterm, measurable economic benefits
directly through the creation or
retention of jobs will receive a greater
number of points under this subfactor
(e).
(1) Timeframe for Delivery of
Economic Benefits. In response to this
subfactor (3), the applicant should also
provide a specific schedule (with both
beginning and end dates) for carrying
out the project and identify all interim
measurable benchmarks (acquisition,
demolition, site improvements,
relocation, construction, provision of
jobs mandated under Section 3, as
described in (2) below, etc.) to be
accomplished. The applicant should
also include a proposed schedule for
drawing down all funds necessary to
complete the project, including BEDI
and Section 108 funds.
(2) Intent to Meet Section 3
Requirements. To the extent possible,
applicants must ensure that training,
employment, and other economic
opportunities will be directed to lowand 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, as required
under Section 3 of the Housing and
Urban Development Act of 1968, 12
U.S.C. 1701u (Economic Opportunities
for Low- and Very Low-Income
Persons).
(4) Section 108 Application (Up to 2
points). BEDI applications accompanied
by a request for new Section 108 Loan
Guarantee assistance as evidenced by a
full and complete Section 108
application as provided for in 24 CFR
570.704, and submitted concurrently
under separate cover as provided for in
Section IV.F.3 of the NOFA, will receive
up to two points for this subfactor (4).
BEDI applications accompanied by a
request to use the BEDI grant award in
conjunction with a currently pending
but unapproved Section 108 loan
guarantee application (together with any
amendments needed for consistency
with the BEDI application) for the same
project described in the BEDI
application, will also receive up to two
points under this subfactor (4).
(5) Financial Feasibility/Need (Up to
10 points). The applicant should
demonstrate the economic necessity of
the proposed BEDI and Section 108
funds and the extent to which the
project is not financially feasible in the
absence of such funds. In responding to
this subfactor (5), applicants are
encouraged to accompany their
narrative response, as appropriate, with
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development and operating ‘‘pro
formas’’ or similar analyses of the
proposed project financing. Such pro
forma or other financial analysis will
not be counted in the fifteen-page
limitation on the narrative response to
the Rating Factors as provided in
Section V.A.1(b) of this NOFA. In the
narrative response, applicants must
clearly address the question of why the
BEDI funds are critical to the success of
this project by providing the following
items:
(a) Use of BEDI and Section 108
Funds to Fill Financing Gaps. The
applicant must provide an economic
rationale that demonstrates how the use
of the BEDI and Section 108 funds will
directly impact the financial feasibility
of the proposed project. The response
should discuss the critical gaps that
exist in financing the proposed project,
why those gaps exist and how the BEDI
and Section 108 funds will be used to
fill those gaps. The narrative response,
including any pro forma or similar
analysis, should demonstrate how the
proposed BEDI and Section 108
financing will yield economic benefits
critical to the success of the project,
including, for example, increased rates
of return or debt coverage ratios,
reduced rents or other similar financial
outcomes necessary to attract private
investment.
(b) Project Costs and Financial
Requirements. A funding sources and
uses statement must also be provided
that specifies the source of funds for
each identified use or activity (Exhibit
C of form HUD–40123), along with the
derivation of project costs.
Rating Factor 4: Leveraging Resources
(15 Points Maximum)
In evaluating this Factor, HUD will
consider the extent to which the
response demonstrates the likelihood
that the project will leverage both
Section 108 loan and other public or
private funds as part of the total project
resources. Points for this Factor will be
awarded in two parts, for the following:
(1) Leverage of Section 108 funds (Up
to 8 points). The minimum ratio of
Section 108 funds to BEDI funds in any
project may not be less than 1:1. Points
will be awarded based upon the extent
to which the proposed project leverages
an amount of Section 108 funds greater
than a 1:1 ratio. If the application has a
ratio of 1:1, it will not receive any
points under this subfactor. The higher
the ratio of additional new Section 108
funds to BEDI funds proposed in an
application, the more points it will
receive under this subfactor. (See
Sections II.C.1 and Section VI.B.1(a) of
this NOFA regarding the conditioning of
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BEDI awards on achievement of a
specific BEDI/Section 108 leveraging
ratio.)
(2) Leverage of Other Financial
Resources (Up to 7 points). HUD will
evaluate the extent to which other funds
(public or private) are leveraged by BEDI
grant funds, and the extent to which
such other funds are firmly committed
to the project. This could include the
use of CDBG funds, other federal or state
grants or loans, local government
general funds, project equity or
commercial financing provided by
private sources or funds from nonprofit
organizations or other sources. In order
to receive points for other public and
privately committed funds under this
subfactor (2), letters of firm
commitment, evidence of financial
capacity and, for CDBG funds, the
resolution of the local governing body,
must be submitted for the proposed
BEDI project in accordance with the
submission procedures for third party
documents provided in Section IV.F. of
the General Section. In addition:
(a) Applicants must provide evidence
that there is a firm commitment for such
funds as defined in Section I.C. of this
NOFA.
(b) If a commitment is to be selffinanced, such as a commitment by a
private developer to provide a specified
amount of equity investment in the
project, the party making that
commitment must evidence its financial
capacity through the submission of a
corporate or personal financial
statement or other appropriate means in
order to receive points under this
subfactor (2).
(c) For Applicants Committing CDBG
Funds: In order for an applicant’s
commitment of CDBG funds to be
accepted by HUD as additional
financing for a BEDI project, a
resolution from the local governing
body (e.g., city/borough council)
authorizing the amount and permitted
uses of the funds must be provided.
All such funds may also be committed
subject to completion of a satisfactory
environmental review required under 24
CFR Part 58 for the project for purposes
of this section.
Rating Factor 5: Achieving Results and
Program Evaluation (15 Points
Maximum)
This Factor emphasizes HUD’s
commitment to ensuring that applicants
maintain commitments made in their
applications and assess their
performance to ensure that performance
goals are met. This Factor also evaluates
the extent to which the results of the
proposed BEDI project will address the
policy priorities of the Department. In
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addition to a narrative response,
applicants must complete the logic
model provided in the General Section
(form HUD–96010) in order to receive
points under this Factor. Applicants
seeking policy priority points for the
removal of regulatory barriers to
affordable housing as provided for in
subfactor (2)(v) of this Factor, must also
complete form HUD–27300.
(1) Performance Measurement Plan
(Up to 12 points). HUD requires
applicants to develop an effective,
quantifiable, outcome oriented
performance measurement plan for
assessing performance and determining
that BEDI project goals have been met.
The applicant’s response to this
subfactor (1) should identify: (a) Each of
the specific project outcomes for the
proposed BEDI project; (b) all interim
benchmarks or outputs of the project
and the associated time frames for
meeting each interim benchmark or
output, i.e., the near-term measurable
economic benefits to be achieved, such
as the number of jobs created or retained
and the time frame for creation or
retention; and (c) the performance
indicators selected by the applicant to
measure its achievement of the
identified project outputs and project
outcomes. The performance indicators
selected by the applicant should be
objectively quantifiable and measure
actual achievements against anticipated
results. The response to this subfactor
(1) should identify what will be
measured, how it will be measured, and
the procedures or plans that are in place
to make adjustments to the project
redevelopment plan if performance
targets are not met within established
time frames.
In response to this subfactor (1),
applicants should address any of the
applicable outcomes or ultimate goals
identified for the BEDI project.
Examples of such outcomes or goals
include increased property values, or
home sales prices, as a result of a series
of coordinated neighborhood activities;
the amount of increased wages resulting
from the creation or retention of jobs;
increased business sales volume in
revitalized neighborhoods; or the
amount of any increased land value that
results from the BEDI project.
Applicants should propose quantifiable
outcomes or goals related to the benefits
expected for the neighborhood or for
persons assisted, as part of the
evaluation plan.
(2) Policy Priorities (Up to 3 points).
The applicant’s response to this
subfactor (2) should address how the
project will address any of the following
policy priorities of the Department, as
further detailed in Section V.B. of the
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General Section. A maximum of three
points shall be awarded to applicants
that demonstrate how the proposed
BEDI project addresses two or more of
the following policy priorities, with the
number of points afforded to each
policy priority indicated below:
(a) The extent to which the proposed
project will improve the quality of life
in the nation’s communities, by bringing
private capital to distressed
communities (1 point);
(b) The extent to which the proposed
project will finance business
investments that will grow new
businesses or maintain and expand
existing businesses (1 point);
(c) The extent to which the proposed
project will create decent jobs for lowincome persons (1 point);
(d) The extent to which the project
will increase affordable housing and
homeownership opportunities in
environmentally healthy and revitalized
neighborhoods for low- and moderateincome persons, persons with a
disability, the elderly, minorities, and
persons with limited English
proficiency (1 point);
(e) The extent to which the project
will assist in breaking down regulatory
barriers that impede the availability of
affordable housing, accompanied by
form HUD–27300). To receive points for
this factor the applicant must submit the
required documentation or reference to
a URL(s) where the information can be
found. (up to 2 points); and,
(f) The extent to which the project
will utilize energy-efficient solutions in
the design or operating phases,
including the purchase and use of
Energy Star-labeled products and/or
combined heat and power (CHP, or
cogeneration) in buildings, where
applicable.) (See Section V.B of the
General Section, Promoting Energy
Efficiency and Adopting Energy Star, for
more information (1 point).
3. Bonus Points
An application may receive up to four
bonus points, until the maximum of
four points are achieved. Two bonus
points may be awarded for each of the
following:
a. HUD will award two bonus points
to each application that includes a valid
form HUD–2990 certifying that the
proposed activities/projects in the
application are consistent with the
strategic plan for an empowerment zone
(EZ) designated by HUD or the United
States Department of Agriculture
(USDA), the tax incentive utilization
plan for an urban or rural renewal
community designated by HUD (RC), or
the strategic plan for an enterprise
community designated in Round II by
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USDA (EC–II), and that the proposed
activities/projects will be located within
the RC/EZ/EC–II mentioned above and
are intended to serve the residents of the
Zone. A listing of the RC/EZ/EC–IIs is
available on the Internet at https://
www.hud.gov/cr;
b. Two bonus points will also be
awarded for projects that are located in
Brownfields Showcase Communities
designated by EPA. A list of the
federally designated Brownfields
Showcase Communities is available
from the SuperNOFA Information
Center or through the HUD website,
https://www.hud.gov.
B. Reviews and Selection Process
1. Reviews and Selection Process. All
applications meeting BEDI program and
other threshold requirements will be
rated under the selection criteria in
Section V.A. of this NOFA. Applications
will be selected for funding as follows:
a. Fundable BEDI grant applications
must meet the program threshold and
submission requirements of this NOFA
and the other threshold requirements
stipulated in Section III.C. of the
General Section or they will not be
ranked.
b. All BEDI grant applications that
meet threshold requirements will be
ranked separately in order of points
assigned with the applications receiving
more points ranked above those
receiving fewer points.
c. In the event two or more
applications are given the same score,
but there are insufficient funds to fund
all of the tied applications, the
application(s) with the highest score(s)
on Rating Factor 3 shall be selected. If
there is still a tie, the following Factors
will be considered sequentially, with
the application having the high score on
each Factor in the following order
taking precedence until the tie is
broken: Rating Factor 1, Rating Factor 2,
Rating Factor 4, and Rating Factor 5.
d. Fundable BEDI applications will be
funded in rank order until the total
aggregate amount of the approvable
applications funded is equal to the
maximum amount available in the
competition (subject to the limitations
described in Section II.C above).
e. In the event an insufficient number
of applications meeting the program
thresholds are received to award the full
amount of BEDI funds appropriated and
available under this NOFA, HUD may
consider for funding those applications
that did not meet the performance
standards found in Section III.C.1.(c)
above.
2. Corrections to Deficient
Applications. Section V.B. of the
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General Section provides the procedures
for corrections to deficient applications.
Agreement, and the issuance of the
Section 108 Loan Guarantee Note.
C. Anticipated Announcement and
Award Dates
3. Applicant Debriefing
Historically, BEDI awardees have
been notified of the approval of BEDI
applications within approximately 90
days of the application deadline.
VI. Award Administration Information
A. Award Notices
1. Notice of Award and Obligation
BEDI award recipients will receive
written notice of approval of their
applications and the related terms and
conditions of the award. An authorized
official of the applicant receiving a BEDI
award will be required to sign and
return an acceptance of the BEDI award.
BEDI funds shall be obligated for an
approved application upon the return of
a signed acceptance of the award to
HUD and a countersignature of that
acceptance by an authorized HUD
official.
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2. Award Disbursements and
Amendments
a. Timing of Section 108 Approval
and BEDI Grant Disbursements.
(1) To the extent a full and complete
Section 108 application is submitted
with the BEDI grant application, HUD
will evaluate the Section 108
application immediately following the
competition for BEDI grant funds. Note
that for those applicants that are granted
a waiver to the electronic submission
process, the 108 application must be
submitted to the appropriate HUD field
office concurrently with submission to
Headquarters.
(2) Notwithstanding any earlier
obligation or award of BEDI funds to a
grantee, or execution of a grant
agreement, HUD will not permit the
grantee to draw down BEDI funds before
the issuance and at least partial funding
of the obligations evidencing the related
Section 108-guaranteed loan.
(3) Pursuant to the Consolidated
Appropriations Act, 2005 (under the
‘‘Brownfields Redevelopment’’ heading)
and 31 U.S.C. 1552, FY 2006 BEDI funds
must be obligated (i.e., awarded) by
HUD by September 30, 2007, and must
be disbursed by HUD to the grantee by
September 30, 2012. HUD reserves the
right, however, to require earlier
disbursement under a BEDI grant
agreement. Accordingly, a BEDI
awardee must ensure the timely
submission of its Section 108 Loan
Guarantee application, the execution of
the Section 108 Contract for Loan
Guarantee Assistance and BEDI Grant
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Section VI.A. of the General Section
provides information on applicant
requests for a debriefing. Applicants
requesting to be debriefed must send a
written request to the contact person for
the BEDI program, Mr. William
Seedyke, at the address listed in Section
VII of this NOFA.
B. Administrative and National Policy
Requirements
1. Terms and Conditions
a. Ratio of BEDI to Section 108 Loan
Guarantee Funds. Because the proposed
ratio of BEDI funds to Section 108 funds
presented in an approved BEDI
application represents an applicant’s
financial commitment to a BEDI project,
HUD will condition the BEDI grant
award on the grantee’s achievement of
that specific ratio. The failure of the
grantee to meet that condition by
obtaining timely HUD approval of a
commitment for, and issuance of, the
required Section 108 guaranteed
obligations ratio may result in the
cancellation and recapture of all or a
proportionate share of the BEDI grant
award.
b. Approval of Section 108 Loan
Guarantee Application and
Disbursement of Funds. As a condition
of any award under this NOFA, if the
related Section 108 application has not
been submitted and approved within 10
months of written HUD notification of
selection for potential funding under
this NOFA, HUD may deobligate the
BEDI funds. BEDI grant awards and
grant agreements will contain
conditions requiring grantees to adhere
to time frames mutually agreed on by
the applicant/grantee and HUD for
implementing proposed projects and
drawing Section 108 and BEDI funds. If
BEDI grant funds and Section 108 loan
proceeds are not disbursed to the
applicant within the time frames
specified in the BEDI grant agreement,
HUD reserves the right to cancel the
award and recapture all or a portion of
the BEDI funds, as applicable under the
grant agreement.
c. BEDI Application Amendments.
Any modifications or amendments to an
application approved pursuant to this
NOFA, whether requested by the
applicant or by HUD, must be within
the scope of the approved original BEDI
application in all respects material to
rating the application, unless HUD
determines that the revised application
remains within the competitive range
and is otherwise approvable under this
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NOFA. In addition, if the applicant
proposes an amendment after the period
during which appropriated funds are
available for obligation (for FY2006
BEDI funds, after September 30, 2007),
HUD will be unable to approve any
amendment which materially changes
the scope, purpose, or need for the
original award, as determined by HUD.
In such a case, the unused BEDI funds
must be deobligated and returned to the
U.S. Treasury.
2. Environmental Justice
a. Executive Order 12898 (Federal
Actions to Address Environmental
Justice in Minority Populations and
Low-Income Populations) directs federal
agencies to develop strategies to address
environmental justice. Environmental
justice seeks to rectify the
disproportionately high burden of
environmental pollution that is often
borne by low-income, minority, and
other disadvantaged communities, and
to ensure community involvement in
policies and programs addressing this
issue.
b. HUD expects that projects
presented for BEDI funding will
integrate environmental justice concerns
and provide measurable economic
benefits for affected communities and
their current residents for the long term.
3. Economic Opportunities for Low- and
Very Low-Income Persons (Section 3)
Recipients of assistance under this
NOFA must comply with Section 3 of
the Housing and Urban Development
Act of 1968, 12 U.S.C. 1701 (Economic
Opportunities for Low- and Very 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
housing, and business concerns that
provide economic opportunities to lowand very low-income persons.
4. Other National Requirements
BEDI applicants are directed to the
Section III.C of the General Section,
which provides the statutory,
regulatory, threshold, and public policy
requirements applicable to all HUD
grantees. In particular, BEDI applicants
should carefully review provisions
relating to Executive Order 13202
(Preservation of Open Competition and
Government Neutrality Toward
Government Contractors’ Labor
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Relations on Federal and Federally
Funded Construction Projects) and
federal laws governing the procurement
of recovered materials.
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C. Reporting
CDBG regulations at 24 CFR 570.507
(for metropolitan city and urban
counties) and 24 CFR 570.491 (for state
grantees) require the submission of a
Consolidated Annual Performance
Evaluation Report (CAPER) describing
the use of CDBG funds during the
program year. 24 CFR 570.3 defines
CDBG funds to include BEDI grants, and
accordingly, grantees must report
specifically on the use of BEDI grant
funds and Section 108 loan guarantee
proceeds in the CAPER. CAPER
requirements for the collection and
reporting of racial and ethnic data also
apply to the use of BEDI and Section
108 guaranteed loan proceeds. These
data are to be reported in the CAPER
using the Race and Ethnic Data
Reporting form (HUD–27061). For each
reporting period, as part of the required
report to HUD, grant recipients must
also include a completed Logic Model
(form HUD–96010), which identifies
output and outcome achievements and
responses to the management questions.
For FY2006, HUD is considering a
new concept for the Logic Model. The
new concept is a Return on Investment
statement. HUD will be publishing a
separate notice on the ROI concept.
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VII. Agency Contact
For technical assistance in completing
your registration with Grants.gov or in
using the electronic application, please
contact the Grants.gov Support Desk by
calling 800–518–GRANTS or by sending
an email to Support@Grants.gov. For
assistance with program related
questions, please contact William
Seedyke, BEDI Program Coordinator;
Office of Economic Development; U.S.
Department of Housing and Urban
Development; 451 Seventh Street, SW,
Room 7140; Washington, DC 20410;
telephone (202) 708–3484, extension
4445 (this is not a toll-free number).
Hearing or speech challenged persons
may call the Federal Information Relay
Service at 800–877–8339 (this is a tollfree number). Before the application
submission date, HUD staff will be
available to provide general guidance
and assistance about this BEDI NOFA.
However, HUD staff is not permitted to
assist in preparing a BEDI application.
Following selection of applicants, but
before awards are made, HUD staff are
available to assist in clarifying or
confirming information that is a
prerequisite to the offer of an award by
HUD. In addition, the Section 108 Loan
Guarantee program is not a competitive
program and therefore is not subject to
those provisions of the HUD Reform Act
pertaining to competitions that do not
permit HUD staff to assist in the
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preparation of applications. HUD staff
are available to provide advice and
assistance to develop Section 108 loan
applications.
VIII. Other Information
Paperwork Reduction Act
The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520) and
assigned OMB control number 2506–
0153. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to,
a collection of information unless the
collection displays a current OMB
control number. Public reporting burden
for the collection of information is
estimated to average 2000 hours per
annum per respondent for the
application and grant administration.
This includes the time for collecting,
reviewing and reporting the data for the
application and for the annual report.
The information will be used for grantee
selection and monitoring and the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
BILLING CODE 4210–01–P
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Full Text of Announcement
Overview Information
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Youthbuild
I. Funding Opportunity Description
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 is 2506–0142.
The Federal Register number is FR–
5030–N–07.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): 14.243,
Youthbuild Program.
F. Dates: The application deadline
date is on or before June 9, 2006. 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
$46,035,000 in appropriated funds and
carry over is available for Fiscal Year
(FY) 2006, 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, state or local housing
agencies or authorities, state or units of
local government, or any entity eligible
to provide education and employment
training under other federal
employment training programs, as
further defined in HUD’s regulation at
24 CFR 585.4.
4. Match. None.
A. Program Description
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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;
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 including:
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
1. Rural Area. A rural area is defined
in one of five ways:
a. A non-urban place having fewer
than 2,500 inhabitants (within or
outside of metropolitan areas).
b. A county or parish with an urban
population of 20,000 inhabitants or
fewer.
c. Territory, including its persons and
housing units, in rural portions of
‘‘extended cities.’’ The Census Bureau
identifies the rural portions of extended
cities.
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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 $ 46,035,000 in
funding is made available for this FY
2006 Youthbuild NOFA, which includes
any carry over from previous
appropriated funds, plus any FY 2006
funds appropriated by Congress, plus
any funds available through recapture,
minus any amount needed to correct
errors.
B. Authority
This program is authorized under
subtitle D of title IV of the CranstonGonzalez 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 $ 46,035,000
on a competitive basis. Funds will be
divided among three categories of grants
as described below. Pursuant to section
402 of the Cranston-Gonzalez National
Affordable Housing Act (42 U.S.C.
12870), in each fiscal year, the Secretary
shall reserve five percent of the amounts
available for activities for technical
assistance, as described in section 458
(42 U.S.C. 12899g).
1. Category 1 Grants. New Applicants.
HUD will award up to $4,800,000 for
new applicants that have not previously
received implementation grants since
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the inception of the Youthbuild Program
and that have elected not to apply under
Category 2 or 3.
2. Category 2 Grants. Grants up to
$700,000. HUD will award up to
$37,275,000. Any eligible applicant can
apply in Category 2.
3. Category 3 Grants. Underserved
and Rural Areas. HUD will award
approximately $3,960,000 for grants to
organizations serving clients in
underserved and rural areas as defined
in this NOFA.
4. Selection of Category. You must
indicate in your project abstract which
funding category you are applying for.
Category 3 applicants 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. 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, state or local housing
agencies or authorities, states or units of
local government, or any entity eligible
to provide education and employment
training under other federal
employment training programs as
further defined in HUD’s regulation at
24 CFR 585.4.
B. Cost Sharing or Matching
No match required.
C. Other
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1. Eligible Activities
a. Work and activities associated with
the acquisition, architectural design and
engineering, rehabilitation or
construction of housing, as defined in
HUD’s regulations at 24 CFR 585.305.
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 and
in-house staff training;
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
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counseling, and assistance programs for
those with learning disabilities;
e. Outreach to potential participants;
f. Wages, benefits, and need-based
stipends for participants; and
g. Administrative costs must not
exceed eight percent of the grant award,
as required by the FY 2006 Consolidated
Appropriations Act. 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 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.
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 program must contain the
three components described as follows:
(1) Educational and job training
services;
(2) Leadership training, counseling,
and other support activities; and
(3) On-site training through actual
housing rehabilitation and/or new
construction work.
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
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 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,
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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
submit your application on line using
https://www.grants.gov and to receive an
award from HUD.
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 as 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
identified in the instructions section of
the Youthbuild NOFA located
at https://www.hud.gov/offices/adm/
grants/fundsavail.cfm are exceeded if
HUD determines that it cannot conduct
the environmental review and
satisfactorily complete the review
within the HUD application review
period. (See 24 CFR 585.307.) You must
indicate, as part of your application
package if your project will, or will not,
include construction, rehabilitation,
leasing or acquisition activities that will
require an environmental compliance
review as detailed in the instructions
section of the Youthbuild NOFA.
Environmental thresholds that are
explained in the instructions section
require that forms 2C13a, 2C13b, or
2C13c and 2C15 be completed if you are
proposing construction, rehabilitation,
leasing or acquisition activities with
HUD funds.
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.
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 2006 Youthbuild
grant.
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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, you may not select sites
that will exclude or have the effect of
excluding qualified persons with
disabilities, or otherwise subject them to
discrimination.
c. New Construction, Substantial
Alterations, or Other Alterations. If you
undertake New Construction,
Substantial Alterations, or Other
Alterations, it must conform to the
accessibility standards outlined in the
regulations implementing the
Rehabilitation Act of 1973 at 24 CFR
part 8, specifically §§ 8.22, 8.23(a) and
§ 8.23(b). In addition, if you undertake
construction of multifamily housing
with four or more dwelling units, you
must also meet the design and
construction requirements of the Fair
Housing Act. See 24 CFR part 100, at
§ 100.205.
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. 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 are 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 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 development costs.
Environmental procedures do not apply
to your application when you propose
to use Youthbuild funds solely to cover
costs for classroom and/or on-the-job
construction training and support
services.
You must indicate, as part of your
application package if your project will,
or will not, include construction,
rehabilitation, leasing or acquisition
activities that will require an
environmental compliance review as
detailed in the instructions section at
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm. If your project is subject
to an environmental compliance review,
you must submit the relevant
information in the required forms as
part of your application package to
facilitate HUD’s decisionmaking in
accordance with the environmental
procedures and standards set forth in
HUD’s regulation at 24 CFR 585.307.
The Website link contains the detailed
description and relevant forms of all
environmental laws and rules that
apply—the National Environmental
Policy Act, the National Historic
Preservation Act, the Clean Water and
Clean Air Acts, the Endangered Species
Act, the Scenic Rivers Act, national
floodplain and wetland policies,
national flood insurance requirement,
Coastal Barriers Resource Act, and HUD
noise and explosive hazards policies.
IV. Application and Submission
Information: (See the General Section)
A. Addresses To Request Application
Package
There is no application kit for the
FY2006 Youthbuild NOFA. This NOFA
clearly describes the requirements for
completing a successful application and
all forms and certifications needed to
complete your application are included
in the General and Youthbuild Sections
of the SuperNOFA, which can be
downloaded from https://
www.Grants.gov/Apply.
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 narrative responses to all factors
identified in Section V of this 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. Submitting pages
in excess of the page limit will not
disqualify your application. However,
HUD will not review or consider
information on any excess pages.
2. Application Items
Your application must contain the
items listed below including the
standard forms, certifications, and
assurances listed in the General Section
that are applicable to this funding. The
standard forms and the program specific
forms or information needed to evaluate
your application can be found at
Grants.gov or https://www.hud.gov.
General letters of support not associated
with specific cash or in-kind
commitments have no bearing on the
rating of your application.
Required content
Required form or format
Project abstract ...............................
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What to submit
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.
.......................................................
Narrative .......................................
Application deadline date.
SF–424 .........................................
Application deadline date.
Application .......................................
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What to submit
Required content
Required form or format
Survey on Ensuring Equal Opportunity for Applicants.
Budget information ..........................
.......................................................
SF–424 supplement .....................
Application deadline date.
Total Youthbuild Grant Budget ....
Youthbuild Form 4A (HUD–
40211.6).
Narrative and Youthbuild Form
4B (HUD–40211.7).
Youthbuild Form 4B (HUD–
40211.7).
Application deadline date.
Application deadline date.
Described in Section V of this announcement and form instructions.
Required for all applicants ...........
HUD–96010 ..................................
Application deadline date.
HUD–2880 ....................................
Application deadline date.
Required if applicant has lobbied
SF–LLL (use SF–LLL–A Continuation Sheet if needed).
HUD–2990 ....................................
Application deadline date.
HUD–2991 ....................................
Application deadline date.
HUD–2993 ....................................
Application deadline date.
HUD–2994–A ...............................
Application deadline date.
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 applicable).
Certification of Consistency with
RC/EZ/EC–II Plan.
Certification of Consistency with
Consolidated Plan.
Acknowledgment of Application Receipt.
You Are Our Client Grant Applicant
Survey.
Described in Section V of this announcement.
Described in Section V of this announcement.
If applying for RC/EZ/EC Round II
bonus points.
Required .......................................
Optional if applicant has been
granted a waiver of the mandatory electronic submission and
is submitting a paper application.
Optional, to help HUD improve its
NOFA process.
When to submit
Application deadline date.
Application deadline date.
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).
.......................................................
HUD–40211 ..................................
Application deadline date.
.......................................................
HUD–40211.1 ...............................
Application deadline date.
.......................................................
.......................................................
Application deadline date.
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 ......................
.......................................................
HUD–40211.2 ...............................
Application deadline date.
.......................................................
HUD–40211.3 ...............................
Application deadline date.
.......................................................
HUD–40211.4 ...............................
Application deadline date.
.......................................................
HUD–40211.5 ...............................
Application deadline date.
.......................................................
HUD–27300 ..................................
Application deadline date.
To be used when submitting third
party letters or other documents that you cannot attach
as an electronic file to your application.
HUD–96011 ..................................
On or before the
deadline date.
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C. Submission Dates and Times
Applications must be received and
validated by Grants.gov no later than
11:59:59 p.m. Eastern time on the
application deadline date of June 9,
2006. HUD must receive paper copy
applications from applicants that
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received a waiver no later than 11:59:59
p.m. on the application deadline date.
See the General Section for application
submission and timely receipt
procedures.
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application
D. Intergovernmental Review
The Youthbuild program is subject to
Intergovernmental Review under
Executive Order 12372,
‘‘Intergovernmental Review of Federal
Programs.’’ See the General Section for
further discussion of the Executive
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Order and HUD’s implementing
regulations.
E. Funding Restrictions
Administrative costs must not exceed
eight percent of the grant award.
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V. Application Review Information
The factors for rating and ranking
applicants are provided below. The
maximum number of points for the
program is 102. This includes two
bonus points, as described in Section V.
F below.
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 Youthbuild
program in accordance with your work
plan as further described in Factor 3.
HUD will evaluate information provided
documenting recent capability.
Experience within the last 5 years is
considered recent. HUD will take into
account the applicant’s past
performance and may deduct points for
previous inability to demonstrate
performance. 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 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).
You should provide a clear description
of how your organizational structure
will operate to carry out your work plan.
You should describe the structure of
your organization (include an
organizational chart), management
structure, including reporting
relationships of key staff, a system for
coordinating with outside contractors or
third party service providers, a
mechanism for an internal and external
auditing relationship, in accordance
with OMB Circular (No. A–133),
‘‘Audits of State and Local Governments
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and Non-Profit Organizations,’’ and an
accounting system which meets federal
accounting system requirements.
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) and job retention statistics;
number of youths participating in
apprenticeships and number of housing
units rehabilitated or constructed and
made available for low- and very lowincome persons. Previously generated
outcomes should include the following:
(1) Percent that 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 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 score for this Factor.
Applicants that have been slow to draw
funds and therefore appear not to be
making progress in completing their
program activities will receive lower
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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 (21 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. 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. 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.
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 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
point
(2) Equal to but less than twice the
national average—1 point
(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
point
(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
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(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 (8 points)—
for the project area;
(1) Less than the national average—0
point
(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—7points
(6) Five or more times the national
average—8 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 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. When rating applications HUD
reserves the right to consider sources of
available objective data, such as the U.S.
Census, 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
including the publication or origination
date must be provided. Updated Census
data are available as follows for the
listed indicators: a. Unemployment
rate—estimated monthly, with a twomonth lag; b. High School Dropout rate
using the status rate—2000 data; c.
Poverty rate—2000 Census data at the
tract level.
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C. Rating Factor 3: Soundness of
Approach (37 Points)
This Factor addresses your proposed
workplan and budget and the extent to
which your proposed program is
coordinated with other ongoing and
related activities in the area you propose
to serve and how well your program
outcomes result in increased
independence and empowerment to
your beneficiaries at the conclusion of
the grant period. HUD will evaluate the
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extent to which your application meets
the following elements:
1. Youthbuild Program Work Plan:
For each component, HUD will consider
the overall quality and feasibility of
your proposed work plan and budget
that must be consistent with the
Youthbuild program as measured by
your specific activities and outcomes.
You will receive a greater number of
points if the program components are
consistent with the purpose of the
Youthbuild program, your project goals
and the resources provided. Letters
describing specific resources or services
to be contributed by non-applicant
organizations must be included in your
application.
Specifically, HUD will consider the
following categories when assessing
your proposed work plan:
a. Program Components. (15 points)
(1) Outreach strategy, recruitment
strategy, and selection activities. Points
will be awarded based upon overall
quality and feasibility of the outreach,
recruitment and selection activities, the
number and types of outreach activities,
number of youths to be recruited
including eligible participants who are
harder to reach and comprehensiveness
of the local selection process.
In evaluating this category, HUD will
consider your selection strategies and
your specific outreach efforts to recruit
or contact:
(a) Potential eligible participants who
are unlikely to be aware of this program
(because of race, color, national origin,
religion, ethnicity, sex, or disability);
(b) Young women, young women with
dependent children, and persons
receiving public assistance; and
(c) Public agencies, courts, homeless
shelters, local school systems, local
workforce development systems, 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.
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(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
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) Qualification and number of onsite supervisors;
(c) Ratio of trainers to participants;
(d) Number of participants per site;
and
(e) Amounts, wages, and/or stipends
you will pay to participants during onsite 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 post-
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secondary or secondary education; and
(c) proposed number of youths to
receive entrepreneurship training.
(2) For Youthbuild grantees who have
grants that are at least 24 months old. In
addition to the information in section
V.C.2.b(1) above, provide the actual
number of program participants that met
each criterion in section V.C.2.b(1)(a),
V.C.2.b(1)(b) and V.C.2.b(1)(c) as a
percent of the total program participants
served.
2. 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.
b. Self-Sufficiency (1 point). Describe
how your program will provide
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.
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.
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
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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 receive 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 FY2006
Youthbuild funds and state a
willingness on the part of the signatory
to sign a legally binding commitment
not earlier than the date this NOFA is
published and (conditioned on HUD’s
environmental review and approval of a
property, where applicable) upon award
of the grant.
d. Policy Priorities (5 points). Policy
Priorities are further defined in the
General Section. Applicants should
document the extent HUD’s policy
priorities for Youthbuild listed below
are enhanced by the proposed activities.
Applicants that include activities that
can result in the achievement of these
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11893
departmental policy priorities, will
receive higher rating points. The four
departmental policy priorities for
Youthbuild are:
(1) Ending chronic homelessness (1
point);
(2) Removal of regulatory barriers to
affordable housing (up to 2 points) 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). Applicants must state how they
incorporate this priority into their
application in order to receive the one
point.
(4) Encouraging Accessible Design
Features—Visitability and Universal
design. (1 point). Applicants must state
the extent to which the proposed design
incorporates visitability standards and
universal design in projects involving
construction or rehabilitation. See the
General Section for further information
about this policy priority.
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.
HUD will consider the level of
resources obtained for cash or in-kind
contributions to cover the following
kinds of areas:
• 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.
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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 ensure 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.
Performance indicators are the
quantifiable measures of proposed and
actual achievements. Benchmarks or
outputs are interim activities or
products that lead to the ultimate
achievement of your goals. Performance
measurement requires that you identify
program outcomes, interim products or
benchmarks, and performance
indicators that will allow you to assess
your performance. Performance
indicators must be quantified and
measure actual achievements against
anticipated achievements. You should
identify what you are going to measure,
how you are going to measure it, and the
steps you have in place to make
adjustments to your work plan if
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performance targets are not met within
established timeframes. Applicants are
required to complete the Logic Model
form HUD–96010 to receive any points
under this factor. This rating factor
reflects HUD’s goal to embrace high
standards of ethics, management and
accountability.
The highest rated applications under
this factor will have a clear plan with
measurable performance indicators to
address the Youthbuild program’s
outcome goals—to provide
economically disadvantaged youth with
opportunities to attain an educational
experience that will enhance their
employment skills as a means of
achieving self-sufficiency. The
application may also optionally address
other related indicators of relevant
outcomes.
At a minimum, your Logic Model
must include the following program
output measures:
• 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 GEDs 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 graduates who have entered
employment or enrolled in post
secondary education; denominator: the
number of graduates from the
Youthbuild program); and
• Number and percentage of
participants 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
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evaluation by making staff available for
interview, providing lists of participants
and their contact information, and
making available files under appropriate
assurance of confidentiality of records.
For FY2006, HUD is considering a
new concept for the Logic Model. The
new concept is a Return on Investment
statement. HUD will be publishing a
separate notice on the ROI concept.
F. Bonus Points (2 Points)
HUD will award two bonus points to
each application that includes a valid
form HUD–2990 certifying that the
proposed activities/projects in the
application are consistent with the
strategic plan for an empowerment zone
(EZ) designated by HUD or the United
States Department of Agriculture
(USDA), the tax incentive utilization
plan for an urban or rural renewal
community designated by HUD (RC), or
the strategic plan for an enterprise
community designated in round II by
USDA (EC–II) and that the proposed
activities/projects will be located within
the RC/EZ/EC–II identified above and
are intended to serve the residents. A
listing of the RC/EZ/EC–IIs is available
on the Internet at https://www.hud.gov/
cr. Your application must contain the
completed certification form HUD–2990
to be considered for RC/EZ/EC–II bonus
points.
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 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
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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. 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
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A. Award Notices
1. 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 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 request
to: Youthbuild Program Office; Office of
Economic Development; Office of
Community Planning and Development;
451 Seventh Street, SW., Room 7136;
Washington, DC 20410–7000. 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.
2. Applicable Executive Orders and
Statutes. Please note that Executive
Order 13202, ‘‘Preservation of Open
Government Neutrality Towards
Government Contractors’ Labor
Relations on Federal and Federally
Funded Construction Contracts’’ and
Section 6002 of the Solid Waste
Disposal Act covering the procurement
of recovered materials may be
applicable (see the General Section.)
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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 English
Proficiency,’’ 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 was
published in the Federal Register (68
FR 70967) 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
required to submit progress reports to
the appropriate HUD field office in
accordance with 24 CFR Part 585.403,
using HUD Form 40201. If you receive
a FY 2006 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. See Logic Model information in
the General Section.
b. Racial and Ethnic Data reporting.
HUD requires that funded recipients
collect racial data and ethnic beneficiary
data. HUD has adopted the Office of
Management and Budget’s Standards for
the Collection of Racial and Ethnic Data.
In view of these requirements, 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.
VIII. Agency Contact(s)
For technical assistance in
downloading an application package
from Grants.gov/Apply, contact the
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Grants.gov help desk at 800–518–Grants
or send an e-mail to support@grants.gov.
For programmatic information
concerning the 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 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.
BILLING CODE 4210–01–P
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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 (HCV) Family
Self-Sufficiency (FSS) Program
Coordinators.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number is FR–5030–N–
14. 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: The application deadline
date is May 16, 2006. Please see the
General Section for timely receipt
requirements.
G. Additional Overview Content
Information: The purpose of the HCV
FSS program is to promote the
development of local strategies to
coordinate the use of assistance under
the HCV program with public and
private resources to enable participating
families to increase earned income,
reduce or eliminate the need for welfare
assistance, and make progress toward
economic independence and selfsufficiency. The FSS program and this
FSS NOFA support the Department’s
strategic goal of helping HUD-assisted
renters make progress toward selfsufficiency. 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 selfsufficiency. As a result of their
participation in the FSS program, many
families have achieved stable, well-paid
employment. An FSS program
coordinator assures that program
participants are linked to the supportive
services they need to achieve selfsufficiency.
Full Text of Announcement
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I. Funding Opportunity Description
A. Authority and Program Description
Public Law 109–115, 119 Stat. 2396,
approved November 30, 2005, allows
funding for program coordinators under
the HCV FSS program. Through annual
NOFAs, HUD has provided funding to
public housing agencies (PHAs) that are
operating HCV FSS programs to enable
those PHAs to employ program
coordinators to support their HCV FSS
programs. In the Fiscal Year (FY) 2006
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HCV FSS Program Coordinator NOFA,
HUD is again making funding available
to PHAs to employ FSS program
coordinators and FSS homeownership
program coordinators for one year.
Funding priority under this NOFA will
be provided to applicants with Public
Housing Information Center (PIC) data
confirming that their FSS families have
purchased homes and to applicants
whose PIC data demonstrate program
accomplishments such as increased
HCV FSS program size, increased
earned income of program participants,
and families successfully completing
their FSS contracts. HUD will accept
applications from both new and renewal
PHAs that have HUD approval to
administer an HCV FSS program. PHAs
funded under the HCV FSS NOFA in
FY2005 are considered ‘‘renewal’’ PHAs
in this NOFA. These renewal PHAs are
invited to apply for funds to continue
previously funded HCV FSS program
coordinator and FSS homeownership
coordinator positions that they have
filled.
Because of the importance of the FSS
program in helping families increase
earned income and develop assets, HUD
will also accept applications from
‘‘new’’ PHAs, PHAs that do not qualify
as renewal PHAs as defined under this
FSS NOFA. The maximum number of
positions that a new applicant PHA,
including new PHA joint applicants,
may receive is one full-time FSS
program coordinator.
To support the Department’s
initiatives on Colonias, a selection
preference is again included 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 HCV
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 HCV FSS
Program and must comply with the
existing HCV program requirements,
notices and guidebooks.
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B. Number of Positions for Which
Eligible PHAs May Apply
Eligible PHAs may apply for funding
for HCV FSS program coordinator
positions under this NOFA as follows:
1. Renewal PHA Applicants. PHAs
that qualify as eligible renewal PHA
applicants under this NOFA may apply
for continuation of each FSS
coordinator position, including
homeownership coordinator positions,
awarded under the HCV FSS NOFA in
FY2005 that has been filled by the PHA.
2. New PHA Applicants. New PHA
applicants may apply for HCV FSS
program coordinator positions as
follows: (a) Up to one full-time HCV
FSS coordinator position for a PHA
applicant with HUD approval to
administer a HCV FSS program of 25 or
more FSS slots. (b) Up to one full-time
HCV FSS coordinator position per
application for joint PHA applicants
that together have HUD approval to
administer a total of at least 25 HCV FSS
slots.
C. Definitions
The following definitions apply to the
funding available under this NOFA.
1. Renewal PHA Applicant. A PHA or
PHAs that received funding under the
HCV FSS NOFA in FY2005.
2. New PHA Applicant. PHAs that did
not receive funding under the HCV FSS
NOFA in FY2005 that have HUD
approval to administer a HCV FSS
program of at least 25 slots or that fulfill
the 25 slot minimum by applying jointly
with one or more other PHAs.
3. FSS Program Size. The total
number of HCV FSS program slots
identified in the PHA’s HUD-approved
FSS Action Plan, or if requested by
Moving to Work (MTW) PHA
applicants, the number of slots in the
applicant’s MTW agreement. The total
may include both voluntary and
mandatory HCV FSS program slots. This
number is used in determining the
eligibility of new applicant PHAs under
this NOFA.
4. Qualifying FSS Homeownership
Program. Qualifying homeownership
programs include the HCV
Homeownership Program and other
programs administered by the PHA or
other entities that prepare HCV program
FSS participants for making the
transition from renting to
homeownership.
5. The Number of HCV FSS Program
Participants. The total number of
families shown in HUD’s PIC data
system or applicable MTW report as
enrolled in the applicant’s HCV FSS
program at the end of a calendar year
plus those families that successfully
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completed their FSS contracts, during
that calendar year.
6. Percentage of Families with Positive
FSS Escrow Balances. A percentage that
will be computed by HUD and used to
determine funding order of priority 2
applicants under this NOFA. It is the
sum of the number of HCV FSS families
with positive escrow balances and the
number of families that successfully
completed their FSS contracts as a
percentage of HCV FSS families with
FSS progress reports. This calculation
will be made using data for the period
from December 31, 2004 through
December 31, 2005 that has been
submitted to HUD on the Form HUD–
50058. For MTW applicants, a
comparable reporting source may be
used.
7. HCV Program Size. The number of
HCVs in a PHA’s program as determined
by HUD using Voucher Management
System (VMS) data.
8. HCV FSS Program Size Increase
Percentage. A percentage calculated for
renewal PHA applicants whose number
of HCV FSS participants in calendar
year 2005 is higher than their calendar
year 2004 number of participants.
II. Award Information
A. Available Funds
This NOFA announces the availability
of approximately $47 million in FY2006
to employ FSS program and FSS
homeownership coordinators for the
HCV FSS program. If additional funding
becomes available during FY2006, HUD
may increase the amount available for
coordinators under this NOFA. A
maximum of $65,000 is available for
each full-time coordinator position
funded. Salaries are to be based on local
comparables. The funding will be
provided as a one-year HCV funding
increment under the PHA’s Annual
Contributions Contract (ACC). HUD
reserves the right to adjust funding for
renewal positions in order to ensure a
fair and reasonable distribution of
funding.
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III. Eligibility Information
A. Eligible Applicants.
PHAs eligible to apply for funding
under this NOFA are:
1. Renewal PHA Applicants. Those
PHAs that received funding under the
HCV FSS NOFA in FY2005. To continue
to qualify as renewal PHAs, the FY2006
application of joint applicants must
include at least one PHA applicant that
meets this standard. Joint applicants can
change the lead PHA in their FY2006
application. A PHA that was originally
funded as part of a joint application that
wishes to now apply separately would
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continue to be considered a renewal
PHA applicant for funding purposes,
but must be able to meet the FSS
minimum program size requirement of a
HUD-approved HCV FSS program of at
least 25 slots that applies to new
applicant PHAs.
2. New PHA Applicants. PHAs that
were not funded under the HCV FSS
NOFA in FY2005. The new applicant
PHA must be authorized through its
HUD-approved FSS Action Plan to
administer an HCV FSS program of at
least 25 slots, or be a PHA with HUD
approval to administer an HCV FSS
program of fewer than 25 slots that
applies jointly with one or more other
PHAs so that together they have HUD
approval to administer at least 25 HCV
FSS slots. Joint applicants must specify
a lead co-applicant that will receive and
administer the FSS program coordinator
funding.
3. MTW PHAs. New and renewal
PHAs that are under MTW agreements
with HUD may qualify for funding
under this NOFA if the PHA
administers an FSS program. When
determining the size of a new applicant
MTW PHA’s HUD-approved FSS
program, the PHA may request that the
number of FSS slots reflected in the
PHA’s MTW agreement be used instead
of the number in the PHA’s FSS Action
Plan.
4. Troubled PHAs. a. A PHA that has
been designated by HUD as a troubled
PHA under the Section Eight
Management Assessment Program
(SEMAP), or that has serious program
management findings from Inspector
General audits or serious outstanding
HUD management review or
Independent Public Accountant (IPA)
audit findings for the PHA’s HCV or
Moderate Rehabilitation programs that
are resolved prior to this NOFA’s
application due date is eligible to apply
under this NOFA. Serious program
management findings are those that
would cast doubt on the capacity of the
PHA to administer its HCV FSS program
in accordance with applicable HUD
regulatory and statutory requirements.
b. A PHA whose SEMAP troubled
designation has not been removed by
HUD or whose major program
management findings or other
significant program compliance
problems have not been resolved by the
application due date may apply if it
meets the requirements 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 HCV FSS program staff.
Funding may be used to employ or
otherwise retain for one year the
services of HCV FSS program
coordinators and HCV FSS
homeownership coordinators. FSS
coordinator support positions funded
under previous FSS NOFAs that made
funding available for such FSS positions
may be continued. A part-time program
coordinator may be retained where
appropriate.
2. Threshold Requirements.
a. All Applicants.
(1) Each applicant must qualify as an
eligible PHA under Section III.A. of this
NOFA and must have submitted their
FSS application by the application due
date and in the format required in
Section IV. of this NOFA.
(2) All applications must include a
Dun and Bradstreet Universal
Numbering System (DUNS) number.
(See the General Section for further
information about the DUNS number
requirement.)
(3) Civil Rights Thresholds, Nondiscrimination, Affirmatively Furthering
Fair Housing. A copy of each applicant
PHA’s most recent plan for
Affirmatively Furthering Fair Housing
for the HCV program must be on file at
the PHA’s local HUD field office by the
application due date of this NOFA. All
applicants must comply with these
requirements and with Section III.C. of
the General Section. 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 the General Section
regarding those applicants that may be
subject to HUD’s arranging for a preaward 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 an
HCV FSS program, have filled eligible
FSS program coordinator positions for
which they are seeking renewal funding,
executed FSS contracts of participation
with HCV FSS program families and
submitted reports on participant
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families to HUD via the form HUD–
50058.
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
HCV FSS slots in the PHA’s previously
HUD-approved FSS Action Plan must be
submitted to and approved by the PHA’s
local HUD field office prior to the
application due date of this FSS NOFA.
An FSS Action Plan can be updated by
means of a simple one-page addendum
that reflects the total number of HCV
FSS slots (voluntary and /or mandatory
slots) the PHA intends to fill. New PHA
applicants with previously approved
HCV FSS Action Plans may wish to
confirm the number of HUD-approved
slots their local HUD field office has on
record for the PHA. A new applicant
MTW PHA may request that the number
of FSS slots in its MTW agreement be
used instead of the number of slots in
the PHA’s FSS Action Plan.
c. Colonias Preference. New applicant
PHAs claiming the Colonias preference
must meet the requirements of Sections
III.A., III.C.2.a. and III.C.2.c. of this FSS
NOFA and must operate in a Southwest
border area that contains Colonia
communities and administer programs
that include outreach to members of
those Colonia communities. Attachment
A of this NOFA provides a listing of
PHAs in Arizona, California, New
Mexico, and Texas that HUD has
identified as operating in areas
containing Colonia communities. PHAs
not listed in Attachment A that are
claiming the Colonias preference will be
required to submit a written request that
HUD determine their eligibility for the
preference. The request must be
submitted prior to the application due
date and must be sent to Lorenzo
‘‘Larry’’ Reyes, Coordinator, SW Border
Colonias and Migrant Farmworker
Initiative, Office of Departmental
Operations and Coordination, Room
3120, Department of Housing and Urban
Development, 451 Seventh Street, SW,
Washington, DC 20410.
d. Homeownership Preferences. See
priority funding categories in Section
V.B.2. of this FSS NOFA. Reported HCV
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FSS home purchase numbers will be
subject to post audit.
e. Troubled PHAs. A PHA whose
SEMAP troubled designation has not
been removed by HUD or that has major
program management findings or other
significant program compliance
problems that have not been resolved by
the application due date, may apply if
the PHA submits an application that
designates another organization or
entity that is acceptable to HUD and
that:
(1) Includes an agreement by the other
organization or entity to administer the
FSS program on behalf of the PHA; and
(2) In the instance of a PHA with
unresolved major program management
findings, includes a statement that
outlines the steps the PHA is taking to
resolve the program findings.
Immediately after the publication of
this NOFA, the Office of Public Housing
in the local HUD field office will notify,
in writing, those PHAs that have been
designated by HUD as troubled under
SEMAP, and those PHAs with
unresolved major program management
findings or other significant program
compliance problems that are not
eligible to apply without such an
agreement. Concurrently, the local HUD
field office will provide a copy of each
such written notification to the Director
of the Grants Management Center.
f. Conducting Business in Accordance
with Core Values and Ethical Standards.
To reflect core values, all PHAs shall
develop and maintain a written code of
conduct in the PHA administrative plan
that:
(1) Requires compliance with the
conflict of interest requirements of the
HCV Program at 24 CFR 982.161; and
(2) Prohibits the solicitation or
acceptance of gifts or gratuities, in
excess of a nominal value, by any officer
or employee of the PHA, or any
contractor, subcontractor, or agent of the
PHA. The PHA’s administrative plan
shall state PHA policies concerning
PHA administrative and disciplinary
remedies for violation of the PHA code
of conduct. The PHA shall inform all
officers, employees, and agents of its
organization of the PHA’s code of
conduct. See General Section for
additional information on the Code of
Conduct requirement.
IV. Application and Submission
Information
A. Addresses To Request Application
Package
1. Web site. A copy of this funding
announcement for the HCV FSS
Program may be downloaded from the
following Web site: www.grants.gov.
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2. Further Information. When
requesting information, please refer to
the name of the program you are
interested in. The NOFA Information
Center opens for business
simultaneously with the publication of
the SuperNOFA. You can also obtain
information on this NOFA and
download application information for
this NOFA through the Web site,
www.grants.gov.
3. Technical Assistance. See Section
VII. of this FSS funding announcement.
B. Content and Form of Application
Submission
1. Content of Application. Each new
and renewal PHA must complete the
form SF–424, the SF–LLL, if
appropriate, and the Form HUD–52651,
the HCV FSS application form. In
addition, the application must include a
completed Logic Model (form HUD
96010) showing proposed performance
measures applicable to the one-year
term of the funding requested under this
NOFA. See the General Section for
information on, and a copy of, the Logic
Model. A copy of the HUD–52651 is
available at www.Grants.gov/Apply,
Download Instructions for the Housing
Choice Voucher FSS program or at
HUD’s website at www.hud.gov/offices/
adm/grants/fundsavail.cfm. In
completing the SF–424, renewal PHAs
should select the continuation box on
question 2, 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
section 17 of the SF–424. In section 18
of SF–424, estimated funding, complete
only 18.a., which will be the amount
requested from HUD in the FY2006 FSS
application, and 18.g., Total.
C. Submission Date and Time
Your completed application must be
received and validated by Grants.gov no
later than 11:59:59 p.m. eastern time on
the application deadline date of May 16,
2006. Applicants should carefully read
the section titled ‘‘APPLICATION and
SUBMISSION INFORMATION’’ in the
General Section.
D. Intergovernmental Review
This NOFA is not subject to Executive
Order (EO) 12372, Intergovernmental
Review of Federal Programs.
E. Funding Restrictions
1. Salary Cap. Awards under this
NOFA are subject to a cap of $65,000
per year per full time coordinator
position funded. Under this NOFA, if
PHAs apply jointly, the $65,000
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maximum amount that may be
requested per position applies to up to
one full time coordinator position for
the application as a whole, not to each
PHA separately.
2. Limitation on Renewal Funding
Increases. For renewal coordinator
positions, PHAs will be limited to a one
percent increase above the amount of
the most recent award for the position
unless a higher increase is approved by
the local HUD field office after review
of the PHA’s written justification and at
least three comparables that must be
submitted to the field office by the
application due date of this NOFA.
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. An HCV FSS
program coordinator may only serve
HCV families while the public housing
FSS program serves only public housing
residents. In FY2006, 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
FY2006 SuperNOFA.
b. Funds under this FSS NOFA may
not be used to pay for services for FSS
program participants.
F. Other Submission Requirements
1. Application Submission and
Receipt Procedures. See the General
Section. Electronic application
submission is mandatory unless an
applicant requests, and is granted, a
waiver to the requirement. Procedures
for obtaining a waiver are contained in
the General Section. If an applicant is
granted a waiver, then the approval will
provide instructions for submitting
paper copies to the appropriate HUD
Office(s). All paper applications must be
received by the application deadline
date to meet the requirements for timely
submission.
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V. Application Review Information
A. Criteria
The funds available under this NOFA
are being awarded based on
demonstrated performance.
Applications are reviewed by the local
HUD field office and Grants
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Management Center (GMC) to determine
whether or not they are technically
adequate based on the NOFA
requirements. Field offices will provide
to the GMC in a timely manner, as
requested, information needed by the
GMC to make its determination, such as
the HUD-approved HCV FSS program
size of new PHA applicant and
information on the administrative
capabilities of PHAs. Categories of
applications that will not be funded are
stated in Section V.B.6.of this FSS
NOFA.
B. Review and Selection Process
1. Technically Acceptable
Applications. All technically adequate
applications will be funded to the extent
funds are available.
2. Funding Priority Categories. If HUD
receives applications for funding greater
than the amount made available under
this NOFA, HUD will divide eligible
applications into priority categories as
follows:
Funding Category 1—Applications
from eligible renewal PHAs with
qualifying homeownership programs
with a minimum of ten (10) HCV FSS
program participants or graduates that
purchased homes between October 1,
2000 and the publication date of this
FSS NOFA and an increase of at least
ten (10) percent in the number of
participants in the applicant’s HCV FSS
program from calendar year 2004 to
calendar year 2005. Both the number of
home purchases and the percentage
increase in the number the HCV FSS
program participants will be determined
by HUD using PIC data from form HUD–
50058 or as otherwise reported for MTW
PHAs.
Funding Category 2—Eligible renewal
PHA applicants with programs that have
families with positive escrow balances
and/or families that successfully
completed their FSS contracts between
December 31, 2004 and December 31,
2005.
Funding Category 3—Eligible renewal
PHA applicants with qualifying
homeownership programs and an
increase in the number of HCV FSS
program participants of at least ten (10)
percent from calendar year 2004 to
calendar year 2005.
Funding Category 4—New PHA
applicants with HUD approval to
implement an FSS program of at least 25
slots.
3. Order of Funding. Starting with
Funding Category 1, HUD will first
determine whether there are sufficient
monies to fund all eligible positions
requested in the funding category. If
available funding is not sufficient to
fund all positions requested in the
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category, HUD will fund applications in
the following order:
a. Funding Category 1. HUD will
calculate the Percentage Increase of
HCV FSS Program Participants for each
eligible applicant and will use this
percentage in making funding decisions.
HUD will fund eligible applicants in
order starting with those that have the
highest Percentage Increase of HCV FSS
Program Participants . If funding is not
sufficient to fund all applicants with the
same Percentage Increase of HCV FSS
Program Participants, HUD will select
among eligible applicants by HCV
program size starting with eligible
applicants with the smallest HCV
program size.
b. Funding Category 2. If funds
remain, HUD will process requests of
eligible Funding Category 2 applicant
PHAs. HUD will first calculate the
Percentage of Families with Positive
FSS Escrow Balances for all eligible
Funding Category 2 applicants. If there
are not sufficient monies to fund all
eligible funding category 2 applicants,
HUD will fund eligible applications
starting with those with the highest
positive escrow percentage. If there are
not sufficient monies to fund all
applications with the same positive
escrow percentage, HUD will select
eligible applicants in order by HCV
program size starting with eligible
applicants with the smallest HCV
program size.
c. Funding Category 3. If funds
remain, HUD will process eligible
Funding Category 3 applications. If
there is not enough funding for all
applicants, HUD will use the Percentage
Increase of HCV FSS Participants to
determine selection order, starting with
applicants with the highest Percentage
Increase of HCV FSS Participants. If
funds are not sufficient for all
applicants with the same Percentage
Increase of HCV FSS Participants, HUD
will fund eligible applicants by HCV
program size starting with eligible
applicants with the smallest HCV
program size.
d. Funding Category 4. If funds
remain after all Category 1 through 3
applicants have been funded, HUD will
process applications from eligible
Category 4 new PHA applicants. If there
are not sufficient monies to fund all
eligible Category 4 PHA applicants,
HUD will first fund eligible applications
from those PHAs qualifying for the
Colonias preference. If there are not
sufficient monies to fund all eligible
Colonias PHA applicants, HUD will
fund them starting with the smallest
HCV program size first. If funding
remains after funding all eligible
Category 4 Colonias PHA applicants,
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HUD will then begin funding eligible
non-Colonias applicants by HCV
program size starting with eligible
applicants with the smallest HCV
program size first.
4. Based on the number of
applications submitted, the GMC may
elect not to process applications for a
funding priority category where it is
apparent that there are insufficient
funds available to fund any applications
within the priority category.
5. Corrections to Deficient
Applications. The General Section
provides the procedures for corrections
to deficient applications.
6. Unacceptable Applications. After
the technical deficiency correction
period (as provided in the General
Section), the GMC will disapprove PHA
applications that it determines are not
acceptable for processing. Applications
from PHAs that fall into any of the
following categories are ineligible for
funding under this NOFA and will not
be processed:
a. An application submitted by an
entity that is not an eligible PHA as
defined under Section III.A. and Section
III.C. of this FSS NOFA or an
application that does not comply with
the requirements of Section IV.B., IV.C.,
and IV.F. of this FSS NOFA.
b. An application from a PHA that
does not meet the fair housing and civil
rights compliance requirements of the
General Section.
c. An application from a PHA that
does not comply with the prohibition
against lobbying activities of the General
Section.
d. An application from a PHA that as
of the application due date has not
made progress satisfactory to HUD in
resolving serious outstanding Inspector
General audit findings, or serious
outstanding HUD management review
or IPA audit findings for the HCV
program and/or Moderate Rehabilitation
program or has a ‘‘troubled’’ rating
under SEMAP, and has not designated
another organization acceptable to HUD
to administer the FSS program on behalf
of the PHA as required in Section
III.C.3.e. of this FSS NOFA.
e. An application from a PHA that has
been debarred or otherwise disqualified
from providing assistance under the
program.
f. An application that did not meet the
application due date and timely receipt
requirements as specified in this NOFA
and the General Section.
g. Applications will not be funded
which do not meet the Threshold
requirements identified in this NOFA
and the General Section.
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C. Anticipated Announcement and
Award Dates
It is anticipated that award
announcements will take place during
either the month of July or August 2006.
VI. Award Administration Information
A. Award Notices
Successful applicants will receive an
award letter from HUD. Funding will be
provided to successful applicants as an
amendment to the ACC of the applicant
PHA. In the case of awards to joint
applicants, the funding will be provided
as an amendment to the ACC of the lead
PHA that was identified in the
application.
Unsuccessful applicants will receive a
notification of rejection letter from the
GMC that will state the basis for the
decision. The applicant may request an
applicant debriefing. Beginning not less
than 30 days after the awards for
assistance are publicly announced in
the Federal Register and for at least 120
days after awards for assistance are
announced publicly, HUD will, upon
receiving a written request, provide a
debriefing to the requesting applicant.
(See the General Section for additional
information regarding a debriefing.)
Applicants requesting to be debriefed
must send a written request to: Iredia
Hutchinson, Director; Grants
Management Center; U. S. Department
of Housing and Urban Development,
501 School Street, SW., Suite 800;
Washington, DC 20024.
B. Administrative and National Policy
Requirements
1. Environmental Impact. No
environmental review is required in
connection with the award of assistance
under this NOFA, because the NOFA
only provides funds for employing a
coordinator that provides public and
supportive services, which are
categorically excluded from
environmental review under the
National Environmental Policy Act of
1969 (42 U.S.C. 4321) and not subject to
compliance actions for related
environmental authorities under 24 CFR
50.19(b)(4) and (12).
2. HUD’s Strategic Goals. HUD is
committed to ensuring that programs
result in the achievement of HUD’s
strategic mission. The FSS program and
this FSS NOFA support the
Department’s strategic goals of
increasing homeownership activities
and helping HUD-assisted renters make
progress toward self-sufficiency by
giving funding preference to PHAs
whose FSS programs show success in
moving families to self-sufficiency and
homeownership. You can find out about
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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 HUD’s policy priorities of
providing increased homeownership
opportunities and increased selfsufficiency of low-income families
through employment. Consequently,
funding priority in this NOFA will be
given to those PHA applicants that
demonstrate that a minimum of 10 of
their FSS families have become
homeowners that have increased their
FSS program size by at least 10 percent
in calendar year 2005 and to applicants
with program participants who have
increased their earned income since
enrolling in FSS and/or have families
that completed their FSS contracts in
the last calendar year. See the General
Section for a full discussion of HUD’s
policy priorities.
C. Reporting
Successful applicants must report
activities of their FSS enrollment,
progress and exit activities of their FSS
program participants through required
submissions of the Form HUD–50058.
HUD’s assessment of the
accomplishments of the FSS programs
of PHAs funded under this NOFA will
be based primarily on PIC system data
obtained from 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. Applicants shall use quantifiable
data to measure performance against
goals and objectives outlined in their
Logic Model. An annual Performance
Report consisting of the updated Logic
Model must be submitted to the Public
Housing Director in the applicant’s local
HUD field office no later than 30 days
after the ending date of the one-year
funding increment provided to the
applicant under this NOFA. For
FY2006, HUD is considering a new
concept for the Logic Model. The new
concept is a Return on Investment (ROI)
statement. HUD will be publishing a
separate notice on the ROI concept. In
addition, 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
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requirements, funded recipients should
use Form HUD–27061, Racial and
Ethnic Data Reporting Form. The form
HUD–50058, which provides racial and
ethnic data to HUD’s PIC data system,
is a comparable program form.
VII. Agency Contacts
A. For Technical Assistance
For answers to your questions, you
may contact the Public and Indian
Housing Resource Center at 800–955–
2232. Persons with hearing or speech
impairments may access this number
via TTY (text telephone) by calling the
Federal Information Relay Service at
800–877–8339. (These are toll-free
numbers). Prior to the application
deadline, staff at the numbers given
above will be available to provide
general guidance, but not guidance in
actually preparing the application.
Following selection, but prior to award,
HUD staff will be available to assist in
clarifying or confirming information
that is a prerequisite to the offer of an
award by HUD.
B. Satellite Broadcast
HUD will hold an information
broadcast via satellite for potential
applicants to learn more about the HCV
FSS program and preparation of an
application. For more information about
the date and time of this broadcast, you
should consult the HUD Web site at
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 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.
ATTACHMENT A.—PHAS THAT OPERATE IN AREAS CONTAINING COLONIA COMMUNITIES
ARIZONA PHAs
City of Douglas Housing Authority ............................................................
City of Eloy Housing Authority ..................................................................
Cochise County Housing Authority ...........................................................
Pinal County Housing Authority ................................................................
City of Nogales Housing Authority
City of Yuma Housing Authority.
Yuma County Housing Authority.
Section 8 Housing for Graham County, Arizona Department of Housing.
CALIFORNIA PHAs
City of Calexico Housing Authority ...........................................................
Imperial Valley Housing Authority.
Housing Authority of the County of Riverside
NEW MEXICO PHAs
City of Alamogordo Housing Authority .....................................................
City of Truth or Consequences Housing Authority ...................................
Eddy County—Region VI ..........................................................................
Lordsburg Housing Authority ....................................................................
Silver City Housing Authority—Region V .................................................
Town of Baynard Housing Authority.
City of Las Cruces/Dona Ana County Housing Authority
City of Socorro Housing Authority.
Housing Authority of the Village of Santa Clara.
Otero County—Region VI.
Sunland Park Housing Authority.
TEXAS PHAs
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Alamo Housing Authority ..........................................................................
Bracketville Housing Authority ..................................................................
Cameron County Housing Authority .........................................................
Del Rio Housing Authority ........................................................................
Eagle Pass Housing Authority ..................................................................
Edinburg Housing Authority ......................................................................
Harlingen Housing Authority .....................................................................
Laredo Housing Authority .........................................................................
Los Fresnos Housing Authority ................................................................
Mercedes Housing Authority .....................................................................
Pharr Housing Authority ............................................................................
San Benito Housing Authority ...................................................................
Starr County Housing Authority ................................................................
Willacy County Housing Authority ............................................................
Zapata County Housing Authority.
Asherton Housing Authority
Brownsville Housing Authority.
Carrizo Housing Authority.
Dona Housing Authority.
Ed Couch Housing Authority.
Elsa Housing Authority.
Hidalgo County Housing Authority.
La Joya Housing Authority.
McAllen Housing Authority.
Mission Housing Authority.
Port Isabel Housing Authority.
San Juan Housing Authority.
Weslaco Housing Authority.
Uvalde Housing Authority.
BILLING CODE 4210–01–P
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Federal Register / Vol. 71, No. 45 / Wednesday, March 8, 2006 / Notices
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Rural Housing and Economic
Development Program
activities with those supported by any
of the agencies listed above.
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 5030–N–
04. The OMB approval number is 2506–
0169.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: 14.250
Rural Housing and Economic
Development.
F. Application Due Date: The
application deadline date is May 12,
2006.
G. Optional Additional Overview
Information: 1. The purpose of the Rural
Housing and Economic Development
program is to provide support for
innovative housing and economic
development activities in rural areas.
The funds made available under this
program will be awarded competitively
through a selection process conducted
by HUD in accordance with the HUD
Reform Act.
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
https://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 FY2006 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
participating organization, must be
signed by an official of the organization
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I. Funding Opportunity Description
A. Background
There has been a growing national
recognition of the need to provide
support for local rural nonprofit
organizations, community development
corporations, federally recognized
Indian tribes, state housing finance
agencies (HFAs) and state economic
development and community
development agencies to expand the
supply of affordable housing and to
engage in economic development
activities in rural areas. A number of
resources are available from the federal
government to address these problems,
including programs of the 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 promoting innovative
approaches to housing and economic
development in rural areas. In
administering these funds, HUD
encourages you to coordinate your
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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; and
b. Affirm that the firm commitment is
contingent only upon the receipt of
FY2006 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 assistance in rural areas); or
b. Any public nonprofit entity such as
a Council of Governments that will
serve specific local nonprofit
organizations in the eligible area.
8. Lower Mississippi Delta Region
means the eight-state, 240-county/parish
region defined by Congress in the Lower
Mississippi Delta Development Act,
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Public Law 100–460. Refer to https://
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
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A. Amount Allocated
1. Available Funds. Approximately
$17 million in Fiscal Year (FY) 2006
funding (plus any additional funds
available through recapture) are being
made available through this NOFA.
2. Funding Award Amount. HUD will
award up to approximately $17 million
on a competitive basis for Support for
Innovative Housing and Economic
Development Activities to federally
recognized Indian tribes, state housing
finance agencies (HFAs), state
community and/or economic
development agencies, local rural
nonprofit organizations 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 will be $300,000.
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B. Grant Amount
In the event, you, the applicant, are
awarded a grant that has been reduced
(e.g., the application contained some
activities that were ineligible or budget
information did not support the
request), you will be required to modify
your project plans and application to
conform to the terms of HUD’s approval
before execution of the grant agreement.
HUD reserves the right to reduce or
de-obligate the award if suitable
modifications to the proposed project
are not submitted by the awardee within
90 days of the request. Any
modifications must be within the scope
of the original application. HUD
reserves the right to not make awards
under this NOFA.
C. Grant Period
Recipients will have 36 months from
the date of the executed grant agreement
to complete all project activities.
D. Notification of Approval or
Disapproval
HUD will notify you whether or not
you have been selected for an award. If
you are selected, HUD’s notice to you
concerning the amount of the grant
award (based on the approved
application) will constitute HUD’s
conditional approval, subject to
negotiation and execution of a grant
agreement by HUD.
III. Eligibility Information
A. Eligible Applicants. Eligible
applicants for the Rural Housing and
Economic Development program are
local rural nonprofit organizations and
community development corporations,
federally recognized Indian tribes, state
housing finance agencies and state
community and/or economic
development agencies. Also, you must
meet all of the applicable eligibility
requirements described in Section III.C
of the General Section.
B. Cost Sharing or Matching. There is
no match required under the Rural
Housing and Economic Development
program. Applicants that submit
evidence of leveraging dollars under
Rating Factor 4 will receive points
according to the scale under that factor.
C. Other. 1. Eligible Activities. The
following are examples of eligible
activities under the Rural Housing and
Economic Development program.
Permissible activities may include,
but are not limited to the following:
a. 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;
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b. Preparation of plans or of
architectural or engineering drawings;
c. Preparation of legal documents,
government paperwork, and
applications necessary for construction
of housing and economic development
activities to occur in the jurisdiction;
d. Acquisition of land and buildings;
e. Demolition of property to permit
construction or rehabilitation activities
to occur;
f. Purchase of construction materials;
g. Homeownership counseling,
including fair housing counseling,
credit counseling, budgeting, access to
credit, and other federal assistance
available;
h. Conducting conferences or
meetings with other federal or state
agencies tribes, tribally designated
housing entities (TDHE) or national or
regional housing organizations, to
inform residents of programs, rights,
and responsibilities associated with
homebuying opportunities;
i. Establishing Community
Development Financial Institutions
(CDFIs), lines of credit, revolving loan
funds, microenterprises, and small
business incubators; and
j. Provision of direct financial
assistance to homeowners/businesses/
developers, etc. This can be in the form
of default reserves, pooling/
securitization mechanisms, loans,
grants, funding existing individual
development accounts or similar
activities.
2. Statutory and Regulatory
Requirements. To be eligible for funding
under HUD NOFAs issued during
FY2006, 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
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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.
4. Program-Specific Threshold
Requirements.
a. The application must receive a
minimum rating score of 75 points to be
considered for funding.
b. HUD will only fund eligible
applicants as defined in this NOFA
under Section III.A.
c. Applicants must serve an eligible
rural area as defined in section I. of this
NOFA.
d. Proposed activities must meet the
objectives of the Rural Housing and
Economic Development program.
e. Applicants must demonstrate that
their activities will continue to serve
populations that are in need and that
beneficiaries will have a choice of
innovative housing and economic
development opportunities as a result of
the activities.
IV. Application and Submission
Information
A. Address To Request Application
Package
This section describes how you may
obtain application forms. Copies of the
published Rural Housing and Economic
Development NOFA and application
forms may be downloaded from the
Grants.gov Web site at https://
www.grants.gov/Apply. You may call
the Grants.gov support desk at 800–518GRANTS, or email the support desk at
Support@Grants.gov for assistance in
downloading the application.
Applicants may request a waiver of the
electronic submission requirement.
Paper applications will not be accepted
unless the applicant has received a
waiver to the electronic submission
requirement. Instructions regarding the
number of copies to submit and where
will be contained in the approval to the
waiver request. Paper submissions must
be received at the appropriate HUD
office(s) no later than the deadline date.
See Section IV of the General Section for
further information.
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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
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paper copy application. For electronic
application submission you should
follow the directions in the General
Section.
b. Application Items. Your
application must contain the items
listed below.
(1) An abstract that must include 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). (This must be used as the cover
page to transmit third party documents
as part of your electronic application.)
(6) Disclosure of Lobbying Activities
(SF–LLL).
(7) Applicant/Recipient Disclosure/
Update Report (HUD–2880).
(8) You Are Our Client Grant
Applicant Survey (HUD 2994–A)
(Optional).
(9) Program Outcome Logic Model
(HUD–96010).
(10) A budget for all funds (federal
and non-federal including 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. The total narrative response to
all factors should not exceed 15 pages
and should be submitted in a format
that is equal 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
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review the information on any excess
pages, which may result in a lower score
or failure to meet a threshold
requirement. In addition, applicants
should be aware that additional pages
increase the size of the application and
the length of time it will take to
electronically submit the document and
have it electronically received by
Grants.gov. Large files result in slower
delivery to Grants.gov.
(16) Questionnaire for HUD’s
Initiative on Removal of Regulatory
Barriers (HUD 27300). To get the points
for this policy priority, you must
include the documentation or references
to URLs where the information can be
found.
All applicants are required to use the
following format in their 15-page
narrative responses to the rating factors
included in the program NOFA:
Factor 1—Relevant Organizational
Experience;
Factor 2—Need and Extent of the
Problem;
Factor 3—Soundness of Approach;
Factor 4—Leveraging Resources; and
Factor 5—Achieving Results and
Program Evaluation.
See Section V. of this NOFA for
further details.
C. Submission Dates and Times.
1. Electronic Application Submission.
Applications for the Rural Housing and
Economic Development program must
be received and validated by Grants.gov
no later than 11:59:59 p.m. eastern time
on the application deadline date. You
will receive an acknowledgement of
receipt from Grants.gov when your
application has been successfully
received. You will receive an
acknowledgement from Grants.gov that
your application has been validated or
rejected. Please see the General Section
for more detailed information. If you do
not receive the validation or rejection
notice within 24–48 hours, contact the
Grants.gov help desk.
2. Applicants are advised to carefully
read the application submission and
timely receipt requirements in the
General Section 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
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deficiency. Corrections to technical
deficiencies are submitted directly to
HUD in accordance with the
information provided by the program
office in their cure notification.
D. Intergovernmental Agency Review
Intergovernmental agency review is
not required for this program.
E. Funding Restrictions
1. Administrative Costs.
Administrative costs for assistance
under the Rural Housing and Economic
Development program may not exceed
15 percent of the total HUD Rural
Housing and Economic Development
grant award.
2. Ineligible Activities. RHED funds
cannot be used for the following
activities:
a. Income payments to subsidize
individuals or families;
b. Political activities;
c. General governmental expenses
other than expenses related to the
administrative cost of the grant; or
d. Projects or activities intended for
personal gain or private use.
HUD reserves the right to reduce or
deobligate the award if suitable
modifications to the proposed project
are not submitted by the awardee within
90 days of the request. Any modification
must be within the scope of the original
application. HUD reserves the right not
to make awards under this NOFA.
F. Other Submission Requirements
Carefully review the procedures
presented in Section IV of the General
Section FY 2006, HUD will only accept
electronic applications submitted
through https://www.grants.gov.
V. Application Review Information
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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. 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,
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subrecipient, or project partner as it
relates to innovative housing and
economic development and to the
implementation of the activities in your
workplan. HUD also will assess the
services that consultants or other parties
will provide to fill gaps in your staffing
structure to enable you to carry out the
proposed workplan; the experience of
your project director in managing
projects of similar size, scope, and
dollar amount; the lines of authority and
procedures that you have in place for
ensuring that workplan goals and
objectives are being met, that
consultants and other project partners
are performing as planned, and that
beneficiaries are being adequately
served. In judging your response to this
factor, HUD will only consider work
experience gained within the last seven
years. When responding, please be sure
to provide the dates, job titles and
relevancy of the past experience to work
to be undertaken by the employee or
contractor under your proposed Rural
Housing and Economic Development
award. The more recent, relevant, and
successful the experience of your team
members are in relationship to the
workplan activities, the greater the
number of points that you will receive.
b. Organizational structure and
management capacity (5 points). HUD
will evaluate the extent to which you
can demonstrate your organization’s
ability to manage a workforce composed
of full-time or part-time staff, as well as
any consultant staff, and your ability to
work with community-based groups or
organizations in resolving issues related
to affordable housing and economic
development. In evaluating this
subfactor, HUD will take into account
your experience in working with
community-based organizations to
design and implement programs that
address the identified housing and
economic development issues. The
more recent, relevant, and successful
the experience of your organization and
any participating entity, the greater the
number of points you will receive.
c. Experience with performance based
funding requirements (10 points). HUD
will evaluate your performance in any
previous grant program undertaken with
HUD funds or other federal, state, local,
or nonprofit or for-profit organization
funds. In assessing points for this subfactor, 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
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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
FY2006 should indicate fiscal year and
funding amount. HUD local field offices
may be consulted to verify information
submitted by the applicant as a part of
the review of applications.
2. Rating Factor 2—Need and Extent of
the Problem (20 Points)
The Rural Housing and Economic
Development program is designed to
address the problems of rural poverty,
inadequate housing and lack of
economic opportunity. This factor
addresses the extent to which there is a
need for funding the proposed activities
based on levels of distress and the
urgency of meeting the need/distress in
the applicant’s target area. In
responding to this factor, applications
will be evaluated on the extent to which
the level of need for the proposed
activity and the urgency in meeting the
need are documented and compared to
target area and national data.
a. In applying this factor, HUD will
compare the current levels of need in
the area (i.e., Census Tract(s) or Block
Group(s) immediately surrounding the
project site or the target area to be
served by the proposed project and the
national levels of need. This means that
an application that provides data that
show levels of need in the project area
expressed as a percent greater than the
national average will be rated higher
under this factor. Applicants should
provide data that address indicators of
need as follows:
(1) Poverty Rate (5 points)—Data
should be provided in both absolute and
percentage form (i.e., whole numbers
and percents) for the target area(s). An
application that compares the local
poverty rate in the following manner to
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the national average at the time of
submission will receive points under
this section as follows:
(a) Less than the national average = 0
point;
(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
point;
(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
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.htm for census data. A
source for all information along with the
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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 meet the
definition of ‘‘eligible rural area’’ in
Section I of this NOFA:
(a) Areas with very small populations
in non-urban areas (2,500 population or
less);
(b) Seasonal farm workers;
(c) Federally recognized Indian tribes;
(d) Colonias;
(e) Appalachia’s Distressed Counties;
or
(f) The Lower Mississippi Delta
Region (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 (21 Points)
This factor addresses the overall
quality of your proposed workplan,
taking into account the project and the
activities proposed to be undertaken;
the cost-effectiveness of your proposed
program; and the linkages between
identified needs, the purposes of this
program, and your proposed activities
and tasks. In addition, this factor
addresses your ability to ensure that a
clear linkage exists between innovative
rural housing and economic
development. In assessing costeffectiveness, 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
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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 short-term and
long-term goals and objectives to be
achieved through the proposed
activities based on annual benchmarks;
the method you will use for evaluating
and monitoring program progress with
respect to those activities; and the
method you will use to ensure that the
activities will be completed on time and
within your proposed budget estimates.
Your management plan should also
include the budget for your program,
broken out by line item. Documented
projected cost estimates from outside
sources are also required. Applicants
should submit their workplan on a
spreadsheet showing each project to be
undertaken and the tasks (to the extent
necessary or appropriate) in your
workplan to implement the project with
your associated budget estimate for each
activity/task. Your workplan should
provide the rationale for your proposed
activities and assumptions used in
determining your project timeline and
budget estimates. Failure to provide
your rationale may result in your
application receiving fewer points for
lack of clarity in the proposed
management plan.
This subfactor should include
information that indicates the extent to
which you have coordinated your
activities with other known
organizations (e.g., through letters of
participation or coordination) that are
not directly participating in your
proposed work activities, but with
which you share common goals and
objectives and that are working toward
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meeting these objectives in a holistic
and comprehensive manner. The goal of
this coordination is to ensure that
programs do not operate in isolation.
Additionally, your application should
demonstrate the extent to which your
program has the potential to be
financially self-sustaining by decreasing
dependence on Rural Housing and
Economic Development funding and
relying more on state, local, and private
funding. The goal of sustainability is to
ensure that the activities proposed in
your application can be continued after
your grant award is complete.
b. Policy Priorities (8 Points). Policy
priorities are outlined in detail in the
General Section. You should document
the extent to which HUD’s policy
priorities are 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 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
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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. 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
the leveraging funds to the project. Each
commitment described in the narrative
of this factor must be in accordance
with the definition of ‘‘firm
commitment,’’ as defined in this NOFA.
The commitment letter must be on
letterhead of the participating
organization, must be signed by an
official of the organization legally able
to make commitments on behalf of the
organization, and must not be dated
earlier than the date this NOFA is
published.
Points for this factor will be awarded
based on the satisfactory provisions of
evidence of leveraging and financial
sustainability, as described above, and
the ratio of leveraged funds to requested
HUD Rural Housing and Economic
Development funds as follows:
a. 50% or more of requested HUD
Rural Housing and Economic
Development funds = 10 points;
b. 49–40% of requested HUD Rural
Housing and Economic Development
funds = 8 points;
c. 39–30% of requested HUD Rural
Housing and Economic Development
funds = 6 points;
d. 29–20% of requested HUD Rural
Housing and Economic Development
funds = 4 points;
e. 19–9% of requested HUD Rural
Housing and Economic Development
funds = 2 points;
f. Less than 9% of HUD requested
Rural Housing and Economic
Development funds = 0 points.
See the General Section for
instructions for submitting third party
letters and other documents with your
electronic application.
5. Rating Factor 5—Achieving Results
and Program Evaluation (24 Points)
This factor emphasizes HUD’s
commitment to ensure that applicants
keep promises made in their
application. This factor assesses their
performance to ensure that rigorous and
useful performance measures are used
and goals are met. Achieving results
means you, the applicant, have clearly
identified the benefits or outcomes of
your program. Outcomes are ultimate
project end goals. Benchmarks or
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outputs are interim activities or
products that lead to the ultimate
achievement of your goals. Program
evaluation requires that you, the
applicant, identify program outcomes,
interim products or benchmarks, and
performance indicators that will allow
you to measure your performance.
Performance indicators should be
objectively quantifiable and measure
actual achievements against anticipated
achievements. Your evaluation plan
should identify what you are going to
measure, how you are going to measure
it, and the steps you have in place to
make adjustments to your work plan if
performance targets are not met within
established time frames.
Applicants must also complete the
‘‘Logic Model’’ HUD Form (HUD–96010)
included in the application instructions
at https://www.Grants.gov, and submit
the completed form with their
application. This year, in response to
client concerns that the Logic Model
was difficult to complete due to the
need to write text into the appropriate
columns, HUD has provided an
electronic Logic Model that will enable
applicants to select from lists the
appropriate needs statement(s),
activities/outputs and outcomes that the
applicant is proposing in the
application submission. The listing of
the activities is referred to as the Master
Logic Model List and each list is unique
to the program funding opportunity.
The application instructions found on
https://www.Grants.gov/Apply include
the eLogic ModelTM that you can
complete and attach to your electronic
application submission. For applicants
who do not have Microsoft Excel
software, HUD has provide the Master
Logic model list on its Web site at
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm, where applicants may
select the items in each column that
reflect their activity outputs and
outcomes and copy and paste them into
the appropriate column in the Logic
Model form. The form can be printed
and sent to HUD via facsimile using
form HUD–96011 as the cover page to
the Transmittal. In completing the Logic
Model, applicants are expected to select
from the lists of appropriate outputs and
outcomes for their proposed workplan.
The eLogic ModelTM and Master Logic
Model listing also identify the unit of
measure that HUD is interested in
collecting for the outputs and outcomes
selected. In making the selections, for
each output and outcome, applicants are
to complete the appropriate proposed
number of units of measure to be
accomplished. The space next to the
output and outcome is to capture the
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anticipated units of measure. Multiple
outputs and outcomes may be selected
per project. For FY2006, HUD is
considering a new concept for the Logic
Model. The new concept is a Return on
Investment statement. HUD will be
publishing a separate notice on the ROI
concept.
Under this rating factor, applicants
will receive a maximum of 24 points
based on how the applicant proposes to
effectively address program goals and
performance measures. HUD will
evaluate and analyze how well the
applicant implemented the required
Rural Housing and Economic
Development output and outcome goals
and identified other stated benefits or
outcomes of their program. In order to
receive the highest number of points,
applicants should present a clear plan to
address the RHED output and outcome
measures.
1. Output Measures are quantifiable.
RHED outputs include: Number of
housing units constructed; number of
housing units rehabilitated; Number of
jobs created; number of participants
trained; number of new businesses
created; and number of existing
businesses assisted.
2. Outcomes Measures are benefits
accruing to the program participants
and/or communities during or after
participation in the RHED program.
RHED outcomes include: Number of
housing units rehabilitated that will be
made available to low-to-moderateincome participants; percentage change
in earnings as a result of employment
for those participants; percent of
participants trained who find a job;
annual estimated savings for lowincome families as a result of energy
efficiency improvements; and increase
in organizational resources as a result of
assistance (e.g., dollars leveraged).
You must clearly identify the
outcomes to be achieved and measured.
Proposed program benefits should
include program activities, benchmarks,
and interim activities or performance
indicators with timelines. Applications
should include an evaluation plan that
will effectively measure actual
achievements against anticipated
achievements.
3. Logic Model. HUD requires RHED
applicants to develop an effective,
quantifiable, outcome-oriented
evaluation plan for measuring
performance and determining whether
goals have been met using the Master
Logic Model for RHED, which can be
found in the download instructions
portion of the application at
www.Grants.gov. In preparing your
logic model first open the form HUD–
96010 and go to the instruction tab and
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follow the directions in the tab. Your
application must include the Logic
Model form (HUD–96010) to receive any
points under this factor.
This rating factor reflects HUD’s goal
to embrace high standards of ethics,
management, and accountability. HUD
will hold a training broadcast via
satellite for potential applicants to learn
more about Rating Factor 5. For more
information about the date and time of
the broadcast, consult the HUD Web site
at https://www.hud.gov/grants/
index.cfm.
Although the following list is not all
inclusive, program outcomes for the
Rural Housing and Economic
Development program must include
where applicable:
a. Total number of housing units
constructed;
b. Total number of housing units
rehabilitated;
c. Number of Housing units
rehabilitated that will be made available
to low-to-moderate income participants;
d. Number of Housing units
constructed that will be made available
to low-to-moderate income participants;
e. Number of jobs created;
f. Percentage change in earnings as a
result of employment for those
participants;
g. Number of participants trained;
h. Percent of participants trained who
find a job;
i. Number of new businesses created;
j. Number of existing businesses
assisted; and
k. Annual estimated savings for lowincome families as a result of energy
efficiency improvements.
l. Increase in program
accomplishments as a result of capacity
building assistance (e.g. number of
employees hired or retained, efficiency
or effectiveness of services provided);
and
m. Increase in organizational
resources as a result of assistance (e.g.,
dollars leveraged). If you receive an
award of funds, you will be required to
use the logic model to report progress
against the proposed outcomes in your
approved application and award
agreement.
The applicant’s proposed budget must
reflect a breakdown of estimated dollar
amount of the Rural Housing and
Economic Development grant to be
expended on each of the activities/
outputs and the anticipated results
included on the 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
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documentation stating that the proposed
eligible activities/projects will be
located in and serve federally
designated renewal community (RCs),
empowerment zone (EZs), or enterprise
communities (ECs) designated by the
United States Department of Agriculture
(USDA) in round II RC/EZ/EC. A listing
of federally designated RC/EZ/EC–II is
available on the Internet at https://
www.hud.gov/crlocator.
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.
(3) Ranking. Applicants will be
selected for funding in accordance with
their rank order. An application must
receive a minimum score of 75 points to
be eligible for funding. If two or more
applications are rated fundable and
have the same score, but there are
insufficient funds to fund all of them,
the application(s) with the highest score
for Rating Factor 2 will be selected. If
applications still have the same score,
the highest score in the following factors
will be selected sequentially until one
highest score can be determined: Rating
Factor 3, Rating Factor 1, Rating Factor
5, and Rating Factor 4.
a. Initial screening. During the period
immediately following the application
deadline, HUD will screen each
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application to determine eligibility.
Applications will be rejected if they:
(1) Are submitted by ineligible
applicants;
(2) Do not serve an eligible rural area
as defined in Section III of this NOFA;
(3) Do not meet the objectives of the
Rural Housing and Economic
Development program; or
(4) Propose a project for which the
majority of the activities are ineligible.
b. Rating Factors for Award Used to
Evaluate and Rate Applications. The
factors for rating and ranking applicants
and the maximum points for each factor
are provided above. The maximum
number of points for this program is
102. This includes 100 points for all five
rating factors and two RC/EZ/EC–II
bonus points, as described above.
c. Environmental Review. Each
application constitutes an assurance
that the applicant agrees to assist HUD
in complying with the provisions set
forth in 24 CFR part 50. Selection for
award does not constitute approval of
any proposed site. Following selection
for award, HUD will perform an
environmental review of activities
proposed for assistance under this part,
in accordance with 24 CFR part 50. The
results of the environmental review may
require that proposed activities be
modified or that proposed sites be
rejected. Applicants are particularly
cautioned not to undertake or commit
HUD funds for acquisition or
development of proposed properties
(including establishing lines of credit
that permit financing of such activities
or making commitments for loans that
would finance such activities from a
revolving loan fund capitalized by funds
under this NOFA) prior to HUD
approval of specific properties or areas.
Each application constitutes an
assurance that you, the applicant, will
assist HUD in complying with part 50;
will supply HUD with all available
relevant information to perform an
environmental review for each proposed
property; will carry out mitigating
measures required by HUD or select
alternate property; and will not acquire,
rehabilitate, convert, demolish, lease,
repair, or construct property, or commit
or expend HUD or local funds for these
program activities with respect to any
eligible property until HUD approval of
the property is received. In supplying
HUD with environmental information,
grantees must use the guidance
provided in Notice CPD 05–07, entitled
‘‘Field Environmental Review
Processing for Rural Housing and
Economic Development (RHED)
Grants,’’ issued August 30, 2005, which
can be found at https://www.hud.gov/
offices/cpd/energyenviron/environment/
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lawsandregs/notices.cfm. 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 utilize
this year’s funding to fund previous
years’ errors prior to rating and ranking
this year’s applications.
(3) If a balance remains, HUD reserves
the right to utilize those funds toward
the following year’s awards.
(4) Please see the Section VI.A.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. See Section V.B.
of the General Section for more detailed
information on this topic.
VI. Award Administration Information
A. Award Notice. Successful Rural
Housing and Economic Development
program applicants will be notified of
grant award and will receive post-award
instructions by mail.
B. Administrative and National Policy
Requirements. In addition to the
requirements listed below, please
review all requirements in Section III of
the General Section.
1. Lead-Based Paint Hazard Control.
All property assisted under the Rural
Housing and Economic Development
program is covered by the Lead-Based
Paint Poisoning Prevention Act (42
U.S.C. 4821–4846) and HUD’s
implementing regulations at 24 CFR part
35.
2. Procurement of Recovered
Materials. See the General Section for
further information.
3. Executive Order 13202,
‘‘Preservation of Open Competition and
Government Neutrality Towards
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11911
Government Contractors’ Labor
Relations on Federal and Federally
Funded Construction Projects.’’ (See the
General Section for further information.)
4. Audit Requirements. Any grantee
that expends $500,000 or more in
federal financial assistance in a single
year (this can be program year or fiscal
year) must meet the audit requirements
established in 24 CFR parts 84 and 85
in accordance with OMB A–133.
5. Accounting System Requirements.
The Rural Housing and Economic
Development program requires that
successful applicants have in place an
accounting system that meets the
policies, guidance, and requirements
described in the following applicable
OMB Circulars and Code of Federal
Regulations:
a. OMB Circular A–87 (Cost
Principles for State, Local and Indian
Tribal Governments);
b. OMB Circular A–122 (Cost
Principles for Non-Profit Organizations);
c. OMB Circular A–133 (Audits of
States, Local Governments, and 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
of assistance under the Rural Housing
and Economic Development program
and to the remedies for noncompliance,
except when inconsistent with HUD’s
Appropriation Act, or other federal
statutes or the provisions of this NOFA.
For each reporting period, as part of
your required report to HUD, grantees
must include a completed Logic Model
(Form HUD 96010), which identifies
output and outcome achievements. The
Return on Investment concept will be
addressed further in a subsequent notice
(see section V., Rating Factor 5 of this
NOFA for further information). 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, Community Planning and
Development Specialist, or Ms. Linda L.
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Streets, Community Planning and
Development Specialist, Office of Rural
Housing and Economic Development,
Office of Community Planning and
Development, Department of Housing
and Urban Development, 451 Seventh
Street, SW., Room 7137, Washington,
DC 20410–7000; telephone 202–708–
2290 (this is not a toll-free number).
Persons with speech or hearing
impairments may access this number
via TTY by calling the toll-free Federal
Information Relay Service at 800–877–
8339.
Prior to the application deadline, Mr.
Young or Ms. Streets will be available
at the number above to provide general
guidance and clarification of the NOFA,
but not guidance in actually preparing
your application. Following selection,
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but prior to award, HUD staff will be
available to assist in clarifying or
confirming information that is a
prerequisite to the offer of an award by
HUD.
VIII. Other Information
A. Satellite Broadcast. HUD will hold
an information webcast via satellite for
potential applicants to learn more about
the program and preparation of an
application. For more information about
the date and time of this webcast,
consult the HUD Web site at https://
www.hud.gov.
B. The Paperwork Reduction Act. The
information collection requirements
contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
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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.
BILLING CODE 4210–01–P
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Resident Opportunity and SelfSufficiency (ROSS) Elderly/Persons
With Disabilities Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Public and Indian Housing.
B. Funding Opportunity Title:
Resident Opportunity and SelfSufficiency (ROSS)—Elderly/Persons
with Disabilities Program (formerly
known as Resident Services Delivery
Model—Elderly/Persons with
Disabilities).
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number for this NOFA
is FR–5030–N–30. The OMB approval
number is 2577–0229.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): Resident
Opportunity and Self Sufficiency,
14.876.
F. Dates: The application deadline
date is July 13, 2006. Applications
submitted through https://
www.grants.gov must be received and
validated by grants.gov no later than
11:59:59 Eastern time on the application
deadline date.
G. Additional Overview Content
Information: 1. Purpose of Program: The
purpose of the ROSS—Elderly/Persons
with Disabilities Program is to provide
grants to public housing agencies
(PHAs), tribes/tribally designated
housing entities (TDHEs), Resident
Associations (RAs), and nonprofit
organizations (including grassroots,
faith-based and other community-based
organizations), for the delivery and
coordination of supportive services and
other activities designed to help
improve the living conditions of public
and Indian housing residents who are
elderly and/or disabled. Applicants
should be aware that receipt of grant
funds in no way guarantees further
funding beyond the three-year grant
term and should be sure that services
commenced pursuant to this grant will
be sustained independently in the
future or that the cessation of these
activities will not negatively impact
residents. This is especially important
for any meal programs to meet residents’
nutritional needs.
2. Funding Available: A total of
approximately $10 million is available
for ROSS—Elderly/Persons with
Disabilities grants in fiscal year 2006.
3. Award Amounts: Awards,
depending on the grant category, unit
Grant program
Total
funding
Eligible applicants
ROSS—Elderly/ Persons with
Disabilities.
$10 million ..........
PHAs .....................................
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Resident Associations ...........
Non-profit entities ..................
Tribes/TDHEs ........................
Grant awards must be used in two
ways: one portion for the salaries and
fringe benefits of a Project Coordinator;
and one portion for direct delivery of
high priority supportive services to the
targeted elderly/disabled resident
population. The applicant may use up
to $50,000 maximum per year and in
accordance with local wage standards
(see Funding Restrictions) for the salary
and fringe benefits of a Project
Coordinator. Additionally, the applicant
may use funds for delivery of services.
The application must demonstrate (in
rating factor 2) that these services are of
a high priority for the targeted elderly/
disabled residents and that another
funding source is not available,
therefore meriting funding under this
grant.
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count and type of grantee, will range
from $100,000 to $300,000. Grant
awards must be used in two ways: one
portion for the salaries and fringe
benefits of a Project Coordinator; and
one portion for direct delivery of a
supportive service to the targeted
elderly/disabled resident population.
Please see the funding breakdown chart
below.
4. Eligible Applicants. Eligible
applicants are PHAs; tribes/TDHEs;
nonprofit organizations including
grassroots faith-based and other
community-based organizations that
have resident support or the support of
tribes; and RAs. The term ‘‘resident
association’’ or ‘‘RA’’ will be used to
refer to all types of eligible resident
organizations. Please see the section on
‘‘Definition of Terms’’ for a complete
definition of each type of eligible
resident organization.
5. Cost Sharing/Match Requirement:
At least 25 percent of the requested
grant amount is required as a match.
The match may be in cash and/or inkind donations. The match is a
threshold requirement.
6. Grant term. The grant term is three
years from the execution date of the
grant agreement.
Maximum grant amount (units refers to the number of units
occupied by elderly/disabled, as indicated on ROSS Fact
Sheet (HUD–52751))
$180,000
$240,000
$300,000
$100,000
$100,000
$180,000
$240,000
$300,000
for PHAs with 1–217 units.
for PHAs with 218–1,155 units.
for PHAs with 1,156 or more units.
per RA; Maximum award is $300,000.
for Tribes/TDHEs with 1–217 units.
for Tribes/TDHEs with 218–1,155 units.
for Tribes/TDHEs with 1,156 or more units.
Full Text of Announcement
B. Definition of Terms
I. Funding Opportunity Description
1. City-Wide Resident Organization
consists of members from Resident
Councils, Resident Management
Corporations, and Resident
Organizations who reside in public
housing developments that are owned
and operated by the same PHA within
a city.
2. Community Facility means a nondwelling structure that provides space
for multiple supportive services for the
benefit of public and/or Indian housing
residents eligible for the services
provided.
3. Contract Administrator (CA) means
an overall grant administrator and/or a
financial management agent that
oversees the implementation of the
grant and/or the financial aspects of the
grant. (See the ‘‘Threshold
A. Purpose
The purpose of the ROSS—Elderly/
Persons with Disabilities Program is to
provide grants to public housing
agencies (PHAs), Tribes/Tribally
Designated Housing Entities (TDHEs),
Resident Associations (RAs), and
nonprofit organizations (including
grassroots, faith-based and other
community-based organizations) for the
delivery and coordination of supportive
services and other activities designed to
help improve the living conditions of
public and Indian housing residents
who are elderly and/or disabled. Please
note that no elderly individual or
person with a disability may be required
to take services.
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Requirements’’ and ‘‘Program
Requirements’’ sections for more
information.) All nonprofit applicants,
all RAs, and PHAs that are troubled at
time of application must have a CA and
are required, per the Threshold Section,
to submit a signed Contract
Administrator Partnership Agreement.
The agreement must be for the entire
grant term. The CA must assure that the
financial management system and
procurement procedures that will be in
place during the grant term will fully
comply with either 24 CFR part 84 or
85, as appropriate. CAs are expressly
forbidden from accessing HUD’s Line of
Credit Control System (LOCCS) and
submitting vouchers on behalf of
grantees. CAs must also assist PHAs to
meet HUD’s reporting requirements.
CAs may be: Local housing agencies;
community-based organizations such as
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
ROSS applications are also ineligible to
be contract administrators.
Organizations that the applicant
proposes to use as the CA must not
violate or be in violation of other
conflicts of interest as defined in 24 CFR
part 84 and 24 CFR part 85.
4. Elderly person means a person who
is at least 62 years of age.
5. Jurisdiction-Wide Resident
Organization means an incorporated
nonprofit organization or association
that meets the following requirements:
a. Most of its activities are conducted
within the jurisdiction of a single
housing authority;
b. There are no incorporated resident
councils or resident management
corporations within the jurisdiction of
the single housing authority;
c. It has experience in providing 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 tribes
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 or any state-recognized tribe
eligible for assistance under section
4(12)(C) of NAHASDA.
8. Intermediary Resident
Organizations means jurisdiction-wide
resident organizations, citywide
resident organizations, statewide
resident organizations, regional resident
organizations, and national resident
organizations.
9. NAHASDA-assisted resident means
a resident of tribal housing (as defined
above) who has been assisted by the
Native American Housing Assistance
and Self-Determination Act
(NAHASDA) of 1996.
10. National Resident Organization
(NRO) is an incorporated nonprofit
organization or association for public
housing that meets each of the following
requirements:
a. It is national in that it conducts
activities or provides services in at least
two HUD areas or two states;
b. It has the capacity to provide 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 https://www.irs.gov. Applicants
who are in the process of applying for
nonprofit status, but have not yet
received nonprofit designation from the
IRS, will not be considered nonprofit
organizations. All nonprofit applicants
must submit their IRS determination
letter to prove their nonprofit (e.g.,
501(c)(3)) status. 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.
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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 one.
14. Person with disabilities: This
NOFA uses the definition of person
with disabilities found at 24 CFR 5.403.
15. Project Coordinator is responsible
for coordinating the grantee’s approved
activities to ensure that grant goals and
objectives are met. A qualified Project
Coordinator is someone with experience
managing projects and preferably has
experience working with supportive
services. Project Coordinators and
grantees are responsible for ensuring
that all federal requirements are
followed.
16. Resident Association (RA) means
any or all of the forms of resident
organizations as they are defined
elsewhere in this Definitions section
and includes Resident Councils (RCs),
Resident Management Corporations
(RMCs), City-Wide Resident
Organizations, Regional Resident
Organizations (RROs), Statewide
Resident Organizations (SROs),
Jurisdiction-Wide Resident
Organizations, and National Resident
Organizations (NROs), Resident
Organization (RO) for tribal entities,
Site-Based Resident Associations, and
Tribal/TDHE Resident Groups. The
NOFA will use ‘‘Resident Association’’
or ‘‘RA’’ to refer to all eligible types of
resident organizations. See 24 CFR
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
to HUD-defined regions);
b. The RRO has experience in
providing start-up and capacity-building
training to residents and resident
organizations; and
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c. Public housing residents
representing different geographical
locations in the region must comprise
the majority of the board of directors.
18. Resident Management
Corporation (RMC) means an entity that
proposes to enter into, or enters into a
contract to conduct one or more
management activities of a PHA and
meets the requirements of 24 CFR
964.120.
19. Resident Organization (RO) for
tribal entities means an incorporated or
unincorporated nonprofit tribal
organization or association that meets
each of the following criteria:
a. Consists of residents only, and only
residents may vote;
b. If it represents residents in more
than one development or in all of the
developments of the tribal/TDHE
community, it shall fairly represent
residents from each development that it
represents;
c. Adopts written procedures
providing for the election of specific
officers on a regular basis; and
d. Has an elected governing board.
20. Secretary means the Secretary of
Housing and Urban Development.
21. Site-Based Resident Associations
means resident councils or resident
management corporations representing a
specific public housing development.
22. Supportive Services means
activities including but not limited to:
a. Meal services adequate to meet
nutritional need;
b. Assistance with activities of daily
living (ADLs);
c. Wellness programs; and
d. Congregate services.
23. Statewide Resident Organization
(SRO) is an incorporated nonprofit
organization or association for public
housing that meets the following
requirements:
a. The SRO is statewide;
b. The SRO has experience in
providing start-up and capacity-building
training to residents and resident
organizations; and
c. Public housing residents
representing different geographical
locations in the state must comprise the
majority of the Board of Directors.
24. Tribal/TDHE Resident Group
means tribal/TDHE resident groups that
are democratically elected groups such
as IHA-wide resident groups, area-wide
resident groups, single development
groups, or resident management
corporations (RMCs).
C. Regulations Governing the ROSS
Grant
ROSS-Elderly/Persons with
Disabilities is governed by 24 CFR part
964.
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II. Award Information
A. Performance Period and Award Type
1. Grant Period. Three years. The
grant period shall begin the day the
grant agreement and the form HUD–
1044, ‘‘Assistance Award/Amendment,’’
are signed by both the grantee and HUD.
2. Grant Extensions. Requests to
extend the grant term beyond the grant
term must be submitted in writing to the
local HUD field office or area ONAP at
least 90 days prior to the expiration of
the grant term. Requests must explain
why the extension is necessary, what
work remains to be completed, and
what work and progress has been
accomplished to date. Extensions may
be granted only once by the field office
or area ONAP for a period not to exceed
six months and may be granted for a
further six months by the Headquarters
Program Office at the request of the
Field Office or Area ONAP.
3. Type of Award. Grant agreement.
4. Subcontracting. Subcontracting is
permitted. Grantees must follow federal
procurement regulations found in HUD
regulations at 24 CFR Part 84.40–84.48
and 24 CFR 85.36.
B. Funding Amounts
1. Total Funding. The Department
expects to award approximately
$10,000,000 under this funding category
of ROSS.
Awards will be made as follows:
a. PHAs must use the number of
conventional public housing units
occupied by elderly and disabled
residents as of September 30, 2005, 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 conventional public housing
units occupied by elderly and disabled
residents under their Annual
Contributions Contract on the Fact
Sheet.
different RAs from the same PHA. A
nonprofit organization may not receive
more than $300,000 in FY 2006 ROSSElderly/Disabled grant funding.
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 and/or tribes/TDHEs
and they may also submit a letter of
support from one or more of the
following: Resident Advisory Boards
(RABs), local civic organizations, or
units of local government.
Note: All nonprofit applicants that do not
include a letter of support from an RA must
include a letter of support from a PHAs. or
tribes/TDHEs. Please see Threshold
Requirements for more information Support
letters must indicate the developments to be
served by the nonprofit organization.
Funding for nonprofit applicants that do not
receive letters of support from RAs will be
determined as follows. Support letters must
indicate the developments to be served by
the nonprofit organization as well as the
number of conventional public housing units
occupied by elderly and persons with
disabilities.
Number of conventional units
occupied by elderly/disabled
residents
1–217 units .................................
218–1,155 units ..........................
1,156 or more units ....................
Maximum
funding
$180,000
240,000
300,000
Applicants should see the General
Section of the SuperNOFA for
instructions on submitting support
letters and other documentation with
their electronic application.
d. Tribes/TDHEs should use the
number of units occupied by elderly
and persons with disabilities counted as
Formula Current Assisted Stock for
Fiscal Year 2005 as defined in 24 CFR
part 1000.316. Tribes/TDHEs are eligible
for the same amounts as PHAs within
each category in (a) above. Tribes that
Number of conventional
Maximum have not previously received funds from
units occupied by elderly and
funding
persons with disabilities
the Department under the 1937 Housing
Act should count housing units under
1–217 units .................................
$180,000 management that are owned and
218–1,155 units ..........................
240,000
operated by the Tribe, identified in their
1,156 or more units ....................
300,000
housing inventory as of September 30,
2005, and occupied by elderly/disabled
b. The maximum grant award is
residents. Tribes should clearly indicate
$100,000 for each RA.
c. Nonprofits are eligible applicants if the number of units under management
occupied by elderly/disabled residents
they are representing or acting at the
behest of an RA. Accordingly, nonprofit on the Fact Sheet.
applicants must show support from that III. Eligibility Information
RA. Nonprofit organizations that have
A. Eligible Applicants
support from an RA are limited to
PHAs, tribes/TDHEs, RAs, and
$100,000 for each RA. A nonprofit
nonprofit organizations (including those
organization may submit a single
nonprofit organizations supported by
application for no more than three
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resident organizations or PHAs, tribes/
TDHEs and RABs). PHAs that are
recipients of the Elderly/Disabled
Renewal Service Coordinator funding
through Operating Subsidy are not
eligible to apply for this ROSS funding
category. If you are unsure if your
organization falls into this category,
please contact the Public and Indian
Housing Information and Resource
Center at 800–955–2232.
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B. Cost Sharing or Matching
Information for All Applicants: Match
is a threshold requirement. Applicants
who do not demonstrate that they have
a match of 25% of the total requested
grant amount will fail the threshold
requirement and will not receive further
consideration for funding.
C. Other
1. Eligible Activities. Applicants
should propose implementing
comprehensive programs within the
three-year grant term, which will result
in improved living conditions for the
elderly/persons with disabilities
population. Improved living conditions
may mean, but is not limited to, agingin-place or assistance to live
independently. Proposals should
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
descriptive narrative and work plan and
a Logic Model 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
these populations. Eligible activities
include but are not limited to the
following:
a. Hiring of a qualified Project
Coordinator to run the grant program. A
qualified Project Coordinator should
have at least two years of experience
managing programs and have
experience working with supportive
services. The Project Coordinator is
responsible for:
(1) Assessing participating residents’
needs for supportive services (e.g.,
Medicaid, Medicare, physician care,
food stamps, rehabilitation services,
veterans disability, state-funded
programs such as nurse case
management, housekeeping, Meals-onWheels, transportation, etc.);
(2) Designing, coordinating, referring
to and delivering, as relevant, grant
activities based on residents’ needs,
such as those activities listed below;
(3) Monitoring the progress of
program participants and evaluating the
overall success of the program. A
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portion of grant funds should be
reserved to ensure that evaluations can
be completed for all participants who
received assistance through this
program. Project Coordinators and
grantees are responsible for ensuring
that all federal requirements are
followed.
b. Coordination, referral to, and
delivery of meal services adequate to
meet nutritional needs (i.e., not related
to entertainment activities);
c. Coordination, referral to, and
delivery of transportation services
including purchase, rental or lease of a
vehicle for the grantee and limited in
use for program purposes;
d. Coordination, set-up and referral to
assistance with daily activities (ADLs);
e. Coordination, set-up and referral to
housekeeping assistance;
f. Coordination, referral to, and
delivery of wellness programs including
but not limited to health and nutrition
programs, preventive health education,
referral to rehabilitation services,
structured programs to build social
support, services for the disabled, and
other community resources;
g. Coordination, set-up and referral to
personal emergency response;
h. Coordination, referral to, and
delivery of congregate services—
includes supportive services provided
in a congregate setting at a conventional
public housing development; and
i. Coordination, referral to, and
delivery of case management;
j. Coordination and referral to health
services (e.g., medical and dental checkups);
k. Coordination, referral, and delivery
of job training opportunities under
Section 3 of the Housing and Urban
Development Act of 1968;
l. Coordination and referral of
residents to employment opportunities
under Section 3 of the Housing and
Urban Development Act of 1968;
m. Salary and fringe benefits of direct
services staff;
n. Lease or rental of space for program
activities, but only under the following
conditions:
(1) The lease must be for existing
facilities not requiring rehabilitation or
construction;
(2) No repairs or renovations of the
property may be undertaken with
Federal funds; and
(3) Properties in the Coastal Barrier
Resources System designated under the
Coastal Barrier Resources Act (16 U.S.C.
3501) cannot be leased or rented with
Federal Funds.
o. Administrative Costs, for all
applicants, may include, but are not
limited to, purchase of furniture, office
equipment and supplies, local travel,
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utilities, printing, postage and lease or
rental of space for program activities
(subject to the lease restrictions in the
preceding paragraph). To the maximum
extent practicable, when leasing space
or purchasing equipment or supplies,
business opportunities should be
provided to businesses under Section 3
of the Housing and Urban Development
Act of 1968. Administrative costs must
not exceed 10 percent of the total grant
costs;
p. Staff training;
q. Long-distance travel (subject to
funding restrictions); and
r. Evaluation costs for the grant
program.
2. Threshold Requirements. The
criteria below apply to all applicants
unless otherwise indicated. Additional
information about threshold
requirements may also be found in the
General Section. Applicants must
respond to each threshold requirement
clearly and thoroughly by following the
instructions below. If the application
fails any threshold requirement it will
be considered a failed application and
will not receive consideration for
funding.
a. Match. All applicants are required
to have in place firm match
commitments, either in cash or in-kind,
for 25 percent of the requested grant
amount, as defined in this NOFA. Joint
applicants must together have at least a
25 percent match of the requested grant
amount. Applicants who do not
demonstrate the minimum 25 percent
match of the requested grant amount
will fail this threshold requirement and
will not receive further consideration
for funding. If you are applying for more
than one category of ROSS grant (i.e.,
ROSS-Family & Homeownership), you
must use different sources of match
donations for each grant application.
Additionally, you must indicate which
other ROSS grant(s) you are applying for
by attaching a page to HUD budget form
424-CBW stating the sources and
amounts of each of your match
contributions for this application as
well as any other HUD programs to
which you are applying. Match
donations must be firmly committed,
which means that the amount of match
resources and their dedication to ROSSfunded activities must be explicit, in
writing, and signed by a person
authorized to make the commitment.
Letters of commitment, memoranda of
understanding (MOUs), or tribal
resolutions must be on organization
letterhead, and signed by a person
authorized to make the stated
commitment, whether it be in cash or
in-kind services. The letters of
commitment/MOUs/tribal resolutions
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must indicate the total dollar value of
the commitment and be dated between
the publication date of this NOFA and
the application deadline published in
this NOFA, or the amended deadline
and indicate how the commitment will
relate to the proposed program. The
commitment must be available at time
of award. Match that is proposed for
ineligible activities will not be accepted.
Although ineligible as a use of grant
funds for applicants, the direct delivery
of ADLs, housekeeping, and personal
emergency response will be accepted as
match if provided by a partner.
Applicants proposing to use their own
non-ROSS grant funds to meet the
match requirement in whole or in part,
must also include a letter of
commitment indicating the type of
match (cash or in-kind) and how the
match will be used. Please see the
General Section for instructions for
submitting the required letters with
your electronic application.
Committed amounts in excess of the
25 percent of the requested grant
amount may be considered as leveraged
funds for higher points under Rating
Factor 4.
(1) The value of volunteer time and
services shall be computed by using the
normal professional rate for the local
area or the national minimum wage rate
of $5.15 per hour (Note: applicants may
not count their staff time toward the
match);
(2) In order for HUD to determine the
value of any donated material,
equipment, staff time, building, or lease,
your application must provide a letter
from the organization making the
donation stating the value of the
contribution.
(3) Other resources/services that can
be committed include: In-kind services
provided to the applicant; funds from
federal sources (not including ROSS
funds) as allowed by statute, including
for example Community Development
Block Grant (CDBG) funds or Indian
Housing Block Grant (IHBG) funds;
funds from any state or local
government sources; and funds from
private contributions. Applicants may
also partner with other program funding
recipients to coordinate the use of
resources in the target area.
b. Past Performance. HUD’s field
offices will evaluate data provided by
applicants under Rating Factor 1 as well
as applicants’ past performance to
determine whether applicants have the
capacity to manage the grant for which
they are applying. The area Offices of
Native American Programs (ONAPs)
will review past performance for tribal
and TDHE submissions. Field offices
will evaluate the contract
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administrators’ past performance for
applicants required to have a contract
administrator. In evaluating past
performance, HUD will look at the
applicant’s record of completing grant
activities on time, within budget, and
the results achieved. Using Rating
Factor 1, the field office/area ONAP will
evaluate applicants’ past performance.
Applicants should carefully review and
respond to Rating Factor 1 to ensure
their applications address each of the
criteria. If applicants fail to address
what is requested in Rating Factor 1,
their applications will fail this threshold
and will not receive further
consideration.
c. Contract Administrator Partnership
Agreement. All nonprofit applicants, all
RAs, and troubled PHAs (troubled as of
the application deadline) are required to
submit a signed Contract Administrator
Partnership Agreement. The agreement
must be for the entire grant term.
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. See the Definitions, and
Program Requirements Sections of this
NOFA more information on Contract
Administrators. See the General Section
for instructions on submitting the
information electronically.
Troubled PHAs are not eligible to be
contract administrators. Grant writers
who assist applicants in preparing their
ROSS applications are also ineligible to
be contract administrators.
d. Letters of Support for Nonprofit
Applicants.
(1) All nonprofit applicants must
include one or more letters of support
from RAs, Resident Advisory Boards
(RABs), local civic organizations, or
units of local government. If the RAs are
inactive, or applicants submit letters of
support from other organizations such
as RABs, then a nonprofit applicant
must also submit an accompanying
letter of support from the PHA or tribe/
TDHE. 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
published in this NOFA. Please note
that in the event that the deadline date
changes, the letters may be dated within
two months of either the original or the
amended deadline date.
(2) Nonprofit applicants that do
receive support from RAs must also
submit form HUD–52754 ‘‘List of
Resident Associations Supporting
Nonprofit Applicants.’’ Submitting this
form is not applicable where RAs are
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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 or
RABs must describe to what extent they
are familiar with the nonprofit applicant
and indicate their support and
understanding of the nonprofit
organization’s application. Letters from
RAs/RABs 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/RAB letterhead. If
RA/RAB letterhead is not available, the
letter may be submitted on PHA
letterhead.
(5) 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 application.
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.
(6) All nonprofit applicants that do
not provide letters of support from RAs
or RABs must provide letters of support
from PHAs or tribes/TDHEs with
jurisdiction over the developments the
applicant proposes to serve. Letters from
PHAs or tribes/TDHEs must describe the
extent to which the nonprofit applicant
is familiar with the needs of the
community to be served, which
programs the nonprofit applicant has
operated or managed in the community
that are similar to the applicant’s
proposal, and whether the nonprofit
organization has the capacity to
implement its proposed program.
Letters from PHAs or tribes/TDHEs must
also list the names of the developments
to be served, certify the number of
conventional units occupied by elderly/
persons with disabilities in those
developments, and identify the ROSS
funding category to which the nonprofit
organization is applying. PHA or tribe/
TDHE letters of support must be signed
by the Executive Director, tribal leader,
or authorized designee and must be on
PHA or tribe/TDHE letterhead. Please
see the General Section of the
SuperNOFA for instructions for
submitting the required letters with
your electronic application.
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(7) Applications from nonprofit
organizations that do not submit the
information requested in this section
will fail this threshold requirement and
will not be considered for funding.
e. Nonprofit status. All nonprofit
applicants must submit their IRS
determination letter to prove their
nonprofit (e.g., 501(c)(3)) status.
Applicants that fail to submit this letter
will fail this threshold requirement and
will not be considered for funding.
Please see the General Section of the
SuperNOFA for instructions for
submitting the required documentation
with your electronic application.
f. Minimum Score for All Fundable
Applications. Applications that pass all
threshold requirements and go through
the ranking and rating process must
receive a minimum score of 75 in order
to be considered for funding.
g. General Section Thresholds. All
applicants will be subject to all
Thresholds requirements listed in the
General Section.
h. The Dun and Bradstreet Universal
Numbering System (DUNS) Number
Requirement. Refer to the General
Section for information regarding the
DUNS requirement. You will need to
obtain a DUNS number to receive an
award from HUD. See the General
Section for a discussion of the
Grants.gov registration process.
3. Program Requirements
a. Contract Administrator. The
contract administrator must assure that
the financial management system and
procurement procedures that will be in
place during the grant term will fully
comply with either 24 CFR part 84 or
85, as appropriate. CAs are expressly
forbidden from accessing HUD’s Line of
Credit Control System (LOCCS) and
submitting vouchers on behalf of
grantees. Contract administrators must
also assist grantees to meet HUD’s
reporting requirements. Contract
administrators may be: Local housing
agencies; community-based
organizations such as community
development corporations (CDCs),
churches, temples, synagogues,
mosques; nonprofit organizations; state/
regional associations and organizations.
Troubled PHAs are not eligible to be
contract administrators. Grant writers
who assist applicants to prepare their
applications are also ineligible to be
contract administrators. Organizations
that the applicant proposes to use as the
contract administrator must not violate
or be in violation of other conflicts of
interest as defined in 24 CFR part 84
and 24 CFR part 85.
b. Requirements for All Applicants.
All applicants, lead and non-lead,
should refer to ‘‘Other Requirements
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and Procedures Applicable to All
Programs’’ of the General Section for
requirements pertaining specifically to
procurement of recovered materials and
for information regarding other
requirements to which they may be
subject.
4. Number of Applications Permitted.
Applicants may desire to provide a
broad range of services supported by
grants from a number of ROSS funding
categories. Applicants may submit more
than one application only based on the
criteria below:
a. General. Applicants may submit up
to one application for each ROSS
funding category (i.e., one application
for ROSS-Elderly/Persons with
Disabilities, one application for ROSSFamily, etc.), except for nonprofits.
Nonprofit organizations may submit
more than one application per ROSS
funding category provided they will be
serving residents of distinct PHAs or
Tribes/TDHEs.
b. More than one application per
development. Only one application per
funding category will be funded for a
particular development. For example, if
multiple applicants apply for ROSSElderly/Persons with Disabilities for the
same development, only the highest
scoring application will be considered
for award. If multiple applicants are
interested in providing services to a
development and the services are
funded under the same ROSS funding
category, it is suggested the applicants
work together to submit one application
on behalf of the development.
c. Joint applications. Two or more
applicants may join together to submit
a joint application for proposed grant
activities. Joint applications must
designate a lead applicant. The lead
applicant must be registered with
Grants.gov and submit the application
using the Grants.gov portal. Lead
applicants are subject to all threshold
requirements. Non-lead applicants are
subject to the following threshold
requirements as applicable:
(1) Letters of support for nonprofit
applicants;
(2) Evidence of nonprofit status as
outlined under the section covering
threshold requirements; and
(3) Threshold requirements outlined
in Section III. C. of the General Section.
Joint applications may include PHAs,
RAs, Tribes/TDHEs, and nonprofit
organizations on behalf of resident
organizations. Joint applications
involving nonprofit organizations must
also provide evidence of resident
support (the RA) or, if the RA is
inactive, the RAB. (If the support letter
is from the RAB, the applicant must also
provide a support letter from the PHAs
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or tribes/TDHEs.) The PHA, tribe/TDHE,
or RA that are part of a joint application
may not also submit separate
applications as sole applicants under
this NOFA.
Note: The number of conventional public
housing units occupied by the elderly/
disabled of the lead applicant will determine
the funding amount category for which the
applicants are eligible.
5. Eligible Participants. All ROSSElderly/Persons with Disabilities
program participants must be residents
of conventional public housing or
NAHASDA-assisted housing and must
be elderly or disabled. See the
Definitions Section for more
information.
6. Eligible Developments. Only
conventional public and Indian housing
developments or NAHASDA-assisted
housing may be served by ROSS grant
funds. Other housing/developments,
including but not limited to private
housing, federally insured housing,
federally subsidized or assisted (i.e.,
assisted under Section 8, Section 202,
Section 811, or Section 236), and others
are not eligible to participate in ROSS.
7. Energy Star. HUD has adopted a
wide-ranging energy action plan for
improving energy efficiency in all
program areas. As a first step toward
implementing the energy plan, HUD, the
Environmental Protection Agency (EPA)
and the Department of Energy (DoE)
have signed a joint partnership to
promote energy efficiency in HUD’s
affordable housing efforts and programs.
The purpose of the Energy Star
partnership is to promote energy
efficiency in the affordable housing
stock, and also to help protect the
environment. Applicants providing
housing assistance or counseling
services are encouraged to promote
Energy Star materials and practices, as
well as buildings constructed to Energy
Star standards, to both homebuyers and
renters. Program activities can include
developing Energy Star promotional and
information materials, outreach to 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).
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IV. Application and Submission
Information
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A. Application Components
Copies of the published NOFAs and
application forms for HUD programs
announced through NOFA may be
downloaded from the grants.gov Web
site at https://www.grants.gov/Find; if
you have difficulty accessing the
information you may receive customer
support from Grants.gov by calling their
Support Desk at (800) 518–GRANTS, or
sending an e-mail to
support@grants.gov. You may request
general information from the NOFA
Information Center (800–HUD–8929) or
800–HUD–2209 (TTY) between the
hours of 10 a.m. and 6:30 p.m. (eastern
time) Monday through Friday, except on
federal holidays. When requesting
information, please refer to the name of
the program you are interested in. The
NOFA Information Center opens for
business simultaneously with the
publication of the SuperNOFA. You can
also obtain information on this NOFA
from HUD’s Web site at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm. Applicants should make
sure to include all requested
information, according to the
instructions found in this NOFA and
where applicable, in the General
Section. This will help ensure a fair and
accurate review of your application.
B. Content and Form of Application
Submission
1. Application Format Information for
All Applicants. Before preparing an
application for any ROSS funding,
applicants should carefully review the
program description, ineligible
activities, program and threshold
requirements, and the General Section.
Applicants should also review each
rating factor found in the ‘‘Application
Review Information’’ section before
writing a narrative response.
Applicants’ narratives should be as
descriptive as possible, 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, which follow this
section. Under some Sections,
applicants are also asked to complete
and include provided forms. Applicants
will be evaluated on whether their
responses contained in the narratives
and on the forms demonstrate that they
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have the necessary capacity to
successfully manage the proposed
program. Applicants should ensure that
their narratives are written clearly and
concisely so that reviewers, who may
not be HUD staff, may fully understand
their proposal. Also, if information
provided on one of the grant forms is
not self-explanatory, narrative should be
provided to clarify.
b. Format of Application. (1)
Applications may not exceed 35
narrative pages. Narrative pages must be
typed, double-spaced, numbered, use
Times New Roman font style, font size
12, and 1″ margins. Supporting
documentation, required forms, and
certifications 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 for
instructions on how to submit
supporting documentation with your
electronic application.
(2) A checklist is provided to help
applicants ensure that they submit all
required forms and information is
provided here. Applicants are not
required to submit the checklist but
should review it to ensure that they
have submitted a complete application.
(Note: Applicants who receive a waiver
to submit paper applications must
submit their applications in a three-ring
binder, with TABS dividing the sections
as indicated below. When submitting
electronically, you do not need to
submit these in TABS. Be sure to name
each attachment clearly.) Copies of the
forms may be downloaded with the
application package and instructions
from www.Grants.gov/Apply of from the
following Web site: https://
www.hud.gov/offices/adm/grants/
nofa06/snofaforms.cfm.
TAB 1: Required Forms from the
General Section and other ROSS forms:
1. Acknowledgement of Application
Receipt (HUD–2993), for paper
application submissions only
2. Application for Federal Financial
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 (3 pages) (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);
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9. Certification of Consistency with
RC/EZ/EC–II Strategic Plan (HUD–2990)
if applicable;
10. Certification of Consistency with
the Consolidated Plan (HUD–2991) if
applicable;
11. Certification of Consistency with
the Indian Housing Plan if applicable
(HUD–52752);
12. Certification of Resident Council
Board of Election (not required for
tribes/nonprofit organizations working
on behalf of tribes) (HUD–52753);
13. Disclosure of Lobbying Activities
(SF–LLL), if applicable;
14. Disclosure of Lobbying Activities
Continuation Sheet (SF–LLL–A), if
applicable;
15. You Are Our Client Grant
Applicant Survey (HUD–2994-A)
(optional)
16. Facsimile Transmittal Sheet
(HUD–96011). (For use with electronic
applications as the cover page to
provide third party documentation.)
TAB 2: Threshold Requirements:
1. Letters from partners attesting to
match;
2. Letter from applicant’s organization
attesting to match (if applicant is
contributing to match);
3. Letters of support from RAs/PHAs/
tribes/TDHEs/Resident Advisory Boards
(Threshold requirement for all nonprofit
applicants);
4. List of Resident Organizations
Supporting Nonprofit Applicants
(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, RAs, and PHAs troubled
at the time of application submission)
(HUD–52755).
TAB 3: Narrative for Rating Factor 1
and ROSS Program Forms
1. Narrative for Rating Factor 1;
2. Chart A: Program Staffing (HUD–
52756);
3. Chart B: Applicant/Contract
Administrator Track Record (HUD–
52757);
4. Resumes/Position Descriptions.
TAB 4: Narrative for Rating Factor 2.
TAB 5: Narrative and work plan for
Rating Factor 3. See Sample ROSS Work
Plan (HUD–52764).
TAB 6: Narrative for Rating Factor 4.
TAB 7: Narrative for Rating Factor 5
and ROSS Program Forms
1. Narrative;
2. Logic Model (HUD–96010);
C. Submission Dates and Times
1. Due Dates.
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a. The application must be received
and validated by Grants.gov no later
than 11:59:59 p.m. eastern time on July
13, 2006. See the General Section for
instructions for requesting a waiver of
the electronic application submission
requirement. If you receive a waiver of
the electronic application submission,
your application must be received by
the application deadline date. See the
General Section for waiver and mailing
requirements.
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D. Intergovernmental Review
Not applicable.
E. Funding Restrictions
1. Reimbursement for Grant
Application Costs. Grantees are
prohibited from using ROSS grant funds
to reimburse any costs incurred in
conjunction with preparation of their
ROSS grant application.
2. Covered Salaries. Applicable to all
applicants:
a. Types of Salaries. ROSS-Elderly/
Persons with Disabilities funds may
only be used for the types of salaries
described in this section according to
the restrictions described herein.
b. Project Coordinator. All applicants
may propose to hire a qualified Project
Coordinator to run the grant program.
The ROSS-Elderly/Persons with
Disabilities program will fund up to
$50,000 in combined annual salary and
fringe benefits for a full-time Project
Coordinator. Applicants may propose a
part-time Project Coordinator at a lesser
salary. However, the difference in salary
may not be transferred to the funds for
services. For audit purposes, applicants
must have documentation on file
demonstrating that the salary and fringe
benefits of the Project Coordinator are
comparable to similar professions in
their local area.
c. ROSS funds may only be used to
pay for salaries of staff that provide
direct services to residents. Direct
services staff, for purposes of this
NOFA, are defined as applicant
personnel or subcontractors who, as
their primary responsibility, provide
services directly to residents that
participate in the activities described in
this application (e.g., case managers,
and wellness program staff, among other
positions.) 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, utilities, printing, postage and
lease or rental of space for program
activities (subject to lease restrictions—
See Eligible Activities section of this
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NOFA). Administrative costs may not be
used to pay for salaries or benefits of
any kind. 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. Funding Requests in Excess of
Maximum Grant Amount. Applicants
that request funding in excess of the
maximum grant amount which they are
eligible to receive will be given
consideration only for the maximum
grant for which they are eligible. If
awarded a grant, the grantee will work
with the Field Office to re-apportion the
grant funds for eligible activities.
5. Ineligible Activities/Costs. Grant
funds may not be used for ineligible
activities. Match will not be counted if
it is proposed to be used for ineligible
activities. Two points will be deducted
for each ineligible activity proposed in
the application. 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. The following are
ineligible activities/costs:
a. Payment of wages and/or salaries to
participants for receiving supportive
services and/or training programs;
b. Purchase, lease, or rental of land;
c. Purchase of space;
d. New construction, costs for
construction materials;
e. Rehabilitation or physical
improvements;
f. Entertainment costs;
h. Payment of wages and/or salaries to
doctors, nurses or other staff (including
health aids or companions) in relation
to medical services provided to
residents;
i. Purchase of non-prescription or
prescription medications;
j. Costs, which exceed limits,
identified in the NOFA for the
following: Project Coordinator,
administrative expenses, and long
distance travel;
k. Cost of application preparation;
l. Vehicle insurance and/or
maintenance;
m. Salaries for staff that are not direct
services staff. Direct services staff, for
purposes of this NOFA, are defined as
applicant personnel or their
subcontractors who, as their primary
responsibility, provide services directly
to residents that participate in the
activities described in this application
(e.g., case managers, and wellness
program staff, among other positions).
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6. ROSS funds cannot be used to hire
or pay for the services (salary, fringe
benefits, etc.) of a Contract
Administrator.
7. Other Budgetary Restrictions. Some
long distance travel may be necessary
during the term of the grant in order for
professional grant staff to attend training
conferences 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.
F. Other Submission Requirements
1. All applicants are required to
submit their applications electronically
via Grants.gov, unless they request and
are approved by HUD for a waiver of
that requirement. Please refer to the
General Section for information on how
to submit your application and all
attachments electronically via
Grants.gov.
2. Proof of Timely Submission. Please
see the General Section for this
information. Applicants that fail to meet
the deadline for application receipt will
not receive funding consideration.
3. For Waiver Recipients Only.
Applicants who have received waivers
to submit paper applications (see the
General Section for more information),
must submit their applications to: HUD
Grants Management Center, Mail Stop:
ROSS-Elderly/Persons with Disabilities,
501 School Street, SW., 8th floor,
Washington, DC 20024. The waiver
approval will provide detailed
instructions.
4. Number of Copies. 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 with a waiver
(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 or Area
ONAP in accordance with the
submission and timely receipt
requirements described in the General
Section.
V. Application Review Information
A. Criteria
1. Factors for Award Used to Evaluate
and Rate Applications to the ROSS
program. The factors for rating and
ranking applications and maximum
points for each factor are provided
below. The maximum number of points
available for this program is 102. This
includes two RC/EZ/EC–II bonus points.
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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.
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Note: Applicants should carefully review
each rating factor before writing a response
and completing forms. Applicants’ narratives
and forms should be as descriptive as
possible, ensuring that every requested item
is addressed. Applicants should make sure
their narratives and forms thoroughly address
the Rating Factors below. Applicants should
include all requested information according
to the instructions found in this NOFA. This
will help ensure a fair and accurate
application review.
a. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Staff (25 Points)
This factor addresses whether the
applicant has the organizational
resources necessary to successfully
implement the proposed activities
within the grant period. In rating this
factor HUD will consider the extent to
which the proposal demonstrates that
the applicant will have qualified and
experienced staff dedicated to
administering the program.
(1) Proposed Program Staffing
(7 Points).
(a) Staff Experience (4 Points). The
knowledge and experience of the
proposed Project Coordinator, staff, and
partners in planning and managing
programs for which funding is being
requested. Experience will be judged in
terms of recent, relevant, and successful
experience of proposed staff to
undertake eligible program activities. In
rating this factor, HUD will consider
experience within the last 5 years to be
recent; experience pertaining to the
specific activities being proposed to be
relevant; and experience producing
specific accomplishments to be
successful. The more recent the
experience and the more experience
proposed staff members who work on
the project have in successfully
conducting and completing similar
activities, the greater the number of
points applicants will receive for this
rating factor. The following information
should be provided in order to provide
HUD an understanding of proposed
staff’s experience and capacity:
(i) The number of staff years (one staff
year = 2080 hours) to be allocated to the
proposed program by each employee or
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expert as well as each of their roles in
the program;
(ii) The staff’s relevant educational
background and/or work experience;
and
(iii) Relevant and successful
experience running programs whose
activities are similar to the eligible
program activities described in the grant
application.
(b) Organizational Capacity (3 Points).
Applicants will be evaluated based on
whether they or their partners have
sufficient qualified personnel to deliver
the proposed activities in a timely and
effective fashion. In order to enhance or
supplement capacity, applicants should
provide evidence of partnerships with
nonprofit organizations or other
organizations that have experience
providing supportive services to
typically underserved populations.
Applicants’ narratives 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
improving living conditions for the
targeted elderly/persons with
disabilities population. Improved living
conditions may mean, but is not limited
to, aging-in-place or assistance to live
independently.
(b) Applicants’ narrative must
indicate past grants they received and
managed, the grant amounts, and grant
terms (years) of the grants, which they
are counting toward past experience.
(c) Applicants’ narrative must
describe how they (or their Contract
Administrator) successfully
implemented past grant programs
designed to assist elderly/persons with
disabilities meet their daily living needs
and enhance their access to needed
services so they can continue to reside
comfortably and productively in their
current living environment.
(d) Applicants will be evaluated
according to the following criteria:
(i) Achievement of specific
measurable outcomes and objectives in
terms of benefits gained by participating
residents. Applicants should describe
results their programs have obtained,
such as Impact on emergency care,
improved health conditions of assisted
population, and access to greater
number of social services.
(ii) Description of success in attracting
and keeping residents involved in past
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grant-funded training programs. HUD
wants to see that applicants’ grantfunded programs benefited significant
numbers of residents;
(iii) Description of timely expenditure
of program funding throughout the term
of past grants. Timely means
drawdowns made commensurate with
the level of activities completed and per
the approved application. Timely
expenditure also refers to fully
expending all grant funds by the end of
the grant term;
(iv) Description of Past Leveraging.
Applicants must describe how they
have created leveraging partnerships for
funding or in-kind services for previous
projects, the extent of the leveraging
partnerships, and how the leveraging
and partnerships benefited participants..
(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
should also describe how grant staff and
partners will report to the Project
Coordinator and other senior staff.
(b) Fiscal Management (6 Points). In
rating this sub-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 (20 Points)
This factor addresses the extent to
which there is a need for funding the
proposed program. In responding to this
factor, applicants will be evaluated on
the extent to which they describe and
document the level of need for their
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proposed activities and the urgency for
meeting the need.
(1) Socioeconomic Profile (5 points).
A thorough socioeconomic profile of the
eligible residents to be served by the
program, including education levels,
income levels, health statistics,
economic statistics for the local area,
etc.
(2) Demonstrated Link Between
Proposed Activities and Local Need (15
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. Grant awards
must be used in two ways: One portion
for the salaries and fringe benefits of a
Project Coordinator; and one portion for
direct delivery of high priority
supportive services to the targeted
elderly/disabled resident population. As
indicated in the chart at the beginning
of the NOFA, applicants must not
propose to use more than the specified
amount of funds for delivery of services.
Accordingly, the applicant must, in the
narrative for this rating factor, describe
the service needs of the targeted
residents, show which service needs are
already being met by local resources and
which service needs the applicant is
unable to meet using existing resources,
and demonstrate that these services are
of a high priority for the targeted
elderly/disabled residents and that
another funding source is not available,
thereby meriting funding under this
program. The applicant may also
indicate a need for a Project
Coordinator, which it may pay up to the
$50,000 maximum per year from grant
funds for salary and fringe in
accordance with local wage standards
(see Funding Restrictions).
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c. Rating Factor 3: Soundness of
Approach (30 Points)
This sub-factor addresses both the
quality and cost-effectiveness of
applicants’ proposed program and/or
work plan. The narrative and work plan
must indicate a clear relationship
between proposed activities, the
targeted population’s needs, and the
purpose of the program funding.
Applicants’ proposed program must
address HUD’s policy priorities outlined
in this Rating Factor.
In rating this factor HUD will
consider:
(1) Quality of the Work Plan (20
points). This factor evaluates both the
applicant’s proposed program and/or
work plan and budget, which will be
evaluated based on the following
criteria:
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(a) Specific Services and/or Activities
(10 points). Applicants’ narrative must
describe the proposed program (i.e.,
specific services, course curriculum,
and activities) they plan to offer and
who will be responsible for each. In
addition to the narrative, applicants
may also provide a work plan, which
should list the specific services,
activities, and outcomes they expect.
The proposed program narrative and
work plan must show a logical order of
activities and must tie to the outcomes
and outputs applicants identify in the
Logic Model (see Rating Factor 5).
Applicants’ narrative must explain how
their proposed activities will:
(i) Involve community partners in the
delivery of services (5 points);
(ii) Offer comprehensive services
(versus a small range of services) geared
toward achieving the enhancement of
the residents’ quality of life. If the
proposed program activities are part of
a more comprehensive plan funded
through other resources, please provide
a description of the comprehensive
program clearly delineating those
proposed activities to be funded by the
ROSS-Elderly/Persons with Disabilities
grant category (5 points).
(b) Feasibility and Demonstrable
Benefits (5 points). This subfactor
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
time frames 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 (5 Points). The score in this
sub-factor will be based on the
following:
(i) Justification of expenses.
Applicants will be evaluated based on
whether their expenses are reasonable
and thoroughly explained and support
the objectives of their proposal.
(ii) Budget Efficiency. Applicants will
be evaluated based on whether their
application requests funds
commensurate with the level of effort
necessary to accomplish their goals and
anticipated results.
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(iii) Timeliness. This sub-factor
evaluates whether applicants’ proposed
program timeline and/or work plan
demonstrates that their proposal is
ready to be implemented within three
months following the execution of the
grant agreement. The proposed program
narrative and work plan must indicate
time frames and deadlines for
accomplishing major activities.
(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
(8 points). HUD wants to improve the
quality of life for those living in
distressed communities. HUD’s grant
programs are a vehicle through which
long-term, positive change can be
achieved at the community level.
Applicants’ narrative and work plan
will be evaluated based on how well
they meet HUD’s policy priorities listed
below.
(a) Improving the Quality of Life in
Our Nation’s Communities (2 points).
The applicants’ narrative and work plan
must indicate the types of activities,
service, and training programs
applicants will offer which can help
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 (4
points). HUD encourages applicants to
partner with grassroots organizations,
e.g., civic organizations, grassroots faithbased and other community-based
organizations that are not usually
effectively utilized. These grassroots
organizations have a strong history of
providing vital community services and
other supportive services. In order to
receive points under this sub-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
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removing barriers. For applicants to
obtain the policy priority points for
efforts to successfully remove regulatory
barriers, applicants must complete form
HUD 27300, ‘‘Questionnaire for HUD’s
Initiative on Removal of Regulatory
Barriers.’’ A copy of HUD’s Notice
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 2006 NOFA. A
description of the policy priority and a
copy of form HUD–27300 can be found
in the application package posted on
https://www.Grants.gov. Applicants are
encouraged to read the Notice as well as
the General Section to obtain an
understanding of this policy priority
and how it can impact their score. A
limited number of questions expressly
request the applicant to provide brief
documentation with their response.
Other questions require that for each
affirmative statement made, the
applicant must supply a reference, 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
attached to the application as part of the
submission or faxed to HUD following
the facsimile submission instructions.
(3) Economic Opportunities for Lowand Very Low-Income Persons (Section
3) (2 Points).
You will receive 2 points if your
application demonstrates that you will
implement Section 3 of the Housing and
Urban Development Act of 1968 (12
U.S.C. 1701u) (Economic Opportunities
for Low- and Very Low-Income Persons
in Connection with assisted Projects)
and its implementing regulations at 24
CFR part 135 in connection with this
grant, if awarded. Information about
Section 3 can be found at HUD’s Section
3 Web site at https://www.hud.gov/fhe/
sec3over.html. Your application must
describe how you will implement
Section 3 through the proposed grant
activities. You must state that you will,
to the greatest extent feasible, direct
training, employment, and other
economic opportunities to:
(a) Low- and very low-income
persons, particularly those who are
recipients of government assistance for
housing, and
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(b) Business concerns which provide
economic opportunities to low- and
very low-income persons.
d. Rating Factor 4: Leveraging Resources
(10 Points)
This factor addresses the applicant’s
ability to secure community resources
that can be combined with HUD’s grant
resources to achieve program purposes.
Applicants are required to create
partnerships with organizations that can
help achieve their program’s goals.
PHAs are required by section 12(d)(7) of
the U.S. Housing Act of 1937 entitled
‘‘Cooperation Agreements for Economic
Self-Sufficiency Activities’’ to make best
efforts to enter into such agreements
with relevant state or local agencies.
Additionally, applicants must have at
least a 25 percent cash or in-kind match.
The match is a threshold requirement.
Joint applicants must together have at
least a 25 percent match. Leveraging in
excess of 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.
Match will not be accepted if it is
proposed to be used for ineligible
activities. Please see the section on
Threshold Requirements in this NOFA
for more information.
Points for this factor will be awarded
based on the documented evidence of
partnerships and firm commitments and
the ratio of requested ROSS funds to the
total proposed grant budget.
Points will be assigned based on the
following scale:
Percentage of Match Points Awarded
25—4 points (with partnerships) 2
points (without partnerships);
26–50—6 points (with partnerships) 4
points (without partnerships);
51–75—8 points (with partnerships) 6
points (without partnerships);
76 or above—10 points (with
partnerships) 8 points (without
partnerships).
e. Rating Factor 5: Achieving Results
and Program Evaluation (15 Points)
(1) An important element in this
year’s NOFA is the development and
reporting of performance measures and
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outcomes. This factor emphasizes
HUD’s determination to ensure that
applicants meet commitments made in
their applications and grant agreements
and that they assess their performance
so that they realize performance goals.
Applicants must demonstrate how they
propose to measure their success and
outcomes as they relate to the
Department’s Strategic Plan.
(2) HUD requires ROSS applicants to
develop an effective, quantifiable,
outcome-oriented plan for measuring
performance and determining that goals
have been met. Applicants must use the
Logic Model form HUD–96010 for this
purpose.
(3) Applicants must establish interim
benchmarks, or outputs, for their
proposed program that lead to the
ultimate achievement of outcomes.
‘‘Outputs’’ are the direct products of a
program’s activities. Outputs should
produce outcomes for your program.
Examples of outputs are the number of
elderly persons referred to for social or
health care services, the number of
persons equipped with emergency
response resources, etc. ‘‘Outcomes’’ are
benefits accruing to the residents,
families and/or communities during or
after participation in the ROSS program.
Applicants must clearly identify the
outcomes to be achieved and measured.
Outcomes are not the development or
delivery of services or program activities
but the results of the services delivered
or program activities—the ultimate
results of the program. Examples of
outcomes are: The number of persons
able to live independently and have
avoided long term care placement, the
number of persons that have had
improved living conditions or quality of
life as a result of receiving increased
social services, etc.
(4) This rating factor requires that
applicants identify program outputs,
outcomes, and performance indicators
that will allow applicants to measure
their performance. Performance
indicators should be objectively
quantifiable and measure actual
achievements against anticipated
achievements. Applicants’ narrative,
work plan, and Logic Model should
identify what applicants are going to
measure, how they are going to measure
it, and the steps they have in place to
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.
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Applicants will be evaluated based on
how comprehensively they propose to
measure their program’s outcomes.
B. Review and Selection Process
1. Review Process. Four types of
reviews will be conducted: a screening
to determine if you are eligible to apply
for funding under the ROSS-Elderly/
Persons with Disabilities grant; a review
of whether your application submission
is complete, on time and meets
threshold; a review by the field office
(or area ONAP office) to evaluate past
performance; and a technical review to
rate your application based on the five
rating factors provided in this NOFA.
2. Selection Process for All Grant
Categories and All Applicants. Twentyfive percent (25%) of funds will be set
aside for Resident Associations and all
qualifying Resident Association
applications will be funded first, up to
25% of the funding amount. The
selection process is designed to achieve
geographic diversity of grant awards
throughout the country. For each grant
category, HUD will first select the
highest ranked application from each of
the ten federal regions and 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 program are too
small to make an award, they may be
transferred to another ROSS program.
3. Tie Scores. In the event of a tie
score between two applications in the
ROSS-Elderly/Persons with Disabilities
funding category 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.
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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
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instructions on what steps they must
take in order to access funding and
begin implementing grant activities.
Applicants who are not funded will also
receive letters via U.S. postal mail.
B. Debriefings
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 lead and non-lead applicants are
subject to the requirements specified in
Section III.C. of the General Section.
Grantees are subject to regulations and
other requirements found in:
a. 24 CFR Part 84 ‘‘Uniform
Administrative Requirements for Grants
and Agreements with Institutions of
Higher Education, Hospitals, and Other
Nonprofit Organizations’’;
b. 24 CFR Part 85 ‘‘Administrative
Requirements for Grants and
Cooperative Agreements to State, Local,
and Federally Recognized Indian Tribal
Governments’’;
c. 24 CFR Part 964 ‘‘Tenant
Participation and Tenant Opportunities
in Public Housing’’;
d. OMB Circular A–87 ‘‘Cost
Principles for State, Local, and Indian
Tribal Governments’’;
e. OMB Circular A–110, ‘‘Uniform
Administrative Requirements for Grants
and Other Agreements with Institutions
of Higher Education, Hospitals and
Other Non-Profit Organizations’’;
f. OMB Circular A–122, ‘‘Cost
Principles for Non-Profit
Organizations’’; and
g. OMB Circular A–133, ‘‘Audits of
States, Local Governments, and 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
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extent feasible, be directed toward lowand 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 for more
information.
D. Reporting
1. Semi-Annual Performance Reports.
Grantees must submit semi-annual
performance reports to the field office or
area ONAP. These progress reports must
include financial reports (SF–269A), 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,
program and/or work plan progress, and
problems encountered and methods
used to address the problems. Grantees
must use quantifiable data to measure
performance against goals and
objectives outlined in their program
and/or 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 or Area ONAP on
July 30 and January 31 of each year. If
reports are not received by the due date,
grant funds will be suspended until
reports are received. For FY2006, HUD
is considering a new concept for the
Logic Model. The new concept is a
Return on Investment (ROI) statement.
HUD will be publishing a separate
notice on the ROI concept.
2. Final Report. All grantees must
submit a final report to their local field
office or area ONAP that will include a
financial report (SF–269A), a final Logic
Model, and a narrative evaluating
overall results achieved against their
program and/or work plan. Grantees
must use quantifiable data to measure
performance against goals and
objectives outlined in their program
and/or work plan. The financial report
must contain a summary of all
expenditures made from the beginning
of the grant agreement to the end of the
grant agreement and must include any
unexpended balances. The final
narrative, Logic Model, and financial
report are due to the field office 90 days
after the termination of the grant
agreement.
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3. Final Audit. Grantees that expend
$500,000 in federal funds in a given
program or fiscal year are required to
obtain a complete final close-out audit
of the grant’s financial statements by a
Certified Public Accountant (CPA), in
accordance with generally accepted
government audit standards. A written
report of the audit must be forwarded to
HUD within 60 days of issuance. Grant
recipients must comply with the
requirements of 24 CFR part 84 or 24
CFR part 85 as stated in OMB Circulars
A–87, A–110, and A–122, as applicable.
4. Racial and Ethnic Data. HUD
requires that funded recipients collect
racial and ethnic beneficiary data. HUD
has adopted the Office of Management
and Budget’s Standards for the
Collection of Racial and Ethnic Data. In
view of these requirements, applicants
should use form HUD–27061, Racial
and Ethnic Data Reporting Form.
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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 HQONAP 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 for more information.
B. Transfer of Funds. If transfer of
funds from any of the ROSS programs
does become necessary, HUD will
consider the amount of un-funded
qualified applications in deciding to
which program the extra funds will be
transferred.
C. Paperwork Reduction Act. The
information collection requirements
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contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
number 2577–0229. In accordance with
the Paperwork Reduction Act, HUD may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless the collection
displays a currently valid OMB control
number. Public reporting burden for the
collection of information is estimated to
average 49.5 hours per respondent for
the application. This includes the time
for collecting, reviewing, and reporting
the data for the application. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
BILLING CODE 4210–01–P
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Resident Opportunity and SelfSufficiency (ROSS) Family and
Homeownership Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Public and Indian Housing.
B. Funding Opportunity Title: ROSS
Family and Homeownership, under the
Resident Opportunity and SelfSufficiency (ROSS) program.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number is FR–5030–N–
31. 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 deadline
date is August 8, 2006. Applications
submitted through https://
www.grants.gov must be received and
validated by grants.gov no later than
11:59:59 Eastern time on the application
deadline date.
G. Additional Overview Content
Information:
1. Purpose of Program
The purpose of the Public and Indian
Housing Resident Opportunity and Self
Sufficiency (ROSS) program is to
provide grants to public housing
agencies (PHAs), tribes/tribally
designated housing entities (TDHEs),
Resident Associations (RAs), and
nonprofit organizations, including
grassroots, faith-based and other
community-based organizations for the
delivery and coordination of supportive
services and other activities designed to
help public and Indian housing
residents attain economic and housing
self-sufficiency.
2. Funding Available
A total of approximately $18 million
is available for ROSS in fiscal year 2006.
3. Award Amounts
Awards, depending on the unit count
and type of grantee, will range from
$100,000 to $600,000. Please see the
program description for more specific
information about funding amounts.
4. Eligible Applicants
Eligible applicants are PHAs; tribes/
TDHEs; nonprofit organizations
including grassroots faith-based and
other community-based organizations
that have resident support or the
support of tribes; RAs; resident councils
(RCs); resident organizations (ROs);
City-Wide Resident Organizations
(CWROs); Intermediary Resident
Organizations (IROs); Jurisdiction-Wide
Resident Organizations; Regional
Resident Organizations; Resident
Management Corporations (RMCs); SiteBased Resident Organizations;
Statewide Resident Organizations
(SROs); and Tribal/TDHE resident
groups. The term ‘‘resident association’’
or ‘‘RA’’ will be used to refer to all types
of eligible resident organizations. Please
see the section on ‘‘Definition of Terms’’
for a complete definition of each type of
eligible resident organization.
5. Cost Sharing/Match Requirement
At least 25 percent of the requested
grant amount is required as a match.
The match may be in cash and/or 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.
Maximum grant amount (units
refer to the number of family-occupied units as indicated on
ROSS Fact Sheet (HUD–52751)
Grant program
Total funding
Eligible applicants
ROSS—Family and Homeownership.
$18 million ....................................
PHAs/Tribes/TDHEs .....................
Resident associations ...................
Non-profit entities .........................
Full Text of Announcement
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I. Funding Opportunity Description
A. ROSS Family and Homeownership
The purpose is to provide funding to
assist PHAs, tribes/TDHEs, RAs,
nonprofit organizations which include
grassroots community based
organizations, inclusive of faith-based
organizations, create programs which
will help residents achieve economic
self-sufficiency. Applicants must submit
proposals that will link residents with
services such as job training, and
educational opportunities that facilitate
economic and housing self-sufficiency.
The Homeownership component
provides funds to recipients to deliver
homeownership training, counseling
and supportive services for residents of
Public and Indian housing who are
participating or have participated in
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self-sufficiency programs, such as
ROSS, Public Housing Family SelfSufficiency (FSS) or other Federal, state,
or local self-sufficiency programs ROSSElderly/Persons with Disabilities
funding and Public Housing
Neighborhood Networks funding are
being offered under separate Notices in
the 2006 SuperNOFA.
B. Definition of Terms
1. City-Wide Resident Organization
consists of members from Resident
Councils, Resident Management
Corporations, and Resident
Organizations who reside in public
housing developments that are owned
and operated by the same PHA within
a city.
2. Community Facility means a nondwelling structure that provides space
for multiple supportive services for the
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$150,000
for
1–780
units;
$250,000 for 781–2,500 units;
$350,000 for 2,501–7,300 units;
$600,000 for 7,301 or more
units.
$100,000
$100,000 per RA; Maximum
award is $300,000.
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.
4. Elderly person means a person who
is at least 62 years of age.
5. Jurisdiction-Wide Resident
Organization means an incorporated
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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 tribes
to act on behalf of each such tribe
authorizing or establishing the housing
entity.
7. Indian Tribe means any tribe, band,
nation, or other organized group of a
community of Indians, including any
Alaska Native village, regional, or
village corporation as defined in or
established pursuant to the Alaska
Native Claims Settlement Act, and that
is recognized as eligible for the special
programs and services provided by the
United States to Indians because of their
status as Indians pursuant to the Indian
Self Determination and Education Act of
1975 or any state-recognized tribe
eligible for assistance under section
4(12)(C) of NAHASDA.
8. Intermediary Resident
Organizations means jurisdiction-wide
resident organizations, citywide
resident organizations, statewide
resident organizations, regional resident
organizations, and national resident
organizations.
9. NAHASDA-assisted resident means
a member 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
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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 https://www.irs.gov. Applicants
who are in the process of applying for
nonprofit status, but have not yet
received nonprofit designation from the
IRS, will not be considered nonprofit
organizations. All nonprofit applicants
must submit their IRS determination
letter to prove their nonprofit (e.g.
501(c)(3)) status. Please see the section
on ‘‘Threshold Requirements’’ for more
information. Nonprofit applicants must
also provide letters of support as
described in the ‘‘Threshold
Requirements’’ section.
12. National nonprofit organizations
work on a national basis and have the
capacity to mobilize resources on both
a national and local level. All nonprofit
applicants must submit their IRS
determination letter to prove their
nonprofit (e.g. 501(c)(3)) status. National
nonprofit applicants must also provide
letters of support as outlined in the
‘‘Threshold Requirements’’ section.
13. Past Performance is a threshold
requirement. Using Rating Factor 1
(described in the ‘‘Application Review
Information’’ section of this NOFA),
HUD’s field offices will evaluate
applicants for past performance to
determine whether an applicant has the
capacity to manage the grant for which
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,
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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 and program
accessibility. Please see 24 CFR § 5.403.
15. Project Coordinator is responsible
for coordinating the grantee’s approved
activities to ensure that grant goals and
objectives are met. A qualified project
coordinator is someone with experience
managing projects and preferably has
experience working with supportive
services. The project coordinator and
grantees are responsible for ensuring
that all federal requirements are
followed.
16. Resident Association (RA) means
any or all of the forms of resident
organizations as they are defined
elsewhere in this Definitions section
and includes Resident Councils (RC),
Resident Management Corporations
(RMC), Regional Resident Organizations
(RRO), Statewide Resident
Organizations (SRO), Jurisdiction-Wide
Resident Organizations, and National
Resident Organizations (NRO). The
NOFA will use ‘‘Resident Association’’
or ‘‘RA’’ to refer to all eligible types of
resident organizations. See 24 CFR
964.115 for more information.
17. Regional Resident Organization
(RRO) means an incorporated nonprofit
organization or association for public
housing that meets each of the following
requirements:
a. The RRO is regional (i.e., not
limited by HUD Areas);
b. The RRO has experience in
providing start-up and capacity-building
training to residents and resident
organizations; and
c. Public housing residents
representing different geographical
locations in the region must comprise
the majority of the Board of Directors.
18. Resident Management
Corporation (RMC) means an entity that
proposes to enter into, or enters into a
contract to conduct one or more
management activities of a PHA and
meets the requirements of 24 CFR
964.120.
19. Resident Organization (RO) for
tribal entities means an incorporated or
unincorporated nonprofit tribal
organization or association that meets
each of the following criteria:
a. It shall consist of residents only,
and only residents may vote;
b. If it represents residents in more
than one development or in all of the
developments of the tribal/TDHE
community, it shall fairly represent
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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 has statewide jurisdiction;
b. The SRO has experience in
providing start-up and capacity-building
training to residents and resident
organizations; and
c. Public housing residents
representing different geographical
locations in the state must comprise the
majority of the Board of Directors.
23. Tribal/TDHE Resident Group
means tribal/TDHE resident groups that
are democratically elected groups such
as IHA-wide resident groups, area-wide
resident groups, single development
groups, or resident management
corporations (RMCs).
C. Regulations Governing the ROSS
Program
ROSS Family and Homeownership is
governed by 24 CFR Part 964.
II. Award Information
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A. Performance Period and Award Type
1. Grant Period. Three years. The
grant period shall begin the day the
grant agreement and the form HUD–
1044, ‘‘Assistance Award/Amendment’’
are signed by both the grantee and HUD.
2. Grant Extensions. Requests to
extend the grant term beyond the grant
term must be submitted in writing to the
local HUD field office or area ONAP at
least 90 days prior to the expiration of
the grant term. Requests must explain
why the extension is necessary, what
work remains to be completed, and
what work and progress was
accomplished to date. Extensions may
be granted only once by the field office
or area ONAP for a period not to exceed
six months and may be granted for a
further six months by the HUD
Headquarters Program Office at the
request of the Field Office or Area
ONAP.
3. Type of Award. Grant agreement.
4. Subcontracting. Subcontracting is
permitted. Grantees must follow federal
procurement regulations found in HUD
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regulations at 24 CFR 84.40–84.48 and
24 CFR 85.36.
5. Total Funding. The Department
expects to award $18,000,000 under this
funding category of ROSS. Awards will
be made as follows:
a. PHAs must use the number of
occupied conventional family public
housing units as of September 30, 2005,
per their budget to determine the
maximum grant amount they are eligible
for in accordance with the categories
listed below. (Use HUD–51751 ROSS
Fact Sheet.) Applicants should clearly
indicate on the Fact Sheet the number
of eligible units under their Annual
Contributions Contract.
Number of conventional units
1–2,500 units ........................
2501–7,300 units ..................
7,301 or more units ..............
Maximum
funding for
non-profits
with support
letters from
PHAs (not
RAs)
$100,000
200,000
300,000
Applicants should see the General
Section for instructions on submitting
support letters and other documentation
with their electronic application.
d. Tribes/TDHEs should use the
number of units counted as Formula
Current Assisted Stock for Fiscal Year–
2005 as defined in 24 CFR 1000.316.
Tribes/TDHEs are eligible for the same
Maximum
Number of occupied family
funding for
amounts as PHAs within each category
conventional units
PHAs/tribes/
in (a) above. Tribes that have not
TDHEs
previously received funds from the
1–780 units ...........................
$150,000 Department under the U.S. Housing Act
781–2,500 units ....................
250,000 of 1937 should count housing units
2501–7,300 units ..................
350,000 under management that are owned and
7,301 or more units ..............
600,000 operated by the Tribe and are identified
in their housing inventory as of
September 30, 2005, for family units.
b. The maximum grant award is
Tribes should clearly indicate the
$100,000 for each RA.
number of units under management on
c. Nonprofit organizations that have
the Fact Sheet.
resident support or the support of tribes
III. Eligibility Information
or RAs are limited to $100,000 for each
RA. A nonprofit organization may
A. Eligible Applicants
submit a single application for no more
Eligible applicants are PHAs, tribes/
than three different RAs from the same
TDHEs, RAs, and nonprofit
PHA for a maximum grant award of
organizations (including those nonprofit
$300,000. Nonprofit organizations may
organizations supported by resident
submit more than one application
provided they target residents of distinct organizations or PHAs, tribes/TDHEs
and RABs).
PHAs or tribes/TDHEs. The maximum
funds that may be awarded to any
B. Cost Sharing or Matching
nonprofit applicant is $300,000 overall.
The required Match is 25% of
In cases where nonprofit applicants are
requested funds. The match is a
not able to obtain support from RAs,
they must obtain letters of support from threshold requirement. Applicants who
do not demonstrate the minimum 25
PHAs or tribes/TDHEs and they may
percent match will fail the threshold
also submit letters from one or more of
the following: Resident Advisory Boards requirement and will not receive further
consideration for funding. Please see the
(RABs), local civic organizations, or
section below on threshold
units of local government. Note: All
nonprofit applicants that do not include requirements for more information on
what is required for the match.
letters of support from RAs must
include a letter of support from PHAs or
tribes/TDHEs. (Please see Threshold
Requirements for more information).
Support letters must indicate the
developments to be served by the
nonprofit organization.
Funding for nonprofit applicants that
do not receive letters of support from
RAs will be determined as follows
(support letters 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):
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C. Other
1. Eligible Activities
a. Eligible Program Activities
Applicants should propose
implementing comprehensive programs
within the three year grant term which
will result in improved housing and
economic self-sufficiency for Public and
Indian housing residents. Proposals
should involve partnerships with
organizations that will enhance
grantees’ ability to provide educational
programs, housing counseling, fair
housing counseling, job training and
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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 five
categories, from basic to advanced: (1)
Life-Skills Training; (2) Job Training, Job
Search and Placement Assistance; (3)
Post-Employment Follow-up; (4)
Activities to Support Career
Advancement and Long-term Economic
Self-Sufficiency; and (5)
Homeownership. Applicants are not
limited to choosing one category of
activity, but rather should design their
programs to address the specific needs
of the population they are targeting.
Only applicants proposing activities in
Category 5, Homeownership, and able to
show existing linkages to an existing
homeownership program such as, for
PHAs, Housing Choice VoucherHomeownership, Section 32, or
homeownership programs and resources
offered by other organizations or state or
local homeownership programs and for
Tribes/TDHEs, programs such as the
Mutual Help Homeownership
Opportunity Program, the Section 184
Program, and homeownership programs
developed under the Indian Housing
Block Grant Program such as mortgage
assistance, will be eligible for 2 points
in Rating Factor 3, Soundness of
Approach, under ‘‘Addressing HUD’s
Policy Priorities—Providing Increased
Homeownership and Rental
Opportunities for Low-and-ModerateIncome Persons. * * *’’ Funds may be
used for, but are not limited to, the
activities described below.
(Category 1) Life-skills Training (for
Youth and Adults). Applicants’
proposals can cover, but are not limited
to, the following types of activities:
(a) Credit. The importance of having
good credit and how to maintain good
credit.
(b) Banking and Money Management.
How to open a bank account; balance a
checkbook; create a weekly spending
budget and establish contingency plans
for child care and transportation, etc.
(c) Real Life Issues. Information on tax
forms; voter registration; leases; car
insurance; health insurance; long-term
care insurance; etc.
(d) Literacy training and GED
preparation.
(e) College preparatory courses and
information.
(f) Goal setting.
(g) Mentoring.
(h) Hiring residents to help with the
implementation of this program. Note:
Stipends and salaries serve different
purposes. Resident salaries can only be
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used to hire residents to help program
staff with the implementation of grant
activities.
(Category 2) Job Training, Job Search
and Placement Assistance. Eligible
activities include but are not limited to:
(a) Skills Assessment of participating
residents.
(b) Applying for a job. How to
complete employment forms;
highlighting skills employers are
looking for; researching job
opportunities in the area; 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.
(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) Set career goals;
(ii) Provide strategies such as finding
a strong professional mentor within an
organization for which residents may be
working and focusing on the
organization’s priorities.
(iii) Reinforce welfare-to-work
programs and focus efforts on increasing
residents’ earning capacity. Activities
can include job counseling, helping
residents secure better paying jobs or
jobs in better work environments,
preparing for work in a new job
category, obtaining additional job skills
and other job-related or educational
training.
(iv) Working with local employers to
create opportunities that combine
education and skills training with jobs.
Strategies that promote work-based
learning can offer the most effective
method for giving new workers the tools
they need to move on to a career ladder
and achieve upward mobility.
(Category 3) Post-employment followup. 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.
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(Category 4) Activities to Support
Career Advancement and Long-term
Economic Self-Sufficiency.
(a) Individual Savings Accounts
(ISAs). Applicants may create programs
that encourage residents to save and
contribute to match savings accounts
such as Individual Development
Accounts (IDAs). The programs should
include financial counseling and
education activities. ISAs may only be
used for three purposes: (1) To purchase
a first home that is existing or under
construction when the purchase
contract is signed; (2) to receive postsecondary education or training; or (3)
to start a local business (other than
acquiring, leasing, constructing, or
rehabilitating real property in
connection with the business).
Applicants are encouraged to leverage
funds by working with local financial
organizations, which can also contribute
to residents’ ISAs. FSS escrow accounts
may not be used as a match for ROSSFamily-Homeownership-funded ISAs.
Grantees shall consult the Internal
Revenue Service regarding possible tax
consequences of the ISAs to
participating residents.
(b) Housing Counseling to increase
homeownership opportunities. This can
include information to help residents
move to market rate rental housing and/
or ‘‘pre-purchase’’ homeownership
counseling and training. This may
include training on such subjects as
credit and financial management; credit
repair; housing search; how to finance
the purchase of a home; fair housing;
Individual Savings Accounts; Real
Estate Settlement Procedures Act
(RESPA); and home maintenance.
(Category 5) Homeownership.
Applicants should be able to show
existing linkages with HUD
homeownership programs such as: The
Housing Choice Voucher
Homeownership Program, the PHA
Homeownership Program also known as
Section 32 (formerly the Section 5(h)
Homeownership Program) or
homeownership programs and resources
offered by other organizations or state or
local homeownership programs.
Tribes/TDHEs should be able to show
existing linkages with programs such as
the Mutual Help Homeownership
Opportunity Program, the Section 184
Program, and homeownership programs
developed under the Indian Housing
Block Grant Program such as mortgage
assistance. Proposals should involve
partnerships with organizations that
will enhance the services grantees will
offer. Applicants are strongly
encouraged to partner with HUDapproved housing counseling agencies.
For a list of HUD-approved housing
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counseling agencies, go to: https://
www.hud.gov/offices/hsg/sfh/hcc/
hccprof14.cfm.
Eligible Activities include but are not
limited to:
(1) Training to include:
(a) Asset building;
(b) Credit counseling and credit
scoring;
(c) Financial literacy and
management;
(d) Selecting a real estate broker;
(e) Choosing a lender;
(f) Appraisals;
(g) Home inspections;
(h) Avoiding delinquency and
predatory lending;
(i) Foreclosure prevention;
(j) Home maintenance and financial
management for first-time homeowners;
(k) Real Estate Settlement Procedures
Act (RESPA); and
(l) Fair Housing Counseling.
(2) 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 to be used solely
for (a) escrow accounts, (b) down
payment assistance and (c) closing
costs, to assist the resident to purchase
an existing dwelling unit or a dwelling
unit under construction.
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b. Eligible Other Activities
(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. If Category 5
activities are being proposed, a qualified
grant coordinator must have experience
working on homeownership programs
designed for typically underserved
populations. The project coordinator
should be hired for the entire three-year
term of the grant. The project
coordinator is responsible for:
(a) Marketing the program to
residents;
(b) Assessing participating residents’
skills and job-readiness;
(c) Assessing participating residents’
needs for supportive services, e.g., child
care, transportation costs, etc.
(d) Assisting a tribe or TDHE to create
a resident group to promote selfsufficiency efforts on the reservation;
(e) Designing coordinating and
providing grant activities based on
residents’ needs and the local labor
market; and
(f) Monitoring the progress of program
participants and evaluating the overall
success of the program. A portion of
grant funds should be reserved to ensure
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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) Staff Training.
(3) Long Distance Travel subject to
funding restrictions.
(4) Lease or rental of space for
program activities, but only under the
following conditions:
(i) The lease must be for existing
facilities not requiring rehabilitation or
construction;
(ii) No repairs or renovations of the
property may be undertaken with
Federal funds; and
(iii) Properties in the Coastal Barrier
Resources System designated under the
Coastal Barrier Resources Act (16 U.S.C.
3501) cannot be leased or rented with
Federal Funds.
(5) Stipends. Stipends are an eligible
use of grant funds. 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.
(6) Hiring of Residents. Grant funds
may also be used to hire a resident(s) as
program staff.
(7) Supportive Services.
(a) After school programs for 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 (SCHIP), Student
Loan Interest Deduction, tribal welfare
programs, and other benefit programs
that can assist individuals and families
to make a successful transition from
welfare to work.
(c) Transportation costs as necessary
to enable participating families to
receive services or commute to training
or employment including purchase,
rental or lease of a vehicle for the
grantee and limited in use for program
purposes.
(d) Child-care while residents are
participating in program-related
activities.
(e) Parenting courses.
(f) Nutrition courses.
(g) Health care information and
services including referrals to mental
health providers, alcohol and other drug
abuse treatment programs.
(h) English as a second language (ESL)
classes.
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(i) Housekeeping courses.
(j) Creating and maintaining linkages
to local social service agencies, such as
employment agencies, health
departments, transportation agencies,
economic/community development
agencies, community colleges,
recreational and cultural services, and
other community organizations such as
Boys & Girls Clubs, 4H-Clubs, Boy
Scouts, Girl Scouts, etc.
(8) Hiring or otherwise retaining other
direct services staff as necessary for
program activities.
(9) Evaluation.
(10) Administrative Costs.
Administrative costs may include, but
are not limited to, purchase of furniture,
office equipment and supplies, program
outreach, printing and postage, local
travel, utilities, and lease or rental of
space for program activities (subject to
lease restrictions above). Administrative
costs may not be used to pay for salaries
of any kind. To the maximum extent
practicable, when leasing space or
purchasing equipment or supplies,
business opportunities should be
provided to businesses under Section 3
of the Housing and Urban Development
Act of 1968. Administrative costs must
not exceed 10 percent of the total grant
amount requested from HUD.
2. Threshold Requirements
Applicants must respond to each
threshold requirement clearly and
thoroughly by following the instructions
below. If your application fails one
threshold requirement (regardless of the
type of threshold) it will be considered
a failed application and will not receive
consideration for funding.
a. Match. All applicants are required
to have in place a firmly committed 25
percent match in cash or in-kind
donations as defined in this NOFA.
Joint applicants must together have at
least a 25 percent match. Applicants
who do not demonstrate the minimum
25 percent match will fail this threshold
requirement and will not receive further
consideration for funding. If you are
applying for more than one ROSS grant
(i.e. ROSS-Elderly), you must use
different sources of match donations for
each grant application and you must
indicate which additional ROSS grant(s)
you are applying for by attaching an
additional page to HUD budget form
424–CBW stating the sources and
amounts of each of your match
contributions for this application as
well as any other HUD programs to
which you are applying. Match to be
used for ineligible activities will not be
accepted. Match donations must be
firmly committed which means that the
amount of match resources and their
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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 between
the publication date of this NOFA and
the application deadline published in
this NOFA, or amended deadline, and
indicate how the commitment will
relate to the proposed program. If the
commitment is in-kind, the letters
should explain exactly what services or
material will be provided. The
commitment must be available at time
of award. Applicants proposing to use
their own, non-ROSS grant funds to
meet the match requirement in whole or
in part, must also include a letter of
commitment indicating the type of
match (cash or in-kind) and how the
match will be used. Please see the
General Section for instructions for
submitting the required letters with
your electronic application.
Committed amounts in excess of the
25 percent of the requested grant
amount may be considered as leveraged
funds for higher points under Rating
Factor 4 (described in the ‘‘Application
Review Information’’ section of this
NOFA).
(1) The value of volunteer time and
services shall be computed by using the
normal professional rate for the local
area or the national minimum wage rate
of $5.15 per hour (Note: applicants may
not count their staff time toward the
match);
(2) In order for HUD to determine the
value of any donated material,
equipment, staff time, building, or lease,
your application must provide a letter
from the organization making the
donation stating the value of the
contribution.
(3) Other resources/services that can
be committed include: In-kind services
provided to the applicant; funds from
Federal sources (not including ROSS
funds) as allowed by statute, including,
for example, Community Development
Block Grant (CDBG) funds; Indian
Housing Block Grant (IHBG) funds;
funds from any state or local
government sources; and funds from
private contributions. Applicants may
also partner with other program funding
recipients to coordinate the use of
resources in the target area.
b. Past Performance. HUD’s field
offices will evaluate data provided by
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applicants as well as applicants’ past
performance to determine whether
applicants have the capacity to manage
the grant for which they are applying.
The area ONAP will review past
performance for tribal and TDHE
submissions. Field offices will evaluate
the contract administrators’ past
performance for applicants required to
have a contract administrator. In
evaluating past performance HUD will
look at the applicant’s record of
completing grant activities on time,
within budget and the results achieved.
Using Rating Factor 1, the field office/
area ONAP will evaluate applicants’
past performance. Applicants should
carefully review Rating Factor 1 to
ensure their application addresses each
of the criteria requested therein. If
applicants fail to address what is
requested in Rating Factor 1, their
application will fail this threshold and
will not receive further consideration.
c. Contract Administrator Partnership
Agreement. All nonprofit applicants, all
RAs, and PHAS troubled PHAs (as of
the application publication date) are
required to submit a signed Contract
Administrator Partnership Agreement.
The agreement must be for the entire
grant term. 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. See the Definitions and
Program Requirements Sections of this
NOFA for more information on Contract
Administrators. Please see the General
Section for instructions on submitting
the 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 one or more 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
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11933
within two months of the application
deadline published in this NOFA.
(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 or
RABs must describe to what extent they
are familiar with the nonprofit applicant
and indicate their support and
understanding of the nonprofit
organization’s application. Letters from
RAs/RABs 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/RAB letterhead. If
RA/RAB letterhead is not available, the
letter may be submitted on PHA
letterhead.
(5) 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.
(6) All nonprofit applicants that do
not provide letters of support from
resident associations must provide
letters of support from PHAs or tribes/
TDHEs with jurisdiction over the
developments the applicant proposes to
serve. Letters from PHAs or tribes/
TDHEs must describe the extent to
which the nonprofit applicant is
familiar with the needs of the
community to be served, which
programs the nonprofit applicant has
operated or managed in the community
that are similar to the applicant’s
proposal, and whether the nonprofit
organization has the capacity to
implement its proposed program.
Letters from PHAs or tribes/TDHEs must
also list the names of the developments
to be served, the number of occupied
conventional family or elderly/disabled
public housing units (depending on the
grant category) in those developments,
certify that the units are conventional
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public housing, and identify the ROSS
grant category to which the nonprofit
organization is applying. PHA or tribe/
TDHE letters of support must be signed
by the Executive Director, tribal leader,
or authorized designee and must be on
PHA or tribe/TDHE letterhead. Please
see the General Section for instructions
for submitting the required letters with
your electronic application.
(7) Applications from nonprofit
organizations, which do not submit the
information requested in this section
will fail this threshold requirement and
will not be considered for funding.
e. Nonprofit status. All nonprofit
applicants must submit their IRS
determination letter to prove their
nonprofit (e.g., 501(c)(3)) status.
Applicants that fail to submit this letter
will fail this threshold requirement and
will not be considered for funding.
Please see the General Section for
instructions for submitting the required
documentation with your electronic
application.
f. Minimum Score for All Fundable
Applications. Applications that pass all
threshold requirements and go through
the ranking and rating process, must
receive a minimum score of 75 in order
to be considered for funding.
g. General Section Thresholds. All
applicants will be subject to all
Thresholds requirements listed in the
General Section.
h. The Dun and Bradstreet Universal
Numbering System (DUNS) Number
Requirement. Refer to the General
Section for information regarding the
DUNS requirement. You will need to
obtain a DUNS number to receive an
award from HUD.
3. Program Requirements
a. Contract Administrator. The
contract administrator must assure that
the financial management system and
procurement procedures that will be in
place during the grant term will fully
comply with either 24 CFR part 84 or
85, as appropriate. CAs are expressly
forbidden from accessing HUD’s Line of
Credit Control System (LOCCS) and
submitting vouchers on behalf of
grantees. Contract administrators must
also assist grantees to meet HUD’s
reporting requirements. Contract
administrators may be: Local housing
agencies; community-based
organizations such as community
development corporations (CDCs),
churches, temples, synagogues,
mosques; nonprofit organizations; state/
regional associations and organizations.
Troubled PHAs are not eligible to be
contract administrators. Grant writers
who assist applicants prepare their
applications are also ineligible to be
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contract administrators. Organizations
that the applicant proposes to use as the
contract administrator must not violate
or be in violation of other conflicts of
interest as defined in 24 CFR part 84
and 24 CFR part 85.
b. Requirements Applicable to All
Applicants. All applicants, lead and
non-lead, should refer to ‘‘Other
Requirements and Procedures
Applicable to All Programs’’ of the
General Section for requirements
pertaining specifically to procurement
of recovered materials and for
information regarding other
requirements to which they may be
subject.
4. Number of Applications Permitted
Applicants may desire to provide a
broad range of services supported by
grants from a number of ROSS funding
categories. Applicants may submit more
than one application only based on the
criteria below:
a. General. Applicants may submit up
to one application for each ROSS
funding category (i.e., one application
for ROSS-Elderly/Persons with
Disabilities, one application for ROSSFamily-Homeownership, etc.), except in
the case of nonprofits. Nonprofit
organizations may submit more than
one application per ROSS funding
category provided they will be serving
residents of distinct PHAs or Tribes/
TDHEs.
b. More than one application per
development. Only one application per
funding category will be funded for a
particular development. For example, if
multiple applicants apply for ROSSFamily-Homeownership for the same
development, only the highest scoring
application will be considered for
award. If multiple applicants are
interested in providing services to a
development and the services are
funded under the same ROSS funding
category, it is suggested the applicants
work together to submit one application
on behalf of the development.
c. Joint applications. Two or more
applicants may join together to submit
a joint application for proposed grant
activities. Joint applications must
designate a lead applicant. The lead
applicant must be registered with
Grants.gov and submit the application
using the Grants.gov portal. Lead
applicants are subject to all threshold
requirements. Non-lead applicants are
subject to the following threshold
requirements as applicable:
(1) Letters of support for nonprofit
applicants;
(2) Evidence of nonprofit status as
outlined under the section covering
threshold requirements; and
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(3) Threshold requirements outlined
in Section III. C. of the General Section.
Joint applications may include PHAs,
RAs, Tribes/TDHEs, and nonprofit
organizations on behalf of resident
organizations. Joint applications
involving nonprofit organizations must
also provide evidence of resident
support or support from local civic
organizations or from units of local
government. PHAs, tribes/TDHEs, and
resident organizations that are part of a
joint application may not also submit
separate applications as sole applicants
under this NOFA.
Note: The lead applicant will determine
the maximum funding amount the applicants
are eligible to receive.
5. Eligible Participants
All ROSS Family and
Homeownership program participants
must be residents of conventional
public housing or NAHASDA-assisted
housing. Participants in the Public
Housing Family Self-Sufficiency (FSS)
program (non-Housing Choice Voucher
FSS Program) are also eligible to
participate in activities funded under
ROSS.
6. Eligible Developments
Only conventional Public and Indian
housing developments and NAHASDAassisted may be served by ROSS grant
funds. Other housing/developments,
including, but not limited to private
housing, federally insured housing,
federally subsidized or assisted (i.e.,
assisted under Section 8, Section 202,
Section 811, Section 236), and others
are not eligible to participate in ROSS.
7. Energy Star
HUD has adopted a wide-ranging
energy action plan for improving energy
efficiency in all program areas. As a first
step toward implementing the energy
plan, HUD, the Environmental
Protection Agency (EPA) and the
Department of Energy (DoE) have signed
a joint partnership to promote energy
efficiency in HUD’s affordable housing
efforts and programs. The purpose of the
Energy Star partnership is to promote
energy efficiency of the affordable
housing stock, and to help protect the
environment. Applicants providing
housing assistance or counseling
services are encouraged to promote
Energy Star materials and practices, as
well as buildings constructed to Energy
Star standards, to both homebuyers and
renters. Program activities can include
developing Energy Star promotional and
information materials, outreach to lowand moderate-income renters and
buyers on the benefits and savings when
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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 Request an 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/Find; if
you have difficulty accessing the
information you may receive customer
support from Grants.gov by calling their
Support Desk at (800) 518–GRANTS, or
sending an email to support@grants.gov.
You may request general information,
from the NOFA Information Center
(800–HUD–8929) or 800–HUD–2209
(TTY) between the hours of 10 a.m. and
6:30 p.m. (Eastern Time) Monday
through Friday, except on federal
holidays. When requesting information,
please refer to the name of the program
you are interested in. The NOFA
Information Center opens for business
simultaneously with the publication of
the SuperNOFA. You can also obtain
information on this NOFA from HUD’s
Web site at https://www.hud.gov/offices/
adm/grants/fundsavail.cfm.
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B. Content and Form of Application
Submission
1. Application Format Information for
All Applicants. Applicants should make
sure to include all requested
information, according to the
instructions found in this NOFA and
where applicable, in the General
Section. This will help ensure a fair and
accurate review of your application.
2. Content and Format for Submission
a. Content of Application.
Applicants must write narrative
responses to each of the rating factors,
which follow this section. Applicants
will be evaluated on whether their
responses demonstrate that they have
the necessary capacity to successfully
manage the proposed program.
Applicants should ensure that their
narratives are written clearly and
concisely so that HUD reviewers, who
may not be familiar with the ROSS
program, may fully understand your
proposal.
b. Format of Application.
(1) Applications may not exceed 35
narrative pages. Narrative pages must be
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typed, double-spaced, numbered, use
Times New Roman font style, one inch
margins and font size 12. Supporting
documentation, required forms, and
certifications 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 for
instructions on how to submit
supporting documentation with your
electronic application.
(2) A checklist is provided o ensure
applicants submit all required forms
and information. Applicants are not
required to submit the checklist but
should review it to ensure that they
have submitted a complete application.
(Note: Applicants who receive a waiver
to submit paper applications, must
submit their applications in a three-ring
binder, with TABS dividing the sections
as indicated below. When submitting
electronically, you do not need to
submit these in TABS. Be sure to name
each attachment clearly.) Copies of the
forms may be downloaded with the
application package and instructions
from www.Grants.gov/Apply of from the
following Web site: https://
www.hud.gov/offices/adm/grants/
nofa06/snofaforms.cfm.
TAB 1: Required Forms from the
General Section and other ROSS forms:
1. Acknowledgement of Application
Receipt (HUD–2993), for paper
application submissions only (you must
have an approved waiver to submit a
paper application);
2. Application for Federal Financial
Assistance (SF–424);
3. SF–424 Supplement, Survey on
Ensuring Equal Opportunity for
Applicants;
4. Questionnaire for HUD’s Initiative
on Removal of Regulatory Barriers
(HUD–27300);
5. ROSS Fact Sheet (HUD–52751);
6. Grant Application Detailed Budget
(HUD–424–CB);
7. Grant Application Detailed Budget
Worksheet (HUD–424–CBW);
8. Applicant/Recipient Disclosure/
Update Report (HUD–2880);
9. Certification of Consistency with
RC/EZ/EC–II Strategic Plan (HUD–2990)
if applicable;
10. Certification of Consistency with
the Consolidated Plan (HUD–2991) if
applicable;
11. Certification of Consistency with
the Indian Housing Plan if applicable
(HUD–52752);
12. Certification of Resident Council
Board of Election (not required for
tribes/nonprofit organizations working
on behalf of tribes) (HUD–52753); 13.
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11935
Disclosure of Lobbying Activities (SF–
LLL), if applicable;
13. Disclosure of Lobbying Activities
Continuation Sheet (SF–LLL–A), if
applicable;
14. You Are Our Client Grant
Applicant Survey (HUD–2994–A)
(Optional);
15. Facsimile Transmittal Sheet
(HUD–96011) (For use with electronic
applications as the cover sheet to
provide third party documentation).
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
PHAS troubled PHAs) (HUD–52755).
TAB 3: Narrative for Rating Factor 1
and ROSS Program Forms:
1. Narrative;
2. Chart A: Program Staffing (HUD–
52756);
3. Chart B: Applicant/Administrator
Track Record (HUD–52757);
4. Resumes/Position Descriptions;
5. Statement attesting to Housing
Choice Voucher Homeownership
program, Section 32 or other program, if
proposing activities in Category 5.
TAB 4: Narrative for Rating Factor 2.
TAB 5: Rating Factor 3:
1. Narrative;
2. Work plan (see relevant sample
ROSS work plan HUD 52763).
TAB 6: Narrative for Rating Factor 4.
TAB 7: Rating Factor 5.
1. Narrative;
2. Logic Model (HUD–96010):
C. Submission Dates and Times
1. Due Dates. The application must be
received and validated by Grants.gov no
later than 11:59:59 p.m. eastern time on
the deadline date of August 8, 2006. If
your waiver request is approved, the
notification of approval of the waiver
request will provide instructions on
where to submit the paper application.
See the General Section for instructions
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regarding waivers to the electronic
application submission requirement. If
an applicant receives a waiver to the
electronic application submission
requirement, the application must be
received by the application deadline
date.
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D. Intergovernmental Review
Not applicable.
E. Funding Restrictions
1. Reimbursement for Grant
Application Costs. Grantees are
prohibited from using ROSS grant funds
to reimburse any costs incurred in
conjunction with preparation of their
ROSS application.
2. Covered Salaries.
a. Project Coordinator. All applicants
may propose to hire a qualified project
coordinator to run the program. The
ROSS Family and Homeownership
program will fund up to $65,000 in
combined annual salary and fringe
benefits for a full-time project
coordinator. Applicants may propose a
part-time coordinator at a lesser salary.
For audit purposes, applicants must
have documentation on file
demonstrating that the salary and fringe
benefits of the project coordinator are
comparable to similar professions in
their local area.
b. Resident Salaries. No more than
five percent of -ROSS-Family and
Homeownership funds may be used to
pay for resident salaries.
c. Types of Salaries. ROSS Family and
Homeownership funds may only be
used for the types of salaries described
in this section according to the
restrictions described 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 applicant personnel or
subcontractors who, as their primary
responsibility, provide services directly
to residents that participate in the
activities described in this application
e.g., housing and credit counselors, case
managers, job trainers, childcare
providers, among other positions. ROSS
funds may not be used to pay for
salaries for any other kind of staff.
3. Administrative Costs. For all
applicants, administrative costs may
include, but are not limited to, purchase
of furniture, office equipment and
supplies, program outreach, printing
and postage, local travel, utilities, and
lease or rental of space for program
activities (subject to restrictions on
leasing—See Eligible Activities section
of this NOFA.). Administrative costs
may not be used to pay for salaries of
any kind. Administrative costs must not
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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 Family and
Homeownership funds can be used as
matching funds for ISAs but no more
than 20 percent of total grant funds may
be used for this purpose.
5. Stipends. No more than $200 of the
grant award may be used per participant
per month for stipends for active
trainees and program participants.
Stipends may only be used to reimburse
reasonable out-of-pocket expenses
related to participation in training and
other program-related activities.
Receipts for such expenses must be
provided by the resident in order to
obtain reimbursement. Stipends are not
considered an administrative expense
and therefore are not subject to the 10
percent limitation on administrative
costs.
6. Funding Requests in Excess of
Maximum Grant Amount. Applicants
that request funding in excess of the
maximum grant amount which they are
eligible to receive will be given
consideration only for the maximum
grant for which they are eligible. If a
grant is awarded, the grantee will work
with the Field Office or Area ONAP to
re-apportion the grant funds for eligible
activities.
7. Ineligible Activities/Costs. Grant
funds may not be used for ineligible
activities. The following are ineligible
activities/costs:
a. Payment of wages and/or salaries to
participants for receiving supportive
services and/or training programs (this
does not include stipends);
b. Purchase, lease, or rental of land;
c. New construction, costs for
construction materials;
d. Rehabilitation or physical
improvements;
e. Vehicle insurance and/or
maintenance;
f. Entertainment costs;
g. Purchasing food;
h. Payment of wages and/or salaries to
doctors, nurses or other staff (including
health aids or companions) in relation
to medical services provided to
residents;
i. Purchase of non-prescription or
prescription medications;
j. Down payment assistance (NOTE:
Participants may use their ISAs for this
purpose);
k. Revolving loan funds;
l. Costs which exceed limits identified
in the NOFA, for the following: Project
Coordinator, resident salaries, ISAs,
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stipends, administrative expenses, and
long distance travel;
m. Cost of application preparation;
n. Scholarships for degree programs;
o. Salaries for staff that are not direct
services staff. Direct services staff, for
purposes of this NOFA, are defined as
applicant personnel or subcontractors
who, as their primary responsibility,
provide services directly to residents
that participate in the activities
described in this application, e.g., case
managers, job trainers, childcare
providers, among other positions.
p. Purchase of space.
8. ROSS funds cannot be used to hire
or pay for the services of a Contract
Administrator.
9. Other Budgetary Restrictions. Some
long distance travel may be necessary
during the term of the grant in order for
professional grant staff to attend training
conferences 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.
F. Other Submission Requirements
1. All applicants are required to
submit their applications electronically
via Grants.gov unless they request and
are approved by HUD for a waiver of
that requirement. Please refer to the
General Section for information on how
to submit your application and all
attachments electronically via
Grants.gov.
2. Proof of Timely Submission. Please
see the General Section for this
information. Applicants that fail to meet
the deadline for application receipt will
not receive funding consideration.
3. For Waiver Recipients Only.
Applicants who have received waivers
to submit paper applications (see the
General Section for more information)
must submit their applications to: HUD
Grants Management Center, Mail Stop:
ROSS Family and Homeownership, 501
School Street, SW., 8th floor,
Washington, DC 20024.
4. Number of Copies. Only applicants
receiving a waiver to the electronic
submission requirement may submit a
paper copy application. Paper
applications must be submitted in
triplicate (one original and two identical
copies). For all applicants with a waiver
(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 or Area
ONAP in accordance with the
submission and timely receipt
requirements described in the General
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Section. All paper applications must be
received by the deadline date.
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.
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a. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Staff (25 Points)
This factor addresses whether the
applicant has the organizational
capacity and resources necessary to
successfully implement the proposed
activities within the grant period. In
rating this factor HUD will consider the
extent to which the proposal
demonstrates that the applicant will
have qualified and experienced staff
dedicated to administering the program.
(1) Proposed Program Staffing (7
Points).
(a) Staff Experience (4 Points). The
knowledge and experience of the
proposed project coordinator, staff, and
partners in planning and managing
programs for which funding is being
requested. Experience will be judged in
terms of recent, relevant and successful
experience of proposed staff to
undertake eligible program activities. In
rating this factor, HUD will consider
experience within the last 5 years to be
recent; experience pertaining to the
specific activities being proposed to be
relevant; and experience producing
specific accomplishments to be
successful. The more recent the
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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
application.
(b) Organizational Capacity (3 Points).
Applicants will be evaluated based on
whether they or their partners have
sufficient qualified personnel to deliver
the proposed activities in a timely and
effective fashion. In order to enhance or
supplement capacity, applicants should
provide evidence of partnerships with
nonprofit organizations or other
organizations that have experience
providing supportive services to
typically underserved populations.
Applicants’ narratives 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
assisting residents of low-income
housing to achieve housing and
economic self-sufficiency
(b) Applicants’ narratives must
indicate past grants they received and
managed, the grant amounts, and grant
terms (years) of the grants, which they
are counting toward past experience.
(c) Applicants’ narratives must
describe how they (or their Contract
Administrator) successfully
implemented past grant programs
designed to promote resident selfsufficiency, moving from welfare to
work, and/or helping residents move to
market rate rental housing or
homeownership.
(d) Applicants will be evaluated
according to the following criteria:
(i) Achievement of specific
measurable outcomes and objectives in
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terms of benefits gained by participating
residents. Applicants should describe
results their programs have obtained,
such as:
—Reduced welfare dependency, higher
incomes, higher rates of employment,
increased savings, moving from
subsidized housing to market rate
rental housing; and for Category 5,
—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 and
accurate expenditure of program
funding throughout the term of past
grants. This means regular (i.e.,
quarterly) and accurate drawdowns
throughout the life of the grant, with all
funds expended by the end of the grant
term;
(iv) Description of Past Leveraging.
Applicants must describe how they
have created leveraging partnerships for
funding or in-kind services for previous
projects, the extent of the leveraging
partnership and how leveraging and
partnerships benefited program
participants.
(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
should also describe how grant staff and
partners will 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.,
PHAS troubled PHAs, resident
associations, and nonprofit applicants);
(ii) Applicants must list any audit
findings or material weaknesses in the
past five years (HUD Inspector General,
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management review, fiscal, etc.), 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.
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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 (3 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 (7
points). Applicants’ narratives must
demonstrate a clear relationship
between proposed activities, community
needs and the purpose of the program
funding in order for points to be
awarded for this factor.
c. Rating Factor 3: Soundness of
Approach (30 Points)
This factor addresses both the quality
and cost-effectiveness of applicants’
proposed work plan. The narrative and
work plan must indicate a clear
relationship between proposed activities
and intended outcomes, the targeted
population’s needs, and the purpose of
the program funding. Applicants’
proposed activities must address HUD’s
policy priorities outlined in this Rating
Factor.
In rating this factor HUD will
consider:
(1) Quality of the Work Plan (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
(10 points). Applicants’ narratives must
describe the specific services, course
curricula, and activities they plan to
offer and who will be responsible for
each. In addition to the narrative,
applicants must also provide a work
plan, which must list the specific
services, activities, and outcomes they
expect. The proposed program narrative
and work plan must show a logical
order of activities and progress and
must tie to the outcomes and outputs
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applicants identify in the Logic Model
(see Rating Factor 5). Please see a
sample work plan in the Appendix.
Applicants’ narratives must explain
how their proposed activities will:
(i) Involve community partners in the
delivery of services (4 points);
(ii) Offer comprehensive services
(versus a small range of services) geared
toward achieving the following (6
points):
—Enhancing economic opportunities for
residents leading to economic selfsufficiency and homeownership or
other housing self-sufficiency;
(b) Feasibility and Demonstrable
Benefits (3 points). This factor examines
whether applicants’ work plan are
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
plans demonstrate that their projects are
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 time frames and deadlines for
accomplishing major activities. (1
point).
(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. (2 points).
(c) Budget Appropriateness/Efficient
Use of Grant (5 Points). The score in this
factor will be based on the following:
(i) Justification of expenses.
Applicants will be evaluated based on
whether their expenses are reasonable
and thoroughly explained, and support
the objectives of their proposal.
(ii) Budget Efficiency. Applicants will
be evaluated based on whether their
application requests funds
commensurate with the level of effort
necessary to accomplish their goals and
anticipated results.
(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
(10 points). HUD wants to improve the
quality of life for those living in
distressed communities. HUD’s grant
programs are a vehicle through which
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long-term, positive change can be
achieved at the community level.
Applicants’ narratives and work plans
will be evaluated based on how well
they meet the following HUD policy
priorities:
(i) Improving the Quality of Life in
Our Nation’s Communities (2 points). In
order to receive points in this category,
applicants’ narrative and/or work plan
must indicate the types of activities,
service, and training programs
applicants will offer which can help
residents successfully transition from
welfare to work and earn higher wages.
(ii) Providing Increased
Homeownership and Rental
Opportunities for Low- and ModerateIncome Persons, Persons with
Disabilities, the Elderly, Minorities, and
Families with Limited English
Proficiency (Note: Only applicants
proposing Category 5—Homeownership
activities are eligible for these points.) (2
points). In order to receive points in this
category, applicants’ narratives and/or
work plans must indicate the types of
activities and training programs they
will offer which can help residents
successfully transition to
homeownership. Applicants that
indicate that they have existing linkages
to an existing homeownership program
such as, for PHAs, Housing Choice
Voucher-Homeownership, Section 32,
or homeownership programs and
resources offered by other organizations
or state or local homeownership
programs or for Tribes/TDHEs, programs
such as the Mutual Help
Homeownership Opportunity Program,
the Section 184 Program, and
homeownership programs developed
under the Indian Housing Block Grant
Program such as mortgage assistance,
must provide a specific statement
attesting to these linkages and
indicating the minimum number of
homeownership opportunities (e.g,.
number of HCV-Homeownership
vouchers or number of homes in the
Section 32 program that will be
dedicated to ROSS participants) that
will be provided annually to residents
successfully completing the
requirements of the programs funded by
this NOFA.
(iii) Providing Full and Equal Access
to Grassroots Faith-Based and Other
Community-Based Organizations in
HUD Program Implementation (4
points). HUD encourages applicants to
partner with grassroots organizations,
e.g., civic organizations, grassroots faithbased and other community-based
organizations that are not usually
effectively utilized. These grassroots
organizations have a strong history of
providing vital community services
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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’
narratives and/or work plans must
describe how applicants will work with
these organizations and what types of
services they will provide.
(iv) Policy Priority for Increasing the
Supply of Affordable Housing Through
the Removal of Regulatory Barriers to
Affordable Housing (up to 2 points).
Under this policy priority, higher
rating points are available to (1)
governmental applicants that are able to
demonstrate successful efforts in
removing regulatory barriers to
affordable housing, and (2)
nongovernmental applicants that are
associated with jurisdictions that have
undertaken successful efforts in
removing barriers. For applicants to
obtain the policy priority points for
efforts to successfully remove regulatory
barriers, applicants would have to
complete form HUD 27300,
‘‘Questionnaire for HUD’s Initiative on
Removal of Regulatory Barriers.’’ A copy
of HUD’s Notice entitled America’s
Affordable Communities Initiative,
HUD’s Initiative on Removal of
Regulatory Barriers: Announcement of
Incentive Criteria on Barrier Removal in
HUD’s 2004 Competitive Funding
Allocations’’ can be found on HUD’s
Web site at https://www.hud.gov/grants/
index.cfm. The information and
requirements contained in HUD’s
regulatory barriers policy priority apply
to this FY-2006 NOFA. A description of
the policy priority and a copy of form
HUD–27300 can be found in the
application package posted on
www.Grants.gov. Applicants are
encouraged to read the Notice as well as
the General Section to obtain an
understanding of this policy priority
and how it can impact their score. A
limited number of questions expressly
request the applicant to provide brief
documentation with their response.
Other questions require that for each
affirmative statement made, the
applicant must supply a reference, URL,
or a brief statement indicating where the
back-up information may be found, and
a point of contact, including a telephone
number and/or email address. The
electronic copy of the HUD 27300 has
space to identify a URL or reference that
the material is being scanned and
attached to the application as part of the
submission or faxed to HUD following
the facsimile submission instructions.
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Economic Opportunities for Low- and
Very Low-Income Persons (Section 3) (2
Points)
You will receive 2 points if your
application demonstrates that you will
implement Section 3 of the Housing and
Urban Development Act of 1968 (12
U.S.C. 1701u) (Economic Opportunities
for Low- and Very Low-Income Persons
in Connection with assisted Projects)
and its implementing regulations at 24
CFR part 135 in connection with this
grant, if awarded. Information about
Section 3 can be found at HUD’s Section
3 Web site at www.hud.gov/fhe/
sec3over.html. Your application must
describe how you will implement
Section 3 through the proposed grant
activities. You must state that you will,
to the greatest extent feasible, direct
training, employment, and other
economic opportunities to:
(a) Low- and very low-income
persons, particularly those who are
recipients of government assistance for
housing, and
(b) Business concerns which provide
economic opportunities to low- and
very low-income persons.
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.
Applicants must have at least a 25
percent cash or in-kind match. The
match is a threshold requirement. Joint
applicants must together have at least a
25 percent match. Applicants who do
not demonstrate the minimum 25
percent match will fail the threshold
requirement and will not receive further
consideration for funding. Leveraging in
excess of the 25 percent of the grant
amount will receive a higher point
value. In evaluating this factor HUD will
consider the extent to which applicants
have partnered with other entities to
secure additional resources, which will
increase the effectiveness of the
proposed program activities. Match
proposed to be used for ineligible
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activities will not be accepted. 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 the application.
‘‘Firmly committed’’ means that the
amount of resources and their
dedication to ROSS-funded activities
must be explicit, in writing and signed
by a person authorized to make the
commitment. Please see the section on
Threshold Requirements for more
information.
Points for this factor will be awarded
based on the documented evidence of
partnerships and firm commitments and
the ratio of requested ROSS funds to the
total proposed grant budget.
Points will be assigned based on the
following scale:
Percentage of Match Points Awarded
25—5 points (with partnerships) 3
points (without partnerships);
26–50—10 points (with partnerships) 8
points (without partnerships);
51–75—15 points (with partnerships) 13
points (without partnerships);
76 or above—20 points (with
partnerships) 18 points (without
partnerships).
e. Rating Factor 5: Achieving Results
and Program Evaluation (15 Points)
(1) An important element in any
supportive service program is the
development and reporting of
performance measures and outcomes.
This factor emphasizes HUD’s
determination to ensure that applicants
develop performance and outcome
measures that are focused on residents’
achieving economic and housing selfsufficiency—reducing and eliminating
dependency on any type of subsidized
housing or welfare assistance.
Additionally, achieving outcomes and
accurate evaluation will assist HUD in
meeting its commitment to federal
requirements for accountability.
Applicants must demonstrate how they
propose to measure their success and
outcomes as they relate to the
Department’s Strategic Plan.
(2) HUD requires ROSS applicants to
develop an effective, quantifiable,
outcome-oriented plan for measuring
performance and determining that goals
have been met. Applicants must use the
Logic Model form HUD–96010 for this
purpose. The narrative describes how
the measurement tools are used to
collect and verify reported data and to
modify the program if goals are not
being met.
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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.
B. Review and Selection Process
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(3) Applicants must establish interim
benchmarks, or outputs, for their
proposed program that lead to the
ultimate achievement of outcomes.
‘‘Outputs’’ are the direct products of a
program’s activities. Examples of
outputs are: The number of eligible
families that participate in supportive
services, the number of new services
provided, the number of residents
receiving counseling, or the number of
households using a technology center.
Outputs should produce outcomes for
your program. ‘‘Outcomes’’ are benefits
accruing to the residents, families and/
or communities during or after
participation in the ROSS program.
Outcomes are not the development or
delivery of services or program activities
but the results of the services delivered
or program activities—the ultimate
results of the program. Applicants must
clearly identify the outcomes to be
achieved and measured. Examples of
outcomes are: Increasing
homeownership rates, increasing
residents’ financial stability (e.g.,
increasing assets of a household through
savings), or increasing employment
stability (e.g., whether persons assisted
obtain or retain employment for one or
two years after job training completion).
(4) This rating factor requires that
applicants identify program outputs,
outcomes, and performance indicators
that will allow applicants to measure
their performance. Performance
indicators should be objectively
quantifiable and measure actual
achievements against anticipated
achievements. Applicants’ narratives,
work plans, and Logic Models should
identify what applicants are going to
measure, how they are going to measure
it, and the steps they have in place to
make adjustments to their work plan
and management practices if
performance targets begin to fall short of
established benchmarks and time
frames. Applicants’ proposals must also
show how they will measure the
performance of partners and affiliates.
Applicants must include the standards,
data sources, and measurement methods
they will use to measure performance.
(Applicants will be evaluated based
on how comprehensively they propose
to measure their program’s outcomes.)
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 on what steps they must
take in order to access funding and
begin implementing grant activities.
Applicants who are not funded will also
receive letters via U.S. postal mail.
1. Review Process
Four types of reviews will be
conducted: A screening to determine if
you are eligible to apply for funding
under the ROSS Family and
Homeownership grant program; whether
your application submission is
complete, on time and meets threshold;
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2. Selection Process for All Grant
Categories and All Applicants
Twenty-five percent (25%) of funds
will be set aside for Resident
Associations and all qualifying Resident
Association applications will be funded
first, up to 25% of the funding amount.
The selection process is designed to
achieve geographic diversity of grant
awards throughout the country. For
each grant category, HUD will first
select the highest ranked application
from each of the ten federal regions and
DPONAP for funding. After this
‘‘round,’’ HUD will select the second
highest ranked application in each of
the ten federal regions and DPONAP for
funding (the second round). HUD will
continue this process with the third,
fourth, and so on, highest ranked
applications in each federal region and
DPONAP until the last complete round
is selected for funding. If available
funds exist to fund some but not all
eligible applications in the next round,
HUD will make awards to those
remaining applications in rank order (by
score) regardless of region and DPONAP
and will fully fund as many as possible
with remaining funds. If remaining
funds in one grant category are too small
to make an award, they may be
transferred to another ROSS program. If
there are remaining funds in any ROSS
program after all qualifying applications
have been awarded, those funds may be
transferred to another ROSS program.
3. Tie Scores
In the event of a tie score between two
applications 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.
VI. Award Administration Information
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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. Grantees are
subject to regulations and other
requirements found in:
a. 24 CFR 84 ‘‘Uniform
Administrative Requirements for Grants
and Agreements with Institutions of
Higher Education, Hospitals, and Other
Nonprofit Organizations’’;
b. 24 CFR 85 ‘‘Administrative
Requirements for Grants and
Cooperative Agreements to State, Local,
and Federally Recognized Indian Tribal
Governments’’;
c. 24 CFR 964 ‘‘Tenant Participation
and Tenant Opportunities in Public
Housing’’;
d. OMB Circular A–87 ‘‘Cost
Principles for State, Local, and Indian
Tribal Governments’’;
e. OMB Circular A–110 ‘‘Uniform
Administrative Requirements for Grants
and Other Agreements with Institutions
of Higher Education, Hospitals and
Other Non-Profit Organizations’’;
f. OMB Circular A–122 ‘‘Cost
Principles for Non-Profit
Organizations’’; and
g. OMB Circular A–133 ‘‘Audits of
States, Local Governments, and NonProfit Organizations’’.
3. Economic Opportunities for Low- and
Very Low-Income Persons (Section 3)
Applicants and grantees must also
comply with Section 3 of the Housing
and Urban Development Act of 1968, 12
U.S.C. 1701u and ensure that training,
employment, and other economic
opportunities shall, to the greatest
extent feasible, be directed toward low
and very low-income persons,
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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 for more
information.
D. Reporting
1. Semi-Annual Performance Reports
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Grantees must submit semi-annual
performance reports to the field office or
area ONAP. These progress reports must
include financial reports (SF–269A),
and a Logic Model (HUD–96010)
showing achievements to date against
outputs and outcomes proposed in the
application and approved by HUD. A
narrative describing milestones, work
plan progress, and problems
encountered and methods used to
address the problems to support the
data in the logic model is optional. HUD
anticipates that some of the reporting of
financial status and grant performance
will be through electronic or Internetbased submissions. Grantees must 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. For FY2006, HUD
is considering a new concept for the
Logic Model. The new concept is a
Return on Investment (ROI) statement.
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HUD will be publishing a separate
notice on the ROI concept.
2. Final Report
All grantees must submit a final
report to their local field office or area
ONAP that will include a financial
report (SF–269A), a final Logic Model,
and a narrative evaluating overall
results achieved against their work plan.
Grantees must use quantifiable data to
measure performance against goals and
objectives outlined in their work plan.
The financial report must contain a
summary of all expenditures made from
the beginning of the grant agreement to
the end of the grant agreement and must
include any unexpended balances. The
final Logic Model and financial report
are due to the field office 90 days after
the termination of the grant agreement.
3. Final Audit
Grantees that expend $500,000 in
federal funds in a given program or
fiscal year are required to obtain a
complete final close-out audit of the
grant’s financial statements by a
Certified Public Accountant (CPA), in
accordance with generally accepted
government audit standards. A written
report of the audit must be forwarded to
HUD within 60 days of issuance. Grant
recipients must comply with the
requirements of 24 CFR 84 or 24 CFR 85
as stated in OMB Circulars A–87, A–
110, and A–122, as applicable.
4. Racial and Ethnic Data
HUD requires that funded recipients
collect racial and ethnic beneficiary
data. HUD has adopted the Office of
Management and Budget’s Standards for
the Collection of Racial and Ethnic Data.
In view of these requirements,
applicants should use form HUD–27061,
Racial and Ethnic Data Reporting Form.
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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 HQ ONAP 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 for more information.
B. Transfer of Funds. If transfer of
funds from any of the ROSS programs
does become necessary, HUD will
consider the amount of un-funded
qualified applications in deciding to
which program the extra funds will be
transferred.
C. Paperwork Reduction Act. The
information collection requirements
contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
number 2577–0229. In accordance with
the Paperwork Reduction Act, HUD may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless the collection
displays a currently valid OMB control
number. Public reporting burden for the
collection of information is estimated to
average 49.5 hours per respondent for
the application. This includes the time
for collecting, reviewing, and reporting
the data for the application. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
BILLING CODE 4210–01–P
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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–5030–N–33. The OMB approval
number for this program is 2577–0229.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): 14.875.
F. Dates: The application deadline
date is June 23, 2006.
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. This program
is authorized under § 9(d)(1)(E),
§ 9(e)(1)(K), § 9(h)(8), and § 24(d)(1)(G).
2. Funding Available: The Department
plans to award approximately
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$7,500,000 under the Neighborhood
Networks program in Fiscal Year 2006.
3. Award Amounts: Awards will range
from $100,000 to $550,000.
4. Eligible Applicants: Eligible
applicants are PHAs only.
Tribes and tribally designated housing
entities (TDHEs), nonprofit
organizations, and resident associations
are not eligible to apply for funding
under the Public Housing Neighborhood
Networks program.
5. Cost Sharing/Match Requirement:
PHAs are required to match at least 25
percent of the requested grant amount.
6. Grant term. The grant term is three
years from the execution date of the
grant agreement.
Grant program
Total funding
Eligible applicants
Maximum grant amount
Neighborhood Networks ...........
$7.5 Million .............................
PHAs—existing centers ..........
$100,000 for PHAs with 1–780 units;
$150,000 for PHAs with 781–2,500 units;
$200,000 for PHAs with 2,501–7,300 units;
$250,000 for PHAs with 7,301 units or
more.
$250,000 for PHAs with 1–780 units;
$350,000 for PHAs with 781–2,500 units;
$450,000 for PHAs with 2,501–7,300 units;
$550,000 for PHAs with 7,301 units or
more.
PHAs—new centers ...............
Full Text of Announcement
I. Funding Opportunity Description
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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.
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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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 it is
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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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
providing reasonable accommodations
and for program accessibility for
persons with disabilities.
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
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land, or within reasonable walking
distance to the PHA development(s).
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. The applicant’s
business plan and narrative must
indicate how the center(s) 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
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success of the program. For more
information on how to measure
performance, please see Rating Factor 5
in the ‘‘Application Review
Information’’ section of this NOFA.
2. Literacy training and GED
preparation;
3. Computer training, from basic to
advanced;
4. College preparatory courses and
information;
5. Job Training and Activities Leading
to Self-Sufficiency. Job training for very
low and low-income persons is a
requirement under Section 3 of the
Housing and Urban Development Act of
1968. 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;
tax preparation and submission
assistance, including Earned Income
Tax credits; other activities moving
toward housing and economic selfsufficiency that utilize the computer
center, such as financial literacy, credit
repair, and homeownership training;
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
and will continue to have control for at
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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, other peripheral equipment,
and furniture for the NN Center are
eligible expenses. Section 3 of the
Housing and Urban Development Act
requires funding recipients to provide
business opportunities be directed to
very low and low income persons. In
addition, costs of computer hardware
and software for the needs of persons
with disabilities are eligible costs 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 and other
longer-term security measures, as
needed.
11. Hiring Residents. Grantees may
hire residents to help with the
implementation of this grant program.
12. Administrative Costs. See Section
IV.E for information on this topic.
13. Staff Training and Long Distance
Travel. Funds may be used for applicant
staff or subcontractors’ training in
program-relevant areas. This activity
should not exceed $5,000. See Section
IV.E for information on this topic.
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 $7,500,000
under the Neighborhood Networks
program in Fiscal Year 2006. Awards
will be made as follows:
1. Forty percent of available funding
for Neighborhood Networks will be used
for updating and expanding existing
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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, 2005 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
Sheet (HUD–52751) the number of units
under management.
a. Funding Levels For Existing
Centers:
procurement regulations found at 24
CFR 85.36.
III. Eligibility Information
A. Eligible Applicants
Public Housing Authorities are
eligible to apply for this funding
category. Tribes/TDHEs, nonprofit
organizations, and resident associations
are not eligible to apply for this funding
category.
B. Cost Sharing or Matching
All applicants are required to obtain
a 25 percent cash or in-kind match. The
match is a threshold requirement.
Applicants who do not demonstrate the
minimum 25 percent match will fail the
Maximum
Number of conventional units
funding
threshold requirement and will not
receive further consideration for
1–780 units ...........................
$100,000
funding. Match proposed to be used for
781–2,500 units ....................
150,000
2,501–7,300 units .................
200,000 ineligible activities will not be accepted.
7,301 or more units ..............
250,000 Please see the section below on
threshold requirements for more
information on what is required for the
b. Funding Levels For New Centers:
match.
Number of conventional units
1–780 units ...........................
781–2,500 units ....................
2,501–7,300 units .................
7,301 or more units ..............
Maximum
funding
$250,000
350,000
450,000
550,000
B. Grant Period
Three years. The grant period shall
begin the day the grant agreement and
the form HUD–1044, ‘‘Assistance
Award/Amendment’’ are signed by the
grantee and HUD.
C. Grant Extensions
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Requests to extend the grant term
must be submitted in writing by the
grantee to the local HUD field office.
Such requests must be done prior to
grant termination and with at least 30
days notice to give the field office a
reasonable amount of time to fully
evaluate the request. Requests must
explain why the extension is necessary,
what work remains to be completed,
and what work and progress was
accomplished to date. Extensions may
be granted one time only once by the
field office or area ONAP for a period
not to exceed six months and may be
granted for a further six months by the
HUD Headquarters Program Office at the
request of the Field Office or area
ONAP.
D. Type of Award
Grant agreement.
E. Subcontracting
Subcontracting is permitted. Grantees
must follow the HUD federal
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C. Other
1. Threshold Requirements
Applicants must respond to each
threshold requirement clearly and
thoroughly by following the instructions
below. If your application fails one
threshold requirement (regardless of the
type of threshold) it will be considered
a failed application. All applicants will
be subject to all thresholds listed in the
General Section.
a. Match. All applicants are required
to commit a 25 percent match in cash
or in-kind donations that are defined in
this paragraph. Joint applicants must
together have at least a 25 percent
match. Applicants who do not
demonstrate the minimum 25 percent
match will fail this threshold
requirement and will not receive further
consideration for funding. If you are
also applying for funding under the
ROSS grant program, you must use
different sources of match donations for
each grant application and you must
indicate which ROSS grant(s) you are
applying for by attaching a narrative to
your application. This narrative must
state the sources and amounts of each of
your match contributions for this
application as well as any other HUD
grant program to which you are
applying.
Match donations must be firmly
committed. Firmly committed means
that the amount of match resources and
their dedication to Neighborhood
Networks-funded activities must be
explicit, in writing and signed by a
person authorized to make the
commitment. Letters of commitment
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and memoranda of understanding
(MOU) must be on organization
letterhead, and signed by a person
authorized to make the commitment.
The letters of commitment/MOUs must
indicate the total dollar value of the
commitment, be dated between the
publication date of this NOFA and the
application deadline published in this
NOFA or an amended deadline, and
indicate how the commitment will
relate to the proposed program. If the
commitment is in-kind, the letters
should explain exactly what services or
material will be provided. The
commitment must be available at time
of award. Applicants proposing to use
their own, non-HUD grant funds to meet
the match requirement, must also
include a letter of commitment
indicating the type of match (cash or inkind) and how the match will be used.
Grant awards shall be contingent upon
letters of commitment being submitted
with your application. Match proposed
to be used for ineligible activities will
not be accepted. Please see the General
Section for instructions for submitting
the required letters with your electronic
application.
(1) The value of volunteer time and
services shall be computed using the
professional rate for the local area or the
national minimum wage rate of $5.15
per hour (Note: applicants may not
count their staff time towards the
match.) If grantees propose to use
volunteers for development or
operations work that would otherwise
be subject to payment of Davis-Bacon or
HUD-determined prevailing wage rates
(including construction, rehabilitation
or maintenance) their services must be
computed using the appropriate
methodology. Additional information
on these wage rates can be found at
https://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
provided to the applicant; funds from
federal sources that are allowed by
statute, for example Community
Development Block Grant (CDBG)
funds; funds from any state or local
government sources; and funds from
private contributions. Applicants may
also partner with other program funding
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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 grants 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 applications address 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.
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. Please see the General
Section Definitions Section, and
Program Requirements Section for
instructions for more information.
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
have a DUNS number to receive an
award from HUD.
f. Off-site Physical Improvements.
Physical improvements that relate to
providing space for a Neighborhood
Networks center are eligible activities,
including for off-site centers. If
renovation, conversion or repair is done
off-site, the PHA must describe this
circumstance in their narrative and
provide documentation with its
application that it has control of the
proposed property and will continue to
have control for at least five years.
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Control can be demonstrated through a
lease agreement, ownership
documentation or other appropriate
documentation.
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.
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, and the Americans with
Disabilities Act. Design, construction, or
alteration of buildings in conformance
with the Uniform Federal Accessibility
Standards (UFAS) shall be deemed to
comply with the requirements of 24 CFR
8.21, 8.22, 8.23, and 8.25 with respect
to those buildings.
c. Contract Administrator. The
contract administrator must assure that
the financial management system and
procurement procedures that will be
implemented during the grant term
comply with 24 CFR part 85. CAs are
expressly forbidden from accessing
HUD’s Line of Credit Control System
(LOCCS) and submitting vouchers on
behalf of grantees. Contract
administrators must assist PHAs in
meeting HUD’s reporting requirements,
see Section VI.C. ‘‘Reporting’’ for more
information. Contract administrators
may be: Local housing agencies;
community-based organizations such as
community development corporations
(CDCs), local faith-based institutions;
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.
c. 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 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
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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 the General
Section. 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 2006
Appropriations Act (e.g., residents
receiving tenant-based or project-based
voucher assistance, as well as elderly
and disabled residents).
IV. Application and Submission
Information
A. Address To Request an Application
Package
Copies of this published NOFAs and
application forms will be posted on
www.Grants.gov/Apply. If you have
difficulty accessing the information you
may call the Grants.gov help desk toll
free at (800) 515–GRANTS or you may
send an e-mail message to
Support@Grants.gov.
B. Content and Form of Application
Submission
1. Application Preparation
Before preparing an application,
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 be 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 of Application
Applicants must write narrative
responses to each of the rating factors
described in the section below. Their
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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.
3. 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
page limit. 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: Only applicants who receive a
waiver to submit paper applications,
must submit their applications in a
three-ring binder, with TABS dividing
the sections as indicated below) When
submitting electronically, you do not
need to submit these in TABS. Copies
of the forms may be downloaded with
the application package and instructions
from www.Grants.gov/Apply of from the
following Web site: https://
www.hud.gov/offices/adm/grants/
nofa06/snofaforms.cfm.
TAB 1: Required Forms
1. Acknowledgment of Application
Recedsipt (HUD–2993), for paper
application submissions only;
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);
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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. You Are Our Client Grant
Applicant Survey (HUD–2994–A)
(Optional)
14. Facsimile Transmittal (must be
used as the cover age to fax third party
letters, documents, etc., that cannot be
attached to the electronic application)
(HUD–96011) HUD will not accept
entire applications submitted by
facsimile or read a fax that was not
transmitted with the HUD 96011 as the
cover page.
TAB 2: Threshold Requirements
1. Letters from Partners attesting to
match;
2. Letter from Applicant’s
organization attesting to match (if
applicant is contributing to match); and
3. Contract Administrator Partnership
Agreement (required for troubled PHAs)
(HUD–52755).
4. If applicable, documentation of site
control (for 5 years) for off-site physical
improvements.
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).
request will provide submission
instructions. Paper applications must be
received no later than the deadline date.
C. Submission Dates and Times
3. Funding Requests in Excess of
Maximum Grant Amount
Applicants that request funding in
excess of the maximum grant amount
which they are eligible to receive will be
given consideration only for the
maximum grant for which they are
eligible. If awarded, the grantee will
work with the Field Office to re-
1. Deadline Dates
Electronic applications must be
received and validated by Grants.gov no
later than 11:59:59 p.m. eastern time on
June 23, 2006. For applicants receiving
a waiver to the electronic filing
requirement, the approval of the waiver
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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 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 up to a
full-time Project Coordinator.
Applicants may propose a part-time
coordinator at lesser salary. The Project
Coordinator’s salary and fringe benefits
may not exceed 30 percent of the total
grant amount. For audit purposes,
applicants must have documentation on
file demonstrating that the salary paid to
the Project Coordinator is comparable to
similar professions in their local area.
b. Hiring Residents. Grantees may hire
residents to help with the
implementation of this grant program.
No more than five percent of grant funds
can be used for this purpose.
c. NN funds may only be used for the
types of salaries described in this
section according to the restrictions
described herein. NN funds may not be
used to pay for salaries of any other
kind. NN funds may only be used to pay
for salaries of staff that provide direct
services to residents. Direct services
staff, for purposes of this NOFA, are
defined as applicant personnel or
subcontractors who, as their primary
responsibility, provide services directly
to residents that participate in the
activities described in this application,
e.g., computer skills training.
d. Neighborhood Networks grant
funds cannot be used to hire or pay the
services of a Contract Administrator.
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apportion the grant funds for eligible
activities.
4. Administrative Costs
Administrative costs may include, but
are not limited to, purchase of office
furniture, equipment, supplies, local
travel, and utilities. To the maximum
extent practicable, when leasing space
or purchasing equipment or supplies,
business opportunities should be
provided to businesses under Section 3
of the Housing and Urban Development
Act of 1968. Administrative costs 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. See
Section IV.E for information on this
topic.
5. Long-Distance Travel
Grantees may not use more than
$5,000 for applicant staff/subcontractor
long distance travel activities.
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6. 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. vehicle maintenance and/or
insurance;
e. Entertainment costs;
f. Purchasing food;
g. Salaries and fringe benefits for staff
that are not direct services staff. Direct
services staff, for purposes of this
NOFA, are defined as applicant
personnel or subcontractors who, as
their primary responsibility, provide
services directly to residents that
participate in the activities descried in
this application, e.g. computer skills
training;
h. Stipends;
i. Scholarships for degree programs;
j. Cost of application preparation;
k. Costs which exceed limits
identified in the NOFA for the
following: Project Coordinator, resident
salaries, physical improvements (see
below), long distance travel and
administrative expenses; and
l. Any other costs not eligible under
section 9(d)(1)(E) of the U.S. Housing
Act of 1937.
m. NN funds cannot be used to hire
or pay for the services of a Contract
Administrator.
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7. 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
1. All applicants are required to
submit their applications electronically
via Grants.gov, unless they request and
are approved by HUD for a waiver of
that requirement. Please refer to the
General Section for information on how
to submit your application and all
attachments electronically via
Grants.gov. See the General Section for
instructions for requesting a waiver of
the electronic application submission
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.
3. For Waiver Recipients Only
Applicants who have received
waivers to submit paper applications
(see the General Section for more
information) must submit their
applications to: HUD Grants
Management Center, Mail Stop: ROSS
Family and Homeownership, 501
School Street, SW., 8th floor,
Washington, DC 20024. Applications
must be received by the deadline date.
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 with a
waiver, 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. All paper applications must be
received by the deadline date.
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
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two RC/EZ/EC bonus points. The
General Section 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 more details. 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
capacity and resources necessary to
successfully implement the proposed
activities within the grant period. In
rating this factor, HUD will consider
whether the proposal demonstrates that
the applicant will have qualified and
experienced staff. HUD will also bear in
mind whether or not the proposed staff
will be dedicated to administering the
program.
(1) Proposed Program Staffing (12
Points).
(a) Staff Experience (4 Points). HUD is
requesting details about the knowledge
and experience of the proposed Project
Coordinator, staff, and partners in
planning and managing programs.
Experience will be judged in terms of
recent, relevant and successful
experience of proposed staff to
undertake program activities. In rating
this factor, HUD will consider
experience within the last 5 years to be
recent; experience pertaining to the
specific activities being proposed to be
relevant; and experience producing
specific accomplishments to be
successful. Applicants will receive a
greater amount of points if the proposed
staff has recent and applicable
experience. HUD is looking for staff to
possess experience working with and
successfully implementing similar
projects. If proposed staff has
experience in providing community
technology services and in delivering
social service programs to underserved
populations, applicants will receive a
maximum score of four points. If
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proposed staff has experience in only
one area, applicants will receive two
points. If proposed staff has experience
in neither area, applicants will receive
a score of 0 for this subfactor.
The following information should be
included in the application in order to
provide HUD an understanding of the
proposed staff’s experience and
capacity:
(i) The number of staff years (one staff
year = 2080 hours) to be allocated to the
program by each employee as well as
each of their roles in the program;
(ii) The staff’s relevant educational
background and/or work experience;
(iii) Relevant and successful
experience running programs whose
activities include social services and
computer programs that are similar to
the eligible program activities described
in this NOFA;
(b) Hiring Residents (3 points). Three
points will be awarded if applicants
commit to hiring one to three residents.
Small PHAs should hire one person,
medium PHAs should hire one to two
people, and large PHAs should hire
three people in order to get the
maximum score. In order to receive
points for this subfactor, applicants
must explain in their narrative that they
will hire residents and indicate the
number of residents to be hired, and
work they will be assigned.
(c) Organizational Capacity (5 Points).
Applicants will be evaluated based on
whether they have, and/or whether their
partners have sufficient qualified
personnel to deliver the proposed
activities in a timely and effective
fashion. In order to enhance or
supplement capacity, applicants should
provide evidence of partnerships with
nonprofit organizations or other
organizations that have experience
providing community technology
services to typically underserved
populations. Applicants’ narrative must
describe their ability to immediately
begin the proposed work program.
Applicants may fax (see the General
Section for instructions) resumes or
position descriptions (where staff is not
yet hired) for all key personnel. 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
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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 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;
(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.
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b. Rating Factor 2: Need (10 Points)
This factor addresses the need for
funding an applicant’s proposed
program. In responding to this factor,
applicants will be evaluated on the
extent to which they describe and
document the level of need for their
proposed activities.
In responding to this factor,
applicants must include:
(1) Demonstrated Link Between
Proposed Activities and Local Need (10
points). Applicants’ narrative must
demonstrate a clear relationship
between proposed activities, community
needs and the purpose of the program’s
funding in order for points to be
awarded for this factor.
c. Rating Factor 3: Soundness of
Approach (25 Points)
This factor addresses both the quality
and cost-effectiveness of applicants’
proposed business plan. The business
plan must indicate a clear relationship
between proposed activities, the
targeted population’s needs, and the
purpose of the program funding.
Applicants’ activities must address
HUD’s policy priorities outlined in this
Rating Factor.
In rating this factor HUD will
consider:
(1) Quality of the Business Plan (20
points). This factor evaluates both the
applicants’ business plan and budget
which will be evaluated based on the
following criteria:
(a) Specific Services and/or Activities
(9 points). Applicants’ narrative must
describe the specific services, course
curriculum, and activities they plan to
offer and who will be responsible for
each. In addition to the narrative,
applicants must also provide a business
plan 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 (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
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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. (5 Points) The score in this
factor will be based on the following:
(i) Justification of expenses. (2 Points)
Applicants will be evaluated based on
whether their expenses are reasonable,
well explained, and support the
objectives of their proposal.
(ii) Budget Efficiency. (3 Points)
Applicants will be evaluated based on
whether their application requests funds
commensurate with the level of effort
necessary to accomplish their goals and
anticipated results.
(d) Ineligible Activities. Two points
will be deducted for each ineligible
activity proposed in the application, as
identified in Section IV(E). For example,
you will lose 2 points if you propose
costs that exceed the limits identified in
the NOFA for a Project Coordinator.
(2) Addressing HUD’s Policy Priorities
(5 points). HUD wants to improve the
quality of life for those living in
distressed communities. HUD’s grant
programs are a vehicle for long-term,
positive change that can be achieved at
the community level. Applicants’
narrative and business plan will be
evaluated based on how well they meet
the following HUD policy priorities:
(a) Improving the Quality of Life in
Our Nation’s Communities (1 point). 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
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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
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 20056 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 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 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
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
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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
materials and practices, as well as
buildings constructed to Energy Star
standards, to both homebuyers and
renters. Program activities can include
developing Energy Star promotional and
information materials, outreach to 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.
(e) Economic Opportunities for Lowand Very Low-Income Persons (Section
3)—(2 Points). You will receive 2 points
if your application demonstrates that
you will implement Section 3 of the
Housing and Urban Development Act of
1968 (12 U.S.C. 1701u) (Economic
Opportunities for Low- and Very LowIncome Persons in Connection with
assisted Projects) and its implementing
regulations at 24 CFR part 135 in
connection with this grant, if awarded.
Information about Section 3 can be
found at HUD’s Section 3 Web site at
www.hud.gov/fhe/sec3over.html. Your
application must describe how you will
implement Section 3 through the
proposed grant activities. You must
state that you will, to the greatest extent
feasible, direct training, employment,
and other economic opportunities to:
(a) Low- and very low-income
persons, particularly those who are
recipients of government assistance for
housing, and
(b) Business concerns which provide
economic opportunities to low- and
very low-income persons.
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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
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.
Match proposed to be used for ineligible
activities will not be accepted. ‘‘Firmly
committed’’ means that the amount of
resources and their dedication to
Neighborhood Networks-funded
activities must be explicit, in writing,
and signed by a person authorized to
make the commitment. ‘‘In-kind’’ match
should be explained explicitly and
include a total amount for the grant
term. 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:
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Percentage of match
Points awarded
25 ..............................
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).
26–50 ........................
51–75 ........................
76 or above ...............
e. Rating Factor 5: Achieving Results
and Program Evaluation (10 Points)
(1) An important element of any
supportive service program is the
development and reporting of
performance measures and outcomes.
This factor emphasizes HUD’s
determination to ensure that applicants
meet commitments made in their
applications and grant agreements. They
are also required to assess their
performance so they can measure
performance goals. Applicants must
demonstrate how they propose to
measure their success and outcomes
relating to the Department’s Strategic
Plan. HUD requires NN applicants to
develop an effective, quantifiable,
outcome-oriented plan for measuring
performance and determining that goals
have been met. Applicants must use the
Logic Model form (HUD–96010) for this
purpose. The narrative describes how
the measurement tools are used to
collect and verify reported data and to
modify the program if goals are not
being met.
(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. Outputs should
produce outcomes for your program;
e.g., the delivery of training and/or
educational programs to improve the
ability of participants to obtain or retain
employment, get a high school diploma
or GED, get on-the-job training by
establishing partnerships with local
employers, etc. ‘‘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, increasing
residents’ financial stability by
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obtaining or retaining employment,
increasing a participants’ job readiness
by increasing literacy or completing a
GED, etc. Outcomes are not the actual
development or delivery of services or
program activities but the results of the
services delivered or program
activities—the ultimate results of the
program.
(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.
Applicants will be evaluated based on
how comprehensively they propose to
measure their program’s outcomes.
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
HUD will make awards in rank order
based on the score of each eligible
application.
3. Tie Scores
In the event of a tie score 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.
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VI. Award Administration Information
4. Fair Housing and Civil Rights Laws
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.
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.
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 Low- and
Very Low-Income Persons (Section 3)
Applicants and grantees must also
comply with Section 3 of the Housing
and Urban Development Act of 1968, 12
U.S.C. 1701u and ensure that training,
employment, and other economic
opportunities shall, to the greatest
extent feasible, be directed toward low
and very low-income persons,
particularly those who are recipients of
government assistance for housing and
to business concerns which provide
economic opportunities to low and very
low-income persons.
3. Executive Order 13202, Preservation
of Open Competition and Government
Neutrality Towards Government
Contractors’ Labor Relations on Federal
and Federally Funded Construction
Projects
For further information see the
General Section.
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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).
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.
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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 must submit semi-annual
performance reports to the local HUD
field office. These progress reports shall
include financial reports (SF–269A) and
the logic model (HUD–96010) showing
achievements to date against outputs
and outcomes proposed in the
application and approved by HUD. A
narrative describing milestones, work
plan progress, and problems
encountered and methods used to
address these problems to support the
data in the logic model is optional. HUD
anticipates that some of the reporting of
financial status and grant performance
will be through electronic or 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. For FY2006, HUD
is considering a new concept for the
Logic Model. The new concept is a
Return on Investment statement. HUD
will be publishing a separate notice on
the ROI concept.
2. Final Report
All grantees must submit a final
report to their local field office that will
include a financial report (SF–269A), a
final Logic Model, and a narrative
evaluating overall results achieved
against their work plan. Grantees must
use quantifiable data to measure
performance against goals and
objectives outlined in their work plan.
The financial report must contain a
summary of all expenditures made from
the beginning of the grant agreement to
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the end of the grant agreement and must
include any unexpended balances. The
final narrative, Logic Model, and
financial report are due to the field
office 90 days after the termination of
the grant agreement.
3. Final Audit
Grantees that expend $500,000 in
federal funds in a given program or
fiscal year, are required to obtain a
complete final close-out audit of the
grant’s financial statements by a
Certified Public Accountant (CPA), in
accordance with generally accepted
government audit standards. A written
report of the audit must be forwarded to
HUD within 60 days of issuance. 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.
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4. Racial and Ethnic Data
HUD requires that funded recipients
collect racial and ethnic beneficiary
data. HUD has adopted the Office of
Management and Budget’s Standards for
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the Collection of Racial and Ethnic Data.
In view of these requirements,
applicants should use form HUD–27061,
Racial and Ethnic Data Reporting Form.
VII. Agency Contact(s)
For questions and technical
assistance, applicants may call the
Public and Indian Housing Information
and Resource Center at 800–955–2232.
For the hearing or speech impaired,
please call the Federal Relay Service at
800–877–8339.
VIII. Other Information
A. Code of Conduct
See the General Section 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
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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 54.25 hours per respondent for
the application. This includes the time
for collecting, reviewing, and reporting
the data for the application. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
BILLING CODE 4210–01–P
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Public and Indian Housing Family SelfSufficiency Program Coordinators
Under Resident Opportunities & SelfSufficiency (ROSS) Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Public and Indian Housing,
Office of Public Housing Investments.
B. Funding Opportunity Title: Public
and Indian Housing Family SelfSufficiency (PH FSS) Program
Coordinators.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number for this NOFA
is FR–5030–N–25. The Office of
Management and Budget (OMB)
paperwork approval number for this
program is 2577–0229.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: 14.877.
F. Application Deadline: The
application deadline date is June 8,
2006. Please see the General Section for
application submission, delivery, and
timely receipt requirements.
G. Additional Overview Content
Information:
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1. Purpose of Program
The purpose of the Public Housing
FSS (PH FSS) program is to promote the
development of local strategies to
coordinate the use of assistance under
the Public Housing program with public
and private resources to enable
participating families to increase earned
income, reduce or eliminate the need for
welfare assistance and make progress
toward achieving economic
independence and housing selfsufficiency. The FSS program and this
FSS NOFA support the Department’s
strategic goals of helping HUD-assisted
renters make progress toward housing
self-sufficiency. The FSS program
provides critical tools that can be used
by communities to support welfare
reform and help families develop new
skills that will lead to economic selfsufficiency. As a result of their
participation in the FSS program, many
families have achieved stable, well-paid
employment, which has made it
possible for them to become
homeowners or move to other nonassisted housing. An FSS program
coordinator assures that program
participants are linked to the supportive
services they need to achieve selfsufficiency.
2. Funding Available
The Department expects to award a
total of approximately $10 million in
FY2006.
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3. Award Amounts
Awards will pay only for the annual
salary and fringe benefits of PH FSS
Coordinators. Award amounts will be
based on locality pay rates for similar
professions. Each renewal position
amount will not exceed $65,000.
4. Eligible Applicants
Eligible applicants are Public Housing
Authorities (PHAs) and tribes/Tribally
Designated Housing Entities (TDHEs)
that administer PH FSS programs. All
applicants must have an approved PH
FSS Action Plan on file with their local
HUD Field Office or Area ONAP prior
to this NOFA’s application deadline.
Non-profit organizations and resident
associations are not eligible to apply for
funding under this program.
5. Cost Sharing/Match Requirement
There is no match requirement under
this funding program.
6. Grant Term
The grant term is one year from the
execution date of the grant agreement.
Full Text of Announcement
I. Funding Opportunity Description
A. Authority and Program Description
The Transportation, Treasury,
Housing and Urban Development, the
Judiciary, the District of Columbia, and
Independent Agencies Appropriations
Act, 2006 (Public Law 109–115), allows
funding for program coordinators under
the Resident Opportunity & SelfSufficiency program. Through annual
NOFAs, HUD has provided funding to
public housing agencies (PHAs) that are
operating PH FSS programs to enable
those PHAs to employ program
coordinators to support their PH FSS
programs. In the Fiscal Year (FY) 2006
PH FSS Program Coordinator NOFA,
HUD is again making funding available
to PHAs/Tribes/TDHEs to employ PH
FSS program coordinators for one year.
HUD will accept applications from both
new and renewal applicants that have
HUD approval to administer a PH FSS
program. PHAs funded under the ROSS
PH FSS NOFA in FY2004 or 2005 are
considered ‘‘renewal’’ PHAs in this
NOFA. These renewal PHAs are invited
to apply for funds to continue
previously funded PH FSS program
coordinator positions that they have
filled or are in the process of being filled
because of turnover. Funding priority
will be given to renewals for PHAs that
have achieved a ‘‘High Performer’’
status on their most recent PHAS
review. Second priority will be given to
standard performer renewal applicants.
Third priority will be given to troubled
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performer renewal applicants and
Fourth priority will be given to new
applicants. There will be no funding for
expanding the number of coordinator
positions in an existing program.
The maximum number of positions
that a new applicant, including new
joint applicants, may receive is one fulltime FSS program coordinator.
Applicants must administer the FSS
program in accordance with HUD
regulations and requirements in 24 CFR
Part 984 which govern the PH FSS
program and must comply with the
existing Public Housing program
requirements, notices and guidebooks.
This includes using a Program
Coordinating Committee (PCC) to secure
the necessary resources to implement
the FSS Program. See 24 CFR 984.202
for more information.
B. Number of Positions for Which
Eligible Applicants May Apply
Eligible applicants may apply for
funding for PH FSS program coordinator
positions under this NOFA as follows:
1. Renewal PHAs
PHAs that qualify as eligible renewal
PHAs under this NOFA may apply for
the continuation of each PH FSS
coordinator position awarded under the
ROSS PH FSS NOFA in FY2004 or 2005
that has been filled by the PHA or is in
the process of being filled because of
turnover.
2. New Applicants
An applicant that meets the
requirements for a new applicant under
this FSS NOFA may apply for PH FSS
program coordinator positions as
follows:
a. Up to one full-time PH FSS
coordinator position for an applicant
with HUD approval to administer a PH
FSS program of 25 or more FSS slots; or
b. Up to one full-time PH FSS
coordinator position per application for
joint PHA applicants that together have
HUD approval to administer a total of at
least 25 PH FSS slots.
C. Definitions
The following definitions apply to the
funding available under this NOFA.
1. Renewal PHA Applicant
A PHA or PHAs that received funding
under the ROSS PH FSS NOFA in
FY2004 or 2005.
2. New Applicant
Applicants that did not receive
funding under the ROSS PH FSS NOFA
in FY2005 that have HUD approval to
administer a PH FSS program of at least
25 slots or that fulfill the 25 slot
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minimum by applying jointly with one
or more other applicants who together
have approval to administer at least 25
PH FSS slots.
3. Indian Tribe (‘‘tribe’’)/TDHE means
any tribe, band, nation or other
organized group or a community of
Indians, including any Alaska native
village, regional, or village corporation
as defined in or established pursuant to
the Alaska Native Claims Settlement
Act, and that is recognized as eligible
for the special programs and services
provided by the United States to Indians
because of their status as Indians
pursuant to the Indian Self
Determination and Education Act of
1975, or any state-recognized tribe
eligible for assistance under section 4
(12)(C) of NAHASDA. Tribally
Designated Housing Entity (TDHE)
means a tribally designated housing
entity as defined by Section 4(21) of
NAHASDA.
4. MTW PHAs
New and renewal PHAs that are under
MTW agreements with HUD may
qualify for funding under this NOFA if
the PHA administers an FSS program.
When determining the size of a new
applicant, MTW PHA’s HUD approved
FSS program, the PHA may request the
number of FSS slots reflected in the
PHA’s MTW agreement be used instead
of the number in the PHA’s FSS Action
Plan.
5. FSS Program Size
The total number of PH FSS program
slots identified in the applicant’s HUDapproved PH FSS Action Plan, or, if
requested by MTW PHA applicants, the
number of slots in the applicant’s MTW
agreement. The total may include both
voluntary and mandatory PH FSS
program slots.
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6. Action Plan
Describes the policies and procedures
of the PHA or tribe/TDHE for operation
of a local FSS program. For a full
description of the minimum amount of
information the Action Plan must
contain, please see 24 CFR 984.201.
7. Positive Graduation Percentage
A percentage that will be computed
by HUD and used to determine funding
order under this NOFA. It is the percent
of public housing FSS families that have
successfully graduated from the
program as shown in FSS exit reports
submitted to HUD on the Form HUD–
50058 or as otherwise reported to HUD
by MTW PHAs. The data source is Form
HUD–52767 as well as HUD’s PIC data
system records of Form HUD–50058 PH
FSS program exit reports that were
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effective between October 1, 2000, and
the publication date of this NOFA.
8. The Number of PH FSS Program
Participants
The total number of families shown in
HUD’s PIC data system as enrolled in
the applicant’s PH FSS program on the
publication date of this NOFA, plus the
number of families that successfully
completed their PH FSS contracts in the
applicant’s program between October 1,
2000, and the publication date of this
NOFA.
9. 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 PH FSS families with positive escrow
balances as a percentage of PH FSS
families with FSS progress reports
submitted to HUD on the Form HUD–
50058 or as otherwise reported to HUD
by MTW PHAs. The data source is Form
HUD–52767 as well as HUD’s PIC data
system records of Form HUD–50058 PH
FSS program progress reports that were
effective between October 1, 2000, and
the publication date of this NOFA or as
otherwise reported to HUD by MTW
PHAs.
10. PH FSS Program Coordinator
A person responsible for linking FSS
program participants to supportive
services. Program Coordinators will
work with the Program Coordinating
Committee and local service providers
to ensure that the necessary services and
linkages to community resources are
being made; 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.
II. Award Information
A. Available Funds
This NOFA announces the availability
of approximately $10 million in FY2006
to employ FSS program coordinators for
the PH FSS program. If additional
funding becomes available during
FY2006, HUD may increase the amount
available for PH FSS Program
coordinators under this NOFA. A
maximum of $65,000 is available for
each full-time coordinator position
funded. Salaries are to be based on local
comparables. The funding will be
provided as a one-year grant. Funding
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amounts for individual grantees will be
contingent upon HUD field office
approval.
B. Grant Term
The grant term is one year from the
execution date of the grant agreement.
C. Grant Extensions
Requests to extend the grant term
beyond the originally established grant
term must be submitted in writing to the
local HUD field office or area Office of
Native American Programs (ONAP) at
least 90 days prior to the expiration of
the grant term. Requests must explain
why the extension is necessary, what
work remains to be completed, and
what work and progress has been
accomplished to date. Extensions may
be granted only once by the field office
or Area ONAP for a period not to exceed
six months and may be granted for a
further six months by the Program
Office.
III. Eligibility Information
A. Eligible Applicants
Eligible applicants are PHAs and
tribes/TDHEs which administer low rent
public housing programs. New and
renewal applicants must have an
approved PH FSS Action Plan on file
with their local HUD field office or Area
ONAP prior to this NOFA’s application
deadline. PHAs eligible to apply for
funding under this NOFA are:
1. Renewal PHAs
Those PHAs that received funding
under the PH FSS NOFA in FY2004 or
2005 . To continue to qualify as renewal
PHAs, the FY2006 application of joint
applicants must include at least one
PHA applicant that meets this standard.
Joint applicants can change the lead
PHA in their FY2006 application. A
PHA that was originally funded as part
of a joint application, that wishes to
now apply separately will continue to
be considered a renewal PHA applicant
for funding purposes, but must be able
to meet the FSS minimum program size
requirement of a HUD-approved PH FSS
program of at least 25 slots that applies
to new applicant PHAs.
2. New Applicants
Applicants that were not funded
under the PH FSS NOFA in FY2005.
The new applicant PHA must be
authorized through its HUD-approved
FSS Action Plan to administer a PH FSS
program of at least 25 slots, or be an
applicant with HUD approval to
administer PH FSS programs of fewer
than 25 slots that applies jointly with
one or more other applicants so that
together they have HUD approval to
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administer at least 25 PH 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 a PHFSS program. When
determining the size of a MTW PHA’s
HUD-approved PH FSS program, the
PHA may request that the number of PH
FSS slots reflected in the PHA’s MTW
agreement be used instead of the
number in the PHA’s PH FSS Action
Plan.
4. Troubled PHAs
a. A PHA that has been designated by
HUD as a troubled PHA under the
Public Housing Assessment System
(PHAS), or that has serious program
management findings from Inspector
General audits or serious outstanding
HUD management review or
Independent Public Accountant (IPA)
audit findings for the PHA’s Low Rent
Public Housing program that are
resolved prior to the application due
date is eligible to apply under this
NOFA. Serious program management
findings are those that would cast doubt
on the capacity of the PHA to
administer its PH FSS program in
accordance with applicable HUD
regulatory and statutory requirements.
b. The requirements that apply to a
PHA whose PHAS troubled designation
has not been removed by HUD or whose
major program management findings or
other significant program compliance
problems that have not been resolved by
the due date are stated in the Program
Requirements section of this NOFA.
B. Cost Sharing or Matching
None required.
C. Other
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1. Eligible Activities
Funds awarded to applicants under
this FSS NOFA may only be used to pay
salaries and fringe benefits of PH FSS
program staff. Funding may be used to
employ or otherwise retain for one year
the services of PH FSS program
coordinators. PH FSS coordinator
support positions funded under
previous FSS NOFAs that made funding
available for such FSS positions may be
continued. A part-time program
coordinator may be retained where
appropriate. Please note that even with
a part-time program coordinator, the 25
slot minimum must be retained.
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2. Threshold Requirements
a. All Applicants. (1) Each applicant
must qualify as an eligible applicant
under this NOFA and must have
submitted an FSS application in the
format required by this NOFA that was
received and validated by Grants.gov by
the application deadline date.
(2) All applications must include a
Dun and Bradstreet Universal
Numbering System (DUNS) number.
(See the General Section for further
information about the DUNS number
requirement.)
(3) Civil Rights Thresholds, Nondiscrimination, Affirmatively Furthering
Fair Housing. All applicants must
comply with these requirements. Please
see the General Section for details.
(4) The applicant must have a
financial management system that meets
federal standards. See the General
Section regarding those applicants that
may be subject to HUD’s arranging for
a pre-award survey of an applicant’s
financial management system.
(5) Applicants must comply with the
requirements for funding competitions
established by the HUD Reform Act of
1989 (42 U.S.C. 3531 et seq.) and other
requirements as defined in the General
Section.
b. Renewal Applicants. Continued
funding for existing coordinator
positions. In addition to meeting the
other requirements of this FSS NOFA,
renewal PHA applicants must continue
to operate a PH FSS program, have filled
(or be in the process of filling because
of turnover) eligible FSS program
coordinator positions for which they are
seeking renewal funding, executed FSS
contracts of participation with PH FSS
program families and submitted reports
on participant families to HUD via the
form HUD–50058 or reported as agreed
for MTW PHAs.
c. New Applicants. New applicants
must meet the all requirements of this
FSS NOFA including those in Section
III.A above regarding eligibility.
d. Troubled PHAs—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. The
Contract Administrator must ensure that
the financial management system and
procurement procedures that will be in
place during the grant term will fully
comply with 24 CFR Part 85. Troubled
PHAs are not eligible to be contract
administrators. Grant writers who assist
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applicants to prepare their FSS
applications are ineligible to be Contract
Administrators.
3. Program Requirements
a. Hiring a PH FSS Program
Coordinator. Funds awarded to PHAs
under this NOFA may only be used to
employ or retain the services of a PH
FSS Program Coordinator for the oneyear grant term. A PH FSS Program
Coordinator must:
(1) Work with the Program
Coordinating Committee and with local
service providers to ensure that PH FSS
program participants are linked to the
supportive services they need to achieve
self-sufficiency.
(2) Ensure that the services included
in participants’ contracts of
participation are provided on a regular,
ongoing and satisfactory basis, that
participants are fulfilling their
responsibilities under the contracts and
that FSS escrow accounts are
established and properly maintained for
eligible families. All of these tasks
should be accomplished through case
management. FSS coordinators may also
perform job development functions for
the FSS program.
(3) Monitor the progress of program
participants and evaluate the overall
success of the program.
b. Salary Comparables. For all
positions requested under this NOFA,
evidence of salary comparability to
similar positions in the local
jurisdiction must be kept on file in the
PHA/Tribe/TDHE office.
c. FSS Action Plan. The requirements
for the PH FSS Action Plan are stated in
24 CFR 984.201. For a new applicant to
qualify for funding under this NOFA,
the PHA/Tribe/TDHE’s initial PH FSS
Action Plan or amendment to change
the number of PH FSS slots in the
PHA’s previously HUD-approved PH
FSS Action Plan, must be submitted to
and approved by the PHA’s local HUD
field office or Area ONAP prior to the
application due date of this PH FSS
NOFA. An FSS Action Plan can be
updated by means of a simple one-page
addendum that reflects the total number
of PH FSS slots (voluntary and /or
mandatory slots) the PHA intends to fill.
New PHA applicants with previously
approved PH FSS Action Plans may
wish to confirm the number of HUDapproved slots their local HUD field
office has on record for the PHA. An
MTW PHA may request that the number
of PH FSS slots reflected in its MTW
agreement be used instead of the
number of slots in the PHA’s PH FSS
Action Plan.
d. Eligible families. Current residents
of public/Indian housing are eligible.
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Eligible families who are currently
enrolled or participating in local public/
Indian housing self-sufficiency
programs are also eligible.
e. Contract of participation. Each
family that is selected to participate in
an FSS program must enter into a
contract of participation with the PHA
or tribe/TDHE that operates the FSS
program. The contract shall be signed by
the head of the FSS family.
f. 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.
g. Escrow accounts for very low or
low income participating families. Such
accounts shall be computed using the
guidelines set forth in 24 CFR 984.305.
Note: FSS families who are not lowincome are not entitled to an escrow/
credit. .
IV. Application and Submission
Information
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A. Addresses To Request Application
Package
Applications are available from
www.Grants.gov/Apply. The Download
Instructions and the Application
Download provide the information and
forms that you need to apply for funding
under this NOFA. If you have difficulty
accessing the information you may
receive customer support from
Grants.gov by calling their Support Desk
at (800) 518–GRANTS, or sending an email to support@grants.gov. You may
request general information, from the
NOFA Information Center (800–HUD–
8929) or 800–HUD–2209 (TTY) between
the hours of 10 a.m. and 6:30 p.m.
(Eastern Time) Monday through Friday,
except on federal holidays. When
requesting information, please refer to
the name of the program you are
interested in. The NOFA Information
Center opens for business
simultaneously with the publication of
the SuperNOFA. You can also obtain
information on this NOFA from HUD’s
Web site at https://www.hud.gov/offices/
adm/grants/fundsavail.cfm.
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B. Content and Format of Application
Submission
1. Content of Application
In addition to any information
required in the General Section, each
new and renewal applicant must
complete the forms on the list below.
Copies of the forms may be downloaded
with the application package and
instructions from www.Grants.gov/
Apply or from the following Web site:
https://www.hud.gov/offices/adm/grants/
nofa06/snofaforms.cfm.
a. SF–424 Application for Federal
Assistance—In completing the SF–424,
renewal PHAs should select the
continuation box on question 2, type of
application. In section 18 of the SF–424,
estimated funding, complete only 18.a.,
which will be the amount requested
from HUD in the FY2006 FSS
application, and 18.g., Total.
b. SF–424 Supplement, Survey on
Ensuring Equal Opportunity for
Applicants.
c. HUD–27300 Questionnaire for
HUD’s Initiative on Removal of
Regulatory Barriers.
d. SF–LLL Disclosure of Lobbying
Activities (if applicable).
e. HUD–2880—Applicant Disclosure/
Update Report.
f. HUD–2990—Certification of
Consistency with RC/EZ/EC–II Strategic
Plan (if applicable).
g. HUD–2991—Certification of
Consistency with the Consolidated Plan
(if applicable).
h. Tribes/TDHE’s must submit a
HUD–52752—Certification of
Consistency with Indian Housing Plan.
i. Contract Administrator Partnership
Agreement, if required (see HUD–
52755).
j. HUD–96011 Facsimile Transmittal,
even if not transmitting any faxes.
k. HUD–52767 Family SelfSufficiency Funding Request Form.
l. The HUD–2994–A—‘‘You Are Our
Client Applicant Survey’’ is optional.
m. In addition, the application must
include a completed Logic Model (from
HUD 96010) showing proposed
performance measures. See the General
Section for information on the Logic
Model.
SUBMISSION INFORMATION’’ in the
General Section regarding HUD’s
procedures pertinent to the submission
of your application.
D. Intergovernmental Review
Intergovernmental Review is not
applicable to this program.
E. Funding Restrictions
1. Salary Cap
Awards under this NOFA are subject
to a cap of $65,000 per year per full time
coordinator position funded. Under this
NOFA, if applicants apply jointly, the
$65,000 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 three percent
increase above the amount of the most
recent award for the position unless a
higher increase is approved by the local
HUD field office after review of the
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 FY2006 PH
FSS Program Coordinator application to
HUD. Examples of acceptable reasons
for increases above three percent would
be needed 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.
C. Submission Date and Time
3. Ineligible Activities
a. Funds under this NOFA may not be
used to pay the salary of an FSS
coordinator for a Housing Choice
Voucher (HCV) FSS program. A PH FSS
program coordinator may only serve
Low Rent Public Housing families while
the HCV FSS program serves only HCV
families. The funding for HCV FSS
program coordinators is being made
available through a separate NOFA
included in the FY2006 Super NOFA.
b. Funds under this FSS NOFA may
not be used to pay for services for FSS
program participants.
c. Funds under this FSS NOFA may
not be used to pay for administrative
activities.
Your completed application must be
received and validated by Grants.gov no
later than 11:59:59 p.m. eastern time on
the application deadline date.
Applicants should carefully read the
section titled ‘‘APPLICATION and
F. Other Submission Requirements
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 the General
2. Budget Forms
There are no budget forms required
for this application.
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Section. If HUD grants a waiver, the
applicant will be notified of the
application submission requirements for
paper copy applications. Paper copy
applications must be received by the
appropriate HUD office no later than the
application deadline date to meet the
deadline submission requirements.
V. Application Review Information
A. Criteria.
The funds available under this NOFA
are being awarded based on
demonstrated performance.
Applications are reviewed by the local
HUD field office and the Grants
Management Center 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 PH FSS program size
of new applicants and information on
the administrative capabilities of PHAs.
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B. Reviews and Selection Process
1. Funding Priority Categories
If HUD receives applications for
funding greater than the amount made
available under this NOFA, HUD will
divide eligible applications into priority
categories as follows:
a. Funding Category 1—Applications
from eligible renewal applicants
designated ‘‘high performer’’ in their
most recent PHAS review will be
funded for continuation of previously
funded eligible positions where the
positions are currently filled or are in
the process of being filled because of
turnover.
b. Funding Category 2—Eligible
renewal applicants designated standard
performers on the most recent PHAS
review will be funded for continuation
of previously funded eligible positions
where the positions are currently filled
or are in the process of being filled
because of turnover.
c. Funding Category 3—Eligible
renewal applicants designated troubled
performers on the most recent PHAS
review will be funded for continuation
of previously funded eligible positions
where the positions are currently filled
or are in the process of being filled
because of turnover.
d. Funding Category 4—Applications
from eligible new applicants agreeing to
implement an FSS program of at least 25
slots.
2. Order of Funding
a. Funding Category 1. Starting with
Funding Category 1, HUD will first
determine whether there are sufficient
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monies to fund all eligible positions
requested in the funding category. If
available funding is not sufficient to
fund all positions requested in the
category, HUD will calculate for each
eligible applicant, the applicant’s
Positive Escrow Percentage and
Graduation Percentage and will use
these percentages in making funding
decisions. Definitions and a description
of the calculation of the FSS Positive
Escrow Percentage and Graduation
Percentage are included in the
Definitions Section (Section I.C.) of this
NOFA.
HUD will begin funding eligible
Funding Category 1 applicants starting
with the PHAs with the highest Positive
Escrow Percentage first. If monies are
not sufficient to fund all applicants with
the same Positive Escrow Percentage,
HUD will fund eligible applicants in
order starting with those that have the
highest Graduation Percentage first. If
funding is not sufficient to fund all
applicants with the same FSS Positive
Escrow Percentage and/or Graduation
Percentage, HUD will select among
eligible applicants by PH FSS program
size (number of approved slots) starting
with eligible applicants with the largest
PH FSS program size first.
b. Funding Category 2. If funding
remains after funding all Funding
Category 1 applications, HUD will then
process eligible Funding Category 2
applications. If there are not enough
funds to fund all of Funding Category 2,
HUD will use same criteria as above for
Funding Category 1.
c. Funding Category 3. If funding
remains after funding all Funding
Category 2 applications, HUD will then
process eligible Funding Category 3
applications. If there are not enough
funds to fund all of Funding Category 2,
HUD will use the same criteria as above
for Funding Category 1.
d. Funding Category 4. If funding
remains after funding all Funding
Category 1, 2, and 3 applications, HUD
will then process requests of eligible
Funding Category 4 applicants. If there
are not sufficient monies to fund all
eligible positions requested, HUD will
begin funding positions starting with
applicants with the largest PH FSS
program size (number of approved slots)
first.
3. Based on the number of
applications submitted, the GMC may
elect not to process applications for a
funding priority category where it is
apparent that there are insufficient
funds available to fund any applications
within the priority category.
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4. Corrections to Deficient Applications
The General Section of the
SuperNOFA provides the procedures for
corrections to deficient applications.
5. Unacceptable Applications
After the technical deficiency
correction period (as provided in the
General Section), the GMC will
disapprove applications that it
determines are not acceptable for
processing. Applications from
applicants that fall into any of the
following categories are ineligible for
funding under this NOFA and will not
be processed:
a. An application submitted by an
entity that is not an eligible applicant as
defined under this PH FSS NOFA or an
application that does not comply with
the requirements of Sections IV.B., IV.C.
and IV.F. of this NOFA.
b. An application from an applicant
that does not meet the fair housing and
civil rights compliance requirements of
the General Section of the SuperNOFA.
c. An application from an applicant
that does not comply with the
prohibition against lobbying activities of
this NOFA.
d. An application from an applicant
that has been debarred or otherwise
disqualified from providing assistance
under the program.
e. An application that did not meet
the application deadline date and timely
receipt requirements as specified in this
NOFA and the General Section.
f. Applications will not be funded
which do not meet the Threshold
requirements identified in this NOFA
and the General Section.
VI. Award Administration Information
A. Award Notices
Successful applicants will receive an
award letter from HUD. Successful
applicants will be notified by letter and
will receive instructions for the steps
they must take to access funding and
begin implementing grant activities.
Applicants who are not funded will also
receive letters via U.S. postal mail.
B. Administrative and National Policy
Requirements
1. Environmental Impact
This NOFA is categorically excluded
from environmental review under the
National Environmental Policy Act of
1969 (42 U.S.C. 4321) and not subject to
compliance actions for related
environmental authorities under 24 CFR
50.19(b)(4) and (12).
2. Applicable Requirements
Grantees are subject to regulations
and other requirements found in:
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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 Low- and
Very Low-Income Persons (Section 3)
Section 3 requirements do not apply
to this program.
4. Fair Housing and Civil Rights Laws
Please see the General Section for
more information.
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 shall be provided in a manner
that is effective for persons with
hearing, visual and other
communication-related disabilities
consistent with Section 504 of the
Rehabilitation Act of 1973. See 24 CFR
Section 8.6.
7. HUD’s Strategic Goals
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HUD is committed to ensuring that
programs result in the achievement of
HUD’s strategic mission. The FSS
program and this FSS NOFA support
the Department’s strategic goals of
helping HUD-assisted renters make
progress toward self-sufficiency by
giving funding preference to PHAs
whose FSS programs show success in
moving families to economic selfsufficiency. You can find out about
HUD’s Strategic Framework and Annual
Performance Plan at https://
www.hud.gov/offices/cfo/reports/
cforept.cfm3.
8. HUD Policy Priorities
This NOFA supports the HUD policy
priority of helping HUD-assisted renters
made progress toward self-sufficiency.
In this NOFA, funding priority is given
to those PHA applicants that
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demonstrate that their FSS families have
increased their earned income since
enrolling in FSS. See Section V.B. of the
General Section for a full discussion of
HUD’s policy priorities.
C. Reporting
Successful applicants must report
activities of their FSS enrollment,
progress and exit activities of their FSS
program participants through required
submissions of the Form HUD–50058 or
as otherwise agreed for MTW PHAs.
HUD’s assessment of the
accomplishments of the FSS programs
of grantees funded under this NOFA
will be based in part on Public Housing
Information Center (PIC) system data
obtained from the Form HUD–50058.
MTW PHAs that do not report to HUD
on 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. Grantees shall use quantifiable
data to measure performance against
goals and objectives outlined in their
Logic Model. Semi-annual Performance
Reports consisting of the updated Logic
Model are due to the field office on July
30 and January 31 of each year. For
FY2006, HUD is considering a new
concept for the Logic Model. The new
concept is a Return on Investment
statement. HUD will be publishing a
separate notice on the ROI concept. In
addition, HUD requires that funded
recipients collect racial and ethnic
beneficiary data. It has adopted the
Office of Management and Budget’s
Standards for the Collection of Racial
and Ethnic Data. In view of these
requirements, funded recipients should
use Form HUD–27061, Racial and
Ethnic Data Reporting Form. The HUD–
50058 used in concurrence with the PIC
Data system is a comparable form.
Applicants that receive awards from
HUD should be prepared to report on
additional measures that HUD may
designate at time of award.
D. Debriefings
The applicant may request an
applicant debriefing. Beginning not less
than 30 days after the awards for
assistance are publicly announced in
the Federal Register and for at least 120
days after that announcement, HUD
will, upon receiving a written request,
provide a debriefing to the requesting
applicant. (See Section VI.A. of the
General Section for additional
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information regarding a debriefing.)
Applicants requesting to be debriefed
must send a written request to: Iredia
Hutchinson, Director; Grants
Management Center; U.S. Department of
Housing and Urban Development, 501
School Street, SW., Suite 800;
Washington, DC 20024.
VII. Agency Contacts
A. For Technical Assistance
For answers to your questions, you
may contact the Public and Indian
Housing Resource Center at 800–955–
2232. Prior to the application deadline,
staff at the 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. Persons with hearing or speech
impairments may use the Grants.gov
helpdesk e-mail.
B. Satellite Broadcast
HUD will hold an information
broadcast via satellite for potential
applicants to learn more about the PH
FSS program and preparation of an
application. For more information about
the date and time of this broadcast, you
should consult the HUD Web site at
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–
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 forty hours per respondent for
the application. This includes the time
for collecting, reviewing, and reporting
the data for the application. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
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B. Public Access, Documentation, and
Disclosure.
See Section VIII. F. of the General
Section.
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Self-Help Homeownership Opportunity
Program (SHOP) Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Community Planning and
Development.
B. Funding Opportunity Title: SelfHelp Homeownership Opportunity
Program (SHOP).
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number is FR–5030–
N–06. The Office of Management and
Budget (OMB) paperwork approval
number is 2506–0157.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: Self-Help
Homeownership Opportunity Program.
The CFDA number is 14.247.
F. Application Deadline: The
application deadline date is May 24,
2006.
G. Optional, Additional Overview
Content Information:
SHOP funds are awarded to national
and regional nonprofit organizations
and consortia demonstrating experience
in administering self-help housing
programs in which the homebuyers
contribute a significant amount of
sweat-equity toward construction or
rehabilitation of the dwelling. The
amount available for SHOP in Fiscal
Year (FY) 2006 is approximately
$20,000,000.
Full Text of Announcement
I. Funding Opportunity Description
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A. Program Description
SHOP funds are intended to facilitate
and encourage innovative
homeownership opportunities on a
national geographically diverse basis
through self-help housing programs that
require a significant amount of sweatequity by the homebuyer toward the
construction or rehabilitation of the
dwelling.
SHOP programs are administered by
national and regional nonprofit
organizations and consortia. Units
developed with SHOP funds must be
decent, safe, and sanitary non-luxury
dwellings and must be made available
to eligible homebuyers at prices below
the prevailing market prices. Eligible
homebuyers are low-income individuals
and families (i.e., those whose annual
incomes do not exceed 80 percent of the
median income for the area, as
established by HUD) who would
otherwise be unable to purchase a
dwelling but for the provision of sweat
equity. Housing assisted under this
Notice of Funding Availability (NOFA)
must involve labor contributed by
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homebuyers and volunteers in the
construction of dwellings and other
activities that involve the community in
the project.
B. Authority
Funding made available under SHOP
is authorized by Section 11 of the
Housing Opportunity Program
Extension Act of 1996 (42 U.S.C. 12805
note) (the ‘‘Extension Act’’).
II. Award Information
Approximately $20,000,000 will be
available for this program in FY 2006.
Any unobligated funds from previous
competitions or additional funds that
may become available due to
deobligation or recapture from previous
awards or budget transfers may be
added to the FY 2006 appropriation to
fund applications submitted in response
to this NOFA. Awards will be made to
successful applicants in the form of a
grant. Grant funds must be expended
within 24 months of the date that they
are first made available for draw-down
in a line of credit established by HUD
for the grantee, except that grant funds
provided to affiliates that develop five
or more units must be expended within
36 months.
III. Eligibility Information
A. Eligible Applicants
You must be a national or regional
nonprofit public or private organization
or consortium that has the capacity and
experience to provide or facilitate selfhelp housing homeownership
opportunities. Your organization or
consortium must undertake eligible
SHOP activities directly and/or provide
funding assistance to your local
affiliates to carry out SHOP activities.
You must propose in your application to
use a significant amount of SHOP funds
in at least two states. Affiliates must be
located within the regional
organization’s or consortium’s service
area.
A national organization is defined as
an organization that carries out self-help
housing activities or funds affiliates that
carry out self-help housing activities on
a national scope. A regional
organization is defined as an
organization that carries out self-help
housing activities or funds affiliates that
carry out self-help housing activities on
a regional scope. A regional area is a
geographic area, such as the Southwest
or Northeast, that includes at least two
states. The states in the region need not
be contiguous, and the service area of
the organization need not precisely
conform to state boundaries.
A consortium is defined as two or
more nonprofit organizations located in
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at least two states that individually have
the capacity and experience to carry out
self-help housing activities or fund
affiliates that carry out self-help housing
activities on a national or regional scope
and enter into an agreement to submit
a single application for SHOP funding
on a national or regional basis. The
consortium must propose to use a
significant amount of SHOP funds in
each state represented in the
consortium. All consortium members
must receive SHOP funds. One
organization must be designated as the
lead entity. The lead entity must submit
the application and, if selected for
funding, execute the SHOP Grant
Agreement with HUD and assume
responsibility for the grant on behalf of
the consortium in compliance with all
program requirements.
A consortium agreement, executed
and dated by all consortium members
for the purpose of applying for and
using FY 2006 SHOP funds, must be
submitted with your application. A
consortium’s application must be a
single integrated document that
demonstrates the consortium’s
comprehensive approach to self-help
housing. All consortium members must
be identified in your application. The
integrated application must reflect all
consortium members’ programs as a
single program and may only briefly
summarize the individual consortium
members’ past experiences in factor 1.
All other components of the application
must reflect the overall consortium
program design. Individual program
designs for consortium members or
affiliates within the integrated
document will not be considered by
HUD. Upon being funded, the lead
entity must enter into a separate
agreement with each consortium
member. The agreement must include
the requirements of the FY 2006 SHOP
Grant Agreement between HUD and the
consortium and set forth the individual
consortium member’s responsibilities
for compliance with HUD’s 2006 SHOP
program.
An affiliate is defined as:
(1) A local public or private nonprofit
self-help housing organization which is
a subordinate organization (i.e., chapter,
local, post, or unit) of a central
organization and covered by the group
exemption letter issued to the central
organization under Section 501(c)(3) of
the Internal Revenue Code; or
(2) A local public or private nonprofit
self-help housing organization with
which the applicant has an existing
relationship (e.g., the applicant has
provided technical assistance or funding
to the local self-help housing
organization); or
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(3) A local public or private nonprofit
self-help housing organization with
which the applicant does not have an
existing relationship, but to which the
applicant will provide necessary
technical assistance and mentoring as
part of funding under the application.
You must carry out eligible activities
or you must enter into an agreement to
fund affiliates to carry out eligible
activities. If you are a consortium, each
of your affiliates must be linked to an
individual consortium member.
Your application may not propose to
fund any affiliate or consortium member
that is also included in another SHOP
application. You must ensure that any
affiliate or consortium member under
your FY 2006 application is not also
seeking FY 2006 SHOP funding from
another SHOP applicant. If an affiliate
applies for funds through more than one
applicant, it may be disqualified for any
funding.
B. Cost Sharing or Matching
There is no match requirement for the
SHOP funds. However, you are expected
to leverage resources for the
construction of self-help housing
assisted with SHOP. Failure to provide
documentation of leveraged resources
that meet the submission requirements
for firm commitments as stated in factor
4 will result in a lower application
score.
C. Other
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1. Eligible Activities
The costs of eligible activities may be
incurred by the applicant (and by
affiliates, if permitted by the applicant)
after the publication date of the NOFA
and charged to the SHOP grant,
provided that the applicant and
affiliates comply with the requirements
of this NOFA (including relocation and
environmental review requirements)
and costs are included in the
application. Applicants and affiliates
incur costs at their own risk, because
applicants that do not receive a SHOP
grant cannot be reimbursed or reimburse
affiliates.
Eligible activities are:
a. Land acquisition, including
financing and closing costs, which may
include reimbursing an organization,
consortium, or affiliate, upon approval
of any required environmental review,
for non-grant amounts expended by the
organization, consortium, or affiliate to
acquire land before completion of the
review;
b. Infrastructure improvements,
including installing, extending,
constructing, rehabilitating, or
otherwise improving utilities and other
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infrastructure, including removal of
environmental hazards; and
c. Administration, planning, and
management development, including
the costs of general management,
oversight, and coordination of the SHOP
grant, staff and overhead costs of the
SHOP grant, costs of providing
information to the public about the
SHOP grant, costs of providing civil
rights training to local affiliates as well
as any expenses involved in
affirmatively furthering fair housing,
and indirect costs (such as rent and
utilities) of the grantee or affiliate in
carrying out the SHOP activities.
2. Threshold Requirements
HUD will not consider an application
from an ineligible applicant. An
applicant must meet all of the
applicable threshold requirements listed
in the General Section published on
January 20, 2006, and the SHOP
threshold requirements described
below:
a. Organization and Eligibility. You
must be eligible to apply under SHOP
(see Section III.A.).
b. Non-Profit Status. You must
describe how you qualify as an eligible
applicant and provide evidence of your
public or private nonprofit status, such
as a current Internal Revenue Service
(IRS) ruling that your organization is
exempt from taxation under Section
501(c)(3) or 501(c)(4) of the Internal
Revenue Code of 1986. If you are a
consortium, each consortium member
must submit evidence of its nonprofit
status to the lead entity for inclusion in
the consortium’s application package.
c. Consortium Agreement. If you are
a consortium, each consortium member
must enter into and sign a consortium
agreement for the purpose of applying
for SHOP funds and carrying out SHOP
activities. Your consortium agreement
must be submitted as an appendix to
your application.
d. Amount. The amount of SHOP
funds requested must be sufficient to
complete a minimum of 30 self-help
housing units and may not exceed an
average investment of $15,000 per unit.
e. Homebuyer Eligibility. Eligible
homebuyers are low-income individuals
and families (i.e., those whose incomes
do not exceed 80 percent of the median
income for the area, as established by
HUD). You must specify the definition
of ‘‘annual income’’ to be used in your
proposed program. You may use one of
the following three definitions of
‘‘annual income’’ to determine whether
a homebuyer is income eligible under
SHOP:
(1) ‘‘Annual income’’ as defined at 24
CFR 5.609; or
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(2) ‘‘Annual income’’ as reported
under the Census long-form for the most
recent available decennial Census; or
(3) ‘‘Adjusted gross income’’ as
defined for purposes of reporting under
the IRS Form 1040 series for individual
federal annual income tax purposes.
You may also adopt or develop your
own definition of annual income for use
in determining income eligibility under
SHOP subject to review and approval by
HUD. You must include your definition
of ‘‘annual income’’ in your Program
Summary.
f. Experience. You must demonstrate
successful completion of at least 30 selfhelp homeownership units in a national
or regional area within the 24-month
period immediately preceding the
publication of this NOFA. For dwellings
to qualify as self-help homeownership
units, the homebuyers must have
contributed a significant amount of
sweat-equity toward the construction as
set forth in this section.
g. Sweat Equity. Your program must
require homebuyers to contribute a
minimum of 100 hours of sweat equity
toward the construction or
rehabilitation of their own homes and/
or the homes of other homebuyers
participating in the self-help housing
program. In the case of a household
with only one adult, the requirement is
50 hours of sweat equity toward the
construction of these homes. Sweat
equity includes training for construction
on the dwelling units, but excludes
homebuyer counseling and home
maintenance training. All homebuyers
must meet these minimum hourly sweat
equity requirements; however, grantees
must permit reasonable
accommodations for persons with
disabilities in order for them to meet the
hourly requirements. For example,
homebuyers with disabilities may work
on less physical tasks or administrative
tasks to meet this requirement or a
volunteer(s) may enter into an
agreement to substitute for the disabled
person.
h. Community Participation. Your
program must involve community
participation in which volunteers assist
in the construction or rehabilitation of
dwellings. Volunteer labor is work
performed by an individual without
promise, expectation, or compensation
for the work rendered. For mutual selfhelp housing programs that are assisted
by the U.S. Department of Agriculture’s
Rural Housing Services/Rural
Development under Section 523 of the
Housing Act of 1949 (7 CFR Part 1944,
subpart I) or which have a program
design similar to the Section 523
program, the work by each participating
family on other participating families’
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homes may count as volunteer labor. A
mutual self-help housing program
generally involves 4 to 10 participating
families organized in a group to use
their own labor to reduce the total
construction cost of their homes and
complete construction work on their
homes by an exchange of labor with one
another.
i. Eligible Activities. You must use the
SHOP funds for eligible activities (see
Sections III.A. and IV.E.) and carry out
the activities yourself or fund affiliates
to carry out the activities.
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3. Threshold Submission Requirements
In order for your application to be
rated and ranked, all threshold
requirements must be met. Threshold
requirements 2(d) through (i) above do
not require separate submissions, but
must be addressed under the
submission requirements for the rating
factors listed below in Section V,
Application Review Information
Criteria.
4. Other Requirements
Other requirements applicable to the
SHOP program are set forth in
‘‘Additional Nondiscrimination and
Other Requirements’’ of the General
Section. The following requirements
also apply to SHOP:
a. Economic Opportunities for Lowand Very Low-Income Persons (Section
3). SHOP recipients must comply with
Section 3 of the Housing and Urban
Development Act of 1968 (Section 3), 12
U.S.C. 170lu (Economic Opportunities
for Low- and Very Low-Income Persons
in Connection with Assisted Projects),
and the HUD regulations at 24 CFR part
135, including the reporting
requirement of subpart E. Section 3
requires recipients to ensure that to the
greatest extent feasible, training,
employment, and other economic
opportunities will be directed to lowand very-low income persons,
particularly those who are recipients of
government assistance for housing, and
to business concerns that provide
economic opportunities to low- and
very-low income persons.
b. Real Property Acquisition and
Relocation. SHOP projects are subject to
the Uniform Relocation Assistance and
Real Property Acquisition Policies Act
of 1970, as amended (Uniform Act or
URA) (42 U.S.C. 4601), and the
government-wide implementing
regulations issued by the U.S.
Department of Transportation at 49 CFR
Part 24. The Uniform Act is a federal
law that establishes minimum standards
for federally-funded programs and
projects that require the acquisition of
real property (real estate) or displace
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persons from their homes, businesses, or
farms. The Uniform Act’s protections
and assistance apply to the acquisition,
rehabilitation, or demolition of real
property for federal or federally-funded
projects.
SHOP grantees and affiliates must
comply with all applicable Uniform Act
requirements in order to receive SHOP
funds for their programs and projects;
non-compliance could jeopardize SHOP
funding. Real property acquisitions for a
SHOP-assisted program or project
conducted before completion of an
environmental review and HUD’s
approval of a request for release of funds
and environmental certification are also
subject to the Uniform Act. SHOP
grantees and affiliates must ensure that
all such real property acquisitions
comply with applicable Uniform Act
requirements.
Generally, real property acquisitions
conducted without the threat or use of
eminent domain, commonly referred to
as ‘‘voluntary acquisitions,’’ must satisfy
the applicable requirements and criteria
of 49 CFR 24.101(b)(1) through (5).
Evidence of compliance with these
requirements must be maintained by the
affiliate and submitted to and
maintained by the SHOP grantee. It is
also important to note that tenants who
occupy property which may be acquired
through voluntary means must be fully
informed as to their eligibility for
relocation assistance. This includes
notifying such tenants of their potential
eligibility when negotiations are
initiated, notifying them if they become
fully eligible, and, in the event the
purchase of the property will not occur,
notifying them that they are no longer
eligible for relocation benefits. Evidence
of compliance with these requirements
must be maintained by the affiliate and
submitted to and maintained by the
SHOP grantee.
Additional information and resources
pertaining to real property acquisition
and relocation for HUD-funded
programs and projects are available on
HUD’s Real Estate Acquisition and
Relocation Web site at https://
www.hud.gov/relocation. You will find
applicable laws and regulations, policy
and guidance, publications, training
resources, and a listing of HUD contacts
if you have questions or need assistance.
c. Environmental Requirements. The
environmental review requirements for
SHOP supersede the environmental
requirements in the General Section. All
SHOP assistance is subject to the
National Environmental Policy Act of
1969 and related federal environmental
authorities and regulations at 24 CFR
part 58. SHOP grant applicants are
cautioned that no activity or project may
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be undertaken, or federal or non-federal
funds or assistance committed, if the
project or activity would limit
reasonable choices or could produce an
adverse environmental impact until all
required environmental reviews and
notifications have been completed by a
unit of general local government, tribe,
or state and until HUD approves a
recipient’s request for release of funds
under the environmental provisions
contained in 24 CFR part 58.
Notwithstanding the preceding
sentence, in accordance with section
11(d)(2)(A) of the Housing Opportunity
Extension Act of l996 and HUD Notice
CPD–01–09, an organization,
consortium, or affiliate may advance
non-grant funds to acquire land before
completion of an environmental review
and HUD’s approval of a request for
release of funds and environmental
certification. Any advances to acquire
land prior to such approval are made at
the risk of the organization, consortium,
or affiliate, and reimbursement from
SHOP funds for such advances will
depend on the result of the
environmental review.
d. Statutory and Program
Requirements. SHOP is governed by
Section 11 of the Housing Opportunity
Program Extension Act of 1996 (42
U.S.C. 12805 note) (the Extension Act),
and this NOFA. There are no program
regulations. You must comply with all
statutory requirements applicable to
SHOP as cited in Section I, Funding
Opportunity Description, and the
program requirements cited in this
NOFA. Pursuant to these requirements,
you must:
(1) Develop, through significant
amounts of sweat-equity by each
homebuyer and volunteer labor, at least
30 dwelling units at an average cost of
no more than $15,000 per unit of SHOP
funds for land acquisition and
infrastructure improvements;
(2) Use your grant to leverage other
sources of funding, including private or
other public funds, to complete
construction or rehabilitation of the
housing units;
(3) Develop quality dwellings that
comply with local building and safety
codes and standards that will be made
available to homebuyers at prices below
the prevailing market price;
(4) Schedule SHOP activities to
expend all grant funds awarded and
substantially fulfill your obligations
under your grant agreement, including
timely development of the appropriate
number of dwelling units. Grant funds
must be expended within 24 months of
the date that they are first made
available for draw-down in a line of
credit established by HUD for the
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grantee, except that grant funds
provided to affiliates that develop five
or more units must be expended within
36 months; and
(5) Not require a homebuyer to make
an up-front financial contribution to a
housing unit other than cash
contributed for down payment of
closing cost at the time of acquisition.
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IV. Application and Submission
Information
A. Address To Request Application
Package
This NOFA contains all the
information necessary for national and
regional nonprofit organizations and
consortia to submit an application for
SHOP funding. This section describes
how you may obtain application forms
and additional information about the
SHOP program NOFA. Copies of the
published SHOP NOFA and related
application forms for this NOFA may be
downloaded from the grants.gov website
at www.grants.gov/Apply. If you have
difficulty accessing the information, you
may receive customer support from
Grants.gov by calling its help line at
(800) 518–GRANTS or sending an email
to support@grants.gov. If you do not
have Internet access and you need to
obtain a copy of this NOFA, you may
contact HUD’s NOFA Information
Center toll-free at (800) HUD–2209, or
hearing and speech challenged persons
may call (800) HUD–2209 (TTY).
1. Application Kit. There is no
application kit for this program. All the
information you need to apply is
contained in this NOFA and available at
www.grants.gov/Apply. The NOFA
forms are available to be downloaded
from www.grants.gov/Apply. Pay
attention to the submission
requirements and format for submission
specified for this NOFA to ensure that
you have submitted all required
elements of your application.
The published Federal Register
document is the official document that
HUD uses to solicit applications.
Therefore, if there is a discrepancy
between any materials published by
HUD in its Federal Register
publications and other information
provided in paper copy, electronic copy,
or at www.grants.gov, the Federal
Register publication prevails. Be sure to
review your application submission
against the requirements in the Federal
Register for this NOFA.
2. Guidebook and Further
Information. See the General Section.
B. Content and Form of Application
Submission
You must meet all application and
submission requirements described in
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the General Section. Your application
should consist of the items listed in the
section below called Assembly Format
and Content. HUD’s standard forms can
be found in the application found on
Grants.gov or HUD’s website at https://
www.hud.gov/offices/adm/grants/
nofa06/snofaforms.cfm.
1. Page Limits
There are page limits for responses to
the five rating factors. A national or
regional organization is limited to 50
pages of narrative to respond to the five
rating factors. A consortium is permitted
up to 10 additional pages to address the
past experiences of its individual
consortium members. Required
appendices, forms, certifications,
statements, and assurances are not
subject to the page limitations. All pages
must be numbered sequentially 1
through 50 or 60, for factors 1 through
5. Your application may contain only
the narrative statements that address the
five rating factors and the required
forms, certifications, assurances, and
appendices listed in Assembly Format
and Content below. In responding to the
five factors, information must be
included in your narrative response to
each factor, unless this NOFA states that
it should be included as an appendix. If
you are submitting material using the
fax method described in the General
Section, the narrative should refer to the
documents being faxed as part of your
narrative response to the factor. Any
supplemental information not required
in the narratives or appendices
requested by HUD that further explains
information required in the five factors
will not be reviewed for consideration
in the scoring of the application.
2. Assembly Format and Content
Your FY 2006 application will be
comprised of an Application Overview,
Narrative Statements (rating factors),
Forms, and Appendices. In order to
receive full consideration for funding,
you should use the following checklist
to ensure that all requirements are
addressed and submitted with your
electronic application.
a. Application Overview (Not subject
to the page limitations)
ll SF–424, Application for Federal
Assistance (signed by the Authorized
Organization Representative (AOR) who
is legally authorized to submit the
application on behalf of the applicant
and has been approved by the eBusiness
Point of Contact to submit the
application via Grants.gov. (See the
General Section.)
ll SF–424 Supplement, Survey on
Ensuring Equal Opportunity for
Applicants.
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ll Self-Help Housing Organization
Qualification—Narrative describing
qualification as an eligible applicant
and Evidence of Nonprofit Tax Exempt
Status (in accordance with Section III.C.
of this NOFA).
ll Consortium Agreement, if
applicable.
ll Program Summary (including
definition of ‘‘annual income’’).
b. Narrative Statements Addressing:
(Subject to the page limitations
described above.)
ll Factor 1—Capacity of the
Applicant and Relevant Organizational
Staff. (including organizational chart).
ll Factor 2—Need/Extent of the
Problem.
ll Factor 3—Soundness of
Approach.
ll Factor 4—Leveraging Resources.
ll Factor 5—Achieving Results and
Program Evaluation.
c. Forms, Certifications, and
Assurances: (Not subject to the page
limitations.)
ll HUD–424CB, Grant Application
Detailed Budget.
ll HUD–424–CBW, Grant
Application Detailed Budget Worksheet.
ll SF–LLL, Disclosure of Lobbying
Activities, as applicable.
ll HUD–2880, Applicant/Recipient
Disclosure/Update Report.
ll HUD–2990, Certification of
Consistency with the RC/EZ/EC–II
Strategic Plan.
ll HUD–96011, Facsimile
Transmittal (required for electronic
submissions of third party documents).
ll HUD–2994–A, You Are Our
Client Grant Applicant Survey
(optional)
ll HUD–96010, Program Outcome
Logic Model.
d. Appendices: (Not subject to the
page limitations.)
ll A copy of your code of conduct
(see the General Section).
ll Leveraging documentation—firm
commitment letters (see factor 4).
ll Survey of potential affiliates, if
applicable (see factor 2).
ll Demonstration of past
performance for new applicants (see
factor 5).
ll HUD–27300, Questionnaire for
HUD’s Initiative on Removal of
Regulatory Barriers (see factor 3).
ll Evaluative criteria for Removal of
Regulatory Barriers to Affordable
Housing in affiliate selection process, if
applicable (see factor 3).
e. Certifications and Assurances.
Applicants are placed on notice that by
signing the SF–424 cover page noted
above in 2.a., Application Overview, the
applicant is certifying to all information
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described in Section IV.B.2
(‘‘Certifications and Assurances’’) in the
General Section.
C. Submission Date and Time
The application deadline date is May
24, 2006. The electronic application
must be received and validated by
Grants.gov by the application deadline
date. If an applicant is granted a waiver
to the electronic application submission
requirement, the application must be
received at the appropriate HUD
Office(s) by the application deadline
date (see General Section).
D. Intergovernmental Review
Executive Order 12372 review does
not apply to SHOP.
E. Funding Restrictions
1. Administrative Costs
2. Pre-Agreement Costs
After the publication date of the
NOFA, but before the effective date of
the SHOP Grant Agreement, an
applicant and affiliates, if permitted by
the applicant, may incur costs that may
be charged to its SHOP grant provided
the costs are eligible (see Section
III.C.1.) and in compliance with the
requirements of this NOFA (including
relocation and environmental review
requirements) and the application.
Applicants and affiliates incur costs at
their own risk, because applicants that
do not receive a SHOP grant cannot be
reimbursed or reimburse affiliates.
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3. Ineligible Costs
Costs associated with the
rehabilitation, improvement, or
construction of dwellings and any other
costs not identified in Section III.C.1.
are not eligible uses of program funds.
Acquiring land for land banking
purposes (i.e., holding land for an
indefinite period) is an ineligible use of
SHOP funds. Acquisition undertaken by
the applicant or its affiliate before the
publication date of the NOFA is not an
eligible cost. SHOP funds may not be
expended on a property unless its
acquisition by the grantee, subgrantee,
or its affiliates complies with the
Uniform Relocation Assistance and Real
Property Acquisition Policies Act of
1970 (URA). These requirements also
apply to the reimbursement of preagreement costs (see Section IV.E.2).
18:12 Mar 07, 2006
You must meet all submission
requirements described in the General
Section. Refer to the General Section for
detailed submission instructions,
including methods and deadlines for
submission.
3. No Facsimiles or Videos. HUD will
not accept an entire application sent by
facsimile (fax). However, third-party
documents or other materials sent by
facsimile in compliance with the
submission requirements and received
by the application submission date will
be accepted. Facsimile corrections to
technical deficiencies will not be
accepted. Videos submitted as part of an
application will not be viewed.
4. Applications must be received and
validated by Grants.gov by the
application deadline date.
V. Application Review Information
Administrative costs may not exceed
20 percent of any SHOP grant. Indirect
costs may only be charged to the SHOP
grant under a cost allocation plan
prepared in accordance with OMB
Circular A–122.
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F. Other Submission Requirements
Jkt 208001
A. Criteria
Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Staff (25 Points)
This factor examines the extent to
which you, as a single applicant or
consortium (including individual
consortium members), have the
experience and organizational resources
necessary to carry out the proposed
activities effectively and in a timely
manner. Any applicant that does not
receive at least 15 points under this
factor will not be eligible for funding.
In evaluating this factor, HUD will
consider your recent and relevant
experience in carrying out the activities
you propose (including experience in
developing accessible/visitable
housing), and your administrative and
fiscal management capability to
administer the grant, including the
ability to account for funds
appropriately. All applicants, including
individual consortium members, must
have capacity and experience in
administering or facilitating self-help
housing. If you are sponsoring affiliate
organizations that do not have
experience in developing self-help
housing, HUD will assess your
organization’s experience in providing
technical assistance and the ability to
mentor new affiliates.
Submission Requirements for Rating
Factor 1
a. Past Experience (10 points). You
must describe the past experience of
your organization and key staff in
carrying out self-help housing activities
(specify the time frame during which
these activities occurred) that are the
same as, or similar to, the activities you
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propose for funding, and demonstrate
that you have had reasonable success in
carrying out and completing those
activities. You must include the average
number of sweat equity hours provided
per homebuyer family, and the average
number of volunteer labor hours
provided per unit. You may
demonstrate reasonable success by
showing that your previous activities
were carried out as proposed, consistent
with the time frame you proposed for
completion of all work.
b. Management Structure (12 points).
You must provide a description of your
organization’s or consortium’s
management structure, including an
organizational chart. You must also
describe your key staff and their specific
roles and responsibilities for day-to-day
management of your proposed SHOP
program. You must indicate if you will
or will not be working with
organizations that are inexperienced in
carrying out self-help housing and
describe how you will provide technical
assistance and mentor these
organizations to develop capacity either
directly or indirectly.
c. Experience Developing Accessible
Housing (3 points). You must
demonstrate your experience in and
ability to construct and alter self-help
housing by describing the kinds of
features that you have used to design
homes in accordance with universal
design and visitability standards, or
otherwise make homes physically
accessible. You must provide data on
the number of accessible units you have
completed and the time frame during
which units were constructed and/or
altered.
Rating Factor 2: Need/Extent of the
Problem (10 Points)
This factor examines the extent to
which you demonstrate an urgent need
for SHOP funds in your proposed target
areas based on the need for affordable
housing, using quality data with source
to substantiate that need.
The purpose of this factor is to make
sure that funding is provided where a
need for funding exists. Under this
factor, you must identify the community
need or needs that your proposed SHOP
activities are designed to address. If you
plan to select some or all affiliates after
application submission, you must
demonstrate how the selection of
affiliates will help to address the needs
identified in the proposed target areas.
Submission Requirements for Rating
Factor 2
Extent of Need for Affordable Housing
(10 points). You must establish the need
for affordable housing and the specific
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need for SHOP funds in the
communities or areas in which your
proposed activities will be carried out.
You must specifically address the need
for acquisition and/or infrastructure
assistance for self-help housing
activities in these identified areas and
how your proposed SHOP activities
meet these needs. Also, to the extent
information is available, you must
address the need for accessible homes in
the target area(s); evidence of housing
discrimination in the target area(s); and
any need for housing shown in the local
Analysis of Impediments to Fair
Housing Choice, if appropriate.
Applicants that select affiliates after
application submission must submit a
list of affiliates they surveyed and upon
which they are basing their need for
SHOP funding, as well as the specific
criteria to be used to select communities
or projects based on need.
In reviewing applications, HUD will
consider the extent, quality, and validity
of the information and data submitted
that addresses the need for affordable
housing in the target area. Such
information must include:
a. Housing market data in the
proposed target areas including, but not
limited to: Low-income, minority, and
disability populations; number of home
sales and median sales price; and
homeownership, rental, and vacancy
rates. This information can be obtained
from state or regional housing plans, the
American Housing Survey, the United
States Census, Home Mortgage
Disclosure Act data or other local data
sources, such as Consolidated Plans,
comprehensive plans, local tax assessor
databases, or relevant realtor
information. Data included in your
application must be recent and specific
to your proposed target areas; and
b. Housing problems in the proposed
target areas such as overcrowding, cost
burden, housing age or deterioration,
low homeownership rate (especially
among minority families, families with
children, and families with members
with disabilities), and lack of adequate
infrastructure or utilities.
Rating Factor 3: Soundness of Approach
(45 Points)
This factor examines the quality and
soundness of your plan to carry out a
self-help housing program. In evaluating
this factor HUD will consider the areas
described below:
a. Your proposed use of SHOP funds,
including the number of units and the
type(s) of housing to be constructed, and
the use of sweat equity and volunteer
labor; your schedule for expending
funds and completing construction,
including interim milestones; the
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proposed budget and cost effectiveness
of your program; your plan to reach all
potentially eligible homebuyers,
including those with disabilities and
others least likely to apply; and your
procedures for meeting section 3
requirements.
b. How your planned activities further
the five HUD policy priorities that apply
specifically to SHOP in FY 2006 as
described in the General Section. The
policy priorities for SHOP are:
(1) Providing increased
homeownership opportunities for lowand moderate-income persons, persons
with disabilities, the elderly, minorities,
and families with limited English
proficiency;
(2) Encouraging accessible design
features: Visitability in new
construction and substantial
rehabilitation and universal design;
(3) Providing full and equal access to
grassroots, faith-based, and other
community-based organizations in HUD
program implementation;
(4) Participation in Energy Star; and
(5) Removal of regulatory barriers to
affordable housing.
c. How you plan to meet section 3
requirements for jobs and training and
contracting opportunities for SHOPfunded infrastructure improvements.
Submission Requirements for Rating
Factor 3
Activities. Describe the types of
activities that you propose to fund with
SHOP and the proposed number of units
to be assisted with SHOP funding, the
housing type(s) (single family or
multifamily, or both) to be assisted and
the form of ownership (fee simple,
condominium, cooperative, etc.) you
propose to use.
a. Sweat Equity and Volunteer Labor
(7 points). Describe your program’s
requirements for sweat equity and
volunteer labor (i.e., types of tasks and
numbers of hours required for both
sweat equity and volunteer labor) and
how you will provide reasonable
accommodations for persons with
disabilities by identifying sweat equity
assignments that can be performed by
the homebuyer regardless of the
disability, such as doing administrative,
clerical, organizational, or other office
work or minor tasks on site. Reasonable
accommodation can include sweat
equity by the homebuyer that can be
performed regardless of the disability or
substitution of a non-homebuyer
designee(s) to perform the sweat equity
assignments on behalf of the
homebuyer. Volunteers substituting for
disabled homebuyers must enter into an
agreement to complete the work on
behalf of the homebuyers. Include the
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dollar value of both the sweat equity
and volunteer labor contributions and
specify the amount by which these
contributions will reduce the sales price
to the homebuyer. Applicants showing
a larger reduction of the sales price as
a result of the homebuyer’s sweat equity
and volunteer labor contributions will
receive a higher score.
b. Funds Expenditure, Construction,
and Completion Schedules (7 points).
Submit a construction and completion
schedule that expends SHOP funds and
substantially fulfills your obligations if
you are funded. You must provide a
definition of ‘‘substantially fulfills’’ by
specifically stating the percentage or
number of properties that you propose
to be completed and conveyed to
homebuyers at the time all grant funds
are expended. Your construction
schedule must include the number of
dwelling units to be completed within
24 months or, in the case of affiliates
that develop five or more units, within
36 months, and a time frame for
completing any unfinished units.
Your schedule must also include (1)
milestones or benchmarks against which
HUD can measure your progress in
selecting local affiliates if they are not
specifically identified in the
application, (2) expending funds, and
(3) completing acquisition,
infrastructure, and housing construction
activities within these schedules. These
milestones or benchmarks should be
established at reasonable intervals (e.g.,
monthly, quarterly).
c. Budget (7 points). Provide a
detailed budget including a breakdown
for each proposed task and each budget
category (acquisition, infrastructure
improvements, and administration)
funded by SHOP in the HUD–424–CB
and 424–CBW. If SHOP funds will be
used for administration of your grant,
you must include the cost of monitoring
consortium members and affiliates at
least once during the grant period. Your
detailed budget must also include
leveraged funding to cover costs of
completing construction of the proposed
number of units. Budget amounts on the
HUD–424–CB and 424–CBW must agree
with amounts stated elsewhere in the
application.
d. Cost Effective (6 points).
Demonstrate the extent to which the
investment of SHOP funds, the
contribution of sweat equity and
volunteer labor, and any donations to
your SHOP program (e.g. land, building
materials) reduce the average sales price
below the appraised value of the house
or market value of comparable housing.
e. Policy Priorities (6 points). Describe
how each of the five HUD policy
priorities identified specifically for
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SHOP is furthered by your proposed
activities. You will receive up to one
point for each of the first four policy
priorities based on how well your
proposed work activities address the
specific policy. You can receive up to
two points for how well you address
policy priority (5), removal of regulatory
barriers to affordable housing, for which
you must submit form HUD–27300,
Questionnaire for HUD’s Initiative on
Removal of Regulatory Barriers.
Applicants are encouraged to read
HUD’s notices published in the Federal
Register on March 22 (69 FR 13450) and
April 21 (69 FR 21663), 2004, to obtain
an understanding of this policy priority
and how it can impact your score. There
are exceptions as provided below.
Applicants that identify affiliate
organizations and jurisdictions to be
served in their application to HUD
should address the questions in Part A
or Part B of form HUD–27300 for the
jurisdiction in which the majority or
plurality of services will be performed.
Applicants that do not identify
affiliates and communities to be served
in their application to HUD, but select
affiliates competitively or through
another method after application
submission to HUD, may address this
policy priority by including it as an
evaluative criterion in their affiliate
selection process. Such applicants may
receive up to two points by requiring
affiliate applicants for the awarded
SHOP funds to complete the questions
in either Part A or B, as appropriate. In
order to receive points, applicants that
identify affiliates after application
submission must include their
evaluative criterion as an appendix,
and, if awarded SHOP funds in FY
2005, must demonstrate how the
evaluative criteria that were included in
your FY 2005 application were
implemented. You must also describe
how the evaluative criteria in your FY
2005 SHOP program affected or will
affect the selection and funding of
affiliates for FY 2006, to the extent this
has been completed. The narrative for
your evaluative criteria does not count
against the page limits described in
Section IV.B.1, Page Limits.
Applicants applying for funds for
projects located in local jurisdictions
and counties/parishes are invited to
answer the 20 questions under Part A.
An applicant that scores at least five in
column 2 will receive 1 point in the
NOFA evaluation. An applicant that
scores 10 or more in column 2 will
receive 2 points in the NOFA
evaluation. The community(ies) must be
identified on the form HUD–27300.
Applicants applying for funds for
projects located in unincorporated areas
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or areas otherwise not covered in Part A
are invited to answer the 15 questions
in Part B. Under Part B, an applicant
that scores at least four points in
Column 2 will receive one point in the
NOFA evaluation. An applicant that
scores eight points or greater will
receive a total of two points in the
evaluation. The community(ies) must be
identified on the form HUD–27300.
A limited number of questions on
form HUD–27300 expressly request the
applicant to provide brief
documentation with its response. Other
questions require that, for each
affirmative statement made, the
applicant supply a reference, Web site
address, or brief statement indicating
where the back-up information may be
found, and a point of contact, including
a telephone number or e-mail address.
f. Program Outreach (5 points).
Describe materials or services that will
be used to reach potential homebuyers,
including persons least likely to apply.
For example, what alternative formats
will be used to reach persons with a
variety of disabilities and what language
accommodations will be made for
persons with limited English
proficiency.
g. Performance and Monitoring (5
points). Describe your plan for
overseeing the performance of
consortium members and affiliates,
including a plan for monitoring each
consortium member and affiliate for
program compliance at least once
during the term of the grant. Your plan
should address when and how you will
shift funds among consortium members
and affiliates to ensure timely and
effective use of SHOP funds within the
schedule submitted for item b. above.
h. Section 3 Procedures (2 points).
Under section 3 of the Housing and
Urban Development Act of 1968, to the
greatest extent feasible, opportunities
for job training and employment arising
in connection with housing
rehabilitation, housing construction, or
other public construction projects must
be given to low- and very low-income
persons in the metropolitan area (or
non-metropolitan county) in which the
project is located. In addition, to the
greatest extent feasible, contracts for
work to be performed in connection
with housing rehabilitation, housing
construction, or other public
construction projects are given to
business concerns that provide
economic opportunities for low- and
very low-income persons in the
metropolitan area (or non-metropolitan
county) in which the project is located.
The regulations implementing section 3
are found at 24 CFR Part 135. Because
SHOP funds may only be used for
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acquisition and infrastructure
improvements, section 3 requirements
apply only to SHOP projects for which
the amount of SHOP funds for the
infrastructure improvements (together
with any other covered section 3
housing and community development
assistance for infrastructure) meets the
threshold amount of $200,000. Based on
the SHOP maximum average investment
of $15,000 per unit, section 3 would
generally only apply to a SHOP project
with at least 14 units where the entire
SHOP amount (if no other covered
section 3 housing and community
development assistance is provided to
the grantee or affiliate for infrastructure)
is $200,000 or more. Regardless of
whether the section 3 threshold is met,
all applicants are required to describe
procedures they have in place for
section 3 compliance in the event that
they meet the section 3 threshold in
carrying out their proposed SHOP
activities. You must clearly explain your
procedures for complying with these
requirements (1) for projects you
undertake directly, and (2) for projects
undertaken by affiliates. In the case of
projects undertaken by affiliates, your
procedures must state how you will
inform affiliates of their responsibilities
under section 3 and how you will
monitor compliance. One point will be
awarded for addressing job training and
employment opportunities. One point
will be awarded for addressing
contracting opportunities.
Rating Factor 4: Leveraging Resources
(10 Points)
This factor addresses your ability to
secure other resources that can be
combined with HUD’s program
resources to fully fund your proposed
program. When combined with the
SHOP grant funds, homebuyer sweat
equity, and volunteer labor, your
leveraged resources must be sufficient to
develop the number of units proposed
in your application. HUD will consider
only those leveraging contributions for
which current firm commitments as
described in this factor are submitted. A
firm commitment means a written
agreement under which the applicant, a
partner, or an entity agrees to perform
services or provide resources for an
activity specified in your application.
Firm commitments in the form of cash
funding (e.g., grants or loans), in-kind
contributions, donated land and
construction materials, and donated
services will count as leverage.
Leveraging does not include the dollar
value of sweat equity and volunteer
labor for your proposed activities.
Leveraging does not include financing
provided to homebuyers. However,
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financing provided through the U.S.
Department of Agriculture’s Section 502
direct loans to homebuyers for
construction of their dwellings counts
as leveraging for mutual self-help
housing programs. Firm commitments
must be substantiated by the
documentation described below.
Submission Requirements for Rating
Factor 4
Firm Commitments of Resources (10
points). Provide firm commitments
(letters, agreements, pledges, etc.) of
leveraged resources or services from the
source of the commitment. In order to
be considered, leveraged resources or
services must be committed in writing
and include your organization’s name,
the contributing organization’s name
(including designation as a federal,
state, local, or private source), the
proposed type of commitment, and
dollar value of the commitment as it
relates to your proposed activities. Each
letter of commitment must be signed by
an official of the organization legally
able to make the commitment on behalf
of the organization. See Other
Submission Requirements, of the
General Section regarding the
procedures for submitting third-party
documentation. Each letter of
commitment must specifically support
your FY 2006 SHOP application or
specific projects in your FY 2006
application. If your organization
depends upon fundraising and
donations from unknown sources/
providers, you must submit a separate
letter committing a specific amount of
dollars in fundraising to your proposed
FY 2006 SHOP program. Likewise, if
you have received funds from
organizations and agencies from
previous years that are not committed to
another activity and you have the sole
discretion to commit these funds to your
FY 2006 SHOP program, you must
submit a separate letter committing
these dollars to your FY 2006 SHOP
program. In all instances, the dollar
amount must be stated in the letters.
Letters of commitment may be
contingent upon your receiving a grant
award. Letters of commitment must be
included as an appendix to your
application, and do not count toward
the page limitation noted in Section
IV.B.1. Unsigned, undated, or outdated
letters, letters only expressing support
of your organization or its proposal, or
those not specifically stating the dollar
amount or linking the resources to your
FY 2006 SHOP application or specific
projects in your FY 2006 application do
not count as firm commitments.
To receive full credit for leveraging,
an applicant’s leveraging resources must
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be clearly identified for its FY 2006
SHOP application and must total at least
50 percent of the amount shown on
forms HUD–424–CB needed to complete
all properties, minus the proposed
SHOP grant amount, homebuyer sweat
equity, and volunteer labor.
Rating Factor 5. Achieving Results and
Program Evaluation (10 Points)
This factor assesses an applicant’s
past performance and emphasizes
HUD’s determination to track whether
applicants meet commitments made in
their applications.
a. Past Performance. For applicants
that previously received SHOP grants,
HUD will assess your organization’s
past performance based upon
performance reports that demonstrate
your organization’s completion of
eligible SHOP activities, the number of
families provided housing, financial
status information focusing on timely
use of funds, and other program
outcomes. HUD will consider whether
you had funds deobligated for failure to
meet your drawdown and construction
schedules or funds were returned
because of monitoring findings or other
program deficiencies. HUD will also use
monitoring reports, audit reports, and
other information available to HUD in
making its determination under this
factor. For applicants that received
SHOP grants in previous years, HUD
will assess your success in meeting
benchmarks in the most recent three
years of participation in the program. If
you are not a current SHOP grantee, you
must summarize your performance in
undertaking similar activities during the
past three years. You must supplement
your narrative with internal or external
performance reports or other
information that will assist HUD in
making this determination, and submit
it as an appendix. Supplemental
information and reports from applicants
that have not received SHOP grants do
not count against the page limitations.
b. Logic Model. HUD requires SHOP
applicants to develop an effective,
quantifiable, outcome-oriented
evaluation plan for measuring
performance and determining whether
goals have been met using the Master
Logic Model for SHOP, which can be
found in the download instructions
portion at www.grants.gov. In preparing
your logic model you must first open
the form HUD–96010 and go to the
instruction tab and follow the directions
in the tab. ‘‘Outcomes’’ are benefits
accruing to the families and/or
communities during or after
participation in SHOP. The self-help
housing units developed are outputs as
described under this factor, not
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outcomes. Applicants must clearly
identify the outcomes to be achieved
and measured. Examples of outcomes
for SHOP include increasing the
homeownership rate in a neighborhood
or among low-income families by a
certain percentage, increasing financial
stability (e.g., increasing assets of the
low-income homebuyer households
through home equity accumulation or
reducing total housing costs compared
to rents that SHOP participants
previously paid) or increasing housing
stability during and beyond the
grantee’s period for reporting on
property completions. See Reporting in
Section VI.C. Outcomes must be
quantifiable.
In addition, applicants must establish
interim benchmarks for which outputs
lead to the ultimate achievement of
outcomes. ‘‘Outputs’’ are the direct
products of the applicant’s program
activities. Examples of outputs for
SHOP include the number of houses
constructed, number of sweat equity
hours, or number of homes
rehabilitated. Outputs should produce
outcomes for your program. Outputs
must be quantifiable.
‘‘Interim benchmarks’’ are steps or
stages in your activities that, if reached
or completed successfully, will result in
outputs for your program. Examples of
interim benchmarks for SHOP include
income-qualifying homebuyers,
obtaining building permits, or securing
construction materials and equipment.
Program evaluation requires that you
identify program outcomes, outputs,
benchmarks, and performance
indicators that will allow you to
measure your performance. Performance
indicators must be objectively
quantifiable and measure actual
achievements against anticipated
achievements. Your evaluation plan
must identify what you are going to
measure, how you are going to measure
it, and the steps you have in place to
make adjustments to your work plan if
performance targets are not met within
established time frames. This factor
reflects HUD’s goal to embrace high
standards of ethics, management, and
accountability. Successful applicants
will be required to periodically report
on their progress in achieving the
proposed outcomes identified in the
application. Applicants should refer to
the General Section for more
information on the Master Logic Model.
Submission Requirements for Rating
Factor 5
a. Past Performance (7 Points). For
applicants that received SHOP grants in
previous years, you must summarize
your past performance, including any
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delays you encountered and the
mitigating actions taken to overcome
them to successfully complete your
program. HUD will measure your past
performance using monitoring reports,
audit reports, quarterly and annual
reports, disbursement data, and other
information currently in-house against
what you stated you would do in your
previous applications and your
summary. New applicants must provide
a summary of your performance in
carrying out self-help housing,
including any delays you encountered
and the mitigating actions taken to
overcome them to successfully complete
your program. Your narrative summary
must be supported by existing internal
or external performance reports or other
information that will assist HUD in
measuring your performance for
carrying out self-help housing. The
supplemental reports and information
must be included as an appendix and
will not count against the page
limitations.
b. Program Evaluation Plan (3 Points).
For FY 2006, HUD has developed an e
LogicModelTM that allows the applicant
to select from drop down menus the
elements of their program to be captured
in the Logic Model. Instructions for the
eLogic ModelTM are found in Tab 1 of
the form HUD–96011 found in the
instructions download to your
electronic application on
www.Grants.gov/Apply. The Master
Logic Model listing also identifies the
unit of measure that HUD will collect
for the output and outcome selected.
Applicants must identify a unit of
measure and establish a goal for each
output and outcome. HUD expects
applicants to identify more than one
output and outcome. You must
summarize your program evaluation
plan that measures your own program
performance. Your plan must measure
the performance of individual
consortium members and affiliates,
including the standards and
measurement methods, and the steps
you have in place or how you plan to
make adjustments if you begin to fall
short of established benchmarks and
time frames. For FY2006, HUD is
considering a new concept for the Logic
Model. The new concept is a Return on
Investment (ROI) statement. HUD will
be publishing a separate notice on the
ROI concept.
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Review and Selection Process
1. Factors for Award Used To Evaluate
Applications
HUD will evaluate all SHOP
applications that successfully complete
technical processing and meet threshold
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and submission requirements for
Factors 1 through 5. The maximum
number of points awarded for the rating
factors is 100 plus the possibility of an
additional 2 bonus points for RC/EZ/
EC–II.
2. RC/EZ/EC–II Bonus Points
Applicants may receive up to 2 bonus
points for eligible activities that the
applicant proposes to locate in federally
designated Empowerment Zones (EZs),
renewal communities (RCs), or
enterprise communities (ECs)
designated by the United States
Department of Agriculture (USDA) in
Round II (EC–IIs) that are intended to
serve the residents of these areas and
that are certified to be consistent with
the area’s strategic plan or RC Tax
Incentive Utilization Plan for an urban
or rural renewal community designated
by HUD (RC) on the strategic plan for an
enterprise community designed in
round II by USDA (EC–II) . For ease of
reference in this notice, all of the
federally designated areas are
collectively referred to as ‘‘RC/EZ/EC–
IIs’’ and the residents of these federally
designated areas as ‘‘RC/EZ/EC–II
residents.’’ The RC/EZ/EC–II
certification, a valid HUD–2990 form,
must be completed for an applicant to
be considered for RC/EZ/EC–II bonus
points. A list of RC/EZ/EC–IIs can be
obtained from HUD’s grants Web page at
www.hud.gov/offices/adm/grants/
fundsavail.cfm. Applicants can
determine if their program or project
activities are located in one of these
designated areas by using the locator on
HUD’s Web site at www.hud.gov/
crlocator. Copies of the certification can
be found in the electronic application
and on HUD’s Web site at https://
www.hud.gov/offices/adm/grants/
nofa05/snofaforms.cfm. The
certification must be completed and
signed by the appropriate official in the
RC/EZ/EC–II for an applicant to be
considered for RC/EZ/EC–II bonus
points. In addition to the RC/EZ/EC–II
certification, applicants must provide
the location of the EC/EZ/EC–II (name
of town, city, state, or other locale) if not
otherwise identified on the certification,
and the number of units to be developed
within the RC/EZ/EC–II in order to
receive credit as noted in V.B.4, Ranking
and Selection Procedures.
RC/EZ/EC–II bonus points will be
awarded as follows: 2 Points to an
applicant with over 25 percent of its
proposed units in RC/EZ/EC–II; 1 point
for 10 to 25 percent of units in RC/EZ/
EC–IIs; and 0 points below 10 percent
of units in RC/EZ/EC–II zones.
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3. Rating
Applications that meet all threshold
requirements listed in Section III.C will
be rated against the criteria in Factors 1
through 5 and assigned a score.
Applications that do not meet all
threshold factors will be rejected and
not rated.
4. Ranking and Selection Procedures
Applications that receive a total of 75
points or more (without the addition of
RC/EZ/EC–II bonus points) will be
eligible for selection. After adding any
bonus points for RC/EZ/EC–IIs HUD
will place applications in rank order.
HUD will consider rank order, funds
availability, and past performance in the
selection and funding of applications.
5. Technical Deficiencies
After the application submission date
and consistent with regulations in 24
CFR part 4, subpart B, HUD may not
consider any unsolicited information
you may want to provide. However,
HUD may contact you to clarify an item
in your application or to correct
technical deficiencies. In order not to
unreasonably exclude applications from
being rated and ranked, HUD may
contact applicants to ensure proper
completion of the application and will
do so on a uniform basis for all
applicants. However, HUD may not seek
clarification of items or responses that
improve the substantive quality of your
response to any rating factor.
Examples of curable (correctible)
technical deficiencies include
inconsistencies in the funding request, a
failure to submit certifications. In each
case, HUD will notify you in writing by
describing the clarification or technical
deficiency. See the General Section for
additional information.
6. HUD’s Strategic Goals to Implement
HUD’s Strategic Frameworks and
Demonstrate Results
See the General Section for HUD’s
Strategic Goals.
7. Policy Priorities
Refer to the General Section for
information regarding application
criteria addressing HUD’s policy
priorities.
Note: From all applications that receive
SHOP funds, HUD intends to add relevant
data obtained from the ‘‘Removal of
Regulatory Barriers’’ policy priority factor to
the database on state and local regulatory
reform actions maintained at the Regulatory
Barrier Clearinghouse Web site at
www.huduser.org.rbc/ used by states,
localities, and housing providers to identify
regulatory barriers and learn of exemplary
local efforts at regulatory reform.
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VI. Award Administration Information
A. Award Notices
1. HUD reserves the right to:
a. fund less than the amount
requested by any applicant based on the
application’s rank, the applicant’s past
performance, and the amount of funds
requested relative to the total amount of
available funds; and/or
b. fund less than the full amount
requested by any applicant to ensure a
fair distribution of the funds and the
development of housing on a national,
geographically diverse basis as required
by the statute.
HUD will not fund any portion of an
application that is ineligible for funding
under program threshold requirements
in Section III.C. or which does not meet
other threshold and pre-award
requirements in Section III.C. The
minimum grant award shall be the
amount necessary to complete at least
30 units at an average investment of not
more than $15,000 per unit or a lesser
amount if lower costs are reflected in
the application. If any funds remain
after all selections have been made,
these funds may be available for
subsequent competitions.
2. Debriefing
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For a period of at least 120 days,
beginning 30 days after the awards for
assistance are publicly announced, HUD
will provide to a requesting applicant a
debriefing related to its application. A
debriefing request must be made in
writing or by email by its authorized
official whose signature appears on the
SF–424 or his or her successor in the
office and submitted to Ms. Lou
Thompson, Office of Affordable
Housing Programs, U.S. Department of
Housing and Urban Development, 451
Seventh Street, SW., Room 7164,
Washington, DC 20410–7000.
Information provided during a
debriefing will include, at a minimum,
the final score you received for each
rating factor, final evaluation comments
for each rating factor, and the final
assessment indicating the basis upon
which assistance was provided or
denied.
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B. Administrative and National Policy
Requirements
1. Grantees are required to comply
with the following administrative and
financial requirements: A–122 Cost
Principles for Non-Profit Organizations;
A–133 (Audits of States, Local
Governments, and Non-Profit
Organizations); and the regulations at 24
CFR part 84 (Grants and Agreements
with Institutions of Higher Education,
Hospitals, and other Non-Profit
Organizations).
2. Copies of the OMB Circulars may
be obtained from EOP Publications,
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
www.whitehouse.gov/omb/circulars/
index.html.
3. Refer to all award administration
information requirements described in
Section VI (‘‘Award Administration
Information’’) of the General Section.
C. Reporting
Grantees are required to submit
quarterly and annual (consortium
members/affiliates) reports providing
data on the construction status, unit
characteristics, and income and racial
and ethnic composition of homeowners
in SHOP-funded properties. For each
reporting period, as part of the required
quarterly report to HUD, grant recipients
must include a completed Logic Model
(form HUD–96010), which updates the
output and outcome achievements
identified in your application with
which HUD can evaluate the
effectiveness of the SHOP funding.
Applicants are also required to report
annually their response to the
management questions contained in the
eLogic model TM for the SHOP program.
VII. Agency Contact
Further Information and Technical
Assistance
Before the application due date, HUD
staff may provide general guidance and
technical assistance about this NOFA.
However, staff is not permitted to assist
in preparing your application. Also,
following selection of applicants, but
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before awards are announced, staff may
assist in clarifying or confirming
information that is a prerequisite to the
offer of an award. You may contact Ms.
Lou Thompson, SHOP Program
Manager, Office of Affordable Housing
Programs, U.S. Department of Housing
and Urban Development, 451 Seventh
Street, SW., Room 7164, Washington,
DC 20410–7000, telephone (202) 708–
2684 (this is not a toll-free number).
This number can be accessed via TTY
by calling the toll-free Federal
Information Relay Service Operator at
(800) 877–8339. For technical support
for downloading an application or
electronically submitting an application,
please call Grants.gov Customer Support
at 800–518-GRANTS (this is a toll-free
number) or e-mail to
support@grants.gov.
VIII. Other Information
A. Review Section VIII.A., B., E., F.,
G., and H. (‘‘Other Information’’) of the
General Section, and note that these
subsections are incorporated by
reference into this NOFA.
B. Paperwork Reduction Act
The information collection
requirements contained in this
document were approved by the Office
of Management and Budget (OMB)
under the Paperwork Reduction Act of
1995 (44 U.S.C. 3501–3520) and
assigned OMB control number 2506–
0157. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 60 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, quarterly
and annual reports, and final report.
The information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
BILLING CODE 4210–01–P
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Housing Opportunities for Persons With
AIDS (HOPWA) Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Community Planning and
Development (CPD), Office of HIV/AIDS
Housing.
B. Funding Opportunity Title:
Housing Opportunities for Persons With
AIDS (HOPWA).
C. Announcement Type: Initial
Announcement
D. Funding Opportunity Number: The
Federal Register number is: FR–5030–
N–05. The OMB approval number 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 June 13, 2006. 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 needs of low-income
persons with Human Immunodeficiency
Virus/Acquired Immunodeficiency
Syndrome (HIV/AIDS). Grant recipients
will measure client outcomes to assess
how housing assistance results in
creating or maintaining stable housing,
reduces risks of homelessness, and
improves access to 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 NOFA.
2. Available Funds. Approximately
$10,000,000 in FY2006 funding is made
available under the Department of
Housing and Urban Development
Appropriations Act, 2006 (Pub. L. 109–
115; approved Nov. 30, 2005). Funds for
the renewal of expiring HOPWA
competitive grants that have
successfully undertaken permanent
supportive housing projects will be
distributed under a separate, simplified
process, described in a separate notice
from this NOFA. Funds under this
NOFA will be made available after those
awards with the remaining funds. This
notice makes available funding for two
types of HOPWA competitive grants for
new projects: (1) Long-term project
awards for housing activities to be
conducted by eligible states and units of
general local government in areas that
are not eligible for formula allocations
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or in the balance of the state areas
outside of eligible metropolitan
statistical areas by a governmental
agency that is not eligible to receive
formula grants; and (2) awards for
Special Projects of National Significance
(SPNS) projects that will undertake
housing service delivery models to
provide HOPWA clients with improved
stable housing arrangements by a
governmental agency or an eligible nonprofit organization.
Beginning this year, the Department
will advise existing grantees that
provide permanent supportive housing,
the procedure for qualifying for
additional funds as a renewal of an
expiring HOPWA grant. These projects
will not be required to submit an
application under this competition for a
renewal grant.
3. Eligible Applicants. States, units of
general local government, and nonprofit
organizations are eligible to apply.
4. Match. None.
5. Authorities. HOPWA Program
regulations at 24 CFR Part 574 and the
AIDS Housing Opportunity Act (42
U.S.C. 12901–12912), govern the
program.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description
1. Long-Term Projects in Non-Formula
Areas
HUD will award funding for shortterm, transitional and/or permanent
supportive housing activities. These
projects should improve stable housing
arrangements for eligible persons who
reside in areas not eligible for HOPWA
formula allocations or in the balance of
state areas outside of eligible
metropolitan statistical areas to be
undertaken by a state or unit of general
local government that is not eligible for
a formula allocation in federal fiscal
year 2006.
2. Special Projects of National
Significance (SPNS)
Special Projects of National
Significance (SPNS) projects will
provide assistance that stabilizes
housing for eligible persons through
model and/or innovative service
delivery models. Consistent with the
selection considerations established at
42 U.S.C. 12903(c)(3)(C), SPNS projects
will demonstrate potential replicability
in the larger HOPWA program.
3. Definitions for All HOPWA Grants
a. Chronically Homeless Person. An
unaccompanied homeless individual
with a disabling condition who has
either been continuously homeless for a
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year or more OR has had at least 4
episodes of homelessness in the past 3
years. For this program a disabling
condition is defined as a diagnosable
substance abuse disorder, serious
mental illness, developmental
disability, or chronic physical illness or
disability, including the co-occurrence
of two or more of these conditions.
b. Lease or Occupancy Agreement. In
establishing that an eligible person has
obtained permanent supportive housing
and a legal right to remain in that
housing unit, the lease or occupancy
agreement must be for a term of at least
one year. The lease or occupancy
agreement must also be automatically
renewable upon expiration, except on
reasonable and timely prior notice by
either the tenant or the landlord. A
short-term lease or lease in the name of
the provider may be used to undertake
transitional housing activities.
c. Non-profit Organization. Non-profit
organizations include those that: (1) Are
state or locally chartered; (2) Are
organized under state or local laws; (3)
Have no part of earnings inuring to the
benefit of any member, founder,
contributor or individual; (4) Have a
functioning accounting system that is
operated in accordance with generally
accepted accounting principles, or has
designated an entity that will maintain
such an accounting system; and (5)
Have among its purposes significant
activities related to providing services
or housing to persons with acquired
immunodeficiency syndrome or related
diseases, as clarified to include
infection with the human
immunodeficiency virus (HIV).
d. Permanent Supportive Housing.
Housing in which the eligible person
has a continuous legal right to remain in
the unit and which provides the eligible
person ongoing supportive services
through qualified providers.
e. Transitional Housing. Housing, that
will help facilitate the movement of
eligible person(s) to permanent housing
within 24 months.
B. Statutory and Regulatory
Requirements
For more information on the HOPWA
program, including eligible uses of
funds, see the HOPWA program
regulations at 24 CFR Part 574 and the
AIDS Housing Opportunity Act (42
U.S.C. 12901–12912), which govern the
program.
C. Availability of Other HOPWA
Resources.
1. Formula Allocations
Applicants are advised to also
consider seeking funds from the formula
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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 FY2006, HUD distributed $256
million in HOPWA funds by formula to
the qualifying cities for 83 eligible
metropolitan statistical areas (EMSAs)
and to 39 eligible states for areas outside
of EMSAs.
2. National HOPWA Technical
Assistance
To apply for funding to serve as a
provider of HOPWA technical
assistance, you must submit an
application for funds under the
Community Development Technical
Assistance (CDTA) section of the
SuperNOFA. The CDTA notice makes
HOPWA funds available to
organizations qualified to provide
technical assistance support to HOPWA
grantees and project sponsors.
Organizations seeking help in managing
their current HOPWA project, such as
advice or other help needed in
planning, operating, reporting to HUD
and evaluating HOPWA programs, can
request technical assistance by
contacting their state or area CPD office.
II. Award Information
A. Total
The total available HOPWA
competitive funding in FY2006 is
$28,175,000. After first awarding funds
to renew existing HOPWA permanent
housing projects in FY2006, HUD
estimates that approximately
$10,000,000 will be available for new
projects.
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B. Announcement of Awards
HUD anticipates that projects
awarded under this Notice will be
announced by August 30, 2006. It is
expected that selected projects will
undertake program activities under a
grant agreement for a three-year
operating period.
C. Minimum and Maximum Grant
Award
In order to fairly distribute available
funding, the conditions on grant size for
award that you may receive is:
1. For program activities (e.g.,
activities that directly benefit eligible
persons): at least $500,000 and up to
$1,300,000 (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
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under the grant (e.g., an additional
$91,000 if the maximum grant is
awarded). A grantee cannot also receive
project sponsor administrative costs
even when the grantee carries out the
program activities directly;
4. Total maximum grant amount for
all categories of grant awards under this
NOFA is $1,430,000.
receive HOPWA formula allocations in
FY2006 or the government agency is not
eligible to receive formula funds will
serve a balance of state area outside of
any EMSA. Nonprofit organizations are
not eligible to apply directly for Longterm grants, but may serve as a project
sponsor for an eligible state or local
government applicant.
D. Average Grant Award
Based on the results of the 2005
HOPWA competition, the average grant
award for the 35 grants selected was
$1,071,459.
B. Cost Sharing or Matching
III. Eligibility Information
There are no cost sharing or matching
requirements for applications under this
program NOFA. However, leveraging is
encouraged and addressed in Rating
Factor 4 Leveraging.
A. Eligible Applicants
C. Other Eligibility Requirements
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.
1. Threshold Requirements for All
Applications
2. General Eligibility for Expiring Grant
Projects
To be eligible for a new grant for an
existing HOPWA project—a project that
does not qualify for renewal as a
permanent supportive housing project—
the project must meet all program
requirements. Projects that show poor
performance or unresolved grants
management issues up to the date of the
public announcement of awards under
this NOFA will not be funded.
Unresolved problems may include: (1)
HUD knowledge that planned activities
remain significantly delayed in their
implementation; (2) A significant
number of planned housing units are
vacant; 3. Required annual progress
reports are not timely filed with HUD;
4: Unresolved actions pending under a
HUD notice of default on your current
grant or significant citizen complaints
are unresolved or not responded to with
justified reasons.
3. General Eligibility for Applicants and
Sponsors
States, units of general local
government, and nonprofit
organizations may apply under the
SPNS grants category to propose new
projects or for additional funding to
existing projects that do not qualify as
permanent supportive housing renewal
grants.
States and units of general local
government may apply under the
‘‘Long-term’’ category, if the project
entails housing activities in areas that
did not receive or are not designated to
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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
NOFA for eligibility based on applicant
requirements, project sponsor
requirements and the lack of any
unresolved management issues for
applicants who currently administer
HOPWA grants; and
(2) Your application complies with
the Dun and Bradstreet Data Universal
Numbering System (DUNS). More
information on the requirement of the
DUNS can be found in the General
Section.
b. Eligible Project Sponsors. Your
application is consistent with the
requirements for eligibility of project
sponsors, as follows:
If the project sponsor is a nonprofit
organization, it must also satisfy the
nonprofit requirements established in
the definition of an eligible nonprofit
organization found in 24 CFR 574.3 and
in the definition section of this NOFA.
2. Program Requirements
All grant recipients must also meet
the following program requirements,
including performance goals and
operational benchmarks, and conduct
project activities in a consistent and
ongoing manner over the approved grant
operating period. If a selected project
does not meet the appropriate
requirement, HUD reserves the right to
cancel and/or withdraw the grant funds.
a. General Provisions. The provisions
outlined within the General Section
apply to the HOPWA program unless
otherwise stated within this NOFA.
Specifically, you are encouraged to
review Section III.C, Other
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Requirements and Procedures
Applicable to All Programs.
b. Environmental Requirements. All
HOPWA assistance is subject to the
National Environmental Policy Act and
applicable related federal environmental
authorities. While some eligible
activities, such as tenant-based rental
assistance, supportive services,
operating costs, and administrative
costs, are excluded from environmental
review because of the lack of
environmental impact, other activities
require environmental review. All new
facility-based projects must undergo an
environmental review. In accordance
with Section 856(h) of the AIDS
Housing Opportunity Act and the
HOPWA regulations at 24 CFR 574.510,
environmental reviews for HOPWA
activities are to be completed by
responsible entities in accordance with
24 CFR Part 58. Applicants or grantees
that are not a responsible entity must
request the unit of general local
government to perform the
environmental review. HOPWA grantees
and project sponsors may not commit or
expend any grant or non-federal funds
on project activities 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
sponsors and their contractors may not
acquire, rehabilitate, convert, lease,
repair, dispose of, demolish, or
construct property for a project, or
commit or expend HUD or local funds
for such eligible activities, until the
responsible entity (as defined in 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
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perform, for each property, any
environmental review required.
c. Required HOPWA Performance
Goals. Grant recipients must conduct
activities consistent with their planned
annual housing assistance performance
output goals, objectively measure actual
achievements against anticipated
achievements, and report on their actual
performance housing outputs and client
outcomes. Applicants are required to
use the HOPWA Budget Form (form
HUD–40110–B) found in the
instructions to the published NOFA on
Grants.gov/Apply in this NOFA for
recording the funding for housing
assistance activities that are associated
with these performance outputs,
including any funding request for
HOPWA funds and/or commitment to
use other funds for this purpose. This
form is consistent with the new Annual
Progress Report that grantees will be
required to complete. Applicants must
establish a reasonable client outcome
goal on achieving housing stability to be
quantified after each year of operation to
demonstrate client outcomes. HUD
expects that each HOPWA grantee will
show that at least half of the
beneficiaries achieve stable housing in
their program during the operating year,
as shown by stable housing
arrangements for the household at the
end of each operating year. The grantee
will assist in establishing a baseline on
annual performance to help measure
how future efforts lead to the
achievement of higher levels of housing
stability. On a national basis, HUD has
established the goal that over 80 percent
of clients will be in stable housing
situations by 2008. The following
performance measures must be used in
your project plan and your logic model
under paragraph (e):
(1) Required Output refers to the
number of units of housing/households
assisted during the year, as measured by
the annual use of HOPWA funds. For
HOPWA, the application must specify
one-year goals for the number of
households to be provided housing
through the use of HOPWA activities
for: (a) short-term rent, mortgage, and
utility assistance payments to prevent
homelessness of the individual or
family; (b) tenant-based rental
assistance; and (c) units provided in
housing facilities that are being
developed, leased, or operated with
HOPWA funds. You should also include
the projected numbers of low-income
eligible households who are expected to
benefit from the other types of HOPWA
assistance to be provided through your
project during each operating year, such
as the number receiving permanent
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housing placement support, or
supportive services.
(2) Required Outcomes refer to the
number of eligible households who have
been provided housing assistance (as
noted above for outputs) and thereby
maintain a stable living environment in
housing that is safe, decent, and
sanitary. The program will measure
these results in annual assessments on
the housing status of beneficiaries along
with other outcome measures on the
reduced risks of homelessness and
improved access to HIV treatment and
other health care and support. On a
nation-wide basis, the program is
expected to demonstrate stable housing
results for beneficiaries through the use
of annual resources with a national goal
that this stable housing status be
achieved by 80 percent of all HOPWA
beneficiaries by 2008.
d. Optional Program Performance
Goals.
In addition to required performance
measures described in the paragraph
above, you may include other measures
or annual indicators in your project plan
and in your logic model under
paragraph (e).
e. HUD Logic Model. You must use
the Logic Model (Form HUD–96010) in
the General Section to illustrate the
planning for the use of resources,
project activities, required outputs and
outcomes, and other grantee-identified
goals, and for reporting on annual
accomplishments. Applicants must
make use of the required elements in
paragraph (a) in this form. If you are
awarded a grant under this notice,
please note that the logic model form
will also be used as part of your Annual
Progress Report to document results
obtained under your approved plans
during each operating year. For FY2006,
HUD is considering a new concept for
the Logic Model. The new concept is a
Return on Investment (ROI) statement.
HUD will be publishing a separate
notice on the ROI concept. Training on
the logic model will be conducted via
satellite broadcast and archived on
HUD’s Web site. The satellite broadcast
and webcast date will be published on
HUD’s Web site. See Section VI, C Logic
Model reporting requirements.
f. HOPWA Facility Use Period
Requirement. Any building or structure
assisted with amounts under this part
will be maintained as a facility to
provide assistance for eligible persons:
(1) for not less than 10 years in the case
of assistance involving new
construction, substantial rehabilitation
or acquisition of a building or structure;
and (2) for not less than three years in
cases involving substantial
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rehabilitation or repair of a building
structure.
g. Execution of Grant Agreement and
Obligation of Awards. HOPWA grants
are obligated upon execution of the
grant agreement by both parties (i.e., the
recipient and HUD). Applicants selected
to receive FY2006 funding must execute
grant agreements as soon as practicable,
but no later than six months after the
notice of selection.
h. Disbursement of Funds. Grant
recipients must fully expend their grant
funding no later than three years
following the effective date or the
operation start date in the grant
agreement, unless HUD has approved a
one-time extension for an additional 12
months or less. A time limit on grant
expenditures that is established in the
National Defense Authorization Act for
Fiscal Year 1991 requires the
expenditure of all HOPWA funds
awarded under the FY2006
Appropriations Act by September 30,
2012. After September 30, 2012, any
unexpended funds shall be canceled
and, thereafter, shall not be available for
obligation or expenditure for any
purpose.
i. 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.
j. Rehabilitation or New Construction.
If you propose to use HOPWA funds for
rehabilitation or new construction
activities for housing projects, you must
agree to begin the rehabilitation or
construction within 18 months, and all
rehabilitation or construction work must
be completed within the terms of your
grant agreement with HUD. Such
activities will trigger certain
accessibility requirements of Section
504 of the Rehabilitation Act of 1973
and/or the Design and Construction
requirements of the Fair Housing Act of
1988.
k. Project Operations. If funds are
used for operating costs of existing
housing facilities, you must agree to
begin to use these funds within six
months, consistent with the terms of
your grant agreement with HUD. If
funds are to be used for operating costs,
in connection with the new
construction or substantial
rehabilitation of housing facilities, the
amount of funds designated for
operating costs must be limited to the
amount to be used during the portion of
the planned three-year period for your
grant agreement for which the facility
will be operational and assisting
eligible. Delays in the project’s
development activities, such as the
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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.
l. Section 3 of the Housing and Urban
Development Act of 1968. The applicant
will comply with Section 3 of the
Housing and Urban Development Act of
1968, as amended (12 U.S.C. 1701 (u),
and regulations pursuant thereto (24
CFR Part 135), which require that to the
greatest extent feasible opportunities for
training and employment be given to
lower-income residents of the project
and contracts for work in connection
with the project be awarded in
substantial part to persons residing in
the area of the project.
3. Eligible Activities
a. Proposed Project Activities. In your
application, you must specify the
activities and budget amounts for which
HOPWA funds are being requested,
consistent with the eligible activities
found in the HOPWA regulations at 24
CFR 574.300. Activities must address
housing needs of eligible members of
the community and specify whether the
project will be undertaking permanent,
transitional, short-term and/or
emergency housing assistance. A copy
of the regulations may be downloaded
from www.hud.gov/offices/cpd/
aidshousing/lawsregs/index.cfm. You
are encouraged to review the HOPWA
regulations before seeking funding. HUD
will not approve proposals that depend
on a prospective determination as to
how program funds will be used. For
example, a proposal to establish a local
request-for-proposal process to select
either activities, or to select project
sponsors, that have the effect of
delaying the obligation of funds due to
the unplanned use of HOPWA funds,
will not be approved.
b. Additional Guidance on Use of
Program Funds.
(1) Housing Assistance. HOPWA
projects must demonstrate that housing
assistance is the main focus of program
activities. Please indicate if you propose
to use HOPWA funds to provide
permanent supportive housing (as
defined in Section I.A.). If you are
proposing emergency or transitional
housing assistance, your plan must
include linkages to permanent
supportive housing. See 24 CFR
574.300(b)(8) for descriptions of
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appropriate operating costs for a
housing project.
(2) Supportive Services. Many of the
eligible persons who will be served by
HOPWA may need other support in
addition to housing. It is important that
you design programs that enhance
access to those existing mainstream
resources through community wide
strategies to coordinate assistance to
eligible persons. These mainstream
programs include: the Ryan White
CARE Act; Medicaid; Children’s Health
Insurance Program; Temporary
Assistance for Needy Families; Food
Stamps; Mental Health Block Grant;
Substance Abuse Block Grant;
Workforce Investment Act; and the
Welfare-to-Work grant program; as well
as other state, local and private sources.
No more than 35 percent of the
proposed budget for program activities
undertaken by project recipients can be
designated for supportive services costs.
In addition, HUD will not award funds
for the acquisition, lease, rehabilitation,
or new construction of a supportive
services-only facility. Additional
restrictions and limitations that apply to
supportive services such as limitations
addressing only uncompensated
healthcare costs can be found at 24 CFR
574.300. HUD will not provide funds for
medications or other health-care costs
reasonably available from other sources.
Costs for staff engaged in delivering the
supportive service is part of the
supportive service activity cost, and
should not be listed as operating costs
or ‘‘other’’ costs in the application’s
proposed HOPWA budget.
(3) Permanent Housing Placement
Assistance. Permanent housing
placement at § 574.300(b)(7) may also be
used in connection with the provision
of housing support provided under
these awards and is not considered a
supportive service under limitations
stated in paragraph (2). Permanent
housing placement costs may involve
costs associated with helping eligible
persons establish a new residence where
ongoing occupancy is expected to
continue, including rental application
fees, related credit checks and
reasonable security deposits necessary
to move persons to permanent housing,
provided such deposits do not exceed
two months of rent. Leveraged resources
may involve other forms of move-in
support, such as essential housing
supplies, smoke alarms, standard
furnishings, minor repairs to the unit
associated with move-in, and other
incidental costs for occupancy of the
housing unit. While these items are not
eligible as permanent housing
placement costs, grantees may make use
of other leveraged funds for these costs.
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(4) Other HUD-Approved Activities.
You may propose other activities not
already authorized at 24 CFR
574.300(b), subject to HUD’s approval.
Your proposal should address the
expected beneficial impact of this
alternative activity in addressing
housing needs of eligible persons by
describing the project impact and the
identified performance output and
client outcome measures for this
activity.
IV. Application and Submission
Information
A. Addresses To Request Application
Package
Copies of the published NOFAs and
application forms for HUD programs
announced through NOFA are available
at the Grants.gov Web site, https://
www.grants.gov/Apply If you have
difficulty accessing the information,
customer support is available from
Grants.gov by calling their Support Desk
at (800) 518–4726 from 8 a.m.–9 p.m.
eastern time or sending an email to
support@grants.gov. If you do not have
Internet access and need to obtain a
copy of the NOFA, you can contact
HUD’s NOFA Information Center tollfree 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
By signing the SF–424, applicants are
agreeing to the assurances found in the
General Section. If conditionally
selected for funding, the following
certifications as noted must be provided
prior to the signing of a grant agreement.
Standard certifications and forms are
found in the General Section and the
HOPWA budget and certification (form
HUD–40110–B), is included in the
appendices in this NOFA. Copies of
these forms are available from HUD’s
Web site at https://www.hudclips.org/
sub_nonhud/html/forms.htm.
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1. Forms
Applicants are requested to submit
the following information:
a. Application for Federal Assistance
(SF–424) (Required)
b. Survey on Ensuring Equal
Opportunity for Applicants (SF–424
Supplement) (Optional).
c. Program Outcome Logic Model
(HUD–96010) (Required).
d. Certification of Consistency with
the Consolidated Plan (HUD–2991)
(Required prior to the signing of a grant
agreement).
e. Certification of Consistency with
the RC/EZ/EC–II Plan (HUD–2990)—if
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applicable to the service area of your
project (Optional).
f. Applicant/Recipient Disclosure/
Update Report (HUD–2880) (required
prior to the signing of a grant
agreement) (Required).
g. Disclosure of Lobbying Activities
(SF–LLL), if applicable (required prior to
the signing of a grant agreement).
h. HOPWA Application Budget
Summary, including HOPWA Applicant
Certifications (form HUD–40110–B)
(Required).
i. Acknowledgement of Application
Receipt (HUD–2993), if applicable due
to an approved waiver of the electronic
submission requirement (Optional).
j. Client Comments and Suggestions
(HUD–2994) (Optional).
k. Facsimile Transmittal (for
electronic applications)—Form HUD–
96011, if applicable due to a facsimile
transmission.
2. Additional HOPWA Guidance on
Forms
HOPWA Application Budget
Summary (form HUD–40110–B). Do not
complete the standard budget form
contained in the General Section.
Applicants must use this programspecific budget form (HUD–40110–B,
HOPWA Budget Application Summary)
that demonstrates how funds will be
used for eligible activities. The HOPWA
HUD–40110–B will provide a summary
of the total budget for your project, the
annual HOPWA amounts to be used in
each of the three years of operation and
description budget by project sponsor of
the HOPWA funds to be used by each
sponsor. On this form, you must provide
a short narrative which outlines each of
your requested budget line items and
how the funds will be used, including
the amount of requested funding by line
item for you and your project sponsors.
b. Certification of Consistency with
the Consolidated Plan (HUD–2991).
Except as stated below, you must obtain
a Consolidated Plan certification signed
by the applicable state or local
government official for submitting the
appropriate plan for the areas in which
activities are targeted. This form must
be submitted to HUD prior to the
signing of a grant agreement. The
authorizing official from the state or
local government must sign this
certification. If your project will be
carried out on a national basis or will
be located on an Indian reservation or
in one of the U.S. Territories of Guam,
the Virgin Islands, American Samoa, or
the Northern Mariana Islands, you are
not required to include a Consolidated
Plan certification from these areas with
your application.
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3. Application Content for Long-term
and Special Projects of National
Significance (SPNS) Project
Applications
The review criteria for Long-term, and
SPNS applications can be found in
Section V.A. of this NOFA. For your
narrative responses, number the pages
and include a header or a footer that
provides the name of the applicant or
the project.
a. Executive Summary. On no more
than two double-spaced pages, provide
an Executive Summary of the proposed
project. The summary should provide
an overview of the main components of
your planned HOPWA project, any
special service delivery method or
project purposes and the projected
annual housing output for the first year
of operation. In the Executive Summary,
provide the name of the grantee and any
project sponsors, along with contact
names, phone numbers, and e-mail
addresses.
For projects involving sites, (e.g., a
structure where HOPWA funds will be
used for construction, acquisition,
rehabilitation, leasing, operating costs,
and/or project-based rental assistance)
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 or a Public
Site. (HUD will not release the address
of confidential sites).
Please indicate which of the following
special populations your project will
serve by operating a project that
intentionally targets assistance. Further,
indicate the number of special
population households likely to be
assisted through the housing assistance
planned in your project:
• Homeless persons (and of those,
identify how many are chronically
homeless)
• Veterans
Note: HUD will use your responses
regarding special population to respond
to public inquires).
b. Proof of Nonprofit Status and AIDS
Purpose. Excluding situations where
non-profit documentation was
submitted to HUD under prior HOPWA
awards and there has been no change in
project sponsor(s), all conditionally
selected 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) prior to the signing of a
grant agreement. Conditionally selected
applicants must also provide
documentation consistent with
paragraph (2) below prior to the signing
of a grant agreement to demonstrate that
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each sponsor’s organizational
documents include a purpose of
significant activities related to providing
housing or services to persons with
HIV/AIDS. For submission of the
documentation in paragraphs (1) and (2)
on paper forms, you should follow the
directions in the General Section, with
the exception of the budget forms.
(1) HUD will accept as evidence of
your nonprofit status:
(a) A copy of the Internal Revenue
Service (IRS) ruling providing taxexempt status under Section 501(c) (3),
(4), (6), (7), (9) or (19) of the IRS code;
(b) A ruling from the Treasury
Department of the Commonwealth of
Puerto Rico granting income tax
exemption under section 101 of the
Income Tax Act of 1954, as amended (13
LPRA 3101);
(c) Documentation that the applicant
is a certified United Way agency;
(d) Copy of your most recent
completed tax statement, Form IRS–990
or Form 990–EZ;
(e) All of these:
(i) a certification by the appropriate
official of the jurisdiction where the
nonprofit was organized that your
organization was organized as a nonprofit organization and is in good
standing;
(ii) a certification from a designated
official of the organization that no part
of the net earnings of the organization
inures to the benefit of any member,
founder, contributor, or individual; that
the organization has a voluntary board;
and that the organization practices
nondiscrimination in the provision of
assistance in accordance with
applicable program requirements; and
(iii) an opinion letter from an
independent public accounting (IPA)
firm that the nonprofit has a functioning
accounting system that provides for
each of the following:
(A) Accurate, current, and complete
disclosure of the financial results of
each federally funded project;
(B) Records that identify adequately
the source and application of funds for
federally funded activities;
(C) Effective control over and
accountability for all funds, property
and other assets;
(D) Comparison of outlays with
budget amounts;
(E) Written procedures to minimize
the time elapsing between the transfer of
funds to the recipient from the U.S.
Treasury and the use of funds for
program purposes;
(F) Written procedures for
determining reasonableness, allocable,
and allowable costs; and
(G) Accounting records including cost
accounting records that are supported
by source documentation.
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(2) We will also 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 or
similar chart or table for the Applicant,
and no more than two double-spaced
pages or similar chart or table per
additional sponsor, demonstrate the
extent to which you and any project
sponsor(s) have the organizational
resources necessary to successfully
implement your proposed activities in a
timely manner.
d. Need/Extent of the Problem
Narrative. On no more than five doublespaced typed pages or similar chart or
table define your planned service area
and demonstrate the need for funding
eligible activities in the area to be
served.
e. Soundness of Approach: Model
Qualities and Responsiveness/
Coordination Narrative. On no more
than ten double-spaced typed pages or
similar chart or table, address the
method by which your plan meets your
identified needs. Demonstrate how your
project will provide its planned
activities through HOPWA and other
resources, and how it will serve as a
model with exemplary qualities to
address the ongoing housing and
supportive service needs of eligible
persons within a replicable operational
framework.
f. Documentation of Leveraged
Resources. As described in paragraph 4
of this section, to receive a leverage
score for your project, provide a detailed
chart of commitments that you have
obtained and have on file that provides
evidence of your ability to secure
community resources for operating and
sustaining your housing project.
g. Achieving Results and Program
Evaluation Narrative. To complement
the use of the Logic Model form, in no
more than three double-spaced typed
pages or similar chart or table, provide
a supplemental optional narrative that
may detail or further demonstrate your
commitment to ensuring that the goals
that you set forth and your performance
will be assessed in a clear and effective
manner. Address how you will
implement the HOPWA Program goals
and identify the benefits or outcomes of
your program including details on your
activities, benchmarks, and interim
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activities or performance indicators
shown in the Logic Model. Provide
comments as may be needed on details
for an evaluation plan that will
objectively measure actual
achievements against anticipated
achievements.
4. Application Content on Leveraging
for All Types of Applications
To receive consideration for leveraged
resources, all types of applications must
include information on the
commitments from other state, local,
federal, or private entities to provide
additional resources in operating and
sustaining your planned activities to
support project beneficiaries. Other
HOPWA funds, such as formula
allocations, may not be used for this
purpose in determining leveraging. To
receive a score for leveraging, any
project must provide a list in a chart
with information on the nature of the
secured leveraged commitments that
you have in hand at the time of your
application submission to HUD. You
may also describe a plan for how the
project will continue to operate in
future years, with a decreased reliance
on these federal resources.
As a change from prior year
competitions, you should not submit an
electronic copy or facsimile transmittal
of these letters of commitment with
your HOPWA application, but should
use these letters or documents to report
on the information requested below.
The applicant must retain in its files all
of the leveraging letters or documents
and a conditionally-selected applicant
may be required to provide HUD with
a copy or other evidence of these letters
or documents as part of the conditions
for receiving HOPWA funds.
In the application, provide
information only for contributions for
which you have a written commitment
in hand at the time of application. A
written agreement could include signed
letters, memoranda of agreement, and
other documented evidence of a firm
commitment for resources to be
available during the operating period of
your project, if selected for award.
Leveraging items may include any
written commitments that will be used
towards your leveraging of the project,
as well as any written commitments for
buildings, equipment, materials,
services and volunteer time. The value
of commitments of land, buildings and
equipment are one-time only and cannot
be claimed by more than one selected
project (e.g., the value of donated land,
buildings or equipment claimed in 2005
and prior years for a project that was
selected for funding cannot be claimed
as leveraging by that project in
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subsequent competitions). The written
commitments must be documented on
letterhead stationery, signed by an
authorized representative, dated and in
your possession prior to the deadline for
submitting your application.
The Department will periodically
monitor the use of your commitments
by requiring the collection of
information in annual progress reports
to establish that the leveraged resources
are being used, as committed, in
undertaking the project. Failure to
provide evidence of these commitments
or the related use of these additional
resources in operating your project
could result in a notice of default and
affect the project’s continued access to
federal funds awarded under this
NOFA.
C. Submission Dates
Application Deadline Date. Your
completed application must be
submitted, received and validated
electronically by Grants.gov no later
than 11:59:59 p.m. eastern time on the
submission date for HOPWA found in
the General Section. 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 that are established
in the General Section.
All parts of an electronic application
must be submitted via the Grants.gov
portal with additional documentation as
called for in this NOFA provided via
electronic facsimile transmittal in
accordance with the requirements stated
in the General Section. For electronic
applications, HUD will not accept parts
of an application submitted through the
mail or entire applications by facsimile.
For applications receiving a waiver of
the electronic application submission
requirements, the entire application
must be submitted in hard paper copy
format with the required number of
copies.
D. Intergovernmental Review
The HOPWA program is not subject to
Executive Order (EO) 12372,
Intergovernmental Review of Federal
Programs.
E. Funding Restrictions
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1. Limitations on Maximum Grant
Amounts
Your request for funding must be
consistent with the following
limitations on minimum and maximum
grant amounts:
a. For program activities (e.g.,
activities that directly benefit eligible
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persons): At least $500,000 and a
maximum of $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. (Note an applicant that will
serve as a grantee, but carryout activities
directly without a third-party project
sponsor, cannot add amounts from this
paragraph to its eligible amount under
paragraph (b) above.)
d. Total for maximum grant amount:
$1,430,000, as subject to applicable
limitations in this section and if funds
are requested for a term of less than
three years, HUD reserves the right to
reduce these amounts in a proportionate
manner.
2. Limitation on Supportive Services
Your request for the supportive
services line item in program activities
must be consistent with the program
limits of not more than 35 percent of the
proposed budget for program activities
undertaken by project recipients.
Consistent with the standards on
Leveraging, of this NOFA, requests for
supportive services must be leveraged
with commitments to provide
supportive services in order to qualify
an applicant for the maximum
leveraging score.
3. Limitation on Prospective
Determinations
HUD will not approve proposals that
depend on a prospective determination
as to how program funds will be used.
More specifically, proposals to establish
a local request-for-proposal process to
select either activities or project
sponsors, and other similar proposals
that have the effect of delaying the
obligation of funds due to the
unplanned use of HOPWA funds, will
not be approved.
4. Limitation on Ineligible Activities
HUD will not provide 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
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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
HUD requires applicants to submit
applications electronically through
www.grants.gov. 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 of
the electronic submission process (see
the General Section for more
information). Applicants who are
granted a waiver must submit their
applications in accordance with the
requirements stated in the approval to
the waiver request. Please see the
General Section for detailed mailing and
delivery instructions.
V. Application Review Information
A. Criteria
1. Criteria for Project Applications
a. Departmental Policy Priorities. As
outlined in the General Section, HUD
has identified policy priorities that
project applicants are encouraged to
address through their proposed project
plans. HUD has identified five
Departmental policy priorities as being
applicable for new HOPWA projects.
Applications for HOPWA funding will
receive rating points for each applicable
Department policy priority initiative
addressed through the proposed
program activities and performance
goals and objectives. Applicants must
demonstrate how these priorities will be
addressed through the Soundness of
Approach of the application as outlined
under Rating Factor 3. Under the points
available for Rating Factor 3, one or two
Rating Points, as specified below, will
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be awarded for each of the following
addressed priorities:
(1) In accordance with the General
Section, for applicants seeking HOPWA
funds for capital development activities,
including rehabilitation or new
construction, for one rating point under
project soundness of approach, you are
encouraged to institute visitability and
universal design standards in these
activities undertaken with HOPWA
funds. Visitability standards allow a
person with mobility impairments
access into the home, but do not require
that all features be made accessible; and
such standards incorporate universal
design in the construction or
rehabilitation of housing undertaken
with HOPWA funds. Universal design
provides housing that is usable by all
without the need for adaptation or
specialized design.
(2) For one rating point under project
soundness of approach, you are
encouraged to propose projects in which
the grantee, or the project sponsor(s),
fulfills the policy priority for being a
nonprofit grassroots community-based
organization, including faith-based
organizations, as defined in the General
NOFA.
(3) For one rating point under project
soundness of approach, you are
encouraged to propose applications in
which the grantee, or project sponsor(s),
commits to follow the Energy Star
standard in any new construction, or
rehabilitation activity, or maintaining
housing or community facilities to be
undertaken in the proposed project with
HOPWA or other funds. You are
encouraged to undertake program
activities that include developing
energy star promotional and information
materials, providing outreach to lowand moderate-income renters and
buyers on the benefits and savings when
using Energy Star products. The Energy
Star standard is as defined in the
General Section.
(4) For up to two rating points under
project soundness of approach, you are
encouraged to propose an application in
which the grantee, or project sponsor(s),
if it is a state or local government
agency, as defined in the General
Section, completes the regulatory
barriers policy questionnaire and
provides the required documentation or
provides a website URL where the
information can be readily found.
(5) For up to two rating points under
project soundness of approach, you are
encouraged to propose an application in
which the grantee or project sponsor(s)
demonstrate in their applications how
they were incorporating Section 3
principles into their projects with goals
for expanding opportunities for Section
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3 residents and business concerns. As
defined in Section V of the General
Section, the purpose of Section 3 is to
ensure that employment and other
economic opportunities generated by
federal financial assistance for housing
and community development programs,
shall, to the greatest extent feasible, be
directed toward low and very-low
income persons.
b. Program Policies—Target
Population. Prior to the award of other
projects, HUD reserves the right to select
the two highest rated applications (but
not any that are rated at less than 75
points) that demonstrate that the
planned HOPWA activities and
activities supported by leveraged funds
will serve the special population of
HOPWA eligible person who are
chronically homeless persons with HIV/
AIDS. Persons who are infected with
HIV are more likely to be able to follow
complex treatment regimens if they
have a reliable address where they can
be reached by care providers, a safe
place to keep medications, refrigeration
for drugs that require it, and other
necessities that many of us take for
granted. HUD is encouraging
applications that strive to create
additional models for permanent
housing for eligible persons living with
HIV/AIDS that are experiencing chronic
homelessness. Applicants must work
collaboratively with the local
Continuum of Care Plans to create these
models for persons living with HIV/
AIDS and their families and
demonstrate a plan for the integration of
HOPWA activities with those systems
such as the use of HMIS. HMIS
participation is required for all
recipients of award funding under this
NOFA whose projects intentionally
target HOPWA eligible persons who are
homeless or chronically homeless. In a
number of Continuum of Care
communities, HOPWA projects are
directly involved in providing outreach,
assessment, housing and supportive
services to HOPWA eligible persons
who are homeless at the time they enter
into program support. HMIS activities or
the use of related information
technology systems may already be
operating to support the delivery of
housing information services to these
HOPWA clients.
c. Application Selection Process for
Projects
Rating Factor 1: Capacity of the
Applicant and Project Sponsors and
Relevant Organizational Experience (20
Points) (Minimum for Funding
Eligibility—14 Points)
Address the following factor using not
more than five (5) double-spaced, typed
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pages or similar chart or table. For each
project sponsor, you may add two
additional pages. This factor addresses
the extent to which you and any project
sponsor have the organizational
resources necessary to successfully
implement your proposed activities in a
timely manner. If you will be using
project sponsor(s) in your project, you
must identify each project sponsor in
your application. HUD will award up to
20 points based on your and any project
sponsor’s ability to develop and operate
your proposed program in relation to
which entity is carrying out an activity.
1. With regard to both you and your
project sponsor(s), you should
demonstrate:
(a) Past experience and knowledge in
serving persons with HIV/AIDS and
their families;
(b) Past experience and knowledge in
programs similar to those proposed in
your application including HOPWA
formula funding;
(c) Experience and knowledge in
monitoring and evaluating program
performance and disseminating
information on project outcomes; and
(d) Past experience as measured by
expenditures and measurable progress
in achieving the purpose for which
funds were provided.
2. In reviewing the elements of the
paragraph above, HUD will consider:
(a) The knowledge and experience of
the proposed project director and staff,
including the day-to-day program
manager, consultants, and contractors in
planning and managing the proposed
activities. You and any project sponsor
will be judged in terms of recent,
relevant, and successful experience of
staff in undertaking eligible program
activities.
(b) Your and/or the project sponsor’s
experience in managing complex
interdisciplinary programs, especially
those involving housing and community
development programs directly relevant
to the work activities proposed and
carrying out grant management
responsibilities.
(c) If you and/or the project sponsor
received funding in previous years in
the program area for which you seek
funding, those past experiences will be
evaluated in terms of the ability to attain
demonstrated measurable progress in
the implementation of your grant
awards. Measurable progress is defined
as:
(i) Meeting applicable performance
benchmarks in program development
and operation;
(ii) Meeting project goals and
objectives, such as the HOPWA output
for number of homeless assisted in
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comparison to the number that was
planned at the time of the application;
(iii) Submitting timely performance
reports; and
(iv) Expending prior funding as
outlined in the existing HOPWA grant
agreement with HUD with no
outstanding audit or monitoring issues.
Applicants must receive a minimum
of 14 points in Rating Factor 1 to be
eligible for funding under this NOFA.
Rating Factor 2: Need/Extent of the
Problem (15 Points)
Address the following factor using not
more than five (5) double-spaced, typed
pages or similar chart or table. Up to 15
points will be awarded for this factor.
a. AIDS Cases (5 Points). You must
define your planned service area. HUD
will obtain AIDS surveillance
information pertinent to that area from
the Director of the Centers for Disease
Control and Prevention. Up to 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 grant, you
must describe a housing need that is not
currently addressed by other projects or
programs in the area including reference
to the area’s existing HOPWA programs.
You must further describe how the
planned activity will complement these
in a manner that is consistent with the
community’s plan for a comprehensive
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and coordinated approach to housing
needs of persons living with HIV/AIDS
which establishes stable housing for
clients and helps foster greater self
sufficiency and independence. Also,
describe any unresolved or emerging
issues and the need to provide new or
alternative forms of assistance that, if
provided, would enhance your area’s
programs for housing and related care
for persons living with HIV/AIDS and
their families. You must also describe
how your project will enhance the
community’s Consolidated Plan
strategies for providing affordable
housing and access to related
mainstream services to HOPWA eligible
persons; or
(2) If you apply as a Long-term project
that will operate in a non-formula area
or balance of state area, you must
describe the housing need that is not
currently addressed by other projects or
programs in the area including any
HOPWA competitive grants or other
HIV/AIDS housing projects and how the
planned activity will complement these
in a manner that is consistent with the
community’s plan for a comprehensive
and coordinated approach to housing
needs of persons living with HIV/AIDS.
You must also describe any unresolved
or emerging issues and/or the need to
provide forms of assistance that
enhances the community’s strategy for
providing housing and related services
to eligible persons.
HUD will evaluate your presentation
of statistics and data sources based on
soundness, reliability, and the
specificity of information to the target
population and the area to be served. If
you propose to serve a subpopulation of
eligible persons on the basis that these
persons have been traditionally and are
currently underserved (e.g., 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 Qualities (45
Points)
Address this factor on not more than
ten (10) double-spaced, typed pages or
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similar chart or table. 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, 7 for public policy
priorities, and 18 for model qualities)
based on the extent to which your plan
evidences a sound approach for
conducting the HOPWA activities in a
manner that is responsive to the needs
of eligible persons and that your plan
for project coordination will offer model
qualities in providing supportive
housing opportunities for eligible
persons with access to mainstream
health and human welfare services,
when compared to other applications
and projects funded under previous
HOPWA competitions.
a. Responsiveness, Coordination, and
Public Policy Priorities (25 Points). HUD
will award up to 25 points
(Responsiveness—15 Points and
Coordination—5 Points and Public
Policy Priorities—7 Points) based on
how well your project plans respond to
the unmet needs in housing and related
supportive services for the eligible
population, including target populations
outlined under Section V.A. 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
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activities. To receive the maximum
points for your project plan, you must
explain and describe the eligible
housing activities you or your project
sponsor intend to conduct, where these
activities will take place (either on site
or at another location), and how those
activities will benefit eligible persons.
Please describe:
(a) Housing Activities. You must
demonstrate how the emergency,
transitional, or permanent housing
needs of eligible persons will be
addressed through one or more of the
HOPWA eligible activities and through
any other resources and how such
activities are coordinated with other
available housing assistance. Your plan
for housing assistance must include:
(i) Access to permanent supportive
housing for applicants. In proposing a
housing project, you must describe how
eligible persons will access permanent
housing and/or use emergency, shortterm and transitional housing support
through your project and through any
specific commitments with other
community housing providers. If your
project involves some initial emergency
or transitional assistance for clients,
please describe your plans to facilitate
the movement of eligible persons
receiving this emergency or transitional
housing support to permanent housing
or independent living arrangements
within 24 months.
(ii) Permanent housing placement. If
you use funds to help beneficiaries
secure new housing units, please
describe your plans to use funds and the
related housing outputs for these
permanent housing placement services
(under that budget line item) such as
costs for first month’s rent and security
deposits;
(iii) Description of Housing Site. You
must describe any appropriate site
features including use of universal
design, accessibility, visitability, and
access to other community amenities
associated with your project.
(iv) Development and Operations
Plan. You must describe a development
and/or operations plan for the
emergency, transitional, or permanent
housing assistance you are proposing to
provide. For rental assistance programs,
this will include your plan for providing
rental assistance, proposed housing sites
if project-based, and length of stay if
less than ongoing permanent supportive
housing. If you are proposing to use
HOPWA funds for the acquisition,
rehabilitation, or new construction of a
housing facility, your plan must also
document that you have secured other
funding sources, including plans for
coordinating the use of other resources
that are committed to meeting
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leveraging, have significant progress on
an identified and secured project site(s),
and must provide rehabilitation/
construction timelines consistent with
the three year use of grant funds. The
project must be cost effective, including
costs not deviating substantially from
the norm in that locale for the type of
structure or kind of activity. HOPWA
funds are not intended for use as the
initial or sole funding source for capital
development housing projects.
(v) Operational Procedures. Describe
your outreach, intake, engagement and
assessment procedures, as well as how
eligible persons will receive housing
support with access to medical care and
other supportive services provided by
other organizations. Describe the use of
housing being funded from other
sources, and how your project provides
for ongoing assessments of the housing
service benefits received by eligible
persons. Include a description of how a
client moves through the housing
program from outreach, intake, client
assessment, the delivery of housing
services, the use of emergency,
transitional, or permanent housing, and
when appropriate, the outplacement to
more self-sufficient independent
housing. If persons who are homeless
are to be assisted, including persons
who are chronically homeless, describe
the housing activities and necessary
support to identify, prioritize and
respond to their supportive housing
needs in coordination with other area
assistance for persons who are
homeless. Also address the number of
permanent housing beds for the
chronically homeless that would
become available for occupancy during
each of your project operating years.
(b) Supportive Service Activities. You
must describe how 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
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healthcare and other supportive
services;
(ii) How project plans ensure that
eligible persons will participate in
decision making in the project
operations and management; and
(iii) Your plan for delivering
supportive services through a
comprehensive plan that shows how
agreements provide that eligible persons
access medical care and other
mainstream supportive services to
address their needs.
(c) Additional HOPWA Activities. You
must describe your plan for utilizing
other requested HOPWA funds
(described at 24 CFR 574.300(b)).
Explain how these activities will be
integrated into your overall plan in the
provision of housing and related
supportive services to eligible persons.
(d) Other Approvable Activities. As
authorized by statute, HUD may
approve other activities that are in
addition to the activities at 24
CFR574.300(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 may
provide information on your primary
decision-making group in providing
leadership to your efforts as well as
other organizations participating in
planning activities, such as committees,
workgroups, public meetings, forums
etc. and the frequency of meetings. You
will be rated on the extent to which you
demonstrate you have:
(a) Coordinated your proposed
activities with those of other groups or
organizations within the community or
region prior to submission, to best
complement, support, and coordinate
all housing and supportive service
activities including specific reference to
how the proposal is coordinated with
existing HOPWA programs in that area
(formula and competitive) and how the
planned efforts complement the existing
programs;
(b) Developed your project through
consultation with other stakeholders,
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such as organizations, groups, or
consumers involved with area HIV/
AIDS housing and service planning,
including planning under the Ryan
White CARE Act and other federal
planning. The highest rated 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
employment programs for which
eligible persons may benefit.
(3) Public Policy Priorities (7 points).
Applications for HOPWA funding will
receive rating point(s) for each
applicable Department policy priority
initiative addressed through the
proposed program activities and
performance goals and objectives.
Applicants must make a specific
statement on their commitment to
address the priority or otherwise
demonstrate how these priorities will be
addressed:
(a) In accordance with 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 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
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non-profit grassroots community-based
organization, including faith-based
organizations, as defined in the General
Section.
(c) For one rating point under project
soundness of approach, the grantee, or
project sponsor(s), commits to promote
energy efficiency by adopting or
following the Energy Star standard in
any new construction or rehabilitation
activity or in maintaining housing or
community facilities to be undertaken
in the proposed project with HOPWA or
other funds. The Energy Star standard is
as defined in 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
the General Section.
(e) For up to two rating points under
project soundness of approach, your
application demonstrates how you are
incorporating Section 3 principles into
your project with goals for expanding
employment and other opportunities for
Section 3 residents who are low and
very-low income persons, and related
business concerns, as defined in Section
V of the General Section,
b. Model Qualities (18 Points). HUD
will award up to 18 points based on
your service delivery plan and how well
it will serve as a model for a housing
project during the operating period.
HUD expects the proposed project to
show exemplary and/or innovative
qualities that address the ongoing
housing needs of eligible persons by
establishing or maintaining stable
housing arrangements by project
activities that will be undertaken within
a replicable operational framework. To
receive the maximum points, you must
offer a housing plan that describes the
following:
(1) Policy Priorities. If applicable to
your application, describe how you will
meet the Departmental policy priorities
for assisting the special population of
HOPWA eligible persons who are
chronically homeless persons with HIV/
AIDS. HUD is encouraging applications
that strive to create additional models
for permanent housing for persons
living with HIV/AIDS that are
experiencing chronic homelessness.
Applicants addressing this population
must work collaboratively with the local
Continuum of Care Plans to create this
permanent housing for persons living
with HIV/AIDS and their families.
(2) Project Management and
Oversight. Describe your method for
managing and overseeing activities,
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including those of your organization,
your project sponsor, and any other
organization. Identify staff members
who are responsible for management
and oversight of the project and activity
implementation and sustainability
plans.
(3) Evaluation Plan. In addition to
required HOPWA outputs and outcomes
your evaluation plan should identify
what you are going to measure, how you
are going to measure it, the steps you
have in place to make adjustments to
your work plan if performance targets
are not met within established
timeframes, and how you plan to share
successes and lessons learned in
undertaking your activities with other
communities.
(4) Model Features. Describe how the
planned efforts for the type of proposed
project, Long-term or SPNS, will
represent model or exemplary qualities
in service delivery, management, or
other features in connection with other
HOPWA funded projects in your
community including any local
assessment of these features. For a Longterm project, the features must involve
housing activities to be undertaken in a
non-formula area. A SPNS project must
involve a plan and commitments to
establish or maintain stable housing
arrangements by showing exemplary
and/or innovative qualities. If you
propose a new program, or an
alternative method of meeting the needs
of your eligible population, describe
how the innovative qualities of your
activities will result in knowledge
gained or lessons learned for achieving
greater housing opportunities and
supportive services for persons living
with HIV/AIDS. HUD will rate your
application higher if you provide strong
evidence that your methods will yield
qualities that will benefit or expand
knowledge in serving eligible persons,
when compared to other applications
and HOPWA projects. To learn about
qualities of previously funded and
ongoing HOPWA projects, you may
review the HOPWA Executive
Summaries for HOPWA grantees at
https://www.hud.gov/offices/cpd/
aidshousing.
(5) Model Descriptive Budget. HUD
will review your budget under the
HOPWA budget form (HUD–40110–B)
in describing:
(a) How each amount of requested
funding for you and your project
sponsors will be used and the related
use of leveraged resources;
(b) How each line item will relate to
your description of planned eligible
HOPWA activities; and
(c) The clarity and completeness of
your summary statement of the planned
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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.
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Rating Factor 4: Leverage and
Sustainability (10 Points) (Minimum for
Funding Eligibility 1 Point)
This factor addresses your ability to
secure community resources that can be
combined with HUD’s funds to achieve
program purposes and to ensure
sustainability of the housing efforts.
HUD will award up to 10 points based
on the extent to which resources from
other state, local, federal, or private
resources are listed with the required
elements to demonstrate that these
funds are committed at the time of
application to support and sustain your
project. To receive the highest
leveraging points based on the amount
of commitments, up to 8 points, you
must provide information on the
commitment of other resources that at
least equal the amount of the HOPWA
request for program activities (not
including administrative costs) as part
of your plan to operate this project over
the next three year period. Applications
must receive a minimum of 1 point in
this Rating Factor to demonstrate the
commitment of other resources to be
eligible for funding under this NOFA
with the standards described in Section
IV(B)4 on Leveraging. Applicants will
be awarded points based on the content
of a list or chart for the commitments
with the following information: the
name and address of the organization(s)
providing the commitment(s) (note if
the organization will serve as a project
sponsor); the type of commitment
(applicant or third party cash resources,
non-cash resources, volunteer time,
contribution of a building, contribution
of lease hold interest); the dollar value
of the commitment; the date of the
commitment letter or other document;
the source of the funding, such as
federal, state, local, private or in-kind
contributions; and the organization’s
authorized representative’s name, title,
and contact information who has made
this commitment. For up to two
additional points, the application must
address the project’s sustainability as
shown in a plan for obtaining and
coordinating identified resources to be
more financially self-sustaining. The
highest rated plan will show how the
project will decrease dependency on
federal funding at the end of the
operating period and rely more on state,
local, and private funding to continue
support for beneficiaries.
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Factor 5: Achieving Results and
Program Evaluation (Maximum 10
Points)
Address this factor in your Logic
Model (and optionally in a
supplemental related narrative) on not
more than three additional (3) doublespaced, typed pages or similar chart or
table. Under this factor, HUD will award
10 points based on how well your
application demonstrates a commitment
to ensuring that the goals that you set
forth and your performance will be
assessed in a clear and effective manner.
HUD will analyze how well you have
clearly implemented the required
HOPWA program output and outcome
goals and identified other stated benefits
or outcomes of your program including
your activities, benchmarks, and interim
activities or performance indicators
with timelines. HUD will award the
highest points to applications that
demonstrate an evaluation plan that will
objectively measure actual
achievements against anticipated
achievements.
The highest rated applications will
have a clear plan to address the HOPWA
client outcome goals increase the
amount of housing assistance provided
to eligible persons, to establish or
maintain housing stability, reduce the
risks of homelessness for eligible
persons, and improve access to
healthcare and other support. The
application may also optionally address
other related indicators of relevant
outcomes.
The highest rated applications will
also have a clear plan to use the
HOPWA housing output measures—the
projected number of households to be
assisted in HOPWA supported housing
units by type (tenant-based rental
assistance, STRMU payments and
assistance in housing facilities) to be
provided to eligible households through
your project during each projectoperating year. The application may
also optionally address other related
outputs.
Your application must include the
Logic Model form (HUD–96010) to
receive any points under this factor.
B. Reviews and Selection Process
1. HOPWA Project Applications
a. Threshold Reviews. HUD will
review your HOPWA application to
ensure that it meets the threshold
requirements found in the General
Section and Section III.C of this NOFA
pertaining to a request for a Long-term
project or a SPNS project.
b. HUD Reviews. HUD staff will
conduct this review, including staff
from Community Planning and
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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,
HUD will award two bonus points to
each application that includes a valid
form HUD–2990 certifying that the
proposed activities/projects in the
application are consistent with the
strategic plan for an empowerment zone
(EZ) designated by HUD or the United
States Department of Agriculture
(USDA), the tax incentive utilization
plan for an urban or rural renewal
community designated by HUD (RC), or
the strategic plan for an enterprise
community designated in Round II by
USDA (EC–II) and that the proposed
activities/projects will be located within
the RC/EZ/EC–II identified above and
are intended to serve the residents. A
listing of the RC/EZ/EC–IIs is available
on the Internet at 222.hud.gov/cr. This
notice contains the certification form
HUD–2990 that must be completed for
the applicant to be considered for RC/
EZ/EC–II bonus points. Whether your
HOPWA application is conditionally
selected will depend on your overall
ranking compared to other applications
within each of the two categories of
assistance, Long-term projects or SPNS
projects, and the amount of funds that
are available to be awarded by this
competition. Funds made available from
federal Fiscal Year 2006 must first be
used to fund the priority selection of
expiring competitive projects that
undertake permanent supportive
housing activities (as a change from
prior years, renewal applicants are not
part of this NOFA process and will be
conducted by HUD by a separate
action). If any such funds remain after
renewal actions are funded, then the
funds will be used under this NOFA
competition to fund additional projects.
HUD will select applications in rank
order in each category of assistance
(Long-term and SPNS) to the extent that
funds are available, except as outlined
in this Program NOFA, where HUD
reserves the right to select applications
that target the priority eligible
populations to ensure selection of two
projects addressing the housing needs of
persons who are chronically homeless.
In allocating amounts to the categories
of assistance, HUD reserves the right to
ensure that sufficient funds are available
for the selection of at least one
application with the highest ranking
under each category of assistance. HUD
will not select an application that is
rated below 75 points, nor will an
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application be funded if it receives a
Rating Factor 1—Capacity score lower
than 14 points or Rating Factor 4—
Leveraging score lower than one point.
In the event of a tie between
applications in a category of assistance,
HUD reserves the right to break the tie
by selecting the proposal that was
scored higher on a rating criterion in the
following order: Rating Factor 3; Rating
Factor 5; Rating Factor 1; Rating Factor
2; and Rating Factor 4.
C. Anticipated Announcement and
Award Dates
The anticipated announcement of the
projects selected under this notice is no
later than August 30, 2006.
VI. Award Administration Information
A. Award Notices
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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
email 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.
b. In the event that a conditionallyselected applicant is unable to meet any
conditions for funding within the
specified time, HUD reserves the right
not to make an award to that applicant.
In the event that a conditionallyselected 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.
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c. In making an award to the final
selected project (by order of ranking),
HUD may offer less than the full amount
requested by an applicant that had
received sufficient points to be selected,
but for which there are insufficient
funds remaining to provide the full
funding request. HUD may also use
funds from an award reduced under
item b, above, to restore amounts to a
funding request that had been reduced
in this competition due to the
application’s lower rating status;
d. If an applicant turns down an
award, an award is not made, or if there
are sufficient award adjustments to
make additional awards feasible, HUD
reserves the right to: (a) Offer an award
to the next highest rated application(s)
in this competition in their 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 the
General Section for the information on
how to meet this requirement.
2. Procurement of Recovered
Materials. See the General Section for
the information on how to meet this
requirement.
C. Reporting
1. Six-Month Report
For any new project (i.e. a
conditionally-selected applicant that
has not previously received a HOPWA
competitive grant), you must provide an
initial report to the Field Office and
HUD Headquarters on the startup of the
planned activities within six months of
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your selection. Your report must outline
your accomplishments and identify any
barriers or issues for which the
Department may provide assistance on
the start-up on your new award.
2. Measuring Performance
You must report after each year of
operation on the annual
accomplishments of your projects under
the HOPWA Annual Progress Report
(form HUD–40110–B), comparing your
results to proposed plans, including
reporting under the required HOPWA
Performance Goals including reporting
on annual housing outputs and client
outcomes in achieving housing stability,
reduced risks of homelessness, and
improved access to 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. In addition, on an annual
basis, you must respond to the
management questions in the Program
Logic Model found as an appendix to
this program Section. HUD will use
these reports and information obtained
from HUD financial systems, along with
any remote or on-site monitoring, to
measure your progress and
achievements in evaluating your
performance on your HOPWA grant.
3. Beneficiary Information
HUD requires that funded recipients
collect racial and ethnic beneficiary
data. It has adopted the Office of
Management and Budget’s 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 e-mail to
support@grants.gov. For programmatic
information, you may contact the HUD
field office serving your area. You can
find the telephone number for the State
or Area Office of Community Planning
and Development on HUD’s Web site:
www.hud.gov/offices/adm/grants/
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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.
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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
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technical assistance was used to draft
your application, the award will be
withdrawn and you may be liable to
return to HUD any funds already spent.
C. Satellite Broadcast
HUD will hold information broadcasts
via satellite for potential applicants to
learn more about the program and
preparation of the application. For more
information about the date and time of
the broadcast, you should consult the
HUD Web site at www.hud.gov/grants.
VIII. Other Information
Paperwork Reduction Act
The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520) and
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assigned OMB control number 2506–
0133. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 413 hours per annum per
respondent for the application and grant
administration. This includes the time
collecting, reviewing, and reporting the
data for the application, semi-annual
reports and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
BILLING CODE 4210–01–P
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Federal Register / Vol. 71, No. 45 / Wednesday, March 8, 2006 / Notices
Assisted Living Conversion Program
(ALCP) for Eligible Multifamily Housing
Projects
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Housing Assistance and Grant
Administration.
B. Funding Opportunity Title: The
Assisted Living Conversion Program for
Eligible Multifamily Projects.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
OMB Approval Number is: 2502–0542.
The Federal Register number for this
NOFA is 5030–N–18.
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:
June 15, 2006.
G. Optional, Additional Overview
Content Information: The purpose of
this program is to provide grants for the
conversion of some or all of the
dwelling units in an eligible project into
assisted living facilities (ALFs) for frail
elderly persons. Private nonprofit
owners of eligible developments
interested in applying for funding under
this grant program should carefully
review the General Section and the
detailed information listed in this
NOFA. Funding will only be provided
for those items related to the
conversion. 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.)
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Full Text of Announcement
I. Funding Opportunity Description
Program Description. Assisted living
facilities (ALFs) are designed to
accommodate frail elderly persons and
people with disabilities who need
certain support services (e.g., assistance
with eating, bathing, grooming,
dressing, and home management
activities). ALFs must provide support
services such as personal care,
transportation, meals, housekeeping,
and laundry. Frail elderly person means
an individual 62 years of age or older
who is unable to perform at least three
activities of daily living (ADLs) as
defined by the regulations for HUD’s
Section 202 Program (Supportive
Housing for the Elderly) at 24 CFR
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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. 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.
Authority. 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 Transportation, Treasury, Housing
and Urban Development, the Judiciary, the
District of Columbia, and Independent
Agencies Appropriations Act, 2006, (Public
Law 109–115, approved November 30, 2005)
which provides $24,800,000 for the
conversion of eligible projects to assistedliving or related use and for emergency
repairs, and the government-wide rescissions
pursuant to the Department of Defense
Appropriations Act (Public Law 109–148,
approved December 30, 2005). The
Department has set-aside $15 million for
emergency capital repairs. The eligibility
requirements for obtaining funding for
emergency capital repairs are described in a
separate HUD Notice. Any unused funds
from the emergency capital repairs set-aside
will be returned to the funds allocated for
eligible multifamily assisted projects.
II. Award Information
A. Available Funds
This NOFA makes available
approximately $20 million including
carryover funds. The funds will be used
for the physical conversion of eligible
multifamily assisted housing projects or
portions of projects to ALFs.
The allocation formula used to fair
share the $20,000,000 for the ALCP
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reflects demographic characteristics of
age and incidence of frailty that would
be expected for program participants.
The FY 2006 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. FY 2006 Allocation
FY 2006 ALLOCATION FOR THE ASSISTED LIVING CONVERSION PROGRAM (ALCP) OF ELIGIBLE ASSISTED MULTIFAMILY PROJECTS
Hub
Grant authority
Boston .............................
Buffalo .............................
New York ........................
Philadelphia ....................
Baltimore .........................
Greensboro .....................
Atlanta .............................
Jacksonville ....................
Chicago ...........................
Columbus ........................
Detroit .............................
Minneapolis .....................
Fort Worth .......................
Kansas City ....................
Denver ............................
Los Angeles ....................
San Francisco .................
Seattle .............................
$1,059,150.63
497,891.04
1,070,750.58
2,043,688.82
798,694.18
827,785.85
1,573,719.90
2,115,430.48
1,345,332.83
867,687.46
690,950.94
656,946.67
1,837,398.85
1,331,095.76
431,846.42
1,099,430.56
1,146,692.71
605,506.31
Total .........................
$20,000,000.00
The ALCP Grant Agreement, when
fully executed, obligates the HUD funds.
This Agreement establishes the legal
relationship between HUD and the
ALCP award recipient. The period of
performance will be based on the scope
of work but shall not exceed 18 months.
III. Eligibility Information
A. Eligible Applicants
Only private nonprofit owners of
eligible multifamily assisted housing
developments specified in section
683(2)(B), (C), (D), (E), (F), and (G) of the
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Housing and Community Development
Act of 1992 (Pub. L. 102–550, approved
October 28, 1992) may apply for an
ALCP grant.
Note: If your eligibility status changes
during the course of the grant term, making
you ineligible to receive the grant (e.g.,
prepayment of mortgage, sale/TPA of
property, opting out of a Section 8 Housing
Assistance Payment (HAP) contract, or the
transfer of the grant to a single asset entity),
HUD retains the right to terminate the grant
and recover funds made available through
this NOFA.
1. Ineligible Applicants
Ineligible applicants are:
a. Owners of developments designed
specifically for people with disabilities.
b. Owners of Section 232
developments.
c. Property management companies
and agents of property management
companies.
d. Limited dividend partnerships.
e. Nonprofit Public Agencies.
f. Owners of hospitals or other healthrelated facility which are considered to
be eleemosynary institutions.
g. Owner of an existing insured or
privately owned Assisted Living
Facility.
h. Owners of commercial structures.
2. Eligible Developments
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Eligible projects must be owned by a
private, nonprofit entity and designated
primarily for occupancy by elderly
persons. Projects must have been in
occupancy for at least five years from
the date the form HUD–92485,
Permission to Occupy Project Mortgage,
was approved by HUD and have
completed final closing. Eligible
projects may only receive one grant
award. Additionally, eligible projects
must meet one of the following criteria:
a. Section 202 direct loan projects
with or without Section 8 rental
assistance,
b. Section 202 capital advance
projects receiving rental assistance
under their Project Rental Assistance
Contract (PRAC),
c. Section 515 rural housing projects
receiving Section 8 rental assistance,
d. Other projects receiving Section 8
project-based rental assistance,
e. Projects subsidized with Section
221(d)(3) below-market interest
mortgage,
f. Projects assisted under Section 236
of the National Housing Act.
B. Cost Sharing or Matching
No matching required.
C. Other
1. Eligible conversion activities are:
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a. Retrofitting to meet Section 504
accessibility requirements, minimum
property standards for accessibility and/
or building codes and health and safety
standards for ALFs in that jurisdiction.
Examples are items such as addition of:
(1) Upgrading to accessible units for
the ALF with moveable cabinetry,
accessible appliances, sinks, bathroom
and kitchen fixtures, closets, hardware
and grab bars, widening of doors, etc.;
(2) An elevator or upgrades thereto;
(3) Lighting upgrades;
(4) Major physical or mechanical
systems of projects necessary to meet
local code or assisted living
requirements;
(5) Sprinkler systems;
(6) Upgrades to safety and emergency
alert systems;
(7) Addition of hallway railings; and
(8) Medication storage and
workstations;
b. Retrofitting to add, modify and/or
outfit common space, office or related
space for ALF staff including a service
coordinator and file security, and/or a
central kitchen/dining facility to
support the ALF function (e.g., outfit
lounge/common space/dining furniture,
kitchen equipment for cooking/serving
and dishware).
c. Retrofitting to upgrade a regular
unit to an accessible unit for a person/
family with disabilities who is being
displaced from an accessible unit in the
portion of the project that is being
converted to the ALF, where another
accessible unit is not available.
d. Temporary relocation.
e. Consultant, architectural, and legal
fees.
f. Vacancy payments limited to 30
days after conversion to an ALF.
g. Any excess Residual Receipts (over
$500/unit) and Reserve for Replacement
funds (over $1000/unit) in Project
Accounts that are not approved for
another use at the time of application to
HUD under this NOFA are considered
available funds and must be applied
toward the cost of conversion activities.
Before making this determination,
however, HUD staff will consider the
extent of repair/replacement needs
indicated in the most recent Real Estate
Assessment Center (REAC) physical
inspection and not yet approved and
any ongoing commitments such as 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.
2. Threshold Requirements. In
addition to the threshold criteria
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outlined in the General Section,
applicants must meet the following
requirements to receive funding for this
program.
a. Be an eligible applicant.
b. DUNS Requirement. All ALCP
applicants must have a DUN and
Bradstreet Universal Data Numbering
Systems (DUNS) number. The DUNS
number must be included in the data
entry field labeled ‘‘organizational
DUNS’’ on the form SF–424.
Instructions for obtaining a DUNS
number can be found at either
www.hud.gov/offices/adm/grants/
duns.cfm or www.Grants.gov/
GetStarted.
c. You cannot request more funds
than allocated for your jurisdiction. (See
the allocation chart above in Section
II.B.)
d. You must provide commitment and
funding support letters from the
appropriate funding organizations and
the appropriate licensing agency(ies).
HUD will reject your application if the
commitment and support letter(s) from
the appropriate funding organizations
and the appropriate licensing
agency(ies):
(1) Are not submitted by the
application submission date as part of
your application for financial assistance;
(2) Indicate that the ALF units,
facilities, meals and supportive services
to be provided are not designed to meet
the special needs of the residents who
will reside in the ALF as defined in this
NOFA,
(3) Do not show commitment for
funding the meals and supportive
services proposed; or
(4) Indicate that the project as
proposed will not meet the licensing
requirements of the appropriate state/
local agency(ies).
e. You must comply with all
applicable statutory requirements
specified in Section 202(b) and statutory
requirements under Section 232(b)(6).
f. Minimum Size Limits for an ALF.
An ALF must be economically feasible.
Consistent with HUD Handbook 4600.1,
CHG–1, the minimum size for an ALF
is five units.
g. You must submit an original and
four copies of your completed ALCP
application by the deadline date, if you
requested and received a waiver of the
electronic submission requirement. The
notification granting your waiver
request will specify requirements for
paper application submission.
3. Program Requirements
a. You must have a residual receipt
account separate from the Reserve for
Replacement account, or agree to
establish this account as a condition for
getting an award(s).
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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.
c. If selected, you must file a form
HUD–2530 for all construction
contractors, architects, consultants, and
service provider organizations under
direct contract with you that will be
engaged under this NOFA within 30
days of execution of the grant award.
d. Your project must meet HUD’s
Uniform Physical Conditions Standards
at 24 CFR part 5, subpart G. Meeting
these standards, based on the most
recent REAC physical inspection report
and responses thereto, means that the
project, must have a ‘‘satisfactory’’
rating as evidenced by a score of 60 or
better or a HUD-approved and on
schedule repair plan for developments
scoring less than 60. Additionally, the
project must have no uncorrected and
outstanding Exigent Health and Safety
violations. Finally, the project must not
have a management review with a rating
of ‘‘minimally satisfactory’’ or
‘‘unsatisfactory’’ with open and
unresolved findings.
e. You must submit, with your
application, an agreement to pursue
appropriate ALF licensing in a timely
manner.
f. Meals and Supportive Services. You
must develop and submit a Supportive
Services Plan (SSP) for the services and
coordination of the supportive services,
which will be offered in the ALF to the
appropriate state or local
organization(s), which are expected to
fund those supportive services. (See
Section IV.B. below for information,
which must be in the SSP.) You must
submit one copy of your SSP to each
appropriate state or local service
funding organizations well in advance
of the application deadline, for
appropriate review. The state or local
funding organization(s) must return the
SSP to you with appropriate comments
and an indication of the funding
commitment, which you will then
include with the application you submit
to HUD.
g. Licensing Requirements. You must
also submit the SSP to the appropriate
organization(s), which license 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
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will reside in the ALF portion of your
project.
h. Your ALF must be licensed and
regulated by the state (or if there is no
state law providing such licensing and
regulation, by the municipality or other
subdivision in which the facility is
located). Each assisted living unit must
include its own kitchen, bathroom,
bedroom, living/dining area (1 bedroom
unit) or kitchen, bathroom, bedroom/
living/dining area (efficiency unit) and
must meet the state and/or local
licensing, building, zoning, and other
requirements for an ALF.
i. Your ALF must be available to
qualified elderly persons and persons
with disabilities, consistent with the
rules and payment plans of the state,
who need and want the supportive
services in order to remain independent
and avoid premature
institutionalization.
j. Your ALF’s residents must be
tenants or residents of the multifamily
project and must comply with the
requirements applicable to the project.
Thus, you cannot charge additional rent
over what is charged to residents in the
non-ALF portion of the project. All
admissions to the ALF must be through
the applicable project admissions office.
However, persons accepted into the ALF
also must sign an ALF admissions
agreement, which shall be an addendum
to the applicable project lease.
k. At a minimum, your ALF must
provide room, board, and continuous
protective oversight (CPO). CPO
involves a range of activities and
services that may include such things as
awareness by management and staff of
the occupant’s condition and location as
well as an ability to intervene in a crisis
for ALF occupants on a 24-hour basis.
The two occupant groups in an ALF are:
(1) Independent Occupants.
Awareness by management and staff of
the occupant’s condition and
whereabouts as well as the availability
of assistance for the occupants as
needed.
(2) Dependent occupants. Supervision
of nutrition, assistance with medication
and continuous responsibility for the
occupants’ welfare.
l. Anyone moving into an ALF unit
must agree to accept as a condition of
occupancy the board and services
required for the purpose of complying
with state and local law and regulation.
m. Your ALF must provide three meals
per day.
(1) Residents whose apartments have
kitchens must take at least the number
of meals a day provided by the facility,
per their mandatory meals requirement,
or as required by state or local rules, if
more stringent. If the facility does not
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have a mandatory meals plan, then state
and local rules govern.
(2) Residents in projects which were
originally constructed without kitchens
in their units must take such meals as
required by their mandatory meals
agreement, if applicable, or by the
state’s mandated requirements if more
stringent (e.g., two meals, two snacks
daily).
In either case, ALF management must
coordinate meal requirements with the
needs of residents who are out part of
the day (e.g., in day care). The meal
program may not be operated at a profit
by the project owner.
n. Priority admissions for ALF units
are as follows:
(1) Current residents desiring an ALF
unit and meeting the program
requirements (no resident can be
required to accept an ALF unit).
(2) Qualified individuals or families
needing ALF services who are already
on the project’s waiting list;
(3) Qualified individuals or families
in the community needing ALF services
wanting to be added to the project’s
waiting list.
(4) Qualified disabled non-elderly
persons needing assisted living services
are eligible to occupy these units on the
same basis as elderly persons, except for
section 202 project rental assistance
contracts (PRAC) projects.
o. The management of the project
must set up a separate waiting list for
ALF units. ALF units must be for
eligible residents who meet the
admissions/discharge requirements as
established for assisted living by state
and local licensing, or HUD frailty
requirements under 24 CFR 891.205 if
more stringent.
p. Upon receipt of a grant under this
program, all project owners
participating in the ALCP must provide
a Declaration of Restrictive Covenants
(DRC), which will be recorded with the
land, to retain the low income character
of the housing, and to maintain the
project (including the ALF), as a
moderate-, low-, or very low-income
facility (as appropriate) for at least 20
years beyond the current 40-to 50-year
term of the mortgage loan or capital
advance.
q. The ALCP requires service
coordination for linking the ALF to
available services in the community for
low-income persons. All projects
funded under this NOFA must have
sufficient service coordination in place,
or request additional funds, if
appropriate, to ensure that services
meeting licensing requirements are
available to ALF residents on an
ongoing basis. Service coordination
must be described in the application
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(see Section IV.B. of this NOFA). If you
need to enhance an existing service
coordination program or add one where
it does not exist, you may apply for
funding through the Service Coordinator
NOFA, published elsewhere in the
SuperNOFA. If a funds request for
service coordination for the ALF and/or
the whole project is included as part of
this application, the Form SF–424 under
Exhibit 11, must indicate the dollars
requested. Do NOT attach the whole
service coordinator application. You
may also show evidence that funding for
the enhanced service coordination is
provided by other sources by indicating
such funding on the form SF–424. If you
are funded under this NOFA and
requested new or enhanced service
coordination you will be funded first
under the service coordinator NOFA.
(1) The ALF must be staffed either
directly or through coordination with
local agencies, depending on state
regulations or local requirements. These
may also serve non-ALF residents of the
project on a time available and
appropriate fee basis.
(2) If you are a Section 202 PRAC
project owner, you are not eligible to
request funding under the service
coordinator NOFA. Section 202 PRAC
owners can pay for the service
coordinator out of PRAC funds.
(3) The ALF may cater to the special
needs of residents depending on their
condition or diagnosis, such as
Alzheimer’s disease. If it does so, the
design/environment of such facilities
must accommodate those needs, e.g.,
dementia special care unit. However,
the ALF cannot provide a service it is
not licensed by the state or locality to
provide.
(4) Owners of Section 202/PRAC
projects are reminded that they may
include a PRAC payment of up to $15/
unit/month not to exceed 15 percent of
the total program cost, consistent with
24 CFR 891.225(b)(2) to cover part of the
cost of meals and/or supportive services
for frail elderly residents, including
residents of the ALF.
(5) Training for ALF staff is an eligible
project cost under existing operating
procedures. For further information on
ALFs, please refer to Handbook 4600.1,
CHG–1, ‘‘Mortgage Insurance for
Residential Care Facilities,’’ Chapter 13.
This Handbook and recent ALF program
Notices are accessible through
HUDCLIPS on HUD’s Web site at 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.
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For further guidance on service
coordinators, please refer to Handbook
4381.5 REV–2, CHANGE–2, Chapter 8,
‘‘The Management Agent’s Handbook,’’
which is also available through the
HUDCLIPS database.
r. Your ALF’s operation must be part
of the project owner’s management
organization. Some or all of its functions
may be contracted out. The ALF must
predicate its budget on a two-tiered
structure under which board and
supportive service income and expenses
must be maintained separately and
independently from the regular income
and expenses of the applicable project.
The two components of ALF costs are:
(1) Charges/payment for board, (not
including rent for the unit) which may
be on a sliding scale or any other
equitable fee system; and
(2) Charges/payment for necessary
supportive services, which may include
a combination of resident fees, Medicaid
and/or other third party payments.
s. Prohibition Against Lobbying
Activities. The Byrd Amendment
prohibits ALCP recipients of federal
contracts, grants, or loans from using
appropriated funds for lobbying
activities. (Refer to Section III.C. of the
General Section for further instructions
regarding this requirement.)
t. Economic Opportunities for Low
and Very Low-Income Persons (Section
3). You must comply with Section 3 of
the Housing and Urban Development
Act of 1968, 12 U.S.C. 1701u (Economic
Opportunities for Low and Very LowIncome Persons), and implementing
regulations at 24 CFR part 135. You
must ensure that training, employment,
and other economic opportunities shall,
to the greatest extent feasible, be
directed toward low- and very 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
and including people with disabilities.
4. Additional Non-discrimination and
Other Requirements. Comply with the
requirements of the Fair Housing Act,
Executive Order 11063, Title VI of the
Civil Rights Act, the Age Discrimination
Act of 1975, the affirmative fair housing
marketing requirements of 24 CFR part
200, subpart M, and the implementing
regulations at 24 CFR part 108, which
requires that the project be marketed to
those least likely to apply, including
those who are not generally served by
the agency administering the program,
and other applicable federal, state, and
local laws prohibiting discrimination
and promoting equal opportunity,
including affirmatively furthering fair
housing, and other certifications listed
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in the application. (Refer to Section
III.C. of the General Section for
additional requirements and
information.)
a. Comply with section 232 of the
National Housing Act, as applicable; the
Uniform Federal Accessibility
Standards (24 CFR 40.7); section 504 of
the Rehabilitation Act of 1973 and
HUD’s implementing regulations at 24
CFR part 8; and the Americans with
Disabilities Act of 1990 for all portions
of the development physically affected
by this proposal.
b. Comply with the Davis-Bacon
requirements and the Contract Work
Hours and Safety Standards Act as
applied to this program. While it has
been determined that Davis-Bacon does
not apply statutorily to the ALCP, the
Department has administratively
determined that Davis-Bacon standards
and overtime rates in accordance with
the Contract Work Hours and Safety
Standards Act will be adhered to in any
ALCP conversion grant in which the
total cost of the physical conversion to
an ALF (and including any additional
renovation work undertaken at the same
time) is $500,000 or more (this includes
ALCP grant funds, owner funds, or any
third party funds loaned or granted in
support of the conversion or other
renovation for the project associated
with this grant), and in which the ALF
portion of the project is 12 units or
more.
c. Ensuring the Participation of Small
Business, Small Disadvantaged
Businesses, and Woman-Owned
Businesses. HUD is committed to
ensuring that small businesses, small
disadvantage businesses, and womanowned businesses participate fully in
HUD’s direct contracting and in
contracting opportunities generated by
HUD’s financial assistance. (Refer to the
General Section for further instructions
regarding this requirement.)
d. Executive Order 13166, Improving
Access to Persons with Limited English
Proficiency (LEP). ALCP applicants
must seek to improve access to persons
with limited English proficiency by
providing materials and information in
languages other than English. Make
applications and other materials
available in languages other than
English that are common in the
community, if speakers of these
languages are found in significant
numbers and come into frequent contact
with the program. For further guidance
on serving persons with Limited English
Proficiency (LEP) in HUD assisted
programs, see the recently published
HUD LEP guidance, ’Notice of Guidance
to Federal Assistance Recipients
Regarding Title VI Prohibition Against
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National Origin Discrimination
Affecting Limited English Proficient
Persons,’’ 68 FR 70968 (December 19,
2003) or Section III of the General
Section.
e. Executive Order 13279, Equal
Protection of the Laws for Faith-Based
and Community Organizations. HUD
has undertaken a review of all policies
and regulations that have implications
for faith-based and community
organizations, and has established a
policy priority to provide full and equal
access to grassroots faith-based and
other community-based organizations.
(Refer to the General Section for specific
instructions regarding this requirement.)
f. Accessible Technology. The
Rehabilitation Act Amendments of 1998
apply to all electronic information
technology (EIT) used by an ALCP
recipient for transmitting, receiving,
using, or storing information to carry
out the responsibilities of the ALCP
awards. (Refer to Section III.C. of the
General Section for specific instructions
regarding this requirement.)
g. Participation in HUD-Sponsored
Program Evaluation. As a condition of
the receipt of ALCP funds, successful
applicants are required to cooperate
with all HUD staff or contractors
performing HUD-funded research and
evaluation studies.
h. Comply with Executive Order
13202, Preservation of Open
Competition and Government Neutrality
toward Government Contractors’ Labor
Relations on Federal and Federally
Funded Construction Projects. (Refer to
the General Section for additional
information on this requirement).
i. OMB Circulars and 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
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
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management review requirements, if
proposed to be carried out in the 500year floodplain.
IV. Application and Submission
Information
A. Addresses to Request Application
Package
All information for requesting an
application is included in this NOFA
and Section IV. A. of the General
Section. The application for the ALCP is
available on the Internet from the
grants.gov Web site at 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 email 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. Multiple Applications. Owners may
not submit multiple applications for the
same elderly housing development.
HUD will only accept one ALCP
application per project.
2. For Technical Assistance. Before
the ALCP application due date, HUD
staff will be available to provide you
with general guidance and technical
assistance. However, HUD staff is not
permitted to assist in preparing your
application. For technical support for
downloading the ALCP application or
submitting the application, call the toll
free Grants.gov Customer Support line
at 1–800–518–Grants or send an e-mail
message to support@grants.gov.
3. Satellite Broadcast. HUD will
provide a satellite broadcast for
potential applicants. For more
information about the date and time of
the broadcast, you should contact your
local HUD Office or go to HUD’s Web
site at: www.hud.gov/webcasts/
index.cfm.
B. Content and Form of Application
Submission
There are eleven required exhibits
under the ALCP, including prescribed
forms and certifications. In cases where
your articles of incorporation and bylaws 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
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currency is possible are Exhibits 2(a)
and (b).
In addition to the relief of paperwork
burden, you will not have to submit
certain information and exhibits you
have previously prepared. See
individual item descriptions, below to
identify such items. An example of such
an item may be the FY 2006 Annual
Financial Statement. Your application
must include all of the information,
materials, forms, and exhibits listed
below (Please see the General Section
for instructions on how to submit third
party and other documents such as
Articles of Incorporation; by-laws;
copies of original plans; evidence of
financial commitment; letter(s) from
zoning officials; etc.):
1. Application Summary for the
Assisted Living Conversion Program,
Form HUD–92045.
2. Evidence that you are a private
nonprofit organization or nonprofit
consumer cooperative and have the
legal ability to operate an ALF program,
per the following:
a. Articles of Incorporation,
constitution, or other organizational
documents, or self-certification of these
documents if there has been no change
in the Articles since they were
originally filed with HUD; and
b. By-laws, or self-certification of bylaws, if there has been no change in the
by-laws since they were originally filed
with HUD
3. A description of your community
support:
a. A description of your links to the
community at large and to the minority
and elderly communities in particular;
and
b. A description of your efforts to
involve elderly persons, including
minority elderly persons and persons
with disabilities in:
(1) The development of the
application;
(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
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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.
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. of
this NOFA for more details.
4. Evidence of your project being
occupied for at least five years prior to
the date of application to HUD.
5. A market analysis of the need for
the proposed ALF units, including
information from both the project and
the housing market, containing:
a. Evidence of need for the ALF by
current project residents:
(1) A description of the demographic
characteristics of the elderly residents
currently living in the project, including
the current number of residents,
distribution of residents by age, race,
and sex, an estimate of the number of
residents with frailties/limitations in
activities of daily living, and an estimate
of the number of residents in need of
assisted living services.
(2) A description of the services
currently available to the residents and/
or provided on or off-site and what
services are lacking;
b. Evidence of the need for ALF units
by very low-income elderly and
disabled households in the market area;
a description of the trend in elderly and
disabled population and household
change; data on the demographic
characteristics of the very low-income
elderly in need of assisted living
services (age, race, sex, household size,
and tenure) and extent of residents with
frailty/limitations in existing federally
assisted housing for the elderly (HUD
and Rural Housing Service); and an
estimate of the very low-income elderly
and disabled in need of assisted living
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taking into consideration any available
state or local data.
c. A description of the extent, types,
and availability and cost of alternate
care and services locally, such as home
health care; adult day care;
housekeeping services; meals programs;
visiting nurses; on-call transportation
services; health care; and providers of
supportive services who address the
needs of the local low income
population.
d. A description of how information
in the community’s Analysis of
Impediments to Fair Housing Choice
was used in documenting the need for
the ALF (covering items in c. above).
6. A description of the physical
construction aspects of the ALF
conversion, including the following:
a. How you propose to carry out the
physical conversion (including a
timetable and relocation planning).
Completion of the Logic Model will
assist in completing your response to
this Exhibit.
b. A short narrative stating the
number of units, special design features,
community and office space/storage,
dining and kitchen facility and staff
space, and the physical relationship to
the rest of the project. Also, you must
describe how this design will facilitate
the delivery of services in an
economical fashion in the most
integrated setting appropriate to the
needs of the participating residents with
disabilities and accommodate the
changing needs of the residents over at
least the next 10 years.
c. A description on how the project
will promote energy efficiency,
including any plans to incorporate
energy efficiency features in the design
and operation of the ALF through the
use of Energy Star labeled products and
appliances. Applicants that meet this
policy priority will receive two points
under Rating Factor 3 in Section V.A. of
this NOFA. Refer to the General Section
for further information on this
requirement or for further information
about Energy Star see 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.
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.)
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f. Architectural sketches of the
conversion to a scale of 1/4 inch to one
foot that indicate the following:
(1) All doors being widened;
(2) Typical kitchen and bathroom
reconfiguration: show all wheelchair
clearances, wall reinforcing, grab bars,
and elevations of counters and work
surfaces;
(3) Bedroom/living/dining area
modification, if needed;
(4) Any reconfigured common space;
(5) Added/reconfigured office and
storage space;
(6) Monitoring stations, and
(7) The kitchen and dining facility.
All architectural modifications must
meet section 504 and ADA requirements
as appropriate.
g. A budget showing estimated costs
for materials, supplies, fixtures, and
labor for each of the items listed in
Section IV.B.6.f, items (1) through (7),
above.
h. Include firm financial commitment
letters with specific dollar amounts
from appropriate organization(s) for
conversion needs (within the scope of
the ALF conversion NOFA) which will
be supported by non-HUD funding.
i. A description of any relocation of
current tenants including a statement
that:
(1) Indicates the estimated cost of
temporary relocation payments and
other related services;
(2) Identifies the staff organization
that will carry out the relocation
activities; and
(3) Identifies all tenants that will have
to be temporarily moved to another unit
within the development OR from the
development during the period that the
physical conversion of the project is
under way.
Note: If any of the relocation costs will be
funded from sources other than the ALCP
grant, you must provide evidence of a firm
financial commitment of these funds. When
evaluating applications, HUD will consider
the total cost of proposals (i.e., cost of
conversion, temporary relocation, service
coordinator, and other project costs).
j. Address how training, employment,
and economic opportunities will be
directed to low- and very low-income
persons that receive government
assistance for housing and to business
concerns which provide economic
opportunities to low- and very-lowincome persons and people with
disabilities.
7. A description of any retrofit or
renovation that will be done at the
project (with third party funds) that is
separate and distinct from the ALF
conversion. With such description,
include as part of your application
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submission firm commitment letters
from third party organizations in
specific dollar amounts that will cover
the cost of any work outside the scope
of this NOFA.
8. A letter from the local zoning
official indicating evidence of
permissive zoning. Also, showing that
the modifications to include the ALF
into the project as proposed are
permissible under applicable zoning
ordinances or regulations.
9. A supportive services plan (SSP), a
copy of which must be submitted to the
appropriate state and/or local agency as
instructed in Section III.C. above. For
those applicants needing to contact state
Medicaid offices, a list is provided on
the Internet at www.cms.hhs.gov/
medicaid. The SSP must include:
a. A description of the supportive
services needed for the frail elderly the
ALF is expected to serve. This must
include at least (1) meals and such other
supportive services required locally or
by the state, and (2) such optional
services or care to be offered on an ‘‘as
needed’’ basis.
Examples of both mandatory and
optional services (which will vary from
state to state) are: Two meals and two
snacks or three meals daily; 24-hour
protective oversight; personal care;
housekeeping services; personal
counseling, and transportation.
b. A description of how you will
provide the supportive services to those
who are frail and have disabilities (i.e.,
on or off-site or combination of on or
off-site), including an explanation of
how the service coordination role will
facilitate the adequate provision of such
services to ALF residents, and how the
services will meet the identified needs
of the residents. Also indicate how you
intend to fund the service coordinator
role.
c. A description of how the operation
of your ALF will work. Address: (1)
General operating procedures; (2) ALF
philosophy and how it will promote the
autonomy and independence of the frail
elderly and persons with disabilities; (3)
what will the service coordination
function do and the extent to which this
function already exists, or will be
augmented or new; (4) ALF staff training
plans; and (5) the degree to which and
how the ALF will relate to the day-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
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and supportive services you expect to
provide and an estimate of the amount
of optional services you expect to
provide.
e. List who will pay for the board and
supportive services and the amount. For
example, include such items as:
(1) Meals by sponsors—$20
(2) Housekeeping services by the City
government—$30
(3) Personal care by State Department
of Health—$60
(4) Service paid for by state program—
$40
(5) Fees paid by tenants—$83
The amounts and commitments from
both tenants and/or providers must
equal the estimated amounts necessary
to cover the monthly rates for the
number of people expected to be served.
If you include tenant fees in the
proposal, list and show any proposed
scaling mechanism. All amounts
committed/collected must equal the
annualized cost of the monthly rates
calculated by the expected percentage of
units filled.
f. A support/commitment letter from
EACH listed proposed funding source
per paragraph e. above, for the planned
meals and supportive services listed in
the application. The letter must cover
the total planned annual commitment
(and multiyear amount total, if
different), length of time for the
commitment, and the amounts payable
for each service covered by the
provider/paying organization. There
must be a letter from EACH
participating organization listed in
paragraph e, above.
g. A support letter from EACH
governmental agency that provides
licensing for ALFs in that jurisdiction.
h. A description of your relevant
experience in arranging for and/or
delivering supportive services to frail
residents. The description should
include any supportive services
facilities owned/operated; your past or
current involvement in any 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.
10. A description of your project’s
resources:
a. A copy of the most recent project
Reserve and Replacement account
statement, and a Reserve for
Replacement analysis showing plans for
its use over the next five years, and any
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11995
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 FY2006 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.
11. Forms and Certifications. The
electronic version of the NOFA contains
all forms required for submitting the
ALCP application. The following
exhibits, forms, certifications, and
assurances are required. Copies of forms
denoted by (*) may be downloaded from
HUD’s Web site at https://www.hud.gov/
offices/adm/grants/nofa06/
snofaforms.cfm.
a. Form HUD–92045, Multifamily
Housing Assisted Living Conversion
Program Application Summary Sheet.
b. Form SF–424, Application for
Federal Assistance*, and compliance
with Executive Order 12372 (a
certification that you have submitted a
copy of your application, if required, to
the state agency (Single Point of
Contact) for state review in accordance
with Executive Order 12372 (refer to the
General Section for instructions in
submitting this form).
c. SF–424 Supplement, Survey for
Ensuring Equal Opportunity for
Applicants*.
d. Form HUD–424–CB, Grant
Applications Detailed Budget*.
e. Form HUD–424–CBW, Grant
Application Detailed Budget
worksheet*.
f. Form HUD–2880, Applicant/
Recipient Disclosure/Update Report*,
including Social Security and
Employment Identification numbers. A
disclosure of assistance from other
government sources received in
connection with the project.
g. Form HUD–2991, Certification of
Consistency with the Consolidated
Plan* for the jurisdiction in which the
proposed ALF will be located. The
certification must be made by the unit
of general local government if it is
required to have, or has, a complete
Plan. Otherwise, the certification may
be made by the state, or by the unit of
general local government if the project
will be located within the jurisdiction of
the unit of general local government
authorized to use an abbreviated
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strategy, and if it is willing to prepare
such a Plan.
All certifications must be made by the
public official responsible for
submitting the plan to HUD. The
certifications must be submitted by the
application submission deadline date
set forth herein. The Plan regulations
are published in 24 CFR part 91.
h. Form HUD 2994–A, You Are Our
Client Survey, optional.
i. Standard Form-LLL, Disclosure of
Lobbying Activities, if applicable*.
j. Form HUD–96010, Program
Outcome Logic Model*. (This is going to
be in the application instructions. A
version of the form for those that do not
have excel will be available on the Web
site.)
k. Form HUD–27300, America’s
Affordable Communities Initiative/
Removal of Regulatory Barriers* (and
supporting documentation).
l. Certification of Consistency with
RC/EZ/EC–II Strategic Plan (HUD–
2990), if applicable. Pm. Form HUD–
96011, Facsimile Transmittal Cover
Page. This form must be used as the
cover page to transmit third party
documents and other information as
described in the General Section as part
of your electronic application submittal
(if applicable).
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C. Submission Date and Time
1. Application Submission Date.
Unless you received a waiver to the
electronic application submission
requirements, your completed ALCP
application must be submitted through
the www.grants.gov/Apply and must be
received and validated by Grants.gov no
later than 11:59:59 Eastern Time on the
application deadline date (June 15,
2006). (Refer to Section IV. of the
General Section for further instructions
on the delivery and receipt of
applications.
D. Intergovernmental Review
1. Executive Order 12372. ALCP
applicants are subject to the Executive
Order 12372 process. Refer to Section
IV.D. of the General Section for
instructions on the intergovernmental
review process.)
2. You must submit a Supportive
Services Plan (SSP) for the services and
coordination of the supportive services
that will be offered in the assisted living
facility (ALF) to the appropriate state or
local organization(s), which are
expected to fund those supportive
services. You must submit one copy of
your SSP to each appropriate state or
local service funding organizations well
in advance of the application deadline,
for appropriate review. The state or
local funding organization(s) must
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return the SSP to you with appropriate
comments and an indication of the
funding commitment, which you will
then include with the application you
submit to HUD.
You must ALSO submit the SSP to the
appropriate organization(s) that license
ALFs in your jurisdiction. The licensing
agency(ies) must approve your plan, and
must also certify that the ALF and the
proposed supportive services identified
in your SSP, are consistent with local
statute and regulations and well
designed to serve the needs of the frail
elderly and people with disabilities who
will reside in the ALF portion of your
project.
E. Funding Restrictions
1. This program does NOT cover the
cost of meals and supportive services.
These items must be paid for through
other sources (e.g., a mix of resident fees
and/or third party providers). Evidence
of third party commitment(s) must be
included as part of the application. The
assisted living supportive services
program must promote independence
and provide personal care assistance
based on individual needs in a homelike environment. In accordance with
Section 504 of the Rehabilitation Act of
1973 and HUD’s regulations at 24 CFR
8.4(d), the project must deliver services
in the most integrated setting
appropriate to the needs of qualified
individuals with disabilities.
2. This program does not allow
permanent displacement of any resident
living in the project at the time the
application was submitted to HUD.
(HUD will only provide temporary
relocation costs for current tenants if
they must vacate their unit while
conversion work is underway (normal
temporary relocation costs include
increases in rent, reconnection of
telephones, moving costs, and
appropriate out-of-pocket expenses).
3. Applicants will not be awarded
multiple grant funds for the same
elderly housing development. One
project will not receive multiple awards.
4. Ineligible Activities. You may not
use funds available through this NOFA
to:
a. Add additional dwelling units to
the existing project;
b. Pay the costs of any of the
necessary direct supportive services
needed to operate the ALF;
c. Purchase or lease additional land;
d. Rehabilitate (see definition at 24
CFR 891.105) the project for needs
unrelated directly to the conversion of
units and common space for assisted
living.
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e. Use the ALCP to reduce the number
of accessible units in the project that are
not part of the ALF.
f. Permanently displace any resident
out of the project (permanent relocation
is prohibited under this program)
g. Increase the management fee.
h. Cover the cost of activities not
directly related to the conversion of the
units and common space. (i.e., if an
applicant is applying to convert 24 units
on 2 floors of a 5-story elderly housing
development and the inspection by the
Fire Marshal reveals that sprinklers
must be installed in the entire building),
ALCP funds will be used only to install
sprinklers for the 24 units on the 2
floors requested in the application. The
cost to install sprinklers in the
remaining units must be paid for out of
other resources.
F. Other Submission Requirements
Application Submission and Receipt
Procedures. Refer to Section IV.F. of the
General Section for specific procedures
for additional information on
application submission requirements.
1. Electronic Delivery. ALCP
applicants must submit their
applications electronically through
www.grants.gov/Apply, unless a waiver
is granted.
a. The www.grants.gov/Apply offer a
simple, unified application process.
There are several steps to complete at
the www.grants.gov Web site. ALCP
applicants should read HUD’s Federal
Register Notice on Early Registration
published in the Federal Register on
December 9, 2005 (70 FR 73332).
b. Electronic signature. ALCP
applications submitted through
Grants.gov constitute submission as an
electronically signed application.
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.
3. Waiver of Electronic Submission
Requirement. HUD will only accept
electronic applications submitted
through www.grants.gov unless the
ALCP applicant has received a waiver.
4. Proof of Timely Submission. ALCP
applicants must submit their
applications to www.grants.gov in time
for receipt and validation at Grants.gov
by 11:59:59 p.m. eastern time on the
application deadline date of June 15,
2006. Validation can take 24–48 hours
so applicants should submit with ample
time for the process to be completed.
Applicants are also advised to submit
with sufficient time to correct any
deficiencies that would prevent the
acceptance of your application by
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Grants.gov. (Refer to the General Section
for specific procedures regarding proof
of timely submission of applications.)
5. Hubs and Field Offices addresses.
If you are granted a waiver to the
electronic application submission
requirement, you must submit an
original and four copies of the ALCP
application to the director of the
appropriate HUD Multifamily Hub
Office with jurisdiction over the
housing development identified in your
application. For your use in determining
the appropriate HUD Multifamily Hub
Office to which you must submit your
application, see HUD’s Web site at
https://www.HUD.gov/offices/adm/
grants/nofa06/grpalcp.cfm. The HUD
Program Centers are under each Hub. If
you send your application to the wrong
Hub Office, it will be rejected.
Therefore, if you are uncertain as to
which Hub 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 to
ensure that you submit your application
to the correct local HUD Multifamily
Hub Office. Paper applications must be
received in the appropriate Hub Office
by the application deadline date. The
Department will no longer allow a 15day grace period for receipt of
applications post-marked on or before
the application deadline date.
V. Application Review Information
A. Criteria
HUD will rate ALCP applications that
successfully complete technical
processing using the Rating Factors set
forth below and in accordance with the
application submission requirements
identified in Section IV.B. above. The
maximum number of points an
application may receive under this
program is 102. This includes two RC/
EZ/EC–II bonus points, as described in
the General Section and Section V.A.
below.
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1. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Staff (20 Points)
This factor addresses your capacity to
carry out the conversion in a timely,
cost-conscious and effective manner. It
also addresses your experience at
providing the proposed supportive
services you intend to make available at
the ALF for elderly residents, especially
in such areas as meals, 24-hour staffing,
and on-site health care. Submit
information responding to this factor in
accordance with Application
Submission Requirements in Sections
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IV. B. 6. a. and b. and 9. a. through c
and h. of this NOFA.
In rating this factor, HUD will
consider the extent to which your
application demonstrates your ability to
carry out a successful conversion of the
project and to implement the plan to
deliver the supportive services on a
long-term basis, considering the
following:
a. (9 points). The time frame planned
for carrying out the physical conversion
of the development to the ALF.
b. (10 points). Your past experience in
providing or arranging for supportive
services either on or off site for those
who are frail. Examples are: Meals
delivered to apartment of resident or in
a congregate setting (2 points), arranging
for or providing personal care (3 points),
providing 24-hour staffing (1 point),
providing or making available on-site
preventive health care (2 points) and
other support services (2 points).
c. (1 point). The Department will
provide 1 point to those applicants who
currently or propose to partner, fund, or
subcontract with grassroots
organizations. HUD will consider an
organization a ‘‘grassroots organization’’
if the organization is headquartered in
the local community and has a social
services budget of $300,000 or less; or
has six or fewer full-time equivalent
employees. (Refer to the General Section
for further information on policy
priority points for activities related to
grassroots organizations.)
2. Rating Factor 2: Need/Extent of the
Problem (20 Points)
This factor addresses the extent to
which the conversion is needed by the
categories of elderly persons and
persons with disabilities that the ALF is
intended to serve (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
and needs of potential residents in the
housing market area for such persons
including economic and demographic
information on very low-income, frail,
elderly, and persons with disabilities
and information on current assisted
living resources in the market area.
The factor also addresses your
inability to fund the repairs or
conversion activities from existing
financial resources. In making this
determination, HUD will consider the
project’s financial information. Submit
information responding to this factor in
accordance with Application
Submission Requirements in Sections
IV.B.3.c., 5. a. through d., and 10. a.
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through c. of this NOFA. In evaluating
this factor, HUD will consider:
a. (7 points). The need for assisted
living among the elderly and disabled
residents of the project taking into
consideration those currently in need
and the depth of future needs given
aging in place.
b. (3 points). The need for assisted
living among very low-income elderly
persons and persons with disabilities in
the housing market area.
c. (9 points). Insufficient funding for
any needed conversion work, as
evidenced by the project’s financial
statements and specifically the lack of
excess Reserve for Replacement dollars
and residual receipts. If the available
Reserve for Replacement and residual
receipts are less than 10 percent of the
total funds needed = 9 points; if the
available Reserve for Replacement and
residual receipts are 10–50 percent of
need = 5 points; and, if the available
Reserve for Replacement and residual
receipts are 51 percent or more of the
total funds needed = 0 points).
d. (1 point). The Department will
provide one point to those applications
which establish a connection between
the proposed ALF and the community’s
Analysis of Impediments to Fair
Housing Choice (AI) or other planning
document that analyzes fair housing
issues and is prepared by a local
planning or similar organization.
3. Rating Factor 3: Soundness of
Approach (40 Points)
This factor addresses the quality and
effectiveness of your proposal in
addressing the proposed conversion,
effectiveness of service coordination
and management planning and the
meals and supportive services which
the ALF intends to provide, whether the
jurisdiction in which the ALF is located
has taken successful efforts to remove
regulatory barriers to affordable
housing, whether you will incorporate
energy efficiency in the design and
operation of the assisted living facility,
provide training, employment, and
economic opportunities to low- and
very low-income persons, and the extent
to which you have evidenced general
support for conversion by participating
in your community’s Consolidated
Planning Process, involving the
residents in the planning process. 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.3.a. through c. and e., IV. B.5.e.,
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IV.B.6.b. through e., IV. B9.a. through e.,
g., and h. of this NOFA. In evaluating
this factor, HUD will consider the
following:
a. (10 points). The extent to which the
proposed ALF design will meet the
special physical needs of frail elderly
persons or persons with disabilities
expected to be served at reasonable cost
(consider the ALF design: Meets needs
= 10 points; ALF design partially meets
needs = 5 points; and ALF design does
not meet needs = 0 points).
b. (10 points). The extent to which the
ALF’s proposed management and
operational plan ensures that the
provision of both meals and supportive
services planned will be accomplished
over time. (Consider ALF design/
management plan: Meets needs of
management operations = 10 points;
ALF design/management plan partially
meets needs of management operations
= 5 points; and ALF design/management
plan does not meet needs of
management operations = 0 points.)
c. (7 points). The extent to which the
proposed supportive services meet the
anticipated needs of the frail elderly and
disabled residents (does meet = 7
points; partially meets needs = 4 points;
and, does not meet needs = 0 points);
and
d. (7 points). The extent to which the
service coordination function is
addressed and explained as onsite and
sufficient, onsite and augmented or
new, and addresses the ongoing
procurement of needed services for the
residents of the ALF (does meet = 7
points, partially meets = 4 points, does
not meet = 0 points).
e. (2 points). The steps you have taken
which support State and local efforts in
streamlining processes and procedures
that eliminate redundant requirements,
statutes, regulations and codes which
impede the availability of affordable
housing. To receive points for removal
of regulatory barriers, applicants must
include in their response the completed
Questionnaire HUD Form 27300. (Refer
to the General Section for further
information.)
f. (2 points). Describe how you plan
to incorporate energy efficiency
activities in the design or the operation
of the assisted living facility through the
use of Energy Star labeled products and
appliances.
g. (2 points). To the greatest extent
feasible, describe how you propose to
provide opportunities to train and
employ low- and very low-income
persons in the project area; and how you
plan to award contracts to business
concerns which provide economic
opportunities to low- and very low-
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income persons and people with
disabilities in the project area.
4. Rating Factor 4: Leveraging Resources
(10 Points)
This factor addresses your ability to
secure other community resources that
can be combined with HUD’s grant
funds to achieve program purposes. For
the ALCP to succeed, you must generate
local funding for the necessary
supportive services to operate the ALF.
HUD also encourages local funding for
some of the necessary conversion work,
or other work needed in the project (e.g.,
general modernization) which is not
specifically linked to the ALF).
Submit information responding to this
factor in accordance with Application
Submission Requirements in Section
IV.B.6.h. and i., B.7., and B.9.e. through
g. of this NOFA.
a. (5 points). The extent to which
there are commitments for the funding
needed for the meals and the supportive
services planned for the ALF and that
the total cost of the estimated budget of
the ALF is covered. Consider 90 percent
or more commitment of the total budget
with no more than 10 percent for meals
and services = 5 points; 80–89.9 percent
with no more than 20 percent for meals
and services = 4 points; 65–79.9 percent
with no more than 35 percent for meals
and services = 3 points; 40–64.9 percent
with no more than 60 percent for meals
and services = 2 points; less than 40
percent commitment of the total budget
with no more than 60 percent support
for meals and services = 0 points.
b. (3 points). The extent of local
organizations’ support, which is firmly
committed to providing at least 50
percent of the total cost of ALF
conversion (consider 50% or more = 3
points, 20–49.9 percent = 2 points, and
under 20 percent = 0 points).
c. (2 points). The extent of local
organizational support which is firmly
committed to providing funds for
additional repair or retrofit necessary for
the project NOT specifically directed to
activities eligible under this NOFA
(funds firmly committed = 2 points,
funds not committed = 0 points).
5. Rating Factor 5: Achieving Results
and Program Evaluation (10 Points)
This factor reflects HUD’s goal to
embrace high standards of ethics,
management and accountability. This
factor emphasizes HUD’s commitment
to ensure that promises you make in the
application are kept; and to ensure
performance goals with outcomes are
established and are met (refer to Section
V.B. of the General Section for more
detail). Outcomes may include the
extent to which your project will
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implement practical solutions that will
result in assisting residents in achieving
independent living and an improved
living environment, as well as the extent
to which the project will be viable
absent HUD funds but rely more on
state, local, and private funds. Submit
information responding to this factor in
accordance with Application
Submission Requirements in Section
IV.B.3.d., 6.a. through g., and 9.a.
through e. of this NOFA. Applicants
must complete Form HUD–96010,
Program Outcome Logic Model in
responding to this Rating Factor.
a. (4 points). Describe the extent to
which your conversion time frame
reflects the length of time it will take to
convert the units describing how
residents will benefit from the
conversion of the units; and how the
converted units will result in ALF
residents being able to age in place;
b. (2 points). Describe the extent to
which your assisted living facility will
implement practical solutions that will
result in assisting residents in achieving
independent living and improved living
environment.
c. (2 points). Demonstrate how the
project will be viable absent HUD funds
while relying more on state, local, and
private funds.
d. (2 points). Describe the extent to
which the ALFs operating philosophy
promotes the autonomy and
independence of the frail elderly
persons it is intended to serve (is fully
addressed = 2 points, ‘‘no’’ or not
addressed = 0 points).
6. Bonus Points (2 bonus points)
The project to be converted is located
in an RC/EZ/EC–II area, as described in
the General Section.
B. Reviews and Selection Process
1. The ALCP will fund those
applications that may impact federal
problem solving and policymaking and
that are relevant to HUD’s policy
priorities and annual goals and
objectives. (Refer to the General Section
for discussion of these priorities and
annual goals and objectives). For the
Assisted Living Conversion Program,
applicants who include work activities
that specifically address the policy
priorities of removing barriers to
affordable housing and promoting
energy efficiency in the design and
operation of the ALF will receive
additional points. For information
pertaining to the removal of barriers to
affordable housing see www.hud.gov/
grants/index.cfm and for information
about Energy Star see
www.energystar.gov.
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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 Website. 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
considered for funding. The following is
a list of the deficiencies that will be
considered curable in ALCP
applications:
Exhibits/Forms
• *Application Summary.
• *Articles of Incorporation, or
certification of Articles of Incorporation.
• *By-laws, or certification of bylaws.
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• Evidence of occupancy for at least
five years.
• Original project plans.
• Relocation Plan.
• Evidence of Permissive Zoning.
• Form SF–424, Application for
Federal Assistance.
• Form SF–424 Supplement, Survey
for Ensuring Equal Opportunity for
Applicants.
• Form HUD–424–CB, Grant
Applications Detailed Budget.
• Form HUD–424–CBW, Grant
Application Detailed Budget worksheet.
• Form HUD–2880, Applicant/
Recipient Disclosure/Update Report.
• Form HUD–2991, Certification of
Consistency with the Consolidated Plan.
• Form HUD–2994–A, You Are Our
Client Survey, optional.
• Standard Form–LLL, Disclosure of
Lobbying Activities, if applicable.
The appropriate Hub office will notify
you in writing if your application is
missing any of the exhibits listed above
and you will be given 14 days from the
date of the HUD notification to submit
the information required to cure the
noted deficiencies. The exhibits
identified by an asterisk (*) must be
dated on or before the application
deadline date. If not so dated the
application will be rejected.
After the completeness review, HUD
staff will review your application to
determine whether the application
meets the threshold requirements.
3. Threshold Review. Only those
ALCP applications that meet all
threshold requirements will be eligible
to receive an award. Applications that
do not pass threshold will be rejected.
(See Section III.C 2. above for threshold
requirements).
4. Appeal Process. Upon rejection of
an ALCP application, HUD must send a
letter to the Owner outlining all reasons
for rejection. The Owner has 14
calendar days from the date of the letter
to appeal the rejection. If the Owner
submits an appeal, which causes the
rejection to be overturned, the
application 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. 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
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application meets all program eligibility
requirements after completion of
technical review, it will be rated
according to the rating selection factors
in Section V.A. above of this NOFA.
HUD reserves the right to reduce the
amount requested in the application if
any proposed components are ineligible
or if the cost of items is not deemed
reasonable. HUD will not reject an
ALCP application based on technical
review without notifying you of that
rejection with all the reasons for the
rejection, and providing you an
opportunity to appeal. You will have 14
calendar days from the date of HUD’s
written notice to appeal a technical
rejection to the Multifamily Hub where
the applications were sent originally.
HUD staff will make a determination on
an appeal before finalizing selection
recommendations.
7. Ranking and Selection Procedures.
Applications submitted in response to
this NOFA that are eligible, pass
threshold and have a total score of 75
points (or more) are eligible for ranking
and selection.
a. Hub staff teams will be established
for ALCP review in each Hub to do the
application ratings.
b. From within rank order, Hub staff
teams in each of the 18 Hubs will select
the highest ranked applications from
within that Hub in rank order, which
can be funded from within the dollars
available. Each Hub will select
applications based on rank order up to
and including the last application that
can be funded out of each Hub’s
allocation. Hubs must not skip over any
applications in order to select one based
on the funds remaining.
c. After making the initial selections,
however, Hubs may use any residual
funds to select the next rank-ordered
application by reducing the dollars
requested by no more than 10 percent
and reducing the number of units
proposed, but in no case reducing the
number of units below the financial
threshold feasibility of five ALF units.
d. Funds remaining after these
processes are completed will be
returned to HUD Headquarters. HUD
Headquarters will use these funds to
restore units to any project reduced as
a result of using the residual grant funds
in a Hub. Finally, HUD will use these
funds for selecting one or more
additional applications based on the
Hubs rating and rankings, beginning
with the highest rated application
within the 18 Hubs. Only one
application will be selected per Hub
from the national residual amount. If
there are no approvable applications in
other Hubs, the process will begin again
with the selection of the next highest
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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.
VI. Award Administration Information
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A. Award Notices
1. The Grant Agreement, and the
Form HUD–1044, signed by both the
Recipient and Grant Officer, shall serve
as the authorizing award documents.
Unsuccessful applicants will be
notified, by mail, within 30 days of the
announcement of the awards.
2. Adjustments to Funding. HUD will
not fund any portion of your application
that is not eligible for funding under
specific program statutory or regulatory
requirements; does not meet the
requirements of this notice; or may be
duplicative of other funded programs or
activities. Only the eligible portion of
your application will be funded.
3. Applicant Debriefing. All requests
for debriefing must be made in writing
and submitted to the local Hub in which
you applied for assistance. Materials
provided to you during your debriefing
will include the final scores you
received for each rating factor, final
evaluator comments for each rating
factor, and the final assessment
indicating the basis upon which
assistance was provided or denied.
Information regarding this procedure
may be found in the General Section.
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See Section III.C. of this NOFA and
the General Section.
you may access the telephone number
via TTY by calling the Federal
Information Relay Service at 800–877–
8339.
C. Reporting
VIII. Other Information
Recipients of funding under this
program NOFA shall submit a progress
report every six months after the
effective date of the Grant Agreement.
Every six months owners must report
their progress in attaining the goals and
objectives they proposed in their ALCP
Logic Model that was included in their
application. For FY2006, HUD is
considering a new concept for the Logic
Model. The new concept is a Return on
Investment (ROI) statement. HUD will
be publishing a separate notice on the
ROI concept.
A. Paperwork Reduction Act
B. Administrative and National Policy
Requirements
VII. Agency Contacts
A. For Further Information and
Technical Assistance
You should contact the HUD
Multifamily Hub where you will be
mailing your ALCP Application. For a
list of HUD Multifamily Hub Offices, see
HUD’s Web site at https://www.hud.gov/
offices/adm/grants/fundsavail.cfm.
You also may contact Faye Norman,
Housing Project Manager at (202) 708–
3000, extension 2482 or Aretha
Williams, Director, Grant Policy and
Management Division, Room 6138 at
(202) 708–3000, extension 2480 for
questions regarding the ALF grant
award process. These are not toll-free
numbers. Ms. Norman can be reached
by e-mail at Faye_ L._ Norman@hud.gov
and Ms. Williams at
Aretha_M._Williams@hud.gov. If you
have a hearing or speech impairment,
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The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (4 U.S.C. 3501–3520) and
assigned OMB control number 2502–
0542. In accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 2,550 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
data for the application, semi-annual
reports, and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
B. Appendix
Appendix 1 provides a list of HUD
Multifamily Hub Offices. Appendix 1
may be found at HUD’s Web site at
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm.
BILLING CODE 4210–01–P
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Service Coordinators in Multifamily
Housing
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of the Assistant Secretary for
Housing-Federal Housing
Commissioner.
B. Funding Opportunity Title: Service
Coordinators In Multifamily Housing
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: The
Federal Register number is FR–5030–N–
26. The OMB approval number is 2502–
0447.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: 14.191,
Multifamily Housing Service
Coordinators.
F. Dates: The application submission
date is June 16, 2006. (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
$51.6 million in fiscal year 2006 funds
are available for the Service Coordinator
program. Of these funds, approximately
$10 million are available in this NOFA
for funding new Service Coordinator
programs.
2. Purpose of the program: The
Service Coordinator program allows
multifamily housing owners to assist
elderly individuals and nonelderly
people with disabilities living in 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.
Full Text of Announcement
I. Funding Opportunity Description
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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. Basic Qualifications of Service
Coordinators and Aides
1. Service Coordinator qualifications
include the following:
a. A Bachelor of Social Work or
degree in Gerontology, Psychology or
Counseling is preferable; a college
degree is fully acceptable. You may also
consider individuals who do not have a
college degree, but who have
appropriate work experience.
b. Knowledge of the aging process,
elder services, disability services,
eligibility for and procedures of federal
and applicable state entitlement
programs, legal liability issues relating
to providing Service Coordination, drug
and alcohol use and abuse by the
elderly, and mental health issues.
c. Two to three years experience in
social service delivery with senior
citizens and/or people with disabilities.
Some supervisory or management
experience may be desirable if the
Service Coordinator will work with
aides.
d. Demonstrated working knowledge
of supportive services and other
resources for senior citizens and/or 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 work-
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study program with local colleges and
universities to assist in carrying out
some of the Service Coordinator’s
functions.
II. Award Information
A. Available Funding. The
Consolidated Appropriations Act, 2006
(Pub. L. 109–115, approved November
30, 2005) provides approximately $51.6
million to fund Service Coordinators
and the continuation of existing
Congregate Housing Services Program
(CHSP) grants. (The $51.6 million
appropriation is subject to a 1 percent
across-the-board rescission pursuant to
Public Law 109–148.) Approximately
$10 million of the available $51.6
million will be used to fund new
Service Coordinator programs. The
remaining amount of $51,084,000 will
be used to fund one-year extensions to
expiring Service Coordinator and CHSP
grants.
B. Maximum Grant Award. There is
no maximum grant amount. The grant
amount you request will be based on the
Service Coordinator’s salary and the
number of hours worked each week by
that Service Coordinator (and/or aide).
You should base your determination of
the appropriate number of weekly work
hours on the number of people in the
development who are frail or at-risk
elderly or non-elderly people with
disabilities. Under normal
circumstances, a full-time Service
Coordinator should be able to serve
about 50–60 frail or at-risk elderly or
non-elderly people with disabilities on
a continuing basis. Your proposed
salary must also be supported by
evidence of comparable salaries in your
area. Gather data from programs near
you to compare your estimates with the
salaries and administrative costs of
currently operating programs. HUD
Field staff can provide you with
contacts at local program sites.
C. HUD provides funding in the form
of three-year grants. HUD may renew
grants subject to the availability of funds
and the grantee’s acceptable
performance and compliance with
program requirements. HUD will
determine performance based on the
information given in the grantee’s semiannual performance reports, financial
status reports, and Logic Model forms.
III. Eligibility Information
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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:
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a. Section 202 Direct Loan;
b. Project-based Section 8 (including
Section 8 Moderate Rehabilitation), or
c. Section 221(d)(3) below-market
interest rate, and 236 developments that
are insured or assisted.
3. Additionally, developments listed
in paragraph III.A.2, above, are eligible
only if they meet the following criteria:
a. Have frail or at-risk elderly
residents and/or non-elderly residents
with disabilities who together total at
least 25 percent of the building’s
residents. (For example, in a 52-unit
development, at least 13 residents must
be frail, at-risk, or non-elderly people
with disabilities.)
b. Were designed for the elderly or
persons with disabilities and continue
to operate as such. This includes any
building within a mixed-use
development that was designed for
occupancy by elderly persons or
persons with disabilities at its inception
and continues to operate as such, or
consistent with title VI, subtitle D of the
Housing and Community Development
Act of 1992 (Pub. L. 102–550). If not so
designed, a development in which the
owner gives preferences in tenant
selection (with HUD approval) to
eligible elderly persons or nonelderly
persons with disabilities, for all units in
that development.
c. If FHA insured or financed with a
Section 202 Direct Loan, are current in
mortgage payments or are current under
a workout agreement.
d. Meet HUD’s Uniform Physical
Conditions Standards (codified in 24
CFR part 5, subpart G), based on the
most recent physical inspection report
and responses thereto, as evidenced by
a score of 60 or better on the last
physical inspection or by an approved
plan for developments scoring less than
60.
e. Are in compliance with their
regulatory agreement, Housing
Assistance Payment (HAP) Contract,
and any other outstanding HUD grant or
contract document.
f. Have no available project funds (i.e.,
Section 8 operating funds, residual
receipts, or excess income) that could
pay for a Service Coordinator program.
(‘‘Available funds’’ are those that
require HUD approval for their use and
are not needed to meet critical project
needs.) Field office staff will make this
determination based on financial
records maintained by the Department
and information provided by the
applicant in the grant application.
g. You may use funds to continue a
Service Coordinator program that has
previously been funded through other
sources. To be deemed eligible, you
must provide evidence that these
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resources have already ended or will
discontinue within six months
following the application deadline date
and that no other funding mechanism is
available to continue the program. (This
applies only to funding sources other
than the subsidy awards and grants
provided by the Department through
program Notices beginning in FY 1992.
HUD currently provides one-year
extensions to these subsidy awards and
grants through a separate funding
action.)
4. If your eligibility status changes
during the course of the grant term,
making you ineligible to receive a grant
(e.g., due to prepayment of mortgage,
sale of property, or opting out of a
Section 8 HAP contract), HUD has the
right to terminate your grant.
5. Ineligible Applicants and
Developments.
a. Property management companies,
area agencies on aging, and other like
organizations are not eligible applicants
for Service Coordinator funds.
b. Developments not designed for the
elderly, nonelderly people with
disabilities, or those no longer operating
as such;
c. Section 221(d)(4) and Section 515
developments without project-based
Section 8 assistance;
d. Section 202 and 811 developments
with a Project Rental Assistance
Contract (PRAC). Owners of Section 202
PRAC developments may obtain
funding by requesting an increase in
their PRAC payment consistent with
Handbook 4381.5 REVISION–2,
CHANGE–2, Chapter 8;
e. Conventional public housing, as
such term is defined in section 3(b) of
the United States Housing Act of 1937),
and units assisted by project-based
Housing Choice Vouchers, as set forth in
24 CFR Part 983.
f. Renewals of existing Section 8
Service Coordinator subsidy awards or
grants. HUD currently provides one-year
extensions to these subsidy awards and
grants through a separate funding
action.
B. Cost Sharing or Matching
Requirement
None required.
C. Other
1. Eligible Activities. The functions of
a Service Coordinator position are
considered the program’s eligible
activities. The major functions of the
Service Coordinator include the
following:
a. Refer and link the residents of the
development to supportive services
provided by the general community.
Such services may include case
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management, personal assistance,
homemaker, meals-on-wheels,
transportation, counseling, occasional
visiting nurse, preventive health
screening/wellness, and legal advocacy.
b. Educate residents on service
availability, application procedures,
client rights, etc.
c. Establish linkages with agencies
and service providers in the community.
Shop around to determine/develop the
best ‘‘deals’’ in service pricing, to assure
individualized, flexible, and creative
services for the involved resident.
Provide advocacy as appropriate.
d. Provide case management when
such service is not available through the
general community. This might include
evaluation of health, psychological and
social needs, development of an
individually tailored case plan for
services, and periodic reassessment of
the resident’s situation and needs.
Service Coordinators can also set up a
Professional Assessment Committee
(PAC) to assist in performing initial
resident assessments. (See the guidance
in the Congregate Housing Services
Program (CHSP) regulations at 24 CFR
700.135 (or 1944.258 for Rural Housing
developments).)
e. Monitor the ongoing provision of
services from community agencies and
keep the case management and provider
agency current with the progress of the
individual. Manage the provision of
supportive services where appropriate.
f. Help the residents build informal
support networks with other residents,
family and friends.
g. Work and consult with tenant
organizations and resident management
corporations. Provide training to the
development’s residents in the
obligations of tenancy or coordinate
such training.
h. Create a directory of providers for
use by both development staff and
residents.
i. Educate other staff of the
management team on issues related to
aging in place and Service Coordination,
to help them to better work with and
assist the residents.
j. Provide service coordination to lowincome elderly individuals or
nonelderly people with disabilities
living in the vicinity of an eligible
development. Community residents
should come to your housing
development to meet with and receive
service from the Service Coordinator,
but you must make reasonable
accommodations for those individuals
unable to travel to the housing site.
2. Eligible Program Costs. a. Service
Coordinator Program grant funds may be
used to pay for the salary, fringe
benefits, and related support costs of
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employing a service coordinator.
Support costs may include quality
assurance, training, travel, creation of
office space, purchase of office
furniture, equipment, and supplies,
computer hardware, software, and
Internet service, and indirect
administrative costs.
b. You may use grant funds to pay for
Quality Assurance (QA) in an amount
that does not exceed ten percent of the
Service Coordinator’s salary. Eligible
QA activities are those that evaluate
your program to assure that the position
and program are effectively
implemented. A qualified, objective
third party must perform the program
evaluation work and must have work
experience and education in social or
health care services. Your QA activities
must identify short and long term
program outcomes and performance
indicators that will help you measure
your performance. On-site housing
management staff cannot perform QA
and you may not augment current
salaries of in-house staff for this
purpose.
c. You may propose reasonable costs
associated with setting up a confidential
office space for the Service Coordinator.
Such expenses must be one-time only
start-up costs. Such costs may involve
acquisition, leasing, rehabilitation, or
conversion of space. The office space
must be accessible to people with
disabilities and meet the Uniform
Federal Accessibility Standards (UFAS)
requirements of accessibility. HUD field
office staff must approve both the
proposed costs and activity and must
perform an environmental assessment
on such proposed work prior to grant
award.
d. Only ALCP applicants may use
funds to augment a current Service
Coordinator program, by increasing the
hours of a currently employed Service
Coordinator, or hiring an additional
Service Coordinator or aide on a part- or
full-time basis. The additional hours
and/or staff must work only with ALCP
residents.
2. Threshold Requirements. a. At the
time of submission, grant applications
must contain the materials in Section
IV.B.2.a and c of this NOFA in order to
be considered for funding. If any of
these items are missing, HUD will
immediately reject your application.
b. In cases where field office staff
request information in response to
technical deficiencies in applications,
applicants must submit the response by
the designated deadline date. If
requested responses are not received by
this date, HUD will reject the
application.
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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 agerelated 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,
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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.
IV. Application and Submission
Information
A. Obtaining Grant Application
Packages. Applicants may download the
Instructions to the application found on
the grants.gov Web site at 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 at 800–518–GRANTS or e-mail
your questions to Support@Grants.gov.
The Support Desk staff will assist you
in accessing the information.
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 https://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–96010). This
year HUD is providing on its Web site,
at https://www.hud.gov/offices/adm/
grants/fundsavail.cfm, a Master Logic
model from which applicants may select
the items in each column that reflect
their anticipated activity outputs and
outcomes and copy and paste them into
the appropriate column in the Logic
Model form. You must select the
outputs from the master output listing
that reflect your proposed program and
enter the information into the output
column of the form. Likewise, you must
enter the appropriate outcomes in the
outcome column from the output list
provided. The Master Logic Model
listing also identifies the unit of
measure that HUD is interested in
collecting for the outputs and outcomes
selected. In making the selections, you
must identify the appropriate predicted
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number of units of measure to be
accomplished for each out put and
outcome. Use the space next to the
output and outcome to identify the
anticipated units of measure. You may
select multiple outputs and outcomes.
See HUD’s Web site for the Master Logic
Model for the Service Coordinator
program.
f. Acknowledgment of Application
Receipt (HUD–2993), for applicants
submitting paper applications only.
g. You Are Our Client Grant
Applicant Survey (HUD 2994–A),
optional.
h. Facsimile Transmittal Cover Page
(HUD–96011), (if applicable). This form
must be used as part of the electronic
application to transmit third party
documents and other information as
described in the General Section.
2. Other Application Items. All
applications for funding under the
Service Coordinator Program must
include the following documents and
information:
a. Service Coordinator First-Time
Funding Request, form HUD–91186.
b. Evidence of comparable salaries in
your local area.
c. Narrative Statements Describing
Your Program.
(1) Explain your method of estimating
how many residents of your
development are frail or at-risk elderly
or non-elderly people with disabilities.
Please document that individuals
meeting these criteria make up at least
25 percent of your resident population.
(Do not include elderly individuals or
people with disabilities who do not live
in the eligible developments included in
your application.)
(2) Explain how you will provide 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) A description of your plan to
address community resident needs, if
applicable to your program.
(5) If you are applying for an ALCP
grant in conjunction with your Service
Coordinator application, describe how
the new or additional Service
Coordinator hours will support your
proposed assisted living program.
Indicate if you want your Service
Coordinator application entered into the
lottery if your ALCP application is not
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selected to receive an award. In this
instance, your SC application will be
eligible only if the concerned housing
development currently has no SC
program.
d. Evidence that no project funds are
available to fund a Service Coordinator
program. You must include a copy of
your development’s most recent bank
statement (or the equivalent thereof),
showing the project’s current residual
receipts or excess income balance (if
any). It is incumbent upon the applicant
to demonstrate that no such project
funds are available.
e. If applicable, provide evidence that
prior funding sources for your
development’s Service Coordinator
program are no longer available or will
expire within six months following the
application deadline date.
f. Agents may prepare applications
and sign application documents if they
provide authorization from the owner
corporation as part of the application. In
such cases, the owner corporation must
be indicated on all forms and
documents as the funding recipient.
(1) If an agent is preparing an
electronic application for an owner, the
owner must authorize the agent as the
Authorized Organization Representative
(AOR) in the Grants.gov Registration
process. HUD will recognize this
authority if the DUNS number included
in the application belongs to the owner
corporation and the name of the agent
is listed as the AOR. Refer to Section
IV.F. of the General Section for more
detailed registration information.
(2) If you are applying in paper copy
format, you must provide a letter from
the owner authorizing the submission
by the agent on their behalf.
3. Single and Joint Applications. a.
Single Applications.
(1) You may submit one application
that contains one or more developments
that your corporation owns. Submitting
one application for each project you
own will increase your chances of
selection in the lottery. You may also
submit one application that contains
multiple projects you own, to reduce
preparation time and resources.
Each application must propose a
stand-alone program at separate
developments. The developments must
all be located in the same field office
jurisdiction.
(2) If you wish to apply on behalf of
developments located in different field
office jurisdictions, you must submit a
separate application to each field office.
b. Joint Applications. You may join
with one or more other eligible owners
to share a Service Coordinator and
submit a joint application. Small
developments often join together to hire
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and share a part or full-time Service
Coordinator and submit a joint
application. If more than one owner is
proposing to share a Service
Coordinator, one agency must designate
itself the ‘‘lead’’. When the legal
signatory for the owner corporation
signs the application, the owner
indicates agreement to administer grant
funds for all the housing developments
listed in the application.
4. Application Submission
Requirements for ALCP Applicants. (1)
If you are an ALCP applicant and you
request new or additional Service
Coordinator funds specifically for your
proposed Assisted Living Program, you
must submit an application containing
all required documents listed in Section
IV.B of this 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 only. If you
request additional hours, you must
specify the number of additional hours
per week and provide an explanation
based on the anticipated needs of the
Assisted Living residents. If you request
Service Coordinator funding to serve all
residents of your development, indicate
whether or not your request should be
entered into the national lottery if your
ALCP application is not selected to
receive an award. Provide this
information in your related narrative,
pursuant to paragraph IV.B.2.c(6) of this
NOFA.
C. Submission Dates and Times. The
application submission date is June 16,
2006. (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.)
D. Intergovernmental Review: Not
applicable to this program.
E. Funding Restrictions. 1. Alternative
Funding for Service Coordinators. If
your development has available Section
8 operating funds, residual receipts, or
excess income (i.e. ‘‘project funds’’), not
needed for critical project expenses, you
must use these project funds prior to
receiving grant monies. Owners may
submit requests to use Section 8
operating funds, residual receipts, or
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excess income pursuant to instructions
in Housing’s Management Agent
Handbook 4381.5, REVISION–2,
CHANGE–2, Chapter 8 and Housing
Notice H 02–14. HUD field staff may
approve use of these project funds at
any time, consistent with current policy.
You should discuss the use of project
funds with your field office staff prior
to submitting a grant application.
2. Ineligible Activities and Program
Costs.
a. You may not use funds available
through this NOFA to replace currently
available funding from other sources for
a Service Coordinator or for some other
staff person who performs service
coordinator functions.
b. Owners with existing service
coordinator subsidy awards or grants
may not apply for renewal or extension
of those programs under this NOFA.
HUD will provide extension funds
through a separate funding process.
c. Non-ALCP applicants may not use
funds to augment a current Service
Coordinator program, by increasing the
hours of a currently employed Service
Coordinator, or hiring an additional
Service Coordinator or aide on a part- or
full-time basis. HUD will award grants
only to eligible projects that do not
currently have (or are served by) an SC
program, regardless of the funding
source used to operate the program.
d. Grant recipients may not use grant
funds to pay for supervision performed
by property management staff.
(Management fees already pay for such
supervision.)
e. Cost overruns associated with
creating private office space and usual
audit and legal fees are not eligible uses
of grant funds.
f. The cost of application preparation
is not eligible for reimbursement.
g. Grant funds cannot be used to
increase a project’s management fee.
h. Grant funds may not cover the cost
of Service Coordinator-related training
courses for members of a development’s
management staff who do not directly
provide Service Coordination. Owners
must use their management fees to pay
this expense.
i. Owners/managers cannot use
Reserve for Replacement funds to pay
costs associated with a Service
Coordinator program.
j. 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.
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l. The grant amount allowed for QA
may not exceed ten percent of the
Service Coordinator’s salary.
3. Prohibited Service Coordinator
Functions. Service Coordinators may
not perform the following activities:
a. Act as a recreational or activities
director;
b. Provide supportive services
directly;
c. Act as a Neighborhood Networks
program director or coordinator, and
d. Perform property management
work, regardless of the funding source
used to pay for these activities.
F. Other Submission Requirements: 1.
Application Submission and Receipt
Procedures. Carefully review the
procedures presented in Section IV.F of
the General Section. All applicants
submitting Service Coordinator
applications must submit applications
electronically.
2. Waiver of Electronic Submission
Requirement. 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. 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
development’s location to ensure that
you submit your application to the
correct local HUD Office.
4. Field Office Addresses. For a list of
field office addresses, see HUD’s Web
site at https://www.hud.gov/local/
index.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
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application eligible if the electronic
application was submitted and received
by https://www.Grants.gov no later than
11:59:59 PM on June 16, 2006. Paper
applications will be considered eligible
if they are received by the field office on
or before the deadline date and meet 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 FY2006 ALCP applicants,
whose ALCP applications are selected
for funding under that program’s NOFA.
HUD estimates that approximately $1
million will be used to fund ALCP
Service Coordinator applications. Any
funds not used by the ALCP program to
fund service coordinators will be added
to the funds available for the National
Lottery.
b. After setting aside funds for ALCP
applicants, and prior to the lottery, HUD
will next fund all applications
submitted by owners who are applying
for grant funds to continue a currently
operating program previously funded
through project funds. As stated in
paragraph III.A.4.f of this NOFA, such
applications are eligible only if project
funds are no longer available to
continue the program.
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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.
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3. Reduction in Requested Grant
Amount. HUD may make an award in an
amount less than requested, if:
a. HUD determines that some
elements of your proposed program are
ineligible for funding;
b. There are insufficient funds
available to make an offer to fully fund
the application;
c. HUD determines that reduced grant
amount would prevent duplicative
federal funding.
4. Corrections to Deficient
Applications. Section V.B. of the
General Section provides the procedures
for corrections to deficient applications.
VI. Award Administration Information
A. Award Notices. HUD field staff will
send, by postal or overnight mail,
selection letters and grant agreements to
the award recipient organization. The
grant agreement is the obligating
document and funds are obligated once
the HUD grant officer signs the
agreement. Field staff will send nonselection letters during this same period
of time. If your application is rejected,
field staff may notify you by letter any
time during the application review
process.
B. Administrative and National Policy
Requirements. None.
C. Reporting. All award recipients
must submit the following reports on a
yearly basis:
1. Two Semi-Annual Financial Status
Reports (SF–269–A), for each half-year
period of the federal fiscal year;
2. Two Semi-Annual Service
Coordinator Performance Reports,
(HUD–92456), for each half-year period
of the federal fiscal year;
3. Two completed Logic Model forms,
HUD–96010, submitted as an
attachment to each Semi-Annual
Performance Report. The Logic Model
must present performance information
on a short term basis, corresponding to
each six-month reporting period; on an
intermediate basis, i.e. annually, and in
the long-term, reporting results for the
entire grant term showing progress
related to program outputs and
outcomes as specified in your approved
Logic Model incorporated into your
grant agreement. The objectives of the
Service Coordinator program are to
enhance a resident’s quality of life and
ability to live independently and to age
in place. The data that HUD collects on
the performance report and Logic Model
measures, in a quantitative form, the
grantee’s success in meeting these
intended program outcomes.
4. Periodic reimbursement requests
(i.e., Payment Voucher, form HUD–
50080–SCMF), providing program
expenses for the associated time period,
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and submitted in accordance with the
due dates stated in the grant agreement.
Grantees must request grant payments
directly following the end of each
agreed-upon time period and the funds
must reimburse those program costs
already incurred.
5. If your grant includes Quality
Assurance activities, you must provide
a copy of at least one annual report that
your QA provider submits to you each
year. You must submit this copy along
with the semi-annual reports that are
due on October 30 of each year. The QA
provider’s report that you submit to
HUD must include the following
information: Who performed the QA
work, when the review(s) was
conducted, and the results of the
evaluation. The results should include
such information as how many residents
were served, the types of services they
receive, the training sessions attended
by the Service Coordinator, and the
extent of resident satisfaction with the
program. HUD will use this report, in
tandem with other reports and
performance data, to determine a
grantee’s acceptable program
performance.
VII. Agency Contacts
You may contact your local HUD field
office staff for questions you have
regarding this NOFA and your
application. Please contact the
Multifamily Housing Service
Coordinator contact person in your local
office. If you are an owner of a Section
515 development, contact the HUD field
office that monitors your Section 8
contract. If you have a question that the
field staff is unable to answer, please
call Carissa Janis, Housing Project
Manager; Office of Housing Assistance
and Grants Administration; Department
of Housing and Urban Development;
451 Seventh Street, SW., Room 6146;
Washington, DC 20410–8000; (202) 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
Information Relay Service at 800–877–
8339.
VIII. Other Information
A. Satellite Broadcast. HUD will hold
an information program for potential
applicants via satellite broadcast to
learn more about the program and
preparation of the application. For more
information about the date and time of
the broadcast, you should contact your
local field office staff or consult the
HUD Web site at https://www.hud.gov.
B. Paperwork Reduction Act. The
information collection requirements
contained in this document have been
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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
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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
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information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
BILLING CODE 4210–01–P
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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 is FR–5030–N–
22. The OMB Approval Number is
2502–0267.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): 14.157,
Section 202 Supportive Housing for the
Elderly.
F. Dates: The application deadline
date is on or before June 2, 2006. Refer
to Section IV of this NOFA and to the
General Section for information on
electronic application submission and
receipt requirements.
G. Optional, Additional Overview
Content Information:
1. Purpose of the Program. This
program provides funding for the
development and operation of
supportive housing for very low-income
persons 62 years of age or older.
2. Available Funds. Approximately
$443.2 mllion in capital advance funds,
plus associated project rental assistance
contract (PRAC) funds and any
carryover funds available.
3. Types of Funds. Capital advance
funds will cover the cost of developing
the housing. PRAC funds will cover the
difference between the HUD-approved
operating costs of the project and the
tenants’ contributions toward rent (30
percent of their adjusted monthly
income).
4. Eligible Applicants. Private
nonprofit organizations and nonprofit
consumer cooperatives. (See Section
III.C.3.k of this NOFA for further details
and information regarding the formation
of the Owner corporation).
5. Eligible Activities. New
construction, rehabilitation, or
acquisition (with or without
rehabilitation) of housing. (See Section
III.C.1. below of this NOFA for further
information.
6. Match Requirements. None
required.
7. Local HUD Offices. The local HUD
office structure, for the purpose of
implementing the Section 202 program,
consists of 18 Multifamily Hub Offices.
Within the Multifamily Hubs, there are
Multifamily Program Centers with the
exception of the New York Hub, the
Buffalo Hub, the Denver Hub and the
Los Angeles Hub. All future references
shall use the term ‘‘local HUD office’’
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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); the Department of Housing
and Urban Development Appropriations
Act, 2006 (Pub. L. 109–115; approved
November 30, 2005); and the
government-wide rescissions pursuant
to the Department of Defense
Appropriations Act, 2006 (Pub. L. 109–
148; approved December 30, 2005).
C. Calculation of Fund Reservation. If
selected, you will receive a fund
reservation that will consist of both a
reservation of capital advance funds and
a reservation of three years for project
rental assistance.
1. Capital Advance Funds. The
reservation of capital advance funds is
based on a formula which takes the
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development cost limit for the
appropriate building type (elevator,
non-elevator) and unit size(s) and
multiplies it by the number of units of
each size (including a unit for a resident
manager, if applicable) and then
multiplies the result by the high cost
factor for the area. The development
cost limits can be found in Section
IV.E.3. of this NOFA.
2. PRAC Funds. The initial PRAC
award covers three years. The amount
awarded is determined by multiplying
the number of revenue units for elderly
persons by the appropriate operating
cost standard times 3. The operating
cost standards will be published by
Notice.
II. Award Information
A. Available Funds. For FY2006,
approximately $443,167,647 is available
for capital advances for the Section 202
Supportive Housing for the Elderly
Program. The Department of Housing
and Urban Development Appropriations
Act, 2006 (Pub. L. 109–115, approved
November 30, 2005) provides
$742,000,000 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 the renewal of
expiring contracts for such assistance
for up to a one-year term, for supportive
housing for the elderly under section
202(c)(2) of the Housing Act of 1959 as
well as the amount of $400,000 to be
transferred to the Working Capital Fund,
all of which is subject to a 1 percent
across-the-board rescission pursuant to
Public Law 109–148. Additionally, of
the amount appropriated, approximately
$51,600,000 is provided for Service
Coordinators and the continuation of
Congregate Services grants, up to
$24,800,000 is provided for Assisted
Living Conversion grants and
Emergency Capital Repairs, $20,000,000
is provided for a Section 202
Demonstration Planning Grant program,
and approximately $4,000,000 is
provided for a Section 202
Demonstration Program for Elderly
Housing for Intergenerational Families
pursuant to section 203 of Public Law
108–186.
The announcement of the availability
of the funds for the Service Coordinators
and the continuation of Congregate
Services as well as the Assisted Living
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Conversion program is covered
elsewhere in this NOFA.
The announcement of the availability
of funds for Emergency Capital Repairs,
the Section 202 Demonstration Planning
Grant program, and the Section 202
Demonstration Program for Elderly
Housing for Intergenerational Families
will be addressed in a future Federal
Register.
In accordance with the waiver
authority provided in the Department of
Housing and Urban Development
Appropriations Act, 2006, the Secretary
is waiving the following statutory and
regulatory provision: The term of the
project rental assistance contract is
reduced from 20 years to 3 years. HUD
anticipates that at the end of the
contract terms, renewals will be
approved subject to the availability of
funds. In addition to this provision,
HUD will reserve project rental
assistance contract funds based on 75
percent rather than on 100 percent of
the current operating cost standards for
approved units in order to take into
account the average tenant contribution
toward rent.
The allocation formula used for
Section 202 reflects the ‘‘relevant
characteristics of prospective program
participants,’’ as specified in 24 CFR
791.402(a). The FY2006 formula
consists of one data element from the
2000 Census: Number of one-person
elderly renter households (householder
age 62 and older) with incomes at or
below the applicable Section 8 very
low-income limit, and with housing
conditions. Housing conditions are
defined as paying more than 30 percent
of income for gross rent, or occupying
a unit lacking some or all kitchen or
plumbing facilities, or occupying an
overcrowded unit (1.01 persons per
room or more).
Under Section 202, 85 percent of the
total capital advance amount is
allocated to metropolitan areas and 15
percent to nonmetropolitan areas. In
addition, each local HUD office
jurisdiction receives sufficient capital
advance funds for a minimum of 20
units in metropolitan areas and 5 units
in nonmetropolitan areas. The total
amount of capital advance funds to
support these minimum set-asides are
subtracted from the respective
(metropolitan or nonmetropolitan) total
capital advance amounts available. The
remainder is fair shared to each local
HUD office jurisdiction whose fair share
exceeds the minimum set-aside based
on the allocation formula fair share
factors described below.
Note: The allocations for metropolitan and
nonmetropolitan portions of the local HUD
office jurisdictions reflect the definitions of
metropolitan and nonmetropolitan areas as of
the June 2003 definitions by the Office of
Management and Budget.
A fair share factor is developed for
each metropolitan and nonmetropolitan
portion of each local HUD office
jurisdiction by dividing the number of
elderly renter households in the
respective metropolitan and
nonmetropolitan portion of the
jurisdiction by the total number of
elderly rental households in the
metropolitan and nonmetropolitan
portions of the United States. The
resulting percentage for each local HUD
office jurisdiction is then adjusted to
reflect the relative cost of providing
housing among the local HUD office
jurisdictions. The adjusted needs
percentage for the applicable
metropolitan or nonmetropolitan
portion of each jurisdiction is then
multiplied by the respective total
remaining capital advance funds
available nationwide. Based on the
allocation formula, HUD has allocated
the available capital advance funds as
shown on the following chart:
FY 2006 SECTION 202 ALLOCATIONS BY FIELD OFFICE
Metropolitan
Offices
Capital
advance
Units
Nonmetro
Capital
advance
Units
Totals
Units
Capital advance
Boston Hub
Boston ..........................................................................................
Hartford ........................................................................................
Manchester ..................................................................................
Providence ...................................................................................
129
65
40
40
$15,564,417
7,946,297
3,881,135
4,827,240
5
9
23
$601,448
1,052,092
2,157,316
134
74
63
40
$16,165,865
8,998,389
6,038,451
4,827,240
Total ......................................................................................
274
32,219,089
37
3,810,856
311
36,029,945
38,617,068
5
622,188
315
39,239,256
9,248,360
25
2,640,360
112
11,888,720
2,807,613
17,993,806
16,596,814
7,735,706
New York Hub
New York .....................................................................................
310
Buffalo Hub
Buffalo ..........................................................................................
87
Philadelphia Hub
20
146
126
64
1,814,715
17,993,806
14,572,884
6,318,624
11
992,898
18
14
2,023,930
1,417,082
31
146
144
78
Total ......................................................................................
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Charleston ....................................................................................
Newark .........................................................................................
Philadelphia ..................................................................................
Pittsburgh .....................................................................................
356
40,700,029
43
4,433,910
399
45,133,939
5
482,196
15
1,282,127
68
60
73
6,546,930
6,431,887
6,419,421
Baltimore Hub
Baltimore ......................................................................................
Washington ..................................................................................
Richmond .....................................................................................
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60
58
Fmt 4701
6,064,734
6,431,887
5,137,294
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FY 2006 SECTION 202 ALLOCATIONS BY FIELD OFFICE—Continued
Metropolitan
Offices
Capital
advance
Units
Total ......................................................................................
181
17,633,915
Nonmetro
Units
Capital
advance
Totals
Units
Capital advance
20
1,764,323
201
19,398,238
Greensboro Hub
Columbia ......................................................................................
Greensboro ..................................................................................
43
64
4,026,055
7,164,349
13
29
1,193,046
3,254,193
56
93
5,219,101
10,418,542
Total ......................................................................................
107
11,190,404
42
4,447,239
149
15,637,643
Atlanta Hub
Atlanta ..........................................................................................
Knoxville .......................................................................................
Louisville ......................................................................................
Nashville .......................................................................................
San Juan ......................................................................................
66
20
42
43
36
5,652,196
1,638,428
3,792,284
3,654,088
3,600,655
20
9
20
14
5
1,724,942
727,670
1,855,095
1,216,238
505,528
86
29
62
57
41
7,377,138
2,366,098
5,647,379
4,870,326
4,106,183
Total ......................................................................................
207
18,337,651
68
6,029,473
275
24,367,124
Jacksonville Hub
Birmingham ..................................................................................
Jackson ........................................................................................
Jacksonville ..................................................................................
47
20
186
3,868,900
1,607,319
15,229,308
17
18
12
1,367,390
1,413,145
950,260
64
38
198
5,236,290
3,020,464
16,179,568
Total ......................................................................................
253
20,705,527
47
3,730,795
300
24,436,322
Chicago Hub
Chicago ........................................................................................
Indianapolis ..................................................................................
150
69
17,751,418
6,295,375
23
19
2,707,777
1,696,015
173
88
20,459,195
7,991,390
Total ......................................................................................
219
24,046,793
42
4,403,792
261
28,450,585
Columbus Hub
Cincinnati .....................................................................................
Cleveland .....................................................................................
Columbus .....................................................................................
51
81
40
4,627,889
7,867,659
3,575,488
5
14
15
451,086
1,374,696
1,339,012
56
95
55
5,078,975
9,242,355
4,914,500
Total ......................................................................................
172
16,071,036
34
3,164,794
206
19,235,830
Detroit Hub
Detroit ...........................................................................................
Grand Rapids ...............................................................................
85
42
8,911,136
3,774,205
10
14
1,014,397
1,291,955
95
56
9,925,533
5,066,160
Total ......................................................................................
127
12,685,341
24
2,306,352
151
14,991,693
Minneapolis Hub
Minneapolis ..................................................................................
Milwaukee ....................................................................................
63
73
6,942,229
7,717,849
23
23
2,522,537
2,469,528
86
96
9,464,766
10,187,377
Total ......................................................................................
136
14,660,078
46
4,992,065
182
19,652,143
Ft. Worth Hub
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Ft. Worth ......................................................................................
Houston ........................................................................................
Little Rock ....................................................................................
New Orleans ................................................................................
San Antonio .................................................................................
94
61
20
50
52
7,432,879
4,744,124
1,482,881
4,065,695
3,896,212
24
9
17
14
10
1,909,424
731,223
1,244,128
1,127,289
763,615
118
70
37
64
62
9,342,303
5,475,347
2,727,009
5,192,984
4,659,827
Total ......................................................................................
277
21,621,791
74
5,775,679
351
27,397,470
20
20
16
1,631,262
1,757,253
1,292,764
40
74
54
3,269,690
6,610,395
4,336,023
Kansas City Hub
Des Moines ..................................................................................
Kansas City ..................................................................................
Oklahoma City .............................................................................
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54
38
Fmt 4701
1,638,428
4,853,142
3,043,259
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FY 2006 SECTION 202 ALLOCATIONS BY FIELD OFFICE—Continued
Metropolitan
Offices
Capital
advance
Units
Nonmetro
Capital
advance
Units
Totals
Units
Capital advance
Omaha .........................................................................................
St. Louis .......................................................................................
20
45
1,814,715
4,665,792
14
14
1,229,339
1,466,969
34
59
3,044,054
6,132,761
Total ......................................................................................
177
16,015,336
84
7,377,587
261
23,392,923
7,176,367
31
2,474,938
107
9,651,305
Denver Hub
Denver ..........................................................................................
76
San Francisco Hub
San Francisco ..............................................................................
Honolulu .......................................................................................
Phoenix ........................................................................................
Sacramento ..................................................................................
148
20
56
49
17,605,317
3,733,128
4,678,191
5,819,931
10
5
9
9
1,124,640
933,282
780,333
1,082,051
158
25
65
58
18,729,957
4,666,410
5,458,524
6,901,982
Total ......................................................................................
273
31,836,567
33
3,920,306
306
35,756,873
26,686,926
5
567,747
240
27,254,673
Los Angeles Hub
Los Angeles .................................................................................
235
Seattle Hub
75
20
55
8,227,226
3,733,128
5,279,867
13
5
18
1,398,338
933,282
1,681,124
88
25
73
9,625,564
4,666,410
6,960,991
Total ......................................................................................
150
17,240,221
36
4,012,744
186
21,252,965
National Total ................................................................
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Seattle ..........................................................................................
Anchorage ....................................................................................
Portland ........................................................................................
3,617
376,692,499
696
66,475,148
4,313
443,167,647
B. Type of Award. Capital Advance
and Project Rental Assistance Contract
Funds for new Section 202 applications.
C. Type of Assistance Instrument. The
Agreement Letter stipulates the terms
and conditions for the Section 202 fund
reservation award as well as the
submission requirements following the
fund reservation award. The duration of
the fund reservation award for the
capital advance is 18 months from the
date of issuance of the fund reservation.
D. Anticipated Start and Completion
Date. Immediately upon your
acceptance of the Agreement Letter, you
are expected to begin work toward the
submission of a Firm Commitment
Application, which is the next
application submission stage. You are
required to submit a Firm Commitment
Application to the local HUD office
within 180 days from the date of the
Agreement Letter. Initial closing of the
capital advance and start of construction
of the project are expected to be
accomplished within the duration of the
fund reservation award period as
indicated in the above paragraph
regarding the Type of Assistance
Instrument. Final closing of this capital
advance is expected to occur no later
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18:12 Mar 07, 2006
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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 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
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for-profit limited partnership with a
private nonprofit organization as the
sole general partner.
See Section III.C.3.b. regarding limits
on the total number of units and
projects for which you may apply for
funding.
B. Cost Sharing or Matching. No cost
sharing or match is required; however,
you are required to make a commitment
to cover the estimated start-up expenses,
the minimum capital investment of onehalf of one percent of the HUDapproved capital advance, not to exceed
$10,000 or for a national Sponsor not to
exceed $25,000, and any funds required
in excess of the capital advance,
including the estimated cost of any
amenities or features (and operating
costs related thereto) which are not
covered by the capital advance. You
make such a commitment by signing the
Form HUD–92042, Sponsor’s Resolution
for Commitment to Project in Exhibit
8(g) of the application found in Section
IV.B.
C. Other. 1. Eligible Activities. Section
202 capital advance funds must be used
to finance the development of housing
through new construction,
rehabilitation, or acquisition with or
without rehabilitation. Capital advance
funds may also be used in combination
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with other non-Section 202 funding
sources leveraged by a for-profit limited
partnership (of which a single-purpose
private nonprofit organization is the
sole general partner) to develop a
mixed-finance project, including a
mixed-finance project for additional
units for the elderly over and above the
Section 202 units. The development of
a mixed-use project in which the
Section 202 units are mortgaged
separately from the other uses of the
structure is not considered a mixedfinance project. Project rental assistance
funds are provided to cover the
difference between the HUD-approved
operating costs and the amount the
residents pay (each resident pays 30
percent of adjusted income) as well as
to provide supportive services to frail
elderly residents.
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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, 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) Requested and received approval
to submit a paper application and you
submit less than the required number of
paper copies (an original and four
copies) are required. Refer to the
General Section for information on
application submission and receipt
procedures;
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(2) submit paper copies of the
application if you have not received
approval from HUD for a waiver of the
electronic submission requirements;
(3) submit a substantially deficient
application (i.e., a majority of the
required exhibits, are not submitted
with your application, particularly, but
not limited to, those exhibits which are
not curable). HUD reserves the right to
determine whether your application is
substantially deficient for purposes of
determining whether the application is
non-responsive to the NOFA. Refer to
Section IV.B., Content of Form of
Application Submission, for
information on the required exhibits for
submission with your application to
ensure that your application is complete
at time of submission;
(4) request more units than were
allocated in either the metropolitan or
nonmetropolitan allocation category to
the local HUD office that will be
reviewing your application or 125 units,
whichever is less (see the allocation
chart in Section II.A. above);
(5) request less than the minimum
number of 5 units per site;
(6) request assistance for an ineligible
activity as defined in Section IV.E.,
Funding Restrictions, of this program
NOFA; or
(7) are an ineligible applicant (see
Section III.A, Eligible Applicants of this
program NOFA).
b. Other Criteria. (1) You, or a coSponsor, must have experience in
providing housing or services to elderly
persons.
(2) You and any co-Sponsor must be
eligible private nonprofit organizations
or nonprofit consumer cooperatives
with tax exempt status under Internal
Revenue Service code.
(3) Your application must contain
acceptable evidence of the following:
(a) Evidence of Site Control. You must
provide evidence of site control as
described in this section and Exhibit
4(d)(i) of Section IV.B. of this NOFA).
(b) Historic Preservation. You are
required to send a letter to the State/
Tribal Historic Preservation Officer
(SHPO/THPO) that attempts to initiate
consultation with their office and
requests their review of your
determinations and findings with
respect to the historical significance of
your proposed project. A sample letter
to the SHPO/THPO that you may adapt
for your use, if you so choose, is
available on HUD’s Web site at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm. You must include a
copy of your letter to the SHPO/THPO
in your application and a statement that
you have not received a response
letter(s) from the SHPO/THPO or a copy
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of the response letter(s) received 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 undertake
and submit a Phase I ESA, prepared in
accordance with the ASTM Standards E
1527–05, as amended, completed or
updated no 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 documents ‘‘Choosing
an Environmentally Safe Site’’ and
‘‘Supplemental Guidance,
Environmental Information’’, which are
available on the HUD Web site at
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm.
(ii) Phase II ESA. If the Phase I ESA
indicates the possible presence of
contamination and/or hazards, you must
decide whether to continue with this
site or choose another site. Should you
choose another site, the same Phase I
ESA process identified above must be
followed for the new site. However, if
you choose to continue with the original
site on which the Phase I ESA indicated
contamination or hazards, you must
undertake a detailed Phase II ESA by an
appropriate professional. In order for
your application to be considered for
review under this FY2006 funding
competition, the Phase II must be
received by the local HUD office on or
before July 3, 2006.
(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
FY2006 funding competition, this
information must be received by the
local HUD office on or before July 3,
2006. If the above information is not
received by the local HUD office by that
date, the application will be rejected.
Note: Clean-up could be an expensive
undertaking. You must pay for the cost of any
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clean-up and/or remediation. If the
application is approved, clean-up must be
completed prior to initial closing.
Completion of clean-up means that hud must
be satisfied that the contamination has been
eliminated to the extent necessary to meet
non site-specific federal, state or local health
standards, with no active or passive
remediation still taking place, no capping
over of any contamination, and no
monitoring wells. However, it is acceptable if
contamination remains solely in groundwater
that is at least 25 feet below the surface.
(d) Asbestos. Asbestos is a hazardous
substance commonly used in building
products until the late 1970s. Therefore,
you must submit one of the following
with your application:
(i) If there are no pre-1978 structures
on the site or if there are pre-1978
structures, that most recently consisted
of solely four or fewer units of singlefamily housing including appurtenant
structures thereto, a statement to this
effect, or
(ii) If there are pre-1978 structures on
the site, other than for a site that most
recently consisted of solely four or
fewer units of single-family housing
including appurtenant structures
thereto, a comprehensive building
asbestos survey that is based on a
thorough inspection to identify the
location and condition of asbestos
throughout any structures. In those
cases where suspect asbestos is found,
it would either be assumed to be
asbestos or would require confirmatory
testing. If the asbestos survey indicates
the presence of asbestos or the presence
of asbestos is assumed, and if the
application is approved, HUD will
condition the approval on an
appropriate mix of asbestos abatement
and an asbestos Operations and
Maintenance Plan.
(4) There must be a market need for
the number of units proposed in the
area of the project location.
(5) You are required to include a
Supportive Services Plan that describes
the supportive services proposed to be
provided to the anticipated occupants,
including a description of the public or
private funds that are expected to fund
the proposed services and the manner in
which the services will be provided to
the proposed residents (see Exhibit 5 in
Section IV.B. of this NOFA). You must
not require residents to accept any
supportive services as a condition of
occupancy or admission.
(6) Delinquent Federal Debt. Refer to
the General Section for information
regarding delinquent federal debt.
3. Program Requirements. By signing
Form HUD–92015–CA, Supportive
Housing for the Elderly Section 202,
Application for Capital Advance
Summary Information, you are
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certifying that you will comply with all
program requirements listed in the
General Section as well as the following
requirements:
a. Statutory and Regulatory
Requirements. In addition to the
statutory, regulatory, threshold and
public policy requirements listed in the
General Section, you must comply with
all statutory and regulatory
requirements listed in Sections I and III
of this NOFA.
b. Application/Project Size Limits.
(1) Application Limits Applicable to
Sponsors or Co-Sponsors. A Sponsor or
Co-sponsor may not apply for more than
200 units of housing for the elderly in
a single Hub or more than 10 percent of
the total units allocated to all HUD
offices. Affiliated entities (organizations
that are branches or offshoots of a parent
organization) that submit separate
applications are considered a single
entity for the purpose of this limit.
(2) Maximum Project Size. No single
application may propose the
development of a project for more than
the number of units allocated to a local
HUD office (in either the metropolitan
or nonmetropolitan allocation category,
depending on the location of your
proposed project) or 125 units,
whichever is less. For example, the local
HUD office, which has jurisdiction over
the area of your proposed project, was
allocated 80 units (metropolitan) and 20
units (nonmetropolitan) for a total of
100 units. You cannot apply for more
than 80 units if your proposed project
is in a metropolitan area and no more
than 20 units if the project is in a
nonmetropolitan area.
(3) Minimum Project Size. The
minimum number of units that can be
applied for in one application is five
units. If the proposed project will be a
scattered-site development, the five-unit
minimum requirement will apply to
each site.
c. Minimum Capital Investment. If
selected, you must provide a minimum
capital investment of one-half of one
percent of the HUD-approved capital
advance amount, not to exceed $10,000
in accordance with 24 CFR 891.145,
with the following exception. If you, as
Sponsor or Co-Sponsor, have one or
more Section 202 or one or more
Section 811 project(s) under reservation,
construction, or management in two or
more different HUD geographical
regions (Hubs), the minimum capital
investment shall be one half of one
percent of the HUD-approved capital
advance amount, not to exceed $25,000.
d. Accessibility. Your project must
meet accessibility requirements
published at 24 CFR 891.120, 24 CFR
891.210, and Section 504 of the
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Rehabilitation Act of 1973 and its
implementing regulations at 24 CFR Part
8, and, if new construction, the design
and construction requirements of the
Fair Housing Act and HUD’s
implementing regulations at 24 CFR part
100. In addition, 24 CFR 8.4(b)(5)
prohibits the selection of a site or
location which has the purpose or effect
of excluding persons with disabilities
from the federally assisted program or
activity. Refer to Section V.A. below and
the General Section for information
regarding the policy priority of
encouraging accessible design.
e. Conducting Business in Accordance
with HUD Core Values and Ethical
Standards. You are not subject to the
requirements of 24 CFR parts 84 and 85
as outlined in the General Section,
except that the disposition of real
property may be subject to 24 CFR part
84. However, you are still subject to the
core values and ethical standards as
they relate to the conflict of interest
provisions in 24 CFR 891.130. To ensure
compliance with the program’s conflict
of interest provisions, you are required
to sign a Conflict of Interest Resolution
and include it in your Section 202
application. Further, if awarded a
Section 202 fund reservation, the
officers, directors, board members,
trustees, stockholders and authorized
agents of the Section 202 Sponsor and
Owner entities will be required to
submit to HUD individual certifications
regarding compliance with HUD’s
conflict of interest requirements.
f. National Environmental Policy Act.
You must comply with the National
Environmental Policy Act of 1969
(NEPA) (42 U.S.C. 4321) and applicable
related environmental authorities at 24
CFR 50.4, HUD’s programmatic
implementing regulations at 24 CFR part
50 and 24 CFR 891.155(b), especially,
but not limited to, the provision of
information to HUD at 24 CFR 50.31(b)
and you must comply with any
environmental ‘‘conditions and
safeguards’’ at 24 CFR 50.3(c).
Under 24 CFR Part 50, HUD has the
responsibility for conducting the
environmental reviews. HUD 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
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additional environmental information.
So that you can review the type of
information that HUD needs for its
preparation of the environmental review
as well as the type of information
requests that HUD may make to you,
you are invited to go to the following
Web site to view the HUD form 4128,
including the Sample Field Notes
Checklist, which HUD uses to record the
environmental review: www.hud.gov/
utilities/intercept.cfm?/offices/cpd/
energyenviron/environment/
compliance/forms/4128.pdf.
g. Executive Order 13202,
Preservation of Open Competition and
Government Neutrality Towards
Government Contractors’ Labor
Relations on Federal and Federally
Funded Construction Projects. Refer to
the General Section.
h. Fair Housing Requirements. Refer
to the General Section for information
regarding fair housing requirements.
i. Economic Opportunities for Low
and Very Low-Income Persons (Section
3). You must comply with Section 3 of
the Housing and Urban Development
Act of 1968, 12 U.S.C. 1701u (Economic
Opportunities for Low and Very 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. Although not a NOFA
requirement, you are encouraged to
submit with your application a
description on how you plan to
incorporate the Section 3 requirements
into your proposed project with goals
for expanding training and employment
opportunities for low and very lowincome (Section 3) residents as well as
business concerns. You will receive up
to two (2) points if you provide a
description of your plans for doing so
under Exhibit 3(k) of this program
NOFA.
j. Design and Cost Standards. You
must comply with HUD’s Section 202
design and cost standards (24 CFR
891.120 and 891.210), the Uniform
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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 not only to
promote energy efficiency of the
affordable housing stock, but also to
help protect the environment.
k. Formation of Owner Corporation.
You must form an Owner entity (in
accordance with 24 CFR 891.205) after
issuance of the capital advance fund
reservation and must cause the Owner
entity to file a request for determination
of eligibility and a request for capital
advance, and must provide sufficient
resources to the Owner entity to ensure
the development and long-term
operation of the project, including
capitalizing the Owner entity at firm
commitment processing in an amount
sufficient to meet its obligations in
connection with the project over and
above the capital advance amount.
l. Davis-Bacon. You must comply
with the Davis-Bacon requirements (12
U.S.C. 1701q(j)(5)) and the Contract
Work Hours and Safety Standards Act in
accordance with 24 CFR 891.155(d).
4. Energy Efficiency. Although it is
not a requirement, you are encouraged
to promote energy efficiency in design
and operation of your proposed project
and your application will receive one
(1) point if you describe your plans for
doing so in the proposed project. You
are urged especially to purchase and use
Energy Star-labeled products. For
further information about Energy Star,
see https://www.energystar.gov or call 1–
888–STAR–YES (1–888–782–7937) or
for the hearing-impaired, 1–888–588–
9920 TTY.
IV. Application and Submission
Information
Applicants are required to submit an
electronic application unless they
receive a waiver of the requirement. See
the General Section for information on
electronic application submission,
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procedures for requesting a waiver, and
timely submission and receipt
requirements.
A. Address to Request Application
Package. All information required to
complete and return a valid application
is included in the General Section and
this NOFA, including other related
documents. Applicants may download
the application and instructions from
the Grants.gov Web site at https://
www.Grants.gov./Apply. If you have
difficulty accessing the information you
may call the Grants.gov Support Desk
toll free 800–518–GRANTS or e-mail
your questions to Support@Grants.gov.
See the General Section for information
regarding the registration process or ask
for registration information from the
Grants.gov Support Desk. Copies of the
General Section, this program section,
and the required forms 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 NOFA
(including related documents ), 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 NOFA. Before preparing
your application, you should carefully
review the requirements of the
regulations (24 CFR part 891) and
general program instructions in
Handbook 4571.3 REV–1, Section 202
Capital Advance Program for Housing
the Elderly. Note: Section 1001 of Title
18 of the United States Code (Criminal
Code and Criminal Procedure, 72 Stat.
967) applies to all information supplied
in the application submission. (18
U.S.C. 1001, among other things,
provides that whoever knowingly and
willfully makes or uses a document or
writing containing any false, fictitious,
fraudulent statement or entry, in any
matter within the jurisdiction of any
department or agency of the United
States, shall be fined not more than
$10,000 or imprisoned for not more than
five years, or both.)
The Application for a Section 202
Capital Advance consists of four parts
with a total of eight Exhibits. Included
with the eight Exhibits are prescribed
forms, certifications and resolutions.
The components of the Application are:
Part 1—Application Form for Section
202 Supportive Housing—Capital
Advance (Exhibit 1)
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Part 2—Your Ability to Develop and
Operate the Proposed Project
(Exhibits 2 and 3)
Part 3—The Need for Supportive
Housing for the Target Population in
the Area to be Served, Site Control
and Suitability of Site, Adequacy of
the Provision of Supportive Services
and of the Proposed Project (Exhibits
4 and 5)
Part 4—General Application
Requirements, Certifications and
Resolutions (Exhibits 6 through 8).
The following additional information,
which may assist you in preparing your
application, is available on HUD’s Web
site at https://www.hud.gov/offices/adm/
grants/fundsavail.cfm.
Listing of Local HUD Offices
Letter Requesting SHPO/THPO Review
Choosing an Environmentally Safe Site
Supplemental to Choosing an
Environmentally Safe Site
Your application must include all of
the information, materials, forms, and
exhibits listed below (unless you were
selected for a Section 202 fund
reservation within the last three funding
cycles). If you qualify for this exception,
you are not required to submit the
information described in Exhibits 2(a),
(b), and (c), which are the articles of
incorporation, (or other organizational
documents), by-laws, and the IRS tax
exemption, respectively. If there has
been a change in any of these
documents since your previous HUD
approval, you must submit the updated
information in your application. The
local HUD office will verify your
previous HUD approval by checking the
project number and approval status with
the appropriate local HUD office based
on the information submitted.
In addition to this relief of paperwork
burden in preparing applications, you
will be able to use information and
exhibits previously prepared for prior
applications under Section 202, Section
811, or other funding programs.
Examples of exhibits that may be readily
adapted or amended to decrease the
burden of application preparation
include, among others, those on
previous participation in the Section
202 or Section 811 programs, your
experience in the provision of housing
and services, supportive services plans,
community ties, and experience serving
minorities.
For programmatic information, you
MUST contact the appropriate local
HUD office about the submission of
applications within the jurisdiction of
that Office. A listing of the local HUD
offices is available on HUD’s Web site
at https://www.hud.gov/offices/adm/
grants/fundsavail.cfm.
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Please submit your application using
the following format provided in this
NOFA. For applications to be submitted
electronically, in which you have
created files to be attached to the
electronic application, you should
number the pages of the attached file
and include a header that identifies the
exhibit that it relates to.
For applicants that have received a
waiver of the electronic application
submission, you must number the pages
of each file, narratives and other
attached files. Include the name of your
organization, your DUNS number, and
the exhibit number that you are
responding to on the header of each
document.
1. Table of Contents (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
(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, including:
(i) If service funds are depleted;
(ii) For State-funded services, if State
changes policy;
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(iii) If the need for project changes;
(j) Description of efforts to remove
barriers to affordable housing;
(k) Description of your plans to
incorporate Section 3 requirements,
Economic Opportunities for Low- and
Very Low-Income Persons, in proposed
project (optional, but required to
received up to 2 points).
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
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 Survey;
(ix) Letter to State/Tribal Historic
Preservation Officer (SHPO/THPO) and
a statement that SHPO/THPO failed to
respond to you OR a copy of the
response letter received from SHPO/
THPO.
(2) Exhibit 5: Supportive Services
Plan:
(a) Description of services;
(b) Public/private funding sources for
proposed services;
(c) Manner in which services will be
provided.
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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 2006
Section 202 or Section 811 NOFA, and
required information about each;
(b) A list of all FY 2005 and prior
years 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: Standard Forms,
Certifications and Resolutions:
(a) Standard Form 424, Application
for Federal Assistance with copy of the
letter you sent to the State Point of
Contact, if applicable;
(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, if applicable;
(i) Form HUD–96010, Program
Outcome Logic Model;
(j) Form HUD–27300, Questionnaire
for HUD’s Initiative on Removal of
Regulatory Barriers (optional form, but
required to receive up to 2 points);
(k) Form HUD–96011, Facsimile
Transmittal, must be used as the cover
page to any facsimile submitted using
the facsimile solution (i.e., for faxing
third party letters and other documents
for your electronic application in
accordance with the instructions in the
General Section;
(l) Form HUD–2994–A, You Are Our
Client/Grant Applicant Survey
(optional).
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a. Part I—Application Form for Section
202 Supportive Housing—Capital
Advance
(1) Exhibit 1: Form HUD–92015–CA,
Supportive Housing for the Elderly
Section 202, Application for Capital
Advance Summary Information. A copy
of this form is available at the
Grants.gov Web site at www.grants.gov.
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).
Note: Based on a HUD review of your
articles of incorporation, constitution, or
other organizational documents, HUD must
determine, among other things, that (1) you
are an eligible private nonprofit entity and
are not a public body or an instrumentality
of a public body, (2) your corporate purposes
are sufficiently broad to provide you the legal
authority to sponsor the proposed project for
the elderly, to assist the Owner, and to apply
for a capital advance, (3) no part of the
Sponsor’s net earnings inures to the benefit
of any private party, and (4) that you are not
controlled by or under the direction of
persons seeking to derive profit or gain
therefrom.
[Exception: If you received a section 202
fund reservation within the last three funding
cycles, you are not required to submit the
documents described in (A), (B), and (C)
above. Instead, submit the project number of
the latest application and the local HUD
office to which it was submitted. If there
have been any modifications or additions to
the subject documents, indicate such, and
submit the new material.]
(2) Exhibit 3: Your purpose,
community ties and experience:
(a) A description of your purpose(s),
current activities, including your ability
to enlist volunteers and raise private
local funds, and how long you have
been in existence.
(b) A description of your ties to the
community in which your project will
be located and to the minority and
elderly communities in particular,
including a description of the specific
geographic area(s) in which you have
served.
(c) A description of local government
support for the project (including
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financial assistance, donation of land,
provision of services, etc.).
(d) Letters of support for your
organization and for the proposed
project from organizations familiar with
the housing and supportive services
needs of the target population that you
expect to serve in the proposed project.
(e) A description of your housing and/
or supportive services experience. The
description should include any rental
housing projects and/or supportive
services facilities that you sponsored,
own and/or operate, your past or current
involvement in any programs other than
housing that demonstrates your
management capabilities (including
financial management) and experience,
your experience in serving the target
population (the elderly and/or families
and minorities); and the reasons for
receiving any increases in fund
reservations for developing and/or
operating previously funded Section
202 or Section 811 projects. The
description should include data on the
facilities and services provided, the
racial/ethnic composition of the
populations served, if available, and
information and testimonials from
residents or community leaders on the
quality of the activities. Examples of
activities that could be described
include housing counseling, nutrition
and food services, special housing
referral, screening and information
projects.
(f) A description of your efforts to
involve members of the target
population (elderly persons, including
minority elderly persons) in the
development of the application as well
as your intent to involve the target
population in the development and
operation of the project.
(g) A description of the practical
solutions you will implement which
will enable residents of your project to
achieve independent living. In addition,
describe the educational opportunities
you will provide for the residents and
how you will provide them. This
description should include any
activities that will enhance the quality
of life for the residents. And, finally,
describe how your proposed project will
be an improved living environment for
the residents when compared to their
previous place of residence.
(h) Describe your plan for completing
the proposed project. Include a project
development timeline which lists the
major development stages for the project
with associated dates that must be met
in order to get the project to initial
closing and start of construction within
the 18-month fund reservation period as
well as the full completion of the
project, including final closing.
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Completion of Exhibit 8(i), Program
Outcome Logic Model, will assist you in
completing your response to this
Exhibit.
(i) Describe how you will ensure that
your proposed project will remain
viable as housing with the availability of
supportive services for the target
population for the 40-year capital
advance period. This description should
address the measures you would take
should any of the following occur:
(i) Funding for any of the needed
supportive services becomes depleted;
(ii) If, for any state-funded services for
your project, the state changes its policy
regarding the provision of supportive
services to projects such as the one you
propose; or
(iii) If the need for housing for the
population you will be serving wanes
over time, causing vacancies in your
project.
(j) A description of the successful
efforts the jurisdiction in which your
project will be located has taken in
removing regulatory barriers to
affordable housing. To obtain up to 2
points for this policy priority, you must
complete the optional Form HUD–
27300, ‘‘Questionnaire for HUD’s
Initiative on Removal of Regulatory
Barriers’’ in Exhibit 8(j) of the
application AND provide the necessary
URL references or submit the
documentary evidence.
(k) A description on how you plan to
incorporate the Section 3 requirements
into your proposed project with goals
for expanding training and employment
opportunities for low- and very lowincome (Section 3) persons as well as
business concerns. This exhibit is
optional, but to obtain up to 2 points for
this policy priority, you must submit
this exhibit and adequately address your
plans to provide opportunities to train
and employ low- and very low-income
residents of the project area and award
substantial contracts to persons residing
in the project area.
c. Part III—The Need for Supportive
Housing for the Target Population, Site
Control and Suitability of Site,
Adequacy of the Provision of
Supportive Services and of the Proposed
Project
(1) Exhibit 4: Need and Project
Information
(a) Evidence of need for supportive
housing. Include a description of the
category or categories of elderly persons
the housing is intended to serve and
evidence demonstrating sustained
effective demand for supportive housing
for that population in the market area to
be served, taking into consideration the
occupancy and vacancy conditions in
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existing federally assisted housing for
the elderly (HUD and the Rural Housing
Service (RHS)) e.g., public housing, state
or local data on the limitations in
activities of daily living among the
elderly in the area; aging in place in
existing assisted rentals; trends in
demographic changes in elderly
population and households; the
numbers of income eligible elderly
households by size, tenure and housing
condition; the types of supportive
services arrangements currently
available in the area; and the use of such
services as evidenced by data from local
social service agencies or agencies on
aging. Also, a description of how
information in the community’s or
(where applicable) the state’s
Consolidated Plan, Analysis of
Impediments to Fair Housing Choice
(AI) or other planning document that
analyzes fair housing issues was used in
documenting the need for the project.
(b) A description of how the proposed
project will benefit the target population
and the community in which it will be
located.
(c) Description of the project.
(i) Narrative description of the
building design including a description
of the number of units with bedroom
distribution, any special design features,
including any features that incorporate
visitability standards and universal
design, amenities, and/or commercial
and community spaces, and how this
design will facilitate the delivery of
services in an economical fashion and
accommodate the changing needs of the
residents over the next 10–20 years.
Note: If the community spaces, amenities,
or features do not comply with the project
design and cost standards of 24 CFR
891.120(a) and (c), the special standards of 24
CFR 891.210, and the limitation on bedroom
unit sizes as required by paragraph 1–11.B.4.
of HUD Handbook 4571.3 REV–1, you must
demonstrate your ability and willingness to
contribute both the incremental development
cost and continuing operating cost associated
with the community spaces, amenities, or
features;
(ii) Describe whether and how the
project will promote energy efficiency
(in accordance with the requirements
set forth in Section III.C.3.j. and
III.C.4.of this NOFA), including any
plans to incorporate energy efficiency
features in the operation of the project
through the use of Energy Star labeled
products and appliances and, if
applicable, innovative construction or
rehabilitation methods or technologies
to be used that will promote efficient
construction.
(iii) If you are proposing to develop a
mixed-finance project by developing
additional units for the elderly (i.e., in
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addition to the 202 units), a description
of any plans and actions you have taken
to create such a mixed-finance project
with the use of Section 202 capital
advance funds, in combination with
other funding sources. Provide the
number of non-Section 202 units to be
included in the mixed-finance project
(also provide the number of additional
units in the appropriate space on Form
HUD–92015-CA). Also, provide copies
of any letters you have sent seeking
outside funding for the non-Section 202
units and any responses thereto. You
also must demonstrate your ability to
proceed with the development of a
Section 202 project that will not involve
mixed-financing, as proposed in your
application, in the event you are later
unable to obtain the necessary outside
funding or HUD disapproves your
proposal for a mixed-finance project for
additional non-Section 202 units for the
elderly.
Notes: (1) A proposal to develop a 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) Section 202 capital
advance amendment money will not be
approved for projects proposing mixedfinancing. (3) If approved for a reservation of
capital advance funds, you will be required
to submit with your Firm Commitment
Application, the additional documents
required by HUD for mixed-finance
proposals. (4) A mixed-finance project does
not include the development of a mixed-use
project in which the Section 202 units are
mortgaged separately from the other uses of
the structure.
(d) Evidence of site control and
permissive zoning.
(i) Acceptable evidence of site control
is limited to any one of the following:
(A) Deed or long-term leasehold
which evidences that you have title to
or a leasehold interest in the site. If a
leasehold, the term of the lease must be
at least 50 years with renewable
provisions for 25 years, except for sites
on Indian trust land, in which case, the
term of the lease must be at least 50
years with no requirement for
extensions;
(B) Contract of sale for the site that is
free of any limitations affecting the
ability of the seller to deliver ownership
to you after you receive and accept a
notice of Section 202 capital advance.
(The only condition for closing on the
sale can be your receipt and acceptance
of the capital advance.) The contract of
sale cannot require closing earlier than
the Section 202 closing;
(C) Option to purchase or for a longterm leasehold, which must remain in
effect for six months from the date on
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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 of
site control as described above and
evidence that consent to release the site
from the mortgage has been obtained or
has been requested from HUD (all
required information in order for a
decision on the request for a partial
release of security must have been
submitted to the local HUD office) and
from the mortgagee, if other than HUD.
Approval to release the site from the
mortgage must be done before the local
HUD office makes its selection
recommendations to HUD Headquarters.
Refer to Chapter 16 of HUD Handbook
4350.1 REV–1, Multifamily Asset
Management and Project Servicing, for
instructions on submitting requests to
the local HUD office for partial release
of security from a mortgage under a
HUD program; or
(E) For sites to be acquired from a
public body, evidence is needed that the
public body possesses clear title to the
site and has entered into a legally
binding agreement to lease or convey
the site to you after you receive and
accept a notice of Section 202 capital
advance. Where HUD determines that
time constraints of the funding round
will not permit you to obtain all of the
required official actions (e.g., approval
of Community Planning Boards) that are
necessary to convey publicly-owned
sites, you may include in your
application a letter from the mayor or
director of the appropriate local agency
indicating that conveyance or leasing of
the site is acceptable without imposition
of additional covenants or restrictions,
and only contingent on the necessary
approval action. Such a letter of
commitment will be considered
sufficient evidence of site control.
(ii) Whether you have title to the site,
a contract of sale, an option to purchase,
or are acquiring a site from a public
body, you must provide evidence (a
current title policy or other acceptable
evidence) that the site is free of any
limitations, restrictions, or reverters
which could adversely affect the use of
the site for the proposed project for the
40-year capital advance period under
HUD’s regulations and requirements
(e.g., reversion to seller if title is
transferred). If the title evidence
contains restrictions or covenants,
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copies of the restrictions or covenants
must be submitted with the application.
If the site is subject to any such
limitations, restrictions, or reverters, the
application will be rejected. Purchase
money mortgages that will be satisfied
from capital advance funds are not
considered to be limitations or
restrictions that would adversely affect
the use of the site. If the contract of sale
or option agreement contains provisions
that allow a Sponsor not to purchase the
property for reasons such as
environmental problems, failure of the
site to pass inspection, or the appraisal
is less than the purchase price, then
such provisions are not objectionable
and a Sponsor is allowed to terminate
the contract of sale or the option
agreement.
Note: A proposed project site may not be
acquired or optioned from a general
contractor (or its affiliate) that will construct
the Section 202 project or from any other
development team member.
(iii) Evidence that the project, as
proposed, is permissible under
applicable zoning ordinances or
regulations or a statement of the
proposed action required to make the
proposed project permissible and the
basis for the belief that the proposed
action will be completed successfully
before the submission of the firm
commitment application (e.g., a
summary of the results of any requests
for rezoning and/or the procedures for
obtaining special or conditional use
permits on land in similar zoning
classifications and the time required for
such rezoning, or preliminary
indications of acceptability from zoning
bodies, etc.).
(iv) Evidence of compliance with the
URA requirement that the seller has
been provided, in writing, with the
required information regarding a
voluntary, arm’s length purchase
transaction (i.e., (1) applicant does not
have the power of eminent domain and,
therefore, will not acquire the property
if negotiations fail to result in an
amicable agreement, and (2) of the
estimate of the fair market value of the
property).
Note: This information should have been
provided before making the purchase offer.
However, in those cases where there is an
existing option or contract, the seller must be
provided the opportunity to withdraw from
the agreement or transaction, without
penalty, after this information is provided.
(v) Narrative describing topographical
and demographic aspects of the site, the
suitability of the site and area (as well
as a description of the characteristics of
the neighborhood), how use of the site
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will promote greater housing
opportunities for minority elderly and
elderly persons with disabilities, and
how use of the site will affirmatively
further fair housing.
Note: You can best demonstrate your
commitment to affirmatively furthering fair
housing by describing how your proposed
activities will assist the jurisdiction in
overcoming impediments to fair housing
choice identified in the applicable
jurisdiction’s Analysis of Impediments (AI)
to Fair Housing Choice, which is a
component of the jurisdiction’s Consolidated
Plan or any other planning document that
addresses fair housing issues. The applicable
Consolidated Plan and AI may be the
community’s, the county’s, or the state’s, to
which input should have been provided by
local community organizations, agencies in
the community and residents of the
community. Alternatively, a document that
addresses fair housing issues and remedies to
barriers to fair housing in the community that
was previously prepared by a local planning,
or similar organization, may be used.
Applicable impediments could include the
need for improved housing quality and
services for elderly minority families, lack of
affirmative marketing and outreach to
minority elderly persons, and the need for
quality eldercare services within areas of
minority concentration when compared with
the type and quality of similar services and
housing in nonminority areas.
(vi) A map showing the location of the
site, the racial composition of the
neighborhood, and any areas of racial
concentration.
Note: For this competition, when
determining the racial and ethnic
composition of the neighborhood
surrounding the proposed site, use data from
the 2000 Census of Population. Data from the
2000 Census may be found at:
www.factfinder.census.gov/servlet/
BasicFactsServlet.
(vii) A Phase I Environmental Site
Assessment (ESA), in accordance with
the ASTM Standards E 1527–05, as
amended, must be undertaken and
completed by you and submitted with
the application. In order for the Phase
I ESA to be acceptable, it must have
been completed or updated no earlier
than 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
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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 ESA and any necessary plans
for clean-up do not have to be submitted
with the application but must be
received by the local HUD office by July
3, 2006. If it is not received by that date,
the application will be rejected.
Note: You must pay for the cost of any
clean-up or remediation, which can be very
expensive. See NOTE at Section
III.C.2.b.(3)(c)(iii).
(viii) You must submit one of the
following:
(A) If there is no pre-1978 structures
on the site or if there are pre-1978
structures, that most recently consisted
of solely four or fewer units of singlefamily housing including appurtenant
structures thereto, a statement to this
effect, or
(B) If there are pre-1978 structures on
the site, other than for a site that most
recently consisted of solely four or
fewer units of single-family housing
including appurtenant structures
thereto, a comprehensive building
asbestos survey that is based on a
thorough inspection to identify the
location and condition of asbestos
throughout any structures.
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Note: In those cases where suspect asbestos
is found, it would either be assumed to be
asbestos or would require confirmatory
testing. If the asbestos survey indicates the
presence of asbestos, or the presence of
asbestos is assumed, and if the application is
approved, HUD will condition the approval
on an appropriate mix of asbestos abatement
and an asbestos Operations and Maintenance
Plan.
(ix) 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,
along with a statement that the SHPO/
THPO failed to respond to your letter,
OR the SHPO/THPO response to your
letter. A sample letter that you may
adapt and send to the SHPO/THPO is
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available on the Grants.gov Web site at
www.grants.gov.
(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 FY2006
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 FY2005 and
prior years Section 202 and Section 811
capital advance projects to which you
are a party. Identify each by project
number and local HUD office and
include the following information:
(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 that have
not been finally closed.
(2) Exhibit 7: A statement that:
(a) Identifies all persons (families,
individuals, businesses and nonprofit
organizations) by race/minority group,
and status as owners or tenants
occupying the property on the date of
submission of the application for a
capital advance.
(b) Indicates the estimated cost of
relocation payments and other services.
(c) Identifies the staff organization
that will carry out the relocation
activities.
(d) Identifies all persons that have
moved from the site within the past 12
months.
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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: Standard Forms,
Certifications and Resolutions. You are
required to submit completed copies of
the following forms which are available
on the Grants.gov Web site at https://
www.grants.gov.
(a) Standard Form 424—Application
for Federal Assistance, including a
DUNS number, an indication of whether
you are delinquent on any federal debt,
and compliance with Executive Order
12372 (a certification that you have
submitted a copy of your application, if
required, to the State agency (Single
Point of Contact/(SPOC)) for state
review in accordance with Executive
Order 12372). If the SPOC requires a
review of your application, you must
include in your Section 202 application,
a copy of the cover letter sent to the
SPOC. Refer to Section IV.D. of this
NOFA for additional information on
compliance with Executive Order
12372. Note: For Section 202 program
purposes, in Item 12, Areas Affected by
Project, of SF–424, provide the names of
the City, County and State where the
project will be located (not the largest
political entities as indicated on the
instructions page of SF–424).
(b) Standard Form 424 Supplement,
Survey on Ensuring Equal Opportunity
for Applicants. Although the
information on this form will not be
considered in making funding
decisions, it will assist the federal
government in ensuring that all
qualified applicants have an equal
opportunity to compete for federal
funding.
(c) Standard Form LLL—Disclosure of
Lobbying Activities (if applicable). A
disclosure of activities conducted to
influence any federal transactions.
(d) Form HUD–2880, Applicant/
Recipient Disclosure/Update Report,
including Social Security and Employee
Identification Numbers. A disclosure of
assistance from other government
sources received in connection with the
project.
(e) Form HUD–2991, Certification of
Consistency with the Consolidated Plan
(Plan) for the jurisdiction in which the
proposed project will be located. The
certification must be made by the unit
of general local government if it is
required to have, or has, a complete
Plan. Otherwise, the certification may
be made by the state or by the unit of
general local government if the project
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will be located within the jurisdiction of
the unit of general local government
authorized to use an abbreviated
strategy, and if it is willing to prepare
such a Plan. All certifications must be
made by a public official responsible for
submitting the Plan to HUD. The
certifications must be submitted as part
of the application by the application
submission deadline date set forth in
the NOFA. The Plan regulations are
published in 24 CFR part 91.
(f) Form HUD–92041, Sponsor’s
Conflict of Interest Resolution. A
certified Board Resolution that no
officer or director of the Sponsor or
Owner has or will have any financial
interest in any contract with the Owner
or in any firm or corporation that has or
will have a contract with the Owner,
including a current listing of all duly
qualified and sitting officers and
directors by title and the beginning and
ending dates of each person’s term.
(g) Form HUD–92042, Sponsor’s
Resolution for Commitment to Project.
A certified Board Resolution
acknowledging responsibilities of
sponsorship, long-term support of the
project(s), your willingness to assist the
Owner to develop, own, manage and
provide appropriate services in
connection with the proposed project,
and that it reflects the will of your
membership. Also, it shall indicate your
willingness to fund the estimated 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.
(h) Form HUD–2990, Certification of
Consistency with the RC/EZ/EC–II
Strategic Plan. A certification that the
project is consistent with the RC/EZ/
EC–IIs strategic plan, is located within
the RC/EZ/EC–II, and serves RC/EZ/EC–
II residents. (This certification is not
required if the project site(s) will not be
located in a RC/EZ/EC–II.)
(i) Form HUD–96010, Program
Outcome Logic Model. In addition to
the Project Development Timeline to be
submitted in Exhibit 3(h) above, the
information provided in the Logic
Model will be used in rating your
application for Rating Factor 5,
Achieving Results and Program
Evaluation.
(j) Form HUD–27300, Questionnaire
for HUD’s Initiative on Removal of
Regulatory Barriers (optional form). To
receive up to 2 points, you must submit
this form and provide a reference, URL
or brief statement documenting the
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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.
(k) Form HUD–96011, Facsimile
Transmittal, is only required if you are
using the facsimile method to fax third
party letters and other documents for
your electronic application in
accordance with the instructions in the
General Section.
Note: HUD will not accept entire
applications by fax. If you submit the
application entirely by fax, it will be
disqualified.
(l) Form HUD–2994–A, You Are Our
Client Grant Applicant Survey. This is
an optional form, which may be used to
provide suggestions and comments to
the Department regarding your
application submission experience.
C. Submission Dates and Time. Your
application must be received and
validated electronically by Grants.gov
no later than 11:59:59 p.m. Eastern time
on the application deadline date of June
2, 2006, 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. HUD strongly
recommends that applicants that are
unable to submit its application
electronically and must seek a waiver of
the electronic grant submission
requirement, submit its waiver request
to the Assistant Secretary for Housing at
the following address no later than 15
days before the application deadline
date. Brian D. Montgomery, Assistant
Secretary for Housing-Federal Housing
Commissioner, Department of Housing
and Urban Development, 451 Seventh
Street, SW., Room 9100, Washington,
DC 20410–8000.
If a waiver is granted, you must mail
copies of the application so that it can
be received at the appropriate local
HUD office no later than 11:59:59 p.m.
on the application deadline date of June
2, 2006. The letter granting the waiver
will provide instructions regarding the
number of copies and where the
application must be sent.
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/
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spoc.html. If required by the state, the
submission to the state needs to occur
before the Section 202 application
deadline date, but in no event later than
the application deadline date. It is
recommended that you provide the state
with sufficient time to review the
application. Therefore, it is important
that you consult with the SPOC for State
review timeframes and take that into
account when submitting the
application. If the SPOC requires a
review of your application, you must
include a copy of the cover letter you
sent to the SPOC in Exhibit 8(a) of your
Section 202 application.
2. HUD/RHS Agreement. HUD and the
Rural Housing Service (RHS) have an
agreement to coordinate the
administration of the agencies’
respective rental assistance programs.
As a result, HUD is required to notify
RHS of applications for housing
assistance it receives. This notification
gives RHS the opportunity to comment
if it has concerns about the demand for
additional assisted housing and possible
harm to existing projects in the same
housing market area. HUD will consider
RHS’ comments in its review and
application selection process.
E. Funding Restrictions.
1. Ineligible Activities. Section 202
funds may not be used for:
a. Nursing homes;
b. Infirmaries;
c. Medical facilities;
d. Mobile homes;
e. Community centers;
f. Headquarters for organizations for
the elderly;
g. Nonhousekeeping accommodations
(e.g., central dining, but without private
kitchens and/or bathrooms in the
residential units);
h. Refinancing of sponsor-owned
facilities without rehabilitation,
i. Housing that you currently own or
lease that is occupied by elderly
persons; and
j. Projects licensed or to be licensed
as assisted living facilities.
Note: You may propose to rehabilitate an
existing currently-owned or leased structure
that does not already serve elderly 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. of this NOFA for
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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.
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Note: The capital advance funds awarded
for this project are to be considered the total
amount of funds that the Department will
provide for the development of this project.
Amendment funds will only be provided in
exceptional circumstances (e.g., to cover
increased costs for construction delays due to
litigation or unforeseen environmental issues
resulting in a change of sites) that are clearly
beyond your control. Otherwise, you are
responsible for any costs over and above the
capital advance amount provided by the
Department as well as any costs associated
with any excess amenities and design
features.
(1) The capital advance amount for
the project attributable to dwelling use
(less the incremental development cost
and the capitalized operating costs
associated with any excess amenities
and design features and other costs you
must pay for) may not exceed:
Non-elevator structures:
$42,980 per family unit without a
bedroom;
$49,557 per family unit with one
bedroom;
$59,766 per family unit with two
bedrooms;
For elevator structures:
$45,232 per family unit without a
bedroom;
$51,849 per family unit with one
bedroom;
$63,049 per family unit with two
bedrooms.
(2) These cost limits reflect those
costs reasonable and necessary to
develop a project of modest design that
complies with HUD minimum property
standards; the accessibility
requirements of § 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 project-by-project
basis. This increase may include
covering additional costs to make
dwelling units accessible through
rehabilitation.
Note: In applying the applicable high cost
percentage, the local HUD Office may use a
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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 Department of Housing and Urban
Development Appropriations Act, 2006,
requires HUD to obligate all Section 202
funds appropriated for FY 2006 by
September 30, 2009. Under 31 U.S.C.
Section 1551, no funds can be disbursed
from this account after September 30,
2014. 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,
2014, 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, 2014.
Furthermore, all unexpended balances,
including any remaining balance on
PRAC contracts, will be cancelled as of
October 1, 2014. Amounts needed to
maintain PRAC payments for any
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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
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. 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. Refer
to HUD’s Web site at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm for a listing of local HUD
offices. The applications submitted
electronically via www.Grants.gov will
be downloaded and forwarded to the
appropriate local HUD office.
2. Special Instructions for Section 202
Applications That Will Have More Than
One Applicant, i.e., Co-Sponsors. The
applicants must designate a single
individual to act as the authorized
representative for all co-Sponsors of the
application. The designated authorized
representative of the organization
submitting the application must be
registered with Grants.gov, the Federal
Central Contractor Registry and with the
credential provider for EAuthentication. Information on the
Grants.gov registration process is found
at HUD’s Web site at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm. (Ours are clearer
instructions.) When the application is
submitted through Grants.gov, the name
of the designated authorized
representative will be inserted into the
signature line of the application. Please
note that the designated authorized
representative must be able to make
legally binding commitments for each
co-Sponsor to the application.
Each co-Sponsor must complete the
documents required of all co-sponsoring
organizations to permit HUD to make a
determination on the eligibility of the
co-Sponsor(s) and the acceptability of
the application based on the assistance
and commitments the co-Sponsor(s) has
pledged to the project. Therefore, each
co-Sponsor must submit the following
information using the scanning and/or
faxing method described in Section IV.
of the General Section: Standard Form–
424, Application for Federal Assistance;
Standard Form–424 Supplement,
Survey on Ensuring Equal Opportunity
for Applicants; Standard Form LLL,
Disclosure of Lobbying Activities (if
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applicable); Form HUD–92015–CA,
Section 202 Application for Capital
Advance, Summary Information; Form
HUD–92041, Sponsor’s Conflict of
Interest Resolution; and Form HUD–
92042, Sponsor’s Resolution for
Commitment to Project. The forms
identified above are discussed in the
Program instructions package and can
be downloaded from Grants.gov under
the program application download at
www.grants.gov. The downloaded and
completed forms should be saved as
separate electronic files and attached to
the electronic application submission
following the requirements of Section
IV.
As stated in the General Section,
Section IV, scanning documents to
create electronic files increases the size
of the file. Therefore, applicants may
not submit scanned files unless using
the facsimile method as stated in the
General Section will not work due to the
nature of the document. If the facsimile
method does not work, forms and other
documents from co-Sponsors may be
scanned to create an electronic file and
submitted as an attachment to the
application. These documents should be
labeled and numbered so the HUD
reviewer can identify the file and its
contents. If the applicant is creating an
electronic file, the file should contain a
header that identifies the name of the
Sponsor submitting the electronic
application, that Sponsor’s DUNS
number, and the unique ID that is found
at the top of the Facsimile Transmission
form found in the electronic application
package. The naming convention for
each electronic file should correspond
to the labeling convention used in the
application Table of Contents found in
Section IV.B.1. of this program NOFA.
For example, the organizational
documents of a co-Sponsor would be
included under Part II, Exhibit 2(a) of
the Section 202 application.
The signed documents and other
information required to be submitted
with the electronic application should
be transmitted via fax using Form HUD–
96011, Facsimile Transmittal found in
the electronic application package. CoSponsors should use the form HUD–
96011 provided by the Sponsor that is
submitting the electronic application.
The submitting Sponsor should fill in
the SF–424 form prior to giving the
Form HUD–96011 to the co-Sponsors.
By following these directions, the Form
HUD–96011 will be pre-populated with
the submitting Sponsor’s organizational
information exactly as the submitting
Sponsor has provided it on the
electronic application. In addition, HUD
will be using the unique identifier
associated to the downloaded
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application package as a means of
matching the faxes submitted with the
applications received via Grants.gov.
The Facsimile Transmittal form also has
space to provide the number of pages
being faxed and information on the type
of document. Co-Sponsors or the
submitting applicant can insert the
document name in the space labeled
Program Component.
Note: Do not insert any additional or other
cover pages as it will cause problems in
electronically matching the pieces of the
application.
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 2006. Refer to
the General Section for information
regarding HUD’s Strategic Goals and
Policy Priorities. For the Section 202
program, applicants who include work
activities that specifically address the
policy priorities of encouraging
accessible design features by
incorporating visitability standards and
universal design, removing barriers to
affordable housing, promoting energy
efficiency in design and operations, and
expanding training and employment
opportunities for low- and very lowincome persons and business concerns
(Section 3 requirements), will receive
additional points. A Notice pertaining to
the removal of barriers to affordable
housing was published in the Federal
Register and may be downloaded from
the HUD Web site at 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 NOFA.
The maximum number of points an
application may receive under this
program is 102. This includes two (2)
RC/EZ/EC–II bonus points, as described
in the General Section and Section
V.A.6. below.
1. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Staff (23 Points)
This factor addresses the extent to
which you have the organizational
resources to successfully implement the
proposed activities in a timely manner.
Submit information responding to this
factor in accordance with Application
Submission Requirements in Exhibits
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3(a), 3(b), 3(e), 5 and 6 of Section IV.B.
of this NOFA. In rating this factor, HUD
will consider the extent to which your
application demonstrates your ability to
develop and operate the proposed
housing on a long-term basis,
considering the following:
a. (13 points). The scope, extent, and
quality of your experience in providing
housing or related services to those
proposed to be served by the project and
the scope of the proposed project (i.e.,
number of units, services, relocation
costs, development, and operation) in
relationship to your demonstrated
development and management capacity
as well as your financial management
capability.
b. (10 points). The scope, extent and
quality of your experience in providing
housing or related services to minority
persons or minority families and your
ties to the community at large and to the
minority and elderly communities in
particular.
(1) (5 points). The scope, extent, and
quality of your experience in providing
housing or related services to minority
persons or minority families.
(2) (5 points). The scope, extent, and
quality of your ties to the community at
large and to the minority and elderly
communities in particular.
To earn the maximum number of
points under sub-criteria (b)(1) above,
you must describe significant previous
experience in providing housing and/or
supportive services to minorities
generally and to minority elderly in
particular. For the purpose of this
competition, ‘‘significant previous
experience’’ means that the previous
housing assistance or related services to
minorities (i.e., the percentage of
minorities being provided housing or
related services in your current
developments) was equal to or greater
than the percentage of minorities in the
housing market area where the previous
housing or services occurred. To earn
the maximum number of points under
sub-criteria (b)(2) above, you should
submit materials that demonstrate your
efforts to make housing available to the
community at large and the minority
and elderly communities in particular
and your relationships over time with
the minority and elderly communities.
Examples of documents that may be
submitted to earn the maximum number
of points under sub-criteria (b)(2)
include letters of support from
community leaders (including minority
community leaders) that give
information about the applicant’s
relationship over time with the
community (including the minority
community). You may also submit
copies of your affirmative marketing
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plan and the advertising/outreach
materials you utilize to attract minority
communities (including limited English
proficient communities), elderly
communities and the community at
large. Regarding your advertising/
outreach materials, you should identify
when advertising/outreach materials are
circulated, 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 2001 or
later has been extended beyond 24
months, 4 points if beyond 36 months,
or 5 points if beyond 48 months.
Examples of such delays beyond your
control include, but are not limited to,
initial closing delays that are: (1)
directly attributable to HUD, (2) directly
attributable to third party opposition,
including litigation, and (3) due to a
disaster, as declared by the President of
the United States.
d. (¥3 to ¥5 points). HUD will
deduct from 3 points to 5 points if
amendment money was required in
connection with a fund reservation you
received under either the Section 202
Program of Supportive Housing for the
Elderly or the Section 811 Program of
Supportive Housing for Persons with
Disabilities in FY 2001 or later based on
the following.
(1) (¥3 points). The amount of the
amendment money required was 25% or
less of the original capital advance
amount approved by HUD.
(2) (¥4 points). The amount of the
amendment money required was
between 26% and 50% of the original
capital advance amount approved by
HUD.
(3) (¥5 points). The amount of the
amendment money required was over
50% of the original capital advance
amount approved by HUD.
2. Rating Factor 2: Need/Extent of the
Problem (13 Points)
This factor addresses the extent to
which there is a need for funding the
proposed activities to address a
documented problem in the target area.
Submit information responding to this
factor in accordance with Application
Submission Requirements in Exhibits
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4(a) and 4(b) of Section IV.B. of this
NOFA. HUD will take into
consideration the following in
evaluating this factor:
The extent of the need for the project
in the area based on a determination by
the local HUD Office. In making this
determination, HUD will consider your
evidence of need in the area, as well as
other economic, demographic, and
housing market data available to the
local HUD office. The data should
include a general assessment of the
current conditions in the market for the
type of housing proposed, an estimate of
the demand for additional housing of
the type proposed in the applicable
housing market area; as well as,
information on the numbers and types
of existing comparable federally assisted
housing units for the elderly (HUD and
RHS), current occupancy in such
housing and recent market experience,
comparable assisted housing for the
elderly under construction or for which
fund reservations have been issued, and,
in accordance with an agreement
between HUD and RHS, comments from
RHS on the demand for additional
comparable subsidized housing and the
possible harm to existing projects in the
same housing market areas. The
Department will also review more
favorably those applications that
establish a connection between the
proposed project and the community’s
Analysis of Impediments to Fair
Housing Choice (AI) or other planning
document that analyzes fair housing
issues and is prepared by a local
planning or similar organization. You
must show how your proposed project
will address an impediment to fair
housing choice described in the AI or
meet a need identified in the other type
of planning document.
For all Section 202 projects that are
determined to have sufficient demand,
HUD will rate your application based on
the ratio of the number of units in the
proposed project to the estimate of
unmet need for housing assistance by
the income eligible elderly households
with selected housing conditions.
Unmet need is defined as the number of
very low-income elderly one-person
renter households age 75 and older with
housing conditions problems, as of the
2000 Census minus the number of
project-based subsidized rental housing
units (HUD, RHS, or LIHTC) that are
affordable to very low-income elderly
provided in the area since 1999. Units
to be occupied by resident managers are
not counted. After HUD determines the
estimate of unmet need and whether a
connection has been made between the
project and community’s Consolidated
Plan, Analysis of Impediments to Fair
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Housing Choice, or other planning
document, HUD will rate your
application as follows:
a. (10 points). The area of the project
has an unmet needs ratio of 15 percent
or less; or
(5 points). The area of the project has
an unmet needs ratio of greater than 15
percent; or
(0 points). The area of the proposed
project has no unmet needs for housing
assistance.
b. (3 points). The extent that a
connection has been established
between the project and the
community’s Consolidated Plan,
Analysis of Impediments to Fair
Housing Choice (AI) or other planning
document that analyzes fair housing
issues and is prepared by a local
planning or similar organization.
3. Rating Factor 3: Soundness of
Approach (47 Points)
This factor addresses the quality and
effectiveness of your proposal and the
extent to which you involved elderly
persons, including elderly minority
persons, in the development of the
application and will involve them in the
development and operation of the
project, whether the jurisdiction in
which your project will be located has
undertaken successful efforts to remove
regulatory barriers to affordable
housing, whether you will promote
energy efficiency in the design and
operation of the proposed housing, and
your plans to expand economic
opportunities for low- and very lowincome persons as well as business
concerns (Section 3 requirements).
There must be a clear relationship
between your proposed design,
proposed activities, the community’s
needs and purposes of the program
funding for your application to receive
points for this factor. Submit
information responding to this factor in
accordance with Application
Submission Requirements in Exhibits
3(f), 3(j), 3(k), 4(c)(i), 4(c)(ii), 4(d)(iii),
4(d)(v), 4(d)(vi), 5, and 8(j) of Section
IV.B. of this NOFA. In evaluating this
factor, HUD will consider the following:
a. (20 points). The proximity or
accessibility of the site to shopping,
medical facilities, transportation, places
of worship, recreational facilities, places
of employment, and other necessary
services to the intended occupants;
adequacy of utilities and streets;
freedom of the site from adverse
environmental conditions; compliance
with site and neighborhood standards
(24 CFR 891.125(a), (d) and (e)).
b. (¥1 point). The site(s) is not
permissively zoned for the intended
use.
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c. (10 points). The suitability of the
site from the standpoints of promoting
a greater choice of housing
opportunities for minority elderly
persons/families, and affirmatively
furthering fair housing. In reviewing
this criterion, HUD will assess whether
the site meets the site and neighborhood
standards at 24 CFR 891.125(b) and (c)
by examining relevant data in your
application or in the local HUD Office.
Where appropriate, HUD may visit the
site.
(1) The site will be deemed acceptable
if it increases housing choice and
opportunity by expanding housing
opportunities in non-minority
neighborhoods (if located in such a
neighborhood). The term ‘‘nonminority
area’’ is defined as one in which the
minority population is lower than 10
percent. If the site will be in a minority
neighborhood, the site will be deemed
acceptable if it contributes to the
revitalization of and reinvestment in the
minority neighborhood, including
improvement of the level, quality and
affordability of services furnished to
minority elderly. You should refer to the
Site and Neighborhood Standards
provisions of the regulations governing
the Section 202 Supportive Housing for
the Elderly program (24 CFR 891.125(b)
and (c)) when considering sites for your
project.
(2) For the purpose of this
competition, the term ‘‘minority
neighborhood (area of minority
concentration)’’ is defined as one where
any one of the following statistical
conditions exists:
(a) The percentage of persons of a
particular racial or ethnic minority is at
least 20 points higher than the
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
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accommodate the provision of
supportive services that are expected to
be needed, initially and over the useful
life of the housing, by the category or
categories of elderly persons the
housing is intended to serve.
g. (3 points). The extent to which the
proposed supportive services meet the
identified needs of the anticipated
residents and that the identified
supportive services will be provided on
a consistent, long-term basis.
h. (1 point). The extent to which the
proposed design incorporates
visitability standards and/or universal
design in the construction or
rehabilitation of the project. Refer to the
General Section for further information.
i. (2 points). Your involvement of
elderly persons, particularly minority
elderly persons, in the development of
the application and your intent to
involve elderly persons, particularly
minority elderly persons, in the
development and operation of the
project.
j. (2 points). The extent to which the
jurisdiction in which your project will
be located has undertaken successful
efforts to remove regulatory barriers to
affordable housing. (Note: 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
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.
l. (2 points). The extent to which you
have described your plans for
expanding economic opportunities for
low- and very-low income persons
(provisions of Section 3). Note: To
receive up to 2 points, the applicant
must have adequately addressed the
following in Exhibit 3(k) of the
application. Refer to the General Section
for further information.
(1) (1 point). Provide opportunities to
train and employ low- and very lowincome residents of the project area.
(2) (1 point). Award substantial
contracts to persons residing in the
project area.
4. Rating Factor 4: Leveraging Resources
(5 Points)
This factor addresses your ability to
secure other funding sources and
community resources that can be
combined with HUD’s program
resources to achieve program purposes.
Submit information responding to this
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factor in accordance with Application
Submission Requirements in Exhibits
3(a), 3(b), 3(c), 3(d), 3(e), and 5(b) of
Section IV.B. of this NOFA.
a. (0 point). The application contains
general support and/or written evidence
of firm commitments towards the
development and operation of the
proposed project (including, financial
assistance, donation of land, provision
of services, etc.) from other funding
sources (e.g., private local community
and government sources) where the
dollar value totals 5% or less of the
capital advance amount as determined
by HUD.
b. (1 point). The application contains
written evidence of firm commitments
towards the development and operation
of the proposed project (including,
financial assistance, donation of land,
provision of services, etc.) from other
funding sources (e.g., private local
community and government sources)
where the dollar value total between 6%
and 10% of the capital advance amount
as determined by HUD.
c. (2 points). The application contains
written evidence of firm commitments
towards the development and operation
of the proposed project (including,
financial assistance, donation of land,
provision of services, etc.) from other
funding sources (e.g., private local
community and government sources)
where the dollar value totals 11% and
15% of the capital advance amount as
determined by HUD.
d. (3 points). The application contains
written evidence of firm commitments
towards the development and operation
of the proposed project (including,
financial assistance, donation of land,
provision of services, etc.) from other
funding sources (e.g., private local
community and government sources)
where the dollar value totals between
16% and 20% of the capital advance
amount as determined by HUD.
e. (4 points). The application contains
written evidence of firm commitments
towards the development and operation
of the proposed project (including,
financial assistance, donation of land,
provision of services, etc.) from other
funding sources (e.g., private local
community and government sources)
where the dollar value totals between
21% and 25% of the capital advance
amount as determined by HUD.
f. (5 points). The application contains
written evidence of firm commitments
towards the development and operation
of the proposed project (including,
financial assistance, donation of land,
provision of services, etc.) from other
funding sources (e.g., private local
community and government sources)
where the dollar value totals over 25%
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6. Bonus Points (2 Bonus Points)
of the capital advance amount as
determined by HUD.
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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(i), Project Outcome 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(i) of
Section IV.B.
a. (5 points). The extent to which your
project development timeline is
indicative of your full understanding of
the development process and will,
therefore, result in the timely
development of your project.
b. (2 points). The extent to which your
past performance evidences that the
proposed project will result in the
timely development of the project.
Evidence of your past performance
could include the development of
previous construction projects,
including but not limited to Section 202
and Section 811 projects.
c. (2 points). The extent to which your
project will implement practical
solutions that will result in assisting
residents in achieving independent
living, educational opportunities,
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.
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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.
Exhibit
Description
(d) ...................
Form HUD–2880, Applicant/
Recipient Disclosure/Update Report.
Form HUD–2991, Certification of Consistency with
Consolidated Plan.
Form-HUD–92041, Sponsor’s Conflict of Interest
Resolution.
Form HUD–92042, Sponsor’s Resolution for Commitment to Project.*
(e) ...................
(f) ....................
B. Reviews and Selection Process
1. Review for Curable Deficiencies.
Upon receipt of the application by HUD
staff, HUD will screen all applications to
determine if there are any curable
deficiencies. For applicants receiving a
waiver to submit a paper application,
submitting fewer than the required
original and four copies of the
application is not a curable deficiency
and will cause your application to be
considered non-responsive to the NOFA
and returned to you. A curable
deficiency is a missing Exhibit or
portion of an Exhibit that will not affect
the rating of the application. Refer to the
General Section for additional
information regarding procedures for
corrections to deficient applications.
The following is a list of the only
deficiencies that will be considered
curable in a Section 202 application:
Exhibit
Description
1 .....................
Form 92015–CA (Application
Form).*
Articles of Incorporation.*
By-laws.*
IRS tax exemption ruling.*
Description of mixed-financing plans for additional
units, if applicable.
Evidence of site control.
Evidence site is free of limitations, restrictions or reverters.
Evidence of compliance with
URA site notification requirement.
Phase I ESA.
Asbestos Statement or Survey.
Letter to the State/Tribal Historic Preservation Officer.
(SHPO/THPO) and a
statement that the SHPO/
THPO failed to respond;
or the Letter from the
SHPO/THPO.
Relocation.
Standard Form 424, Application for Federal Assistance, Letter sent to the
State Point of Contact
(SPOC).*
Standard Form 424 Supplement, Survey on Ensuring
Equal Opportunity for Applicants.
Standard Form LLL, Disclosure of Lobbying Activities,
if applicable.
2(a) .................
(b) ...................
(c) ...................
4(c)(iii) ............
4(d)(i) .............
(d)(ii) ...............
(d)(iv) ..............
(d)(vii) .............
(d)(viii) ............
(d)(ix) ..............
7 .....................
8(a) .................
(b) ...................
(c) ...................
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(g) ...................
The local HUD office will notify you
in writing if your application is missing
any of the above exhibits or portions of
exhibits and will provide you with a
specified deadline to submit the
information required to cure the noted
deficiencies. The items identified by an
asterisk (*) must be dated on or before
the application submission date. If an
Exhibit or portion of an Exhibit listed
above as curable is not discovered as
missing until technical processing, HUD
will provide you with a deadline to cure
the deficiency.
2. Rating. HUD will review and rate
your application in accordance with the
Reviews and Selection Process in the
General Section except as described in
3. Appeal Process below. Your
application will be either rated or
technically rejected at the end of
technical review. If your application
meets all program eligibility
requirements after completion of
technical review, it will be rated
according to the rating factors in Section
V.A. above.
3. Appeal Process. HUD will not reject
your application based on technical
review without notifying you of the
rejection with all the reasons for
rejection and providing you an
opportunity to appeal. You will have 14
calendar days from the date of HUD’s
written notice to appeal a technical
rejection to the local HUD office. In
HUD’s review of any appeal, it should
be noted that in conformance with its
regulations at 24 CFR part 4, subpart B,
HUD will not consider any unsolicited
information that you, the applicant, may
want to provide. The local HUD office
will make a determination on any
appeals before making its selection
recommendations.
4. Ranking and Selection Procedures.
Applications submitted in response to
the advertised metropolitan allocations
or nonmetropolitan allocations that
have a total base score of 75 points or
more (without the addition of RC/EC/
EZ–II bonus points) and meet all of the
applicable threshold requirements of the
General Section and this NOFA will be
eligible for selection, and HUD will
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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 remaining. After making
the initial selections in each allocation
area, however, HUD Multifamily
Program Centers may use remaining
available funds to select the next rankordered application by reducing the
number of units by no more than 10
percent, rounded to the nearest whole
number, provided the reduction will not
render the project infeasible. For this
purpose, however, HUD will not reduce
the number of units in projects of five
units or less.
Once this process has been
completed, HUD Multifamily Program
Centers may combine their unused
metropolitan and nonmetropolitan
funds in order to select the next highest
ranked application in either category,
using the unit reduction policy
described above, if necessary.
After the HUD Multifamily Program
Centers have funded all possible
projects based on the process above,
combined metropolitan and
nonmetropolitan residual funds from all
HUD Multifamily Program Centers
within each Multifamily Hub will be
combined. First, these funds will be
used to restore units to projects reduced
by HUD Multifamily Program Centers
based on the above instructions.
Second, additional applications within
each Multifamily Hub will be selected
in Hub-wide rank order with only one
application selected per HUD
Multifamily Program Center. More than
one application may be selected per
HUD Multifamily Program Center if
there are no approvable applications in
other HUD Multifamily Program Centers
within the Multifamily Hub. This
process will continue until there are no
more approvable applications within
the Multifamily Hub that can be
selected with the remaining funds.
Applications may not be skipped over to
select one based on funds remaining.
However, the Multifamily Hub may use
any remaining residual funds to select
the next highest rated application by
reducing the number of units by no
more than 10 percent rounded to the
nearest whole number, provided the
reduction will not render the project
infeasible or result in the project being
less than five units.
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Funds remaining after the Multifamily
Hub selection process is completed will
be returned to Headquarters. HUD
Headquarters will use these residual
funds first to restore units to projects
reduced by HUD Multifamily Program
Centers or Multifamily Hubs as a result
of the instructions for using their
residual funds. Second, HUD
Headquarters will use these funds for
selecting applications based on HUD
Multifamily Program Centers’ rankings,
beginning with the highest rated
application nationwide. However, after
restoring units to projects where
necessary, priority will be given to those
applications for projects in nonmetropolitan areas, if necessary to meet
the statutory requirement of Section 202
of the Housing Act of 1959 pertaining to
Section 202 funding in nonmetropolitan
areas. Only one application will be
selected per HUD Multifamily Program
Center from the national residual
amount. If there are no approvable
applications in other HUD Multifamily
Program Centers, the process will begin
again with the selection of the next
highest rated application nationwide.
This process will continue until all
approvable applications are selected
using the available remaining funds.
HUD Headquarters may skip over a
higher-rated application in order to use
as much of the available remaining
funds as possible.
5. HUD Error. In the event HUD
commits an error that, when corrected,
would have resulted in the selection of
an otherwise eligible applicant during
the funding round of this NOFA, HUD
may select that applicant when
sufficient funds become available.
VI. Award Administration Information
A. Award Notices
1. Agreement Letter. If you are
selected to receive a Section 202 fund
reservation, you will receive an
Agreement Letter that stipulates the
terms and conditions for the Section 202
fund reservation award as well as the
submission requirements following the
fund reservation award. The duration of
the fund reservation award for the
capital advance is 18 months from the
date of issuance of the fund reservation.
Immediately upon your acceptance of
the Agreement Letter, you are expected
to begin work towards the submission of
a Firm Commitment Application, which
is the next application submission stage.
You are required to submit a Firm
Commitment Application to the local
HUD office within 180 days from the
date of the Agreement Letter. Initial
closing of the capital advance and start
of construction of the project are
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expected to be accomplished within the
duration of the fund reservation award.
Final closing of the capital advance is
expected to occur no later than six
months after completion of project
construction.
2. Non-Selection Letter. If your
application is approvable but unfunded
due to insufficient funds or receives a
rating that is below the minimum
threshold score established for funding
eligibility, you will receive a letter to
this effect.
3. Debriefing. Refer to the General
Section for further information
regarding debriefings, except that the
request for a debriefing must be made to
the Director of Multifamily Housing in
the appropriate local HUD office.
B. Administrative and National Policy
Requirements
1. Ensuring the Participation of Small
Businesses, Small Disadvantaged
Businesses, and Women-Owned
Businesses. Although the Section 202
program is not subject to the provisions
of 24 CFR 85.36(e) as described in the
corresponding paragraph in the General
Section, you are required to comply
with Executive Order 12432, Minority
Business Enterprise Development and
Executive Order 11625, Prescribing
Additional Arrangements for
Developing and Coordinating a National
Program for Minority Business
Enterprise as they relate to the
encouragement of HUD grantees to
utilize minority business enterprises.
2. Acquisition and Relocation. You
must comply with the Uniform
Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as
amended (49 CFR part 24, and 24 CFR
891.155(e)) (URA), which covers the
acquisition of sites, with or without
existing structures, and with 24 CFR
8.4(b)(5) of the Section 504 regulations
which prohibits discrimination based
on disability in determining the site or
location of a federally-assisted facility.
However, you are exempt from
complying with the site acquisition
requirements of the URA if you do not
have the power of eminent domain and
prior to entering into a contract of sale,
option to purchase or any other method
of obtaining site control, you inform the
seller of the land in writing (1) that you
do not have the power of eminent
domain and, therefore, you will not
acquire the property if negotiations fail
to result in an amicable agreement, and
(2) of the estimate of the fair market
value of the property. An appraisal is
not required to meet this requirement,
however, your files must include an
explanation (with reasonable evidence)
of the basis for the estimate. Evidence of
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compliance with this advance notice
requirement must be included in Exhibit
4(d)(iv) of your application.
3. Flood Disaster Protection Act of
1973 and Coastal Barrier Resources Act.
You must comply with the requirements
under the Flood Disaster Protection Act
of 1973 (42 U.S.C. 4001–4128) and the
Coastal Barrier Resources Act (16 U.S.C.
3601).
C. Reporting
1. The Program Outcome Logic Model
(Form HUD–96010) must be completed
indicating the results achieved against
the proposed output goal(s) and
proposed outcome(s) which you stated
in your approved application and
agreed upon by HUD. Based on the
information you provided in the
Program Outcome Logic Model, you also
are required to submit to HUD a
statement reporting the Return on
Investment as a result of HUD’s Section
202 funding award to you to develop
and operate a Section 202 housing
project with supportive services for the
very low-income elderly. The Return on
Investment requirement is a comparison
of the cost of the acquisition,
construction, or rehabilitation of
housing with supportive services for
elderly persons, including the frail
elderly, 62 years of age and over, with
the value of maintaining an elderly
person, including a frail elderly person,
in their own home and avoiding
placement into a long-term care facility.
These reporting requirements are to be
submitted to HUD as follows:
a. Program Outcome Logic Model.
You, as the Sponsor, and the Owner,
when formed, are required to report
annually, beginning from the date of the
Agreement Letter, on the results
achieved against the output goal(s) and
outcome(s), which you proposed in the
Program Outcome Logic Model that was
submitted in your application. For
FY2006, HUD is considering a new
concept for the Logic Model. The new
concept is a Return on Investment (ROI)
statement. HUD will be publishing a
separate notice on the ROI concept.
2. The Regulatory Agreement (Form
HUD–92466–CA) requires the Owner of
the Section 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
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(REAC) through the Financial
Assessment Subsystem for Multifamily
Housing (MF-FASS). The submission of
annual financial statements is required
throughout the 40-year term of the
mortgage.
VII. Agency Contact(s)
For Technical Assistance. For
technical assistance in downloading an
application package from
www.grants.gov, contact the Grants.gov
help desk at 800–518–Grants or by
sending an e-mail 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 may access the
above number via TTY by calling the
Federal Relay Service at 1–800–877–
8339 (this is a toll-free number).
VIII. Other Information
A. Field Office Workshop. HUD
encourages minority organizations and
grassroots organizations (e.g., civic
organizations, faith-communities and
grassroots faith-based and other
community-based organizations) to
participate in this program and strongly
recommends that prospective applicants
attend the local HUD office workshop.
At the workshops, HUD will explain
application procedures and
requirements, as well as address
concerns such as local market
conditions, building codes and
accessibility requirements,
contamination identification and
remediation, historic preservation,
floodplain management, other
environmental requirements,
displacement and relocation, zoning,
and housing costs. If you are interested
in attending the workshop, make sure
that your name, address and telephone
number are on the appropriate local
HUD office’s mailing list so that you
will be informed of the date, time and
place of the workshop. Persons with
disabilities should call the appropriate
local HUD Office to assure that any
necessary arrangements can be made to
enable their attendance and
participation in the workshop.
If you cannot attend the workshop,
call the appropriate local HUD office if
you have any questions concerning the
submission of applications to that
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particular office and to request any
materials distributed at the workshop.
B. Satellite Broadcast. HUD will hold
an information broadcast via satellite for
potential applicants to learn more about
the program and preparation of the
application. It is strongly recommended
that potential applicants, especially
those who may be applying for Section
202 funding for the first time, tune in to
this broadcast, if at all possible. Copies
of the broadcast tapes are also available
from the NOFA Information Center. For
more information about the date and
time of the broadcast, you should
consult the HUD Web site at 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. Also,
funding was made available for the
Department to carry out a Section 202
Demonstration Program for Elderly
Housing for Intergenerational Families.
The announcement of the availability of
funds for this demonstration program
will be addressed in a future Federal
Register.
D. Paperwork Reduction Act. The
information collection requirements
contained in this document have been
approved by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and assigned OMB control
number 2502–0267. In accordance with
the Paperwork Reduction Act, HUD may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless the collection
displays a currently valid OMB control
number. Public reporting burden for the
collection of information is estimated to
average 37.42 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits derived.
BILLING CODE 4210–01–P
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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 is: FR–
5030–N–21.
E. Catalog of Federal Domestic
Assistance (CFDA) Number: 14.181,
Section 811 Supportive Housing for
Persons with Disabilities.
F. Dates: Application deadline date:
May 26, 2006. 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
90.3 million in capital advance funds,
plus associated project rental assistance
contract (PRAC) funds and any
carryover funds available.
3. Types of Funds. Capital advance
funds will cover the cost of developing
the housing. PRAC funds will cover the
difference between the HUD-approved
operating costs of the project and the
tenants’ contributions toward rent (30
percent of their adjusted monthly
income).
4. Eligible Applicants. Nonprofit
organizations that have a section
501(c)(3) tax exemption from the
Internal Revenue Service. (See Section
VI.B.6. below of this NOFA for further
details and information regarding the
formation of the Owner corporation.)
5. Eligible Activities. New
construction, rehabilitation, or
acquisition (with or without
rehabilitation) of housing. (See Section
III.C.1. below of this NOFA for further
information.)
6. Match Requirements. None
required.
7. Local HUD Offices. The local HUD
office structure, for the purpose of
implementing the Section 811 program,
consists of 18 Multifamily Hub Offices.
Within the Multifamily Hubs, there are
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Multifamily Program Centers with the
exception of the New York Hub, the
Buffalo Hub, the Denver Hub and the
Los Angeles Hub. All future references
shall use the term ‘‘local HUD office’’
unless a more detailed description is
necessary as in Limitations on
Applications and Ranking and Selection
Procedures, below.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description. HUD
provides capital advances and contracts
for project rental assistance in
accordance with 24 CFR part 891.
Capital advances may be used for the
construction or rehabilitation of a
structure or acquisition of a structure
with or without rehabilitation
(including structures from the Federal
Deposit Insurance Corporation (FDIC)),
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 Department of Housing and Urban
Development Appropriations Act, 2006,
(Pub. L.109–115, approved November
30, 2005) and the Government-wide
Rescissions pursuant to the Department
of Defense Appropriations Act, 2006
(Pub. L. 109–148, approved December
30, 2005) 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,
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developmental disabilities, chronic
mental illness, or any combination of
the three as defined in 24 CFR 891.305.
In addition, you may request HUD
approval to restrict occupancy to a
subcategory of one of these three
defined categories (e.g., HIV/AIDS is a
subcategory of physical disability). If
restricted occupancy is approved,
however, you cannot deny occupancy to
any otherwise qualified person that
meets the definition of the overall
category of disability under which the
subcategory falls.
D. Calculation of Fund Reservation. If
selected, you will receive a fund
reservation that will consist of both a
reservation of capital advance funds and
a reservation of three years for project
rental assistance.
1. Capital advance funds. The
reservation of capital advance funds is
based on a formula which, for an
independent living project (including
condominiums), takes the development
cost limit for the appropriate building
type (elevator, non-elevator) and unit
size(s) and multiplies it by the number
of units of each size (including a unit for
a resident manager, if applicable) and
then multiplies the result by the high
cost factor for the area. For a group
home, the formula is based on the
number of persons with disabilities in
the appropriate disability category
(excluding any unit for a resident
manager since such a unit is already
incorporated in the development cost
limit) multiplied by the high cost factor
for the area. The development cost
limits can be found in Section IV.E.3. of
this NOFA.
2. PRAC funds. The initial PRAC
award covers three years. The amount
awarded is determined by multiplying
the number of units for residents with
disabilities in an independent living
project or the number of residents with
disabilities in a group home by the
appropriate operating cost standard
times 3. The operating cost standards
will be published by Notice.
II. Award Information
A. Available Funds. For FY 2006,
$90,302,844 million is available for
capital advances for the Section 811
Program of Supportive Housing for
Persons with Disabilities. The
Department of Housing and Urban
Development Appropriations Act, 2006
(Pub. L. 109–115, approved November
30, 2005) provides $239,000,000 for
capital advances, including
amendments to capital advance
contracts, for supportive housing for
persons with disabilities as authorized
by section 811 of the National
Affordable Housing Act of 1990
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(NAHA); for project rental assistance for
supportive housing for persons with
disabilities under section 811 of the
NAHA, including amendments to
contracts for such assistance and
renewal of expiring contracts for such
assistance for up to a one-year term and
for tenant-based rental assistance
contracts and renewal of expiring
contracts for such assistance entered
into pursuant to section 811 of the
NAHA, and $400,000 to be transferred
to the Working Capital Fund, all of
which is subject to a 1 percent acrossthe-board rescission pursuant to Public
Law 109–148. $5,000,000 will be
provided for tenant-based rental
assistance for persons with disabilities
administered through public housing
agencies (PHAs) and nonprofit
organizations under the Mainstream
Housing Opportunities for Persons with
Disabilities Program and $78,300,000
will be provided for one-year renewal
costs of Section 811 rental assistance.
In accordance with the waiver
authority provided in the Department of
Housing and Urban Development
Appropriations Act, 2006, the Secretary
is waiving the following statutory and
regulatory provision: The term of the
project rental assistance contract is
reduced from 20 years to 3 years. HUD
anticipates that at the end of the
contract terms, renewals will be
approved subject to the availability of
funds. In addition to this provision,
HUD will reserve project rental
assistance contract funds based on 75
percent rather than on 100 percent of
the current operating cost standards for
approved units in order to take into
account the average tenant contribution
toward rent.
The allocation formula used for
Section 811 reflects the ‘‘relevant
characteristics of prospective program
participants,’’ as specified in 24 CFR
791.402(a). The FY2006 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
office (going outside the home
disability); and (d) working at a job or
business (employment disability).
Under the Section 811 Program, each
local HUD office jurisdiction receives
sufficient capital advance funds for a
minimum of 10 units. The total amount
of capital advance funds to support this
minimum set-aside is then subtracted
from the total capital advance available.
The remainder is fair shared to each
local HUD office jurisdiction whose fair
share would exceed the set-aside based
on the allocation formula fair share
factors describe below.
The fair share factors were developed
by taking the 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:
FY 2006 SECTION 811 ALLOCATIONS FOR SUPPORTIVE HOUSING FOR PERSONS WITH DISABILITIES
Offices
Units
Capital
advance
Boston Hub
Boston ..................................................................................................................................................................................
Hartford ................................................................................................................................................................................
Manchester ..........................................................................................................................................................................
Providence ...........................................................................................................................................................................
20
10
10
10
$2,303,897
1,177,474
937,874
1,168,554
Total ..............................................................................................................................................................................
50
5,587,799
34
4,079,464
19
1,961,030
Charleston ............................................................................................................................................................................
Newark .................................................................................................................................................................................
Philadelphia .........................................................................................................................................................................
Pittsburgh .............................................................................................................................................................................
10
22
23
15
883,106
2,622,563
2,599,492
1,473,111
Total ..............................................................................................................................................................................
70
7,578,272
15
18
1,455,965
1,576,619
New York Hub
New York .............................................................................................................................................................................
Buffalo Hub
Buffalo ..................................................................................................................................................................................
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Philadelphia Hub
Baltimore Hub
Baltimore ..............................................................................................................................................................................
Richmond .............................................................................................................................................................................
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FY 2006 SECTION 811 ALLOCATIONS FOR SUPPORTIVE HOUSING FOR PERSONS WITH DISABILITIES—Continued
Offices
Units
Capital
advance
Washington ..........................................................................................................................................................................
15
1,616,012
Total ..............................................................................................................................................................................
48
4,648,596
Columbia ..............................................................................................................................................................................
Greensboro ..........................................................................................................................................................................
18
24
1,610,633
2,631,484
Total ..............................................................................................................................................................................
42
4,242,117
Atlanta ..................................................................................................................................................................................
Knoxville ...............................................................................................................................................................................
Louisville ..............................................................................................................................................................................
Nashville ..............................................................................................................................................................................
San Juan ..............................................................................................................................................................................
24
10
18
16
19
1,974,924
832,557
1,558,073
1,339,069
1,839,670
Total ..............................................................................................................................................................................
87
7,544,293
Birmingham ..........................................................................................................................................................................
Jackson ................................................................................................................................................................................
Jacksonville ..........................................................................................................................................................................
18
16
38
1,480,947
1,214,171
3,021,346
Total ..............................................................................................................................................................................
72
5,716,464
Chicago ................................................................................................................................................................................
Indianapolis ..........................................................................................................................................................................
28
19
3,191,666
1,720,040
Total ..............................................................................................................................................................................
47
4,911,706
Cincinnati .............................................................................................................................................................................
Cleveland .............................................................................................................................................................................
Columbus .............................................................................................................................................................................
10
18
10
880,132
1,710,077
861,301
Total ..............................................................................................................................................................................
38
3,451,510
Detroit ..................................................................................................................................................................................
Grand Rapids .......................................................................................................................................................................
20
15
2,019,247
1,329,464
Total ..............................................................................................................................................................................
35
3,348,711
Minneapolis ..........................................................................................................................................................................
Milwaukee ............................................................................................................................................................................
16
17
1,708,402
1,719,424
Total ..............................................................................................................................................................................
33
3,427,826
Ft. Worth ..............................................................................................................................................................................
Houston ................................................................................................................................................................................
Little Rock ............................................................................................................................................................................
New Orleans ........................................................................................................................................................................
San Antonio .........................................................................................................................................................................
30
20
15
18
19
2,211,919
1,514,450
1,113,202
1,414,339
1,400,829
Total ..............................................................................................................................................................................
102
7,654,739
10
17
16
796,877
1,495,773
1,233,530
Greensboro Hub
Atlanta Hub
Jacksonville Hub
Chicago Hub
Columbus Hub
Detroit Hub
Minneapolis Hub
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Ft. Worth Hub
Kansas City Hub
Des Moines ..........................................................................................................................................................................
Kansas City ..........................................................................................................................................................................
Oklahoma City .....................................................................................................................................................................
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Federal Register / Vol. 71, No. 45 / Wednesday, March 8, 2006 / Notices
FY 2006 SECTION 811 ALLOCATIONS FOR SUPPORTIVE HOUSING FOR PERSONS WITH DISABILITIES—Continued
Offices
Units
Capital
advance
Omaha .................................................................................................................................................................................
St. Louis ...............................................................................................................................................................................
10
10
883,106
1,008,981
Total ..............................................................................................................................................................................
63
5,418,267
23
2,005,360
San Francisco ......................................................................................................................................................................
Honolulu ...............................................................................................................................................................................
Phoenix ................................................................................................................................................................................
Sacramento ..........................................................................................................................................................................
29
10
18
16
3,344,550
1,784,052
1,462,681
1,783,920
Total ..............................................................................................................................................................................
73
8,375,203
45
4,986,788
Seattle ..................................................................................................................................................................................
Anchorage ............................................................................................................................................................................
Portland ................................................................................................................................................................................
19
10
17
2,018,070
1,784,052
1,562,577
Total ..............................................................................................................................................................................
46
5,364,699
National Total ........................................................................................................................................................
927
90,302,844
Denver Hub
Denver .................................................................................................................................................................................
San Francisco Hub
Los Angeles Hub
Los Angeles .........................................................................................................................................................................
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Seattle Hub
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.
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III. Eligibility Information
A. Eligible Applicants: Nonprofit
organizations with a section 501(c)(3)
tax exemption from the Internal
Revenue Service and who meet the
threshold requirements contained in the
General Section NOFA and Section
III.C.2 below are the only eligible
applicants for this program.
Applicant eligibility for purposes of
applying for a Section 811 fund
reservation under this NOFA has not
changed; i.e., all Section 811 Sponsors
and Co-Sponsors must be nonprofit
organizations. However, the Owner
corporation, when later formed by the
Sponsor, may be (1) a single-purpose
nonprofit organization that has 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 taxexempt 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.
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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
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
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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
multifamily housing developments,
condominium and cooperative housing
and small group homes.
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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, 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 for
information on application submission
and receipt procedures;
(2) Submit paper copies of the
application if you have not received
approval from HUD for a waiver of the
electronic submission requirements;
(3) Submit a substantially deficient
application (i.e., a majority of the
required exhibits are not submitted with
your application, particularly, but not
limited to, those exhibits which are not
curable). HUD reserves the right to
determine whether your application is
substantially deficient for purposes of
determining whether the application is
non-responsive to the NOFA. Refer to
Section IV.B., Content and Form of
Application Submission, for
information on the required exhibits for
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submission with your application to
ensure that your application is complete
at time of submission;
(4) Request more units than were
allocated to the local HUD office that
will be reviewing your application (See
the allocation chart in Section II.A.
above);
(5) Request less than the minimum
number of units for persons with
disabilities in an independent living
project (5 units) or a group home (2
units);
(6) Request more than the maximum
number of units for a group home (6
units); or
(7) Request assistance for housing that
you currently own or lease that has been
occupied by people with disabilities for
longer than one year prior to the
application deadline date;
(8) Request assistance for an ineligible
activity as defined in Section IV.E.,
Funding Restrictions, of this program
NOFA;
(9) Are an ineligible applicant (see
Section III.A., Eligible Applicants of this
program NOFA).
b. Other Criteria. (1) You, or a 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
identification of a site. Section 811(d)(3)
of the National Affordable Housing Act
requires you to provide either evidence
of site control or a reasonable assurance
that you will have control of a site
within six months of the date of the
Agreement Letter notifying you that you
have been selected to receive a Section
811 fund reservation. Accordingly, you
must include in your application, the
required information specified below for
evidence of site control, or the required
information specified below under site
identification as a reasonable assurance
that site control will be obtained within
six months of the date of the Agreement
Letter. If you submit the required
information for an identified site(s), you
must include a specific street address
for each identified site or the
application will be rejected.
(a) Evidence of Site Control—If you
have control of a site at the time you
submit your application, you must
provide the information in Exhibit 4(d)
in IV.B. of this NOFA relative to site
control, or
(b) Site Identification—If you do not
have site control of one or more of your
sites, you must provide the information
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required in Exhibit 4(e) in IV.B. of this
NOFA under ‘‘Identification of a Site’’
for any site not under control as a
reasonable assurance that site control
will be obtained within six months of
fund reservation notification.
If your application contains evidence
of site control where either the evidence
or the site is not approvable, your
application will not be rejected
provided you indicate in your
application that you are willing to seek
an alternate site and provide an
assurance that site control will be
obtained within six months of fund
reservation notification. During the
selection process, all applications with
acceptable evidence of site control for
all proposed sites and all proposed sites
that have been found approvable will be
grouped in Category A. All applications
that are submitted as ‘‘site identified’’ as
well as those that are submitted with
site control but the evidence of control
and/or site(s) are not approvable (if the
Sponsor indicates that it is willing to
seek a different site if the proposed site
is unapprovable) will be grouped in
Category B. All applications in Category
A will be selected before any
applications are selected from Category
B. See Section V.B.4. for further
information on the selection process.
(c) Historic Preservation. If you
submit an application with evidence of
site control, you are required to send a
letter to the State/Tribal Historic
Preservation Officer (SHPO/THPO) that
attempts to initiate consultation with
their office and requests their review of
your determinations and findings with
respect to the historical significance of
your proposed project. A HUD’s website
at https://www.hud.gov/offices/adm/
grants/fundsavail.cfm contains a sample
letter to the SHPO/THPO that you may
adapt for your use, if you so choose.
You must include a copy of your letter
to the SHPO/THPO in your application.
You must then also include in your
application either:
(i) The response letter(s) from the
SHPO/THPO, or
(ii) A statement from you that you
have not received a response letter(s)
from the SHPO/THPO.
(d) Contamination. HUD must
determine if a proposed site contains
contamination 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 1527–05, as
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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’’ and
‘‘Supplemental Guidance,
Environmental Information’’, which are
available on HUD’s website at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm.
(ii) Phase II ESA—If the Phase I ESA
indicates the possible presence of
contamination and/or hazards, you must
decide whether to continue with this
site or choose another site. Should you
choose another site, the same Phase I
ESA process identified above must be
followed for the new site. However, if
you choose to continue with the original
site on which the Phase I ESA indicated
contamination or hazards, you must
undertake a detailed Phase II ESA by an
appropriate professional. In order for
your application to be considered as an
application with site control, the Phase
II must be received in the local HUD
office on or before the deadline date of
June 26, 2006.
(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 as an application with
site control, this information must be
received by the appropriate local HUD
office on or before the application
deadline date of June 26, 2006.
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
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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. below outlines the information
that must be in the Supportive Services
Plan. You must submit one copy of your
Supportive Services Plan to the
appropriate State or local agency well in
advance of the application submission
deadline date for the state or local
agency to review your Supportive
Services Plan and complete the
Supportive Services Certification and
return it to you so that you can include
it in the application you submit to HUD.
(i) HUD will reject your application if
the Supportive Services Certification:
A Is not submitted with your
application and is not submitted to
HUD within the 14-day cure period; or
B Indicates that the provision of
supportive services is not well designed
to address the individual health, mental
health and other needs of persons with
disabilities who will live in your
project; or
C Indicates that the provision of
supportive services will not enhance
independent living success or promote
the dignity of the persons with
disabilities who will live in your
proposed project.
(ii) In addition, if the agency
completing the certification will be a
major funding or referral source for your
proposed project or be responsible for
licensing the project, HUD will reject
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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 for information
regarding delinquent federal debt.
3. Program Requirements. By signing
Form HUD–92016–CA, Supportive
Housing for Persons with Disabilities
Section 811, Application for Capital
Advance Summary Information, you are
certifying that you will comply with the
program requirements listed in the
General Section as well as the following
requirements:
a. Statutory and Regulatory
Requirements. In addition to the
statutory, regulatory, threshold and
public policy requirements listed in the
General Section, you must comply with
all statutory and regulatory
requirements listed in Sections I and III
of this 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
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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
NOFA.
(3) Group home. The minimum
number of persons with disabilities that
can reside in a group home is two, and
the maximum number is six. There are
no exceptions to the maximum project
size limit for a group home. An
additional one-bedroom unit can be
provided for a resident manager. Only
one person per bedroom is allowed,
unless two residents choose to share one
bedroom or a resident determines he/
she needs another person to share his/
her bedroom. If you are applying for
more than one group home, they cannot
be located on the same or adjacent sites.
(4) Condominium Units.
Condominium units are treated the
same as units in an independent living
project except that you cannot request
an additional condominium unit for a
resident manager.
c. Minimum Capital Investment. If
selected, you must provide a minimum
capital investment of one-half of one
percent of the HUD-approved capital
advance amount, not to exceed a
maximum of $10,000 in accordance
with 24 CFR 891.145.
d. Accessibility. Your project must
meet accessibility requirements
published at 24 CFR 891.120, 24 CFR
891.310 and Section 504 of the
Rehabilitation Act of 1973, and, if new
construction, the design and
construction requirements of the Fair
Housing Act and HUD’s implementing
regulations at 24 CFR part 100. In
addition, 24 CFR 8.4(b)(5) prohibits the
selection of a site or location which has
the purpose or effect of excluding
persons with disabilities from the
Federally assisted program or activity.
Refer to Section V.A. below and the
General Section for information
regarding the policy priority of
encouraging accessible design.
e. Conducting Business in Accordance
With Core Values and Ethical
Standards. You are not subject to the
requirements of 24 CFR parts 84 and 85
as outlined in the General Section
except for the disposition of real
property, which may be subject to 24
CFR Part 84. However, you are still
subject to the core values and ethical
standards as they relate to the conflict
of interest provisions in 24 CFR
891.130. To ensure compliance with the
program’s conflict of interest provisions,
you are required to sign a Conflict of
Interest Resolution and include it in
your Section 811 application. Further, if
awarded a Section 811 fund reservation,
the officers, directors, board members,
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trustees, stockholders and authorized
agents of the Section 811 Sponsor and
Owner entities will be required to
submit to HUD individual certifications
regarding compliance with HUD’s
conflict of interest requirements.
f. National Environmental Policy Act.
You must comply with the National
Environmental Policy Act of 1969
(NEPA) (42 U.S.C. 4321) and applicable
related environmental authorities at 24
CFR 50.4, HUD’s programmatic
implementing regulations at 24 CFR part
50 and 24 CFR 891.155(b), especially,
but not limited to, the provision of
information to HUD at 24 CFR 50.31(b),
and you must comply with any
environmental ‘‘conditions and
safeguards’’ at 24 CFR 50.3(c).
Under 24 CFR Part 50, HUD has the
responsibility for conducting the
environmental reviews. HUD cannot
approve any site for which you have site
control unless it first completes the
environmental review. In rare cases
where HUD is not able to complete the
environmental review, it is due to a
complex environmental issue that could
not be resolved during the time period
allocated for application processing.
Thus, if you submit an application with
evidence of site control, HUD requires
you to attempt to obtain comments from
the State/Tribal Historic Preservation
Officer (see Exhibit 4(d)(ix) of Section
IV.B. below) to help HUD complete the
environmental review on time. It is also
why HUD may contact you for
additional environmental information.
So that you can review the type of
information that HUD needs for its
preparation of the environmental review
as well as the type of information
requests that HUD may make to you,
you are invited to go to the following
website to view the HUD form 4128,
including the Sample Field Notes
Checklist, which HUD uses to record the
environmental review: https://
www.hud.gov/utilities/intercept.cfm?/
offices/cpd/energyenviron/environment/
compliance/forms/4128.pdf.
g. Lead-Based Paint. You must
comply with the requirements of the
Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. 4821–4846) and
implementing regulations at 24 CFR part
35.
h. Executive Order 13202,
Preservation of Open Competition and
Government Neutrality Towards
Government Contractors’ Labor
Relations on Federal and Federally
Funded Construction Projects. Refer to
the General Section.
i. Fair Housing Requirements. Refer to
the General Section.
j. Economic Opportunities for Low
and Very Low-Income Persons (Section
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12037
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. Although not a NOFA
requirement, you are nonetheless
encouraged to submit with your
application a description on how you
plan to incorporate the Section 3
requirements into your proposed project
with goals for expanding training and
employment opportunities for low and
very low-income (Section 3) residents as
well as business concerns. You will
receive up to two (2) points if you
provide a description of your plans for
doing so under Exhibit 3(m) of this
program NOFA.
k. Design and Cost Standards. You
must comply with HUD’s Section 811
project design and cost standards (24
CFR 891.120 and 891.310), the Uniform
Federal Accessibility Standards (24 CFR
40.7), Section 504 of the Rehabilitation
Act of 1973 and HUD’s implementing
regulations at 24 CFR part 8, and for
covered multifamily dwellings designed
and constructed for first occupancy after
March 13, 1991, the design and
construction requirements of the Fair
Housing Act and HUD’s implementing
regulations at 24 CFR part 100, and,
where applicable, the Americans with
Disabilities Act of 1990.
HUD has adopted a wide-ranging
energy action plan for improving energy
efficiency in all program areas. As a first
step in implementing the energy plan,
HUD, the Environmental Protection
Agency (EPA) and the Department of
Energy (DoE) have signed a joint
partnership to promote energy
efficiency in HUD’s affordable housing
efforts and programs. The purpose of the
Energy Star partnership is not only to
promote energy efficiency of the
affordable housing stock, but also to
help protect the environment. Although
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it is not a requirement, you are
nonetheless encouraged to promote
energy efficiency in design and
operations and your application will
receive one (1) point if you describe
your plans for doing so in the proposed
project. You are especially urged to
purchase and use Energy Star-labeled
products. For further information about
Energy Star, see 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
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 NOFA, including other related
documents. Copies of the General
Section, this NOFA, the required forms,
and other related documents are
available and may be downloaded from
the Grants.gov Web site at https://
www.Grants.gov. Search for the program
using the CFDA Number, Competition
ID OR Funding Opportunity Number.
You may request general information,
copies of the General Section and this
NOFA (including related documents),
and required forms from the NOFA
Information Center (800–HUD–8929 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 NOFA below. Before
preparing your application, you should
carefully review the requirements of the
regulations (24 CFR Part 891) and
general program instructions in
Handbook 4571.2, Section 811 Capital
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Advance Program for Housing Persons
with Disabilities. Note: Section 1001 of
Title 18 of the United States Code
(Criminal Code and Criminal Procedure,
72 Stat. 967) applies to all information
supplied in the application submission.
(18 U.S.C. 1001, among other things,
provides that whoever knowingly and
willfully makes or uses a document or
writing containing any false, fictitious,
fraudulent statement or entry, in any
matter within the jurisdiction of any
department or agency of the United
States, shall be fined not more than
$10,000 or imprisoned for not more than
five years, or both.)
The Application for a Section 811
Capital Advance consists of four parts
with a total of eight Exhibits. Included
with the eight Exhibits are prescribed
forms, certifications and resolutions.
The components of the Application are:
Part 1—Application Form for Section
811 Supportive Housing—Capital
Advance (Exhibit 1).
Part 2—Your Ability to Develop and
Operate the Proposed Project (Exhibits 2
and 3).
Part 3—The Need for Supportive
Housing for the Target Population in the
Area to be Served, Site Control and/or
Identification of Site, Suitability of Site,
Adequacy of the Provision of
Supportive Services and of the Proposed
Project (Exhibits 4 and 5).
Part 4—General Application
Requirements, Certifications and
Resolutions (Exhibits 6 through 8).
The following additional information,
which may assist you in preparing your
application, is available on HUD’s Web
site at https://www.hud.gov/offices/adm/
grants/fundsavail.cfm.
• Listing of Local HUD Offices
• Letter Requesting SHPO/THPO
Review
• Choosing an Environmental Safe
Site
• Supplemental to Choosing An
Environmentally Safe Site
Your application must include all of
the information, materials, forms, and
exhibits listed below (unless you were
selected for a Section 811 fund
reservation within the last three funding
cycles). If you qualify for this exception,
you are not required to submit the
information described in Exhibit 2(a),
(b), and (c), which are the articles of
incorporation (or other organizational
documents), by-laws, and the IRS tax
exemption, respectively. If there has
been a change in any of these
documents since your previous HUD
approval, you must submit the updated
information in your application. The
local HUD office will verify your
previous HUD approval by checking the
project number and approval status with
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the appropriate local HUD office based
on information submitted.
In addition to this relief of paperwork
burden in preparing applications, you
are able to use information and exhibits
previously prepared for prior
applications under Section 811, Section
202, or other funding programs.
Examples of exhibits that may be readily
adapted or amended to decrease the
burden of application preparation
include, among others, those on
previous participation in the Section
202 or Section 811 programs, your
experience in the provision of housing
and services, supportive services plans,
community ties, and experience serving
minorities.
For programmatic information, you
MUST contact the appropriate local
HUD office about the submission of
applications within the jurisdiction of
that Office. A listing of the local HUD
offices is available on HUD’s Web site
at https://www.hud.gov/offices/adm/
grants/fundsavail.cfm.
Please submit your application using
the following format provided in this
NOFA. You are strongly encouraged to
submit your application electronically
via Grants.gov as it is a goal of the
Department to increase the number of
successfully submitted electronic
applications for FY 2006. For
applications to be submitted
electronically, in which you have
created files to be attached to the
electronic application, you should
number the pages of the attached file
and include a header that identifies the
exhibit that it relates to. For applicants
that received a waiver of the electronic
application submission requirement,
you must number the pages of each file,
narratives and other attached files.
Include the name of your organization
and your DUNS number, and the exhibit
number that you are responding to on
the header of each document.
1. Table of Contents (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.
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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 including:
(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
(m) Description of your plans to
incorporate Section 3 requirements,
Economic Opportunities for Low and
Very-Low Income Persons, in
proposed project (optional, but
required to receive up to 2 points)
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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
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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)
and a statement that SHPO/THPO
failed to respond to you OR a copy of
the response letter received from
SHPO/THPO
(x) Willingness to seek an alternate site
(xi) Request for exception to project size
limits (if applicable)—why site was
selected and (ILP with site control
only):
(A) Preference/acceptance of people
with disabilities to live in proposed
housing
(B) Increased number of people
warranted by market conditions in
area
(C) Compatibility of project with other
residential development and
population density of the area
(D) Increased number of people will not
prohibit successful integration into
the community
(E) Marketability of project in the
community
(F) Project size consistent with State
and/or local policies governing
similar housing
(G) Willingness to have application
processed at project size limit
(e) Identification of a Site:
(i) Location of site
(ii) Steps undertaken to identify site;
what must be done to obtain site
control
(iii) Whether site is properly zoned
(iv) Status of the sale of the site
(v) Whether the site would involve
relocation
(2) Exhibit 5: Supportive Services
Plan:
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12039
(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 will
still be achieved
(B) Why housing and services needs
cannot be met in a 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 include
manager’s unit
(j) Statement that you will not condition
occupancy on the resident’s
acceptance of supportive services
d. Part IV—General Application
Requirements, Certifications and
Resolutions
(1) Exhibit 6: Other Applications
(a) A list of applications, if any, you
are submitting to any other local HUD
Office in response to the FY 2006
Section 202 or Section 811 NOFA, and
required information about each.
(b) A list of all FY 2005 and prior year
Section 202 or Section 811 projects to
which you are a party and the required
information about each.
(2) Exhibit 7: Applies to applications
with site control only a statement that:
(a) Identifies all persons occupying
property on application submission
date
(b) Indicates estimated cost of relocation
payments/other services
(c) Identifies staff organization that will
carry out relocation activities
(d) Identifies all persons who have
moved from site within past 12
months
(3) Exhibit 8: Standard Forms,
Certifications and Resolutions:
(a) Standard Form 424, Application for
Federal Assistance with a copy of the
letter you sent to the State Point of
Contact, if applicable
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(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, as applicable
(i) Form HUD–92043, Certification for
Provision of Supportive Services
(j) Form HUD–96010, Program Outcome
Logic Model
(k) Form HUD–27300, Questionnaire for
HUD’s Initiative on Removal of
Regulatory Barriers, including any
required documentation or URL
references (optional form, but
required in order to receive up to 2
policy priority points)
(l) Form HUD–96011, Facsimile
Transmittal, must be used as the cover
page for any facsimile submitted
using the facsimile solution. See the
General Section for instructions
(m) HUD–2994–A, You Are Our Client
Survey (optional)
2. Programmatic Applications
Requirements
a. Part I—Application Form for Section
811 Supportive Housing—Capital
Advance
(1) Exhibit 1—Form HUD–92016–CA,
Supportive Housing for Persons with
Disabilities Section 811 Application for
Capital Advance Summary Information.
Found in the instruction download at
https://www.grants.gov.
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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)
Note: Based on a HUD review of your
articles of incorporation, constitution, or
other organizational documents, HUD must
determine, among other things, that (1) you
are an eligible nonprofit entity with a
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501(c)(3) IRS tax exemption status, (2) your
corporate purposes are sufficiently broad to
provide you the legal authority to sponsor the
proposed project for the disabled, to assist
the Owner, and to apply for a capital
advance, (3) no part of the Sponsor’s net
earnings inures to the benefit of any private
party, and (4) that you are not controlled by
or under the direction of persons seeking to
derive profit or gain there from. [Exception:
If you received a Section 811 Fund
Reservation within the last three funding
cycles, you are not required to submit the
documents described in (a), (b), and (c)
above. Instead, submit the project number of
the latest application and the local HUD
office to which it was submitted. If there
have been any modifications or additions to
the subject documents, indicate such, and
submit the new material.]
(d) The number of people on your
board and the number of board members
who have disabilities.
(2) Exhibit 3—Your purpose,
community ties, and experience:
(a) A description of your purpose(s),
current activities, including your ability
to enlist volunteers and raise private
local funds and how long you have been
in existence.
(b) A description of your ties to the
community in which your project will
be located and to the minority and
disability communities in particular,
including a description of the specific
geographic area(s) in which you have
served.
(c) A description of 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
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facilities and services provided, the
racial/ethnic composition of the
populations served, if available, and
information and testimonials from
residents or community leaders on the
quality of the activities. Examples of
activities that could be described
include housing counseling, nutrition
and food services, special housing
referral, screening and information
projects.
(f) A description of your efforts to
involve members of the target
population (persons with disabilities
including minority persons with
disabilities and persons with disabilities
similar to those of the prospective
residents) in the development of the
application as well as your intent to
involve the target population in the
development and operation of the
project.
(g) A description of the practical
solutions you will implement which
will enable residents of your project to
achieve independent living and
economic empowerment. In addition,
describe the educational opportunities
you will provide for the residents and
how you will provide them. This
description should include the activities
you will undertake to improve computer
access, literacy and employment
opportunities (e.g., provide programs
that can teach residents how to use
computers to become educated as well
as achieve economic self-sufficiency
through job training and placement).
And, finally, describe how your
proposed project will be an improved
living environment for the residents
when compared to their previous place
of residence.
(h) Describe your plan for completing
the proposed project. Include a project
development timeline which lists the
major development stages for the project
with associated dates that must be met
in order to get the project to initial
closing and start of construction within
the 18-month fund reservation period as
well as the full completion of the
project, including final closing.
Completion of Exhibit 8(j), Logic Model,
will assist you in completing your
response to this Exhibit.
(i) Describe how you will ensure that
your proposed project will remain
viable as housing with the availability of
supportive services for the target
population for the 40-year capital
advance period. This description should
address the measures you would take
should any of the following occur:
(i) Funding for any of the needed
supportive services becomes depleted;
(ii) If, for any state-funded services for
your project, the state changes its policy
regarding the provision of supportive
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services to projects such as the one you
propose; or
(iii) If the need for housing for the
population you will be serving wanes
over time, causing vacancies in your
project.
(j) A description of the steps you took
to coordinate your application with
other organizations (e.g., the local center
for independent living) that will not be
directly involved in your project but
with which you share common goals
and objectives, to complement and/or
support the proposed project so that the
project will provide a comprehensive
and holistic solution to the needs of
persons with disabilities.
(k) A description of your efforts to
consult with Continuum of Care
organizations in the community where
the project will be located about the
ways you can assist persons with
disabilities who are chronically
homeless as defined in the General
Section.
(l) A description of the successful
efforts the jurisdiction in which your
project will be located has taken in
removing regulatory barriers to
affordable housing. To obtain up to 2
points for this policy priority, you must
complete the optional Form HUD–
27300, ‘‘Questionnaire for HUD’s
Initiative on Removal of Regulatory
Barriers’’ in Exhibit 8(k) of the
application AND provide the necessary
URL references or submit the
documentary evidence.
(m) A description on how you plan to
incorporate the Section 3 requirements
into your proposed project with goals
for expanding training and employment
opportunities for low and very lowincome (Section 3) persons as well as
business concerns. This exhibit is
optional, but to obtain up to 2 points for
this policy priority, you must submit
this exhibit and adequately address your
plans to provide opportunities to train
and employ low and very low-income
residents of the project area and award
substantial contracts to persons residing
in the project area.
c. Part III—The Need for Supportive
Housing for the Target Population, Site
Control and/or Identification of Site and
Suitability of Site, Adequacy of the
Provision of Supportive Services and of
the Proposed Project
(1) Exhibit 4—Need and Project
Information:
(a) Evidence of need for supportive
housing. Include a description of the
proposed population and evidence
demonstrating sustained effective
demand for supportive housing for the
proposed population in the market area
to be served, taking into consideration
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the occupancy and vacancy conditions
in existing comparable subsidized
housing for persons with disabilities,
state or local needs assessments of
persons with disabilities in the area, the
types of supportive services
arrangements currently available in the
area, and the use of such services as
evidenced by data from local social
service agencies. Also, a description of
how information in the community’s or
(where applicable) the State’s
Consolidated Plan, Analysis of
Impediments to Fair Housing Choice
(AI) or other planning document that
analyzes fair housing issues was used in
documenting the need for the project.
(b) A description of how the proposed
project will benefit the target population
and the community in which it will be
located.
(c) Description of the project.
(i) Narrative description of the
building(s) including the number and
type of structure(s), number of units
with bedroom distribution if
independent living units including
dwelling units in multifamily housing
developments, condominiums and
cooperatives, number of bedrooms if
group home, number of residents with
disabilities, and any resident manager
per structure; identification of all
commercial and community spaces,
amenities or features planned for the
housing and a description of how the
spaces, amenities, or features will be
used, and the extent to which they are
necessary to accommodate the needs of
the proposed residents. A narrative
description of the building design (both
interior and exterior), including any
special design features, as well as any
features that incorporate visitability
standards and universal design. Also
include a description of how the design
of the proposed project will facilitate
the integration of the residents into the
surrounding community and promote
the ability of the residents to live as
independently as possible.
Note: If the community spaces, amenities,
or features do not comply with the project
design and cost standards of 24 CFR 891.120
(a) and (c), the special project standards of 24
CFR 891.310 (a), and the limitations on
bedroom sizes as required by paragraph 1–
11.E.2.a of HUD Handbook 4571.2 REV–1,
you must demonstrate your ability and
willingness to contribute both the
incremental development cost and
continuing operating cost associated with the
community spaces, amenities, or features.
(ii) Describe whether and how the
project will promote energy efficiency
(in accordance with the requirements
set forth in Section III.C.3.k. of this
NOFA), including any plans to
incorporate energy efficiency features in
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12041
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–
92016–CA). Also, provide copies of any
letters you have sent seeking outside
funding for the non-Section 811 units
and any responses thereto. You must
also demonstrate your ability to proceed
with the development of a Section 811
project that will not involve mixedfinancing, as proposed in your
application, in the event you are later
unable to obtain the necessary outside
funding or HUD disapproves your
proposal for a mixed-finance project for
additional non-Section 811 units for
persons with disabilities.
Notes: (1) A proposal to develop a 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) Section 811 capital
advance amendment money will not be
approved for projects proposing mixedfinancing. (3) If approved for a reservation of
capital advance funds, you will be required
to submit with your Firm Commitment
Application, the additional documents
required by HUD for mixed-finance
proposals. (4) A mixed-finance project does
not include the development of a mixed-use
project in which the Section 811 units are
mortgaged separately from the other uses of
the structure. (5) For a Section 811 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.
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(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
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 of
site control as described above AND
evidence that consent to release the site
from the mortgage has been obtained or
has been requested from HUD (all
required information in order for a
decision on the request for a partial
release of security must have been
submitted to the local HUD office) and
from the mortgagee, if other than HUD
Approval to release the site from the
mortgage must be done before the local
HUD office makes its selection
recommendations to HUD Headquarters.
Refer to Chapter 16 of HUD Handbook
4350.1 Rev-1, Multifamily Asset
Management and Project Servicing, for
instructions on submitting requests to
the local HUD Office for partial release
of security from a mortgage under a
HUD program; or
(E) For sites to be acquired from a
public body, evidence is needed that the
public body possesses clear title to the
site and has entered into a legally
binding agreement to lease or convey
the site to you after you receive and
accept a notice of Section 811 capital
advance. 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
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sites, you may include in your
application a letter from the mayor or
director of the appropriate local agency
indicating that conveyance or leasing of
the site is acceptable without imposition
of additional covenants or restrictions,
and only contingent on the necessary
approval action. Such a letter of
commitment will be considered
sufficient evidence of site control.
(ii) Whether you have title to the site,
a contract of sale, an option to purchase,
or are acquiring a site from a public
body, you must provide evidence (a
current title policy or other acceptable
evidence) that the site is free of any
limitations, restrictions, or reverters
which could adversely affect the use of
the site for the proposed project for the
40-year capital advance period under
HUD’s regulations and requirements
(e.g., reversion to seller if title is
transferred). If the title evidence
contains restrictions or covenants,
copies of the restrictions or covenants
must be submitted with the application.
If the site is subject to any such
limitations, restrictions, or reverters, the
site will be rejected and the application
will be considered a ‘‘site identified’’
application. Purchase money mortgages
that will be satisfied from capital
advance funds are not considered to be
limitations or restrictions that would
adversely affect the use of the site. If the
contract of sale or option agreement
contains provisions that allow a
Sponsor not to purchase the property for
reasons such as environmental
problems, failure of the site to pass
inspection, or the appraisal is less than
the purchase price, then such provisions
are not objectionable and a Sponsor is
allowed to terminate the contract of sale
or the option agreement.
Note: A proposed project site may not be
acquired or optioned from a general
contractor (or its affiliate) that will construct
the Section 811 project or from any other
development team member.
(iii) Evidence that the project, as
proposed, is permissible under
applicable zoning ordinances or
regulations, or a statement of the
proposed action required to make the
proposed project permissible AND the
basis for the belief that the proposed
action will be completed successfully
before the submission of the firm
commitment application (e.g., a
summary of the results of any requests
for rezoning and/or the procedures for
obtaining special or conditional use
permits on land in similar zoning
classifications and the time required for
such rezoning, or preliminary
indications of acceptability from zoning
bodies, etc.).
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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.
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.
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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 https://
www.factfinder.census.gov/servlet/
BasicFactsServlet.
(vii) A Phase I Environmental Site
Assessment (ESA), in accordance with
the ASTM Standards E 1527–05, 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 ESA and any necessary plans for
clean-up do not have to be submitted
with the application but must be
received in the local HUD office by June
26, 2006. 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.
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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.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.
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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. A
sample letter that you may adapt and
send to the SHPO/THPO can be found
on HUD’s Web site at https://
www.hud.gov/offices/adm/grants/
fundsavail.cfm under the Section 811
Supportive Housing for Persons with
Disabilities Program.
(x) The SHPO/THPO response to your
letter or a statement that you have not
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:
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Note: If an application is submitted
without evidence of site control and does not
provide a specific street address for the
identified site(s) (e.g., only an indication that
the project will be developed in a particular
part of town but a site(s) has not been
chosen) the application will be rejected.
(i) A description of the location of the
site, including its street address or block
and lot number(s), its unit number (if
condominium), neighborhood/
community characteristics (to include
racial and ethnic data), amenities,
adjacent housing and/or facilities, how
the site will promote greater housing
opportunities for minority persons with
disabilities and affirmatively further fair
housing. You can best demonstrate your
commitment to affirmatively furthering
fair housing by describing how your
proposed activities will assist the
jurisdiction in overcoming impediments
to fair housing choice identified in the
community’s AI or any other planning
document that addresses fair housing
issues. Examples of the applicable
impediments include the need for
improved housing quality and services
for minority persons with disabilities
and the need for quality services for
persons with disabilities within the type
and quality of similar services and
housing in minority areas.
(ii) A description of the activities
undertaken to identify the site, as well
as what actions must be taken to obtain
control of the site, if approved for
funding.
(iii) An indication as to whether the
site is properly zoned. If it is not, an
indication of the actions necessary for
proper zoning and whether these can be
accomplished within six months of fund
reservation award, if approved for
funding.
(iv) A status of the sale of the site.
(v) An indication as to whether the
site would involve relocation.
(2) Exhibit 5—Supportive Services
Plan:
Note: Your supportive services plan and
the Supportive Services Certification (Exhibit
8(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
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Secretary, restrict occupancy within
housing developed under this NOFA to
a subcategory of one of the three main
categories of disability noted above (e.g.,
AIDS is a subcategory of physical
disability). However, the Owner must
permit occupancy by any qualified
person with a disability that qualifies
under the applicable main category of
disability.
(b) If requesting approval to restrict
occupancy, also submit the following:
(i) A description of the population of
persons with disabilities to which
occupancy will be limited.
(ii) An explanation of why it is
necessary to restrict occupancy of the
proposed project(s) to the population
described in (i) above, including the
following:
(A) An explanation of how restricting
occupancy to a subcategory of persons
with disabilities promotes the goals of
the Section 811 program.
(B) An explanation of why the
housing and/or service needs of this
population cannot be met in a more
integrated setting.
(iii) A description of your experience
in providing housing and/or supportive
services to proposed occupants.
(iv) A description of how you will
ensure that occupants of the proposed
project will be integrated into the
neighborhood and community.
(c) A detailed description of the
supportive service needs of the persons
with disabilities that the housing is
expected to serve.
(d) A list of community service
providers, (including 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:
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(i) A description of the supportive
services that you will make available to
the residents or, if you will be
coordinating the availability of any
supportive services, a description of the
supportive service(s) and how the
coordination will be implemented;
(ii) An assurance that any supportive
services that you will make available to
the residents will be based on their
individual needs; and
(iii) A commitment to make the
supportive services available or
coordinate their availability for the life
of the project.
(h) A description of how the residents
will be afforded opportunities for
employment.
(i) An indication as to whether the
project will include a unit for a resident
manager.
(j) A statement that you will not
condition admission or occupancy on
the resident’s acceptance of any
supportive services.
d. Part IV—General Application
Requirements, Certifications and
Resolutions
(1) Exhibit 6: Other Applications:
(a) A list of the applications, if any,
you are submitting to any other local
HUD office in response to the FY 2006
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 FY2005 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.
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(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—You are required to
submit completed copies of the
following forms which are included
either in the General Section or with
this NOFA and copies of the forms are
available on https://www.hud.gov/
offices/adm/grants/fundsavail.cfm:
(a) Standard Form 424—Application
for Federal Assistance, including a
DUNS number, an indication of whether
you are delinquent on any federal debt,
and compliance with Executive Order
12372 (a certification that you have
submitted a copy of your application, if
required, to the State agency (Single
Point of Contact) for state review in
accordance with Executive Order
12372). If required by the State’s Single
Point of Contact (SPOC), a copy of your
application needs to be submitted to the
SPOC before the application deadline
date, but in no event later than the
application deadline date. Refer to the
General Section and Section IV.D. of
this program NOFA to find out if your
State has a SPOC and additional
information on compliance with
Executive Order 12372.
Note: For Section 811 program purposes,
item 12, Areas Affected by Project, of SF–
424, provide the names of the City, County
and State where the project will be located
(not the largest political entities as indicated
on the instructions page of SF–424).
(b) Standard Form 424 Supplement,
Survey on Ensuring Equal Opportunity
for Applicants. Although the
information on this form will not be
considered in making funding
decisions, it will assist the federal
government in ensuring that all
qualified applicants have an equal
opportunity to compete for federal
funding.
(c) Standard Form LLL—Disclosure of
Lobbying Activities (if applicable). A
disclosure of activities conducted to
influence any federal transactions.
(d) Form HUD–2880, Applicant/
Recipient Disclosure/Update Report,
including Social Security and Employee
Identification Numbers. A disclosure of
assistance from other government
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sources received in connection with the
project.
(e) Form HUD–2991, Certification of
Consistency with the Consolidated Plan
(Plan), for the jurisdiction in which the
proposed project will be located. The
certification must be made by the unit
of general local government if it is
required to have, or has, a complete
Plan. Otherwise, the certification may
be made by the state, or by the unit of
general local government if the project
will be located within the jurisdiction of
the unit of general local government
authorized to use an abbreviated
strategy, and if it is willing to prepare
such a Plan. All certifications must be
made by a public official responsible for
submitting the Plan to HUD. The
certifications must be submitted as part
of the application by the application
submission deadline date set forth in
this NOFA. The Plan regulations are
published in 24 CFR part 91.
(f) Form HUD–92041, Sponsor’s
Conflict of Interest Resolution. A
certified Board Resolution that no
officer or director of the Sponsor or
Owner has or will have any financial
interest in any contract with the Owner
or in any firm or corporation that has or
will have a contract with the Owner,
including a current listing of all duly
qualified and sitting officers and
directors by title and the beginning and
ending dates of each person’s term.
(g) Form HUD–92042, Sponsor’s
Resolution for Commitment to Project.
A certified Board Resolution
acknowledging responsibilities of
sponsorship, long-term support of the
project(s), your willingness to assist the
Owner to develop, own, manage and
provide appropriate services in
connection with the proposed project,
and that it reflects the will of your
membership. Also, it shall indicate your
willingness to fund the estimated 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.
(h) Form HUD–2990, Certification of
Consistency with the RC/EZ/EC
Strategic Plan. A certification that the
project is consistent with the RC/EZ/
EC–IIs strategic plan, is located within
the RC/EZ/EC–II, and serves RC/EZ/EC–
II residents. (This certification is not
required if the project site(s) will not be
located in an RC/EZ/EC–II.) A copy of
the RC/EZ/EC–II Certification form is
contained in the online application; and
(i) Form HUD–92043, Certification for
Provision of Supportive Services. A
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certification from the appropriate state
or local agency (identified in the
application or obtained from the local
HUD office), indicating whether the:
(i) Provision of supportive services is
well designed to serve the needs of
persons with disabilities the housing is
expected to serve;
(ii) The provision of supportive
services will enhance independent
living success and promote the dignity
of those who will access your proposed
project;
(iii) Supportive services will be
available on a consistent, long-term
basis; and
(iv) Proposed housing is consistent
with state or local plans and policies
addressing the housing needs of people
with disabilities if the state or local
agency will provide funding for the
provision of supportive services, refer
residents to the project or license the
project. (The name, address, and
telephone number of the appropriate
agency can also be obtained from the
appropriate local HUD Office.)
(j) Form HUD–96010, Program
Outcome Logic Model. In addition to
the Project Development Timeline to be
submitted in Exhibit 3(h) above, the
information provided in the Logic
Model will be used in rating your
application for Rating Factor 5,
Achieving Results and Program
Evaluation.
(k) Form HUD–27300, Questionnaire
for HUD’s Initiative on Removal of
Regulatory Barriers (optional form). To
receive up to 2 points, you must submit
this form and provide 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.
(l) Form HUD–96011, Facsimile
Transmittal to be used for faxing third
party letters and other documents for
your electronic applications in
accordance with the instructions in the
General Section.
Note: HUD will not accept entire
applications by fax. If you submit the
application entirely by fax, it will be
disqualified.
(m) Form HUD–2994–A, You Are Our
Client Survey. This is an optional form
that may be used to provide suggestions
and comments to the Department
regarding your application submission
experience.
C. Submission Dates and Time. Your
application must be received and
validated electronically by Grants.gov
no later than 11:59:59 PM eastern time
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12045
on the application deadline date of May
26, 2006, 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 you are seeking
a waiver of the electronic submission
requirement, you must submit the
waiver request to the following HUD
official and address: Brian D.
Montgomery, Assistant Secretary for
Housing-Federal Housing
Commissioner, Department of Housing
and Urban Development, 451 Seventh
Street, SW., Room 9100, Washington,
DC 20410–8000, Telephone Number:
(202) 708–2601. Applicants that are
granted a waiver of the electronic
submission requirement will not be
afforded additional time to submit their
applications. Therefore, HUD strongly
recommends that you submit your
waiver request to the above address
approximately 15 days before the
application deadline date. If a waiver is
granted, you may submit copies of the
application through the United States
Postal Service or other type of mail
service so that it can be received at the
appropriate local HUD office no later
than 11:59:59 p.m. on the application
deadline date of May 26, 2006. The
letter granting the waiver will provide
instructions regarding the number of
copies and where they must be sent.
HUD will accept hand delivery of
applications.
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
deadline date, but in no event later than
the application deadline date. It is
recommended that you provide the state
with sufficient time to review the
application. Therefore, it is important
that you consult with the SPOC for state
review time frames and take that into
account when submitting the
application. If the SPOC requires a
review of your application, you must
include a copy of the cover letter you
sent to the SPOC in Exhibit 8(a) of your
Section 811 application.
2. HUD/RHS Agreement. HUD and the
Rural Housing Service (RHS) have an
agreement to coordinate the
administration of the agencies’
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respective rental assistance programs.
As a result, HUD is required to notify
RHS of applications for housing
assistance it receives. This notification
gives RHS the opportunity to comment
if it has concerns about the demand for
additional assisted housing and possible
harm to existing projects in the same
housing market area. HUD will consider
RHS comments in its review and
application selection process.
E. Funding Restrictions: 1. Ineligible
Activities. Section 811 funds may not be
used for any of the following:
a. Supportive Services
b. Housing that you currently own or
lease that has been occupied by people
with disabilities for longer than one year
prior to the application deadline date;
c. Nursing homes, infirmaries and
medical facilities;
d. Transitional housing;
e. Mobile homes;
f. Intermediate care facilities;
g. Assisted living facilities;
h. Community centers, with or
without special components for use by
persons with disabilities;
i. Sheltered workshops and centers for
persons with disabilities;
j. Headquarters for organizations for
persons with disabilities; and
k. Refinancing of Sponsor-owned
facilities without rehabilitation.
Note: You may propose to rehabilitate an
existing currently-owned or leased structure
(if the structure already serves persons with
disabilities, it cannot have operated as
housing for persons with disabilities for
longer than one year prior to the application
deadline date); however, the refinancing of
any federally funded or assisted project or
project insured or guaranteed by a federal
agency is not permissible under this Section
811 NOFA. HUD does not consider it
appropriate to utilize scarce program
resources to refinance projects that have
already received some form of assistance
under a federal program or that have been
operating as housing for persons with
disabilities for longer than one year prior to
the application deadline date. (For example,
Section 202, Section 202/8 or Section 202/
PAC direct loan projects cannot be
refinanced with capital advances and project
rental assistance.)
2. Application Limits (Units/Projects).
A Sponsor or Co-Sponsor may not apply
for more than 70 units of housing or 4
projects (whichever is less) for persons
with disabilities in a single Hub or more
than 10 percent of the total units
allocated to all local HUD offices.
Affiliated entities (organizations that are
branches or offshoots of a parent
organization) that submit separate
applications are considered a single
entity for the purpose of these limits. In
addition, no single application may
propose more units in a given local
HUD office than allocated for the
Section 811 program in that local HUD
office. If the proposed project will be an
independent living project, your
application must request at least five
units for persons with disabilities, not
necessarily in one structure. If your
proposed project will be a group home,
you must request at least two units for
persons with disabilities per group
home. If your proposed project will be
a combination of an independent living
project and a group home, your
application must request at least the
minimum number of units for each
project type (i.e., 5 units for an
independent living project and 2 units
for a group home).
3. Development Cost Limits. a. The
following development cost limits,
adjusted by locality as described in
Section IV.E.3.b. below must be used to
determine the capital advance amount
reserved for projects for persons with
disabilities.
Note: The capital advance funds awarded
for this project are to be considered the total
amount of funds that the Department will
provide for the development of this project.
Amendment funds will only be provided in
exceptional circumstances (e.g., to cover
increased costs for construction delays due to
litigation or unforeseen environmental issues
resulting in a change of sites) that are clearly
beyond your control. Otherwise, you are
responsible for any costs over and above the
capital advance amount provided by the
Department as well as any costs associated
with any excess amenities and design
features.
(1) For independent living projects
and dwelling units in multifamily
housing developments, condominium
and cooperative housing: The capital
advance amount for the project
attributable to dwelling use (less the
incremental development cost and the
capitalized operating costs associated
with any excess amenities and design
features and other costs you must pay
for) may not exceed:
Non-elevator structures:
$42,980 per family unit without a
bedroom
$49,557 per family unit with one
bedroom
$59,766 per family unit with two
bedrooms
$76,501 per family unit with three
bedrooms
$85,225 per family unit with four
bedrooms
For elevator structures:
$45,232 per family unit without a
bedroom
$51,849 per family unit with one
bedroom
$63,049 per family unit with two
bedrooms
$81,563 per family unit with three
bedrooms
$89,531 per family unit with four
bedrooms
(2) For group homes only (the
development cost limits are capped by
type of occupancy and number of
person with disabilities):
TYPE OF DISABILITY
Physical/developmental
Residents
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2
3
4
5
6
Chronic mental illness
$172,303
185,287
198,273
211,257
224,228
$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
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requirements of 24 CFR 891.120(b) and
891.310(b); and the project design and
cost standards of 24 CFR 891.120. b.
Increased development cost limits.
(1) HUD may increase the
development cost limits set forth above,
by up to 140 percent in any geographic
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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.
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Note: In applying the applicable high cost
percentage, the local HUD office may use a
percentage that is higher or lower than that
which is assigned to the local HUD office if
it is needed to provide a capital advance
amount that is comparable to what it
typically costs to develop a Section 811
project in that area.
(2) If HUD finds that high
construction costs in Alaska, Guam, the
Virgin Islands or Hawaii make it
unfeasible to construct dwellings,
without the sacrifice of sound standards
of construction, design, and livability,
within the development cost limits
provided in Section IV.E.3.a.(1) and
IV.E.3.b.(1) above, the amount of capital
advances may be increased to
compensate for such costs. The increase
may not exceed the limits established
under this section (including any high
cost area adjustment) by more than 50
percent.
(3) For group homes only, local HUD
offices may approve increases in the
development cost limits in Section
IV.E.3.a.(2), above, in areas where you
can provide sufficient documentation
that high land costs limit or prohibit
project feasibility. An example of
acceptable documentation is evidence of
at least three land sales that have
actually taken place (listed prices for
land are not acceptable) within the last
two years in the area where your project
is to be built. The average cost of the
documented sales must exceed ten
percent of the development cost limit
for your project in order for an increase
to be considered.
4. Commercial Facilities. A
commercial facility for the benefit of the
residents may be located and operated
in the Section 811 project. However, the
commercial facility cannot be funded
with the use of Section 811 capital
advance or PRAC funds. The maximum
amount of space permitted for a
commercial facility cannot exceed 10
percent of the total project cost. An
exception to this 10 percent limitation
is if the project involves acquisition or
rehabilitation and the additional space
was incorporated in the existing
structure at the time the proposal was
submitted to HUD. Commercial facilities
are considered public accommodations
under Title III of the Americans with
Disabilities Act of 1990 (ADA), and thus
must comply with all the accessibility
requirements of the ADA.
5. Expiration of Section 811 Funds.
The Department of Housing and Urban
Development Appropriations Act, 2006,
requires HUD to obligate all Section 811
funds appropriated for FY 2006 by
September 30, 2009. Under 31 U.S.C.
1551, no funds can be disbursed from
this account after September 30, 2014.
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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,
2014, 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, 2014.
Furthermore, all unexpended balances,
including any remaining balance on
PRAC contracts, will be cancelled as of
October 1, 2014. 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 submission requirement. See
the General Section for information on
applying online and requesting a waiver
from the electronic application
requirement. The applications
submitted electronically via Grants.gov
will be downloaded and forwarded to
the appropriate local HUD Office for
processing and review. 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. Refer to HUD’s website at
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm for a listing of local HUD
offices. The applications submitted
electronically via https://www.Grants.gov
will be downloaded and forwarded to
the appropriate local HUD office.
2. For Section 811 applications that
have more than one applicant, i.e., CoSponsors. The applicants must
designate a single individual to act as
the authorized representative for all CoSponsors of the application. The
designated authorized representative of
the organization submitting the
application must be registered with
Grants.gov, the Federal Central
Contractor Registry and with the
credential provider for EAuthentication. Information on the
Grants.gov registration process is found
at https://www.grants.gov/GetStarted.
When the application is submitted
through Grants.gov, the name of the
designated authorized representative
will be inserted into the signature line
of the application. Please note that the
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designated authorized representative
must be able to make legally binding
commitments for each Co-Sponsor to
the application.
Each Co-Sponsor must complete the
documents required of all co-sponsoring
organizations to permit HUD to make a
determination on the eligibility of the
Co-Sponsor(s) has pledged to the
project. Therefore, each Co-Sponsor
must submit the following information
using the scanning and/or faxing
method described in Section IV. of the
General Section: Standard Form 424,
Application for Federal Assistance;
Standard Form 424 Supplement, Survey
for Ensuring Equal Opportunity for
Applicants; Standard Form LLL,
Disclosure of Lobbying Activities (if
applicable); Form HUD–92016–CA,
Section 811 Application for Capital
Advance, Summary Information; Form
HUD–92041, Sponsor’s Conflict of
Interest Resolution; Form HUD–92042,
and Sponsor’s Resolution for
Commitment to Project. The forms
identified above are discussed in the
Program instructions package and can
be downloaded from HUD’s Website at
https://www.hud.gov/offices/adm/grants/
nofa06/snofaforms.cfm. The
downloaded and completed forms
should be saved as separate electronic
files and attached to the electronic
application submission following the
requirements of Section IV.
As stated in Section IV of the General
Section, scanning documents to create
electronic files increases the size of the
file. Therefore, applicants may not
submit scanned files unless using the
facsimile method as stated in the
General Section. If the facsimile method
does not work, forms and other
documents from Co-Sponsors may be
scanned to create an electronic file and
submitted as an attachment to the
application. These documents should be
labeled and numbered so the HUD
reviewer can identify the file and its
contents. If the applicant is creating an
electronic file, the file should contain a
header that identifies the name of the
Sponsor submitting the electronic
application, that Sponsor’s DUNS
Number, and the unique ID that is found
at the top of the Facsimile Transmission
form found in the electronic application
package. The naming convention for
each electronic file should correspond
to the labeling convention used in the
application Table of Contents found in
Section IV.B.1. of this NOFA. For
example, the organizational documents
of a Co-Sponsor would be included
under Part II, Exhibit 2(a) of the Section
811 application.
The signed documents and other
information required to be submitted
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with the electronic application should
be transmitted via fax, using Form
HUD–96011, Facsimile Transmittal as
the cover page to the facsimile. The
Form HUD–96011 is found in the
electronic application package. CoSponsors should use the Form HUD–
96011 provided by the Sponsor that is
submitting the electronic application.
The submitting Sponsor should fill in
the SF 424 form prior to giving the Form
96011 to the Co-Sponsors. By following
these directions, the Form HUD–96011
will be pre-populated with the
submitting Sponsor’s organizational
information exactly as the submitting
Sponsor has provided it on the
electronic application. In addition, HUD
will be using the unique identifier
associated to the downloaded
application package as a means of
matching the faxes submitted with
applications received via Grants.gov.
The Facsimile Transmittal form also has
space to provide the number of pages
being faxed and information on the type
of document. Co-Sponsors or the
submitting applicant can insert the
document name in the space provided
labeled Program Component and should
ensure that the form that is used is the
cover sheet to the facsimile transmittal.
Do not insert any additional or other
cover pages as it will cause problems in
electronically matching the pieces of the
application.
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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 FY2006. Refer to
the General Section for information
regarding HUD’s Strategic Goals and
Policy Priorities. For the Section 811
program, applicants who include work
activities that specifically address the
policy priorities of encouraging
accessible design features by
incorporating visitability standards and
universal design, ending chronic
homelessness, removing barriers to
affordable housing, promoting energy
efficiency in design and operations, and
expanding training and employment
opportunities for low and very lowincome persons and business concerns
(Section 3 requirements) will receive
additional points. A Notice pertaining to
the removal of barriers to affordable
housing was published in the Federal
Register and may be downloaded from
the HUD website at https://
www.hud.gov/offices/adm/grants/
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Rating Factors. HUD will rate
applications that successfully complete
technical processing using the Rating
Factors set forth below and in
accordance with the application
submission requirements in this NOFA.
The maximum number of points an
application may receive under this
program is 102. This includes two (2)
RC/EZ/EC-II bonus points, as described
in the General Section of the
SuperNOFA and Section V.A.6 below.
1. Rating Factor 1: Capacity of the
Applicant and Relevant Organizational
Staff (28 Points). This factor addresses
the extent to which you have the
organizational resources to successfully
implement the proposed activities in a
timely manner. Submit information
responding to this factor in accordance
with Application Submission
Requirements in Exhibits 3(a), 3(b), 3(e),
5 and 6 of Section IV.B. of this NOFA.
In rating this factor, HUD will consider
the extent to which your application
demonstrates your ability to develop
and operate the proposed housing on a
long-term basis, considering the
following:
a. (13 points) The scope, extent, and
quality of your experience in providing
housing or related services to those
proposed to be served by the project and
the scope of the proposed project (i.e.,
number of units, services, relocation
costs, development, and operation) in
relationship to your demonstrated
development and management capacity
as well as your financial management
capability.
b. (10 points) The scope, extent, and
quality of your experience in providing
housing or related services to minority
persons or minority families and your
ties to the community at large and to the
minority and disability communities in
particular.
(1) (5 points) The scope, extent, and
quality of your experience in providing
housing or related services to minority
persons or families.
(2) (5 points) The scope, extent, and
quality of your ties to the community at
large and to the minority and disability
communities in particular.
To earn the maximum number of
points under subcriteria (b)(1) above,
you must describe significant previous
experience in providing housing and/or
supportive services to minorities
generally and to minority persons with
disabilities, in particular. For the
purpose of this competition, ‘‘significant
previous experience’’ means that the
previous housing assistance or related
services to minorities, i.e., the
percentage of minorities being provided
housing or related services in your
current developments, was equal to or
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greater than the percentage of minorities
in the housing market area where the
previous housing or services occurred.
To earn the maximum number of points
under subcriteria (b)(2) above, you
should submit materials that
demonstrate your efforts to make
housing available to the community at
large and the minority and disability
communities in particular and your
relationships over time with the
community, including the minority and
disability communities. Examples of
documents that may be submitted to
earn the maximum number of points
under subcriteria (b)(2), include letters
of support from community leaders
(including minority and disability
community leaders) that give
information about applicant’s
relationship over time with the
community (including the minority and
disability community). You may also
submit copies of your affirmative
marketing plan and the advertising/
outreach materials you utilize to attract
minority communities (including
limited English proficient
communities), disabled community and
the community at large. Regarding your
advertising/outreach materials, you
should identify when advertising/
outreach materials are circulated, whom
they are circulated to, where they are
circulated, and how they are circulated.
Descriptions of other advertising/
outreach efforts to the minority
(including limited English proficient
communities) and disabled
communities and the dates and places
of such advertising/outreach efforts
should also be included.
c. (¥3 to ¥5 points) HUD will deduct
(except if the delay was beyond your
control) 3 points if a fund reservation
you received under either the Section
811 program of Supportive Housing for
Persons with Disabilities or the Section
202 program of Supportive Housing for
the Elderly in FY2000 or later has been
extended beyond 24 months, 4 points if
beyond 36 months, and 5 points if
beyond 48 months. Examples of delays
beyond your control include, but are not
limited to, initial closing delays that are:
(1) directly attributable to HUD, (2)
directly attributable to third party
opposition, including litigation, and (3)
due to a disaster, as declared by the
President of the United States.
d. (¥3 to ¥5 points). HUD will
deduct from 3 points to 5 points if
amendment money was required in
connection with a fund reservation you
received under either the Section 202
Program of Supportive Housing for the
Elderly or the Section 811 Program of
Supportive Housing for Persons with
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Disabilities in FY 2001 or later based on
the following.
(1) (¥3 points). The amount of the
amendment money required was 25% or
less of the original capital advance
amount approved by HUD.
(2) (¥4 points). The amount of the
amendment money required was
between 26% and 50% of the original
capital advance amount approved by
HUD.
(3) (¥5 points). The amount of the
amendment money required was over
50% of the original capital advance
amount approved by HUD.
e. (5 points) You have experience in
developing integrated housing and/or
the proposed project will be an
integrated housing model (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 NOFA. HUD will
consider the following in evaluating this
factor:
The extent of the need for the project
in the area based on a determination by
the local HUD office. In making this
determination, HUD will consider your
evidence of need in the area, as well as
other economic, demographic, and
housing market data available to the
local HUD office. The data should
include 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
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(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.
If a determination has been made that
there is sufficient sustainable long-term
demand for additional supportive
housing for persons with disabilities in
the area to be served, the project is to
be awarded 10 points. If not, the project
is to be awarded 0 points. No other
point values are allowed.
3. Rating Factor 3: Soundness of
Approach (42 Points). This factor
addresses the quality and effectiveness
of your proposal, the extent to which
you involved persons with disabilities,
including minority persons with
disabilities, in the development of the
application and will involve them in the
development and operation of the
project, the extent to which you
coordinated your application with other
organizations, including local
independent living centers, with which
you share common goals and objectives
and are working toward meeting these
objectives in a holistic and
comprehensive manner, whether you
consulted with Continuum of Care
organizations to address efforts to assist
persons with disabilities who are
chronically homeless as defined in the
General Section, whether the
jurisdiction in which your project will
be located has undertaken successful
efforts to remove regulatory barriers to
affordable housing, whether you will
promote energy efficiency in the design
and operation of the proposed housing,
and your plans to expand economic
opportunities for low and very lowincome persons as well as business
concerns (Section 3). There must be a
clear relationship between the proposed
design, the proposed activities, the
community’s needs and purposes of the
program funding for your application to
receive points for this factor. Submit
information responding to this factor in
accordance with Application
Submission Requirements in Exhibits
2(d), 3(f), 3(j), 3(k), 3(l), 3(m), 4(c)(i),
4(c)(ii), 4(d)(iii), 4(d)(v), 4(d)(vi), 4(e)(i),
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;
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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. If the site will be in a minority
neighborhood, the site will be deemed
acceptable if it contributes to the
revitalization of and reinvestment in the
minority neighborhood, including
improvement of the level, quality and
affordability of services furnished to
minority persons with disabilities. You
should refer to the Site and
Neighborhood Standards provisions of
the regulations governing the Section
811 Supportive Housing Program (24
CFR 891.125(b) and (c)) when
considering sites for your projects.
(2) For the purpose of this
competition, the term ‘‘minority
neighborhood (area of minority
concentration)’’ is defined as one where
any one of the following statistical
conditions exists:
(a) The 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.
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d. (2 points) Site and Neighborhood
Standards and Persons with Disabilities:
The extent to which the proposed
design of the project (exterior and
interior) and its placement in the
neighborhood will meet the individual
needs of the residents and will facilitate
their integration into the surrounding
community and promote their ability to
live as independently as possible.
e. (1 point) The extent to which the
proposed design incorporates
visitability standards and universal
design in the construction or
rehabilitation of the project. Refer to the
General Section for further information.
f. (4 points) Your board is comprised
of persons with disabilities.
g. (3 points) You involved persons
with disabilities (including minority
persons with disabilities) in the
development of the application, and
will involve persons with disabilities
(including minority persons with
disabilities) in the development and
operation of the project.
h. (2 points) The extent to which you
coordinated your application with other
organizations (including local
independent living centers; a list of
such can be obtained from the local
HUD office) that will not be directly
participating in your project, but with
which you share common goals and
objectives and are working toward
meeting these goals and objectives in a
holistic and comprehensive manner.
i. (1 point) You consulted with the
Continuum of Care organizations in the
community in which your proposed
project will be located and have
developed ways in which the proposed
project will assist persons with
disabilities who have been experiencing
chronic homelessness become more
productive members of society. Refer to
the General Section for further
information.
j. (2 points) The extent to which the
jurisdiction in which your project will
be located has undertaken successful
efforts to remove regulatory barriers to
affordable housing. (NOTE: To receive
up to 2 points, the applicant must have
submitted the optional Form HUD–
27300, Questionnaire for HUD’s
Initiative on Removal of Regulatory
Barriers, AND provided URL references
or submitted the required documentary
evidence.)
k. (1 point) The extent to which you
will promote energy efficiency in the
design and operation of the proposed
housing. (NOTE: Optional, but to
receive the 1 point, the applicant must
have adequately addressed their plans
to promote energy efficiency in the
design and operation of the proposed
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project.) Refer to Section III.C.3.k. of this
NOFA.
l. (2 points). The extent to which you
have described your plans for
expanding economic opportunities for
low and very low-income persons
(provisions of Section 3). NOTE: To
receive up to 2 points, the applicant
must have adequately addressed the
following in Exhibit 3(m) of the
application. Refer to the General Section
for further information.
(1) (1 point). Provide opportunities to
train and employ low and very lowincome residents of the project area.
(2) (1 point). Award substantial
contracts to persons residing in the
project area.
4. Rating Factor 4: Leveraging
Resources (5 Points). This factor
addresses your ability to secure other
funding sources and community
resources that can be combined with
HUD’s program resources to achieve
program purposes. Submit information
responding to this factor in accordance
with Application Submission
Requirements in Exhibits 3(a), 3(b), 3(c),
3(d), 3(e), and 5(f) of Section IV.B. of
this NOFA.
a. (0 point). The application contains
general support and/or written evidence
of firm commitments towards the
development and operation of the
proposed project (including, financial
assistance, donation of land, provision
of services, etc.) from other funding
sources (e.g., private local community
and government sources) where the
dollar value totals 5% or less of the
capital advance amount as determined
by HUD.
b. (1 point). The application contains
written evidence of firm commitments
towards the development and operation
of the proposed project (including,
financial assistance, donation of land,
provision of services, etc.) from other
funding sources (e.g., private local
community and government sources)
where the dollar value totals between
6% and 10% of the capital advance
amount as determined by HUD.
c. (2 points). The application contains
written evidence of firm commitments
towards the development and operation
of the proposed project (including,
financial assistance, donation of land,
provision of services, etc.) from other
funding sources (e.g., private local
community and government sources)
where the dollar value totals between
11% and 15% of the capital advance
amount as determined by HUD.
d. (3 points). The application contains
written evidence of firm commitments
towards the development and operation
of the proposed project (including,
financial assistance, donation of land,
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provision of services, etc.) from other
funding sources (e.g., private local
community and government sources)
where the dollar value totals between
16% and 20% of the capital advance
amount as determined by HUD.
e. (4 points). The application contains
written evidence of firm commitments
towards the development and operation
of the proposed project (including,
financial assistance, donation of land,
provision of services, etc.) from other
funding sources (e.g., private local
community and government sources)
where the dollar value totals between
21% and 25% of the capital advance
amount as determined by HUD.
f. (5 points). The application contains
written evidence of firm commitments
towards the development and operation
of the proposed project (including,
financial assistance, donation of land,
provision of services, etc.) from other
funding sources (e.g., private local
community and government sources)
where the dollar value totals over 25%
of the capital advance amount as
determined by HUD.
5. Rating Factor 5: Achieving Results
and Program Evaluation (12 Points).
This factor reflects HUD’s goal to
embrace high standards of ethics,
management and accountability and, as
such, emphasizes HUD’s commitment to
ensuring that you keep the promises
made in your application. This factor
requires that you clearly identify the
benefits or outcomes of your project and
develop an evaluation plan to measure
performance, which includes what you
are going to measure, how you are going
to measure it, and the steps you will
have in place to make adjustments to
your project development timeline
should you not be able to achieve any
of the major milestones. Completion of
Exhibit 8(j), Program Outcome Logic
Model, 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
Section IV.B. of this NOFA.
a. (5 points) The extent to which your
project development timeline is
indicative of your full understanding of
the development process and will,
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therefore, result in the timely
development of your project.
b. (2 points) The extent to which your
past performance evidences that the
proposed project will result in the
timely development of the project.
Evidence of your past performances
could include the development of
previous construction projects,
including but not limited to Section 202
or Section 811 projects.
c. (2 points) The extent to which your
project will implement practical
solutions that will result in assisting
residents in achieving independent
living, economic empowerment,
educational opportunities, and
improved living environments (e.g.,
activities that will improve computer
access, literacy and employment
opportunities).
d. (3 points) The extent to which you
demonstrated that your project will
remain viable as housing with the
availability of supportive services for
very low income persons with
disabilities for the 40-year capital
advance period.
6. Bonus Points (2 bonus points)
Location of proposed site in an RC/EZ/
EC–II area, as described in the General
Section. Submit the information
responding to the bonus points in
accordance with the Application
Submission Requirements in Exhibit 8(i)
of Section IV.B. of this NOFA.
B. Reviews and Selection Process: 1.
Review for Curable Deficiencies. Upon
receipt of the application by HUD staff,
HUD will screen all applications to
determine if there are any curable
deficiencies. For applicants receiving a
waiver to submit a paper application,
submitting fewer than the required
original and four copies of the
application is not a curable deficiency
and will cause your application to be
considered non-responsive to the NOFA
and returned to you. A curable
deficiency is a missing Exhibit or
portion of an Exhibit that will not affect
the rating of the application. Refer to the
General Section for additional
information regarding procedures for
corrections to deficient applications.
The following is a list of the only
deficiencies that will be considered
curable in a Section 811 application:
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Exhibit
Description
1 .....................
Form 92016–CA (Application
Form)*.
Articles of Incorporation*.
By-laws*.
IRS tax exemption ruling*.
Evidence of site control.
2(a) .................
2(b) .................
2(c) .................
4(d)(i) .............
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Exhibit
Description
4(d)(ii) .............
Evidence site is free of limitations, restrictions or reverters.
Evidence of compliance with
URA site notification requirement.
Phase I ESA.
Asbestos Statement or Survey.
Letter to the State/Tribal Historic Preservation Officer
(SHPO/THPO) and a
statement that the SHPO/
THPO failed to respond
OR the letter from the
SHPO/THPO.
Willingness to seek an alternate site.
Exception to project size
limit.
Steps undertaken to identify
site.
Status of the sale of the site.
Whether the site would involve relocation.
Supportive Services Plan.
Relocation.
Standard Form 424, Application for Federal Assistance, Letter sent to the
State Point of Contact
(SPOC)*.
Standard Form 424 Supplement, Survey on Ensuring
Equal Opportunity for Applicants Standard Form
LLL, Disclosure of Lobbying Activities (if applicable).
Form HUD–2880, Applicant/
Recipient Disclosure/Update Report.
Form HUD–2991, Certification of Consistency with
Consolidated Plan.
Form HUD–92041, Sponsor’s Conflict of Interest
Resolution.
Form HUD–92042, Sponsor’s Resolution for Commitment to Project*.
Form HUD–92043, Supportive Services Certification.
4(d)(iv) ............
4(d)(vii) ...........
4(d)(viii) ..........
4(d)(ix) ............
4(d)(x) ............
4(d)(xi) ............
4(e)(ii) .............
4(e)(iv) ............
4(e)(v) ............
5 .....................
7 .....................
8(a) .................
8(b) .................
8(c) .................
8(d) .................
8(e) .................
8(f) ..................
8(g) .................
8(i) ..................
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.
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2. Rating. HUD will review and rate
your application in accordance with the
Reviews and Selection Process in the
General Section except as described in
‘‘3. Appeal Process’’ below. Your
application will be either rated or
technically rejected at the end of
technical review. If your application
meets all program eligibility
requirements after completion of
technical review, it will be rated
according to the rating factors in Section
V.A. above.
3. Appeal Process. HUD will not reject
your application based on technical
review without notifying you of the
rejection with all the reasons for
rejection and providing you an
opportunity to appeal. You will have 14
calendar days from the date of HUD’s
written notice to appeal a technical
rejection to the local HUD office. In
HUD’s review of any appeal, it should
be noted that in conformance with its
regulations at 24 CFR part 4, subpart B,
HUD will not consider any unsolicited
information that you, the applicant, may
want to provide. The local HUD office
will make a determination on any
appeals before making its selection
recommendations.
4. Ranking and Selection Procedures.
Applications that have a total base score
of 75 points or more (without the
addition of RC/EC/EZ–II bonus points)
and meet all of the applicable threshold
requirements in the General Section and
this NOFA will be eligible for selection
and will be placed in rank order in two
categories; Category A and Category B.
Category A will consist of approvable
applications that contain acceptable
evidence of control of all proposed sites
and all proposed sites have been found
approvable. Category B will consist of
the following approvable applications:
(a) Those that were submitted with
identified sites; (b) those that were
submitted with evidence of site control
where the evidence and/or any of the
proposed sites were found
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
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approximates the capital advance
authority remaining in its allocation.
HUD Multifamily Program Centers will
not skip over any applications in order
to select one based on the funds
remaining. After making the initial
selections from the applicable category,
however, HUD Multifamily Program
Centers may use remaining available
funds to select the next rank-ordered
application in that category by reducing
the number of units by no more than 10
percent, rounded to the nearest whole
number, provided the reduction will not
render the project unfeasible. For this
purpose, however, HUD will not reduce
the number of units in projects of five
units or less.
After the HUD Multifamily Program
Centers have funded all possible
projects based on the process above,
residual funds from all HUD
Multifamily Program Centers within
each Multifamily Hub will be combined.
First, these funds will be used to restore
units to projects reduced by HUD
Multifamily Program Centers based on
the above instructions. Second,
additional approvable applications
within each Multifamily Hub will be
selected in Hub-wide rank order, first
from Category A, and if sufficient funds
remain, from Category B, with only one
application selected per HUD
Multifamily Program Center. More than
one application may be selected per
HUD Multifamily Program Center if
there are no approvable applications in
other HUD Multifamily Program Centers
within the Multifamily Hub. This
process will continue until there are no
more approvable applications within
the Multifamily Hub that can be
selected with the remaining funds.
Applications may not be skipped over to
select one based on funds remaining.
However, the Multifamily Hub may use
any remaining residual funds to select
the next rank-ordered application in the
applicable category by reducing the
number of units by no more than 10
percent rounded to the nearest whole
number, provided the reduction will not
render the project infeasible or result in
the project being less than 5 units.
Funds remaining after the Multifamily
Hub selection process is completed will
be returned to Headquarters. HUD
Headquarters will use 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
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be selected per HUD Multifamily
Program Center in Category A from the
national residual amount. Headquarters
may skip over a higher rated Category A
application to ensure that only one
application is selected from each HUD
Multifamily Program Center. This
process will continue until the
remaining available funds are used to
select Category A applications, to the
maximum extent possible. If all
Category A applications are selected,
Category B applications will then
become eligible for selection in rank
order, beginning with the highest rated
application. Only one Category B
application per HUD Multifamily
Program Center will be selected from
the remaining national residual amount.
Headquarters may skip over a higher
rated Category B application in order to
ensure that only one application is
selected from each HUD Multifamily
Program Center. This process will
continue until the remaining available
funds are used to select approvable
applications. If there are no approvable
applications in Category A in other HUD
Multifamily Program Centers, then the
next highest rated application in
Category B in another HUD Multifamily
Program Center will be selected.
5. HUD Error. In the event HUD
commits an error that, when corrected,
would have resulted in the selection of
an otherwise eligible applicant during
the funding round of this NOFA, HUD
may select that applicant when
sufficient funds become available.
VI. Award Administration Information
A. Award Notices
1. Agreement Letter. If you are
selected to receive a Section 811 fund
reservation, you will receive an
Agreement Letter that stipulates the
terms and conditions for the Section 811
fund reservation award as well as the
submission requirements following the
fund reservation award. The duration of
the fund reservation award for the
capital advance is 18 months from the
date of issuance of the fund reservation.
Immediately upon your acceptance of
the Agreement Letter, you are expected
to begin work towards the submission of
a Firm Commitment Application, which
is the next application submission stage.
You are required to submit a Firm
Commitment Application to the local
HUD office within 180 days from the
date of the Agreement Letter. Initial
closing of the capital advance and start
of construction of the project are
expected to be accomplished within the
duration of the fund reservation award.
Final closing of the capital advance is
expected to occur no later than six
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months after completion of project
construction.
2. Non-selection Letter. If your
application is approvable but unfunded
due to insufficient funds or receives a
rating that is below the minimum
threshold score established for funding
eligibility, you will receive a letter to
this effect.
3. Debriefing. Refer to the General
Section for further information
regarding debriefings except that the
request must be made to the Director of
Multifamily Housing in the appropriate
local HUD office.
B. Administrative and National Policy
Requirements
1. Ensuring the Participation of Small
Businesses, Small Disadvantaged
Businesses, and Women-Owned
Businesses. Although the Section 811
program is not subject to the provisions
of 24 CFR 85.36(e) as described in the
corresponding paragraph in the General
Section you are required to comply with
Executive Order 12432, Minority
Business Enterprise Development and
Executive Order 11625, Prescribing
Additional Arrangements for
Developing and Coordinating a National
Program for Minority Business
Enterprise as they relate to the
encouragement of HUD grantees to
utilize minority business enterprises.
2. Acquisition and Relocation. You
must comply with the Uniform
Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as
amended (49 CFR part 24 and 24 CFR
part 891.155(e)) (URA), which covers
the acquisition of sites, with or without
existing structures, and with 24 CFR
8.4(b)(5) of the Section 504 regulations
which prohibits discrimination based
on disability in determining the site or
location of a federally-assisted facility.
However, you are exempt from
complying with the site acquisition
requirements of the URA if you do not
have the power of eminent domain and
prior to entering into a contract of sale,
option to purchase or any other method
of obtaining site control, you inform the
seller of the land in writing: (1) That you
do not have the power of eminent
domain and, therefore, you will not
acquire the property if negotiations fail
to result in an amicable agreement, and
(2) of the estimate of the fair market
value of the property. An appraisal is
not required to meet this requirement;
however, your files must include an
explanation (with reasonable evidence),
of the basis for the estimate. Evidence of
compliance with this advance notice
requirement must be included in Exhibit
4(d)(iv) of your application.
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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
The Program Outcome Logic Model
(Form HUD–96010) must be completed
indicating the results achieved against
the proposed output goal(s) and
proposed outcome(s) which you stated
in your approved application and
agreed upon by HUD. Based on the
information you provided in the
Program Outcome Logic Model. These
reporting requirements are to be
submitted to HUD as follows:
Program Outcome Logic Model. You,
as the Sponsor, and the Owner, when
formed, are required to report annually,
beginning from the date of the
Agreement Letter, on the results
achieved against the output goal(s) and
outcome(s), which you proposed in the
Program Outcome Logic Model that was
submitted in your application. For
FY2006, HUD is considering a new
concept for the Logic Model. The new
concept is a Return on Investment (ROI)
statement. HUD will be publishing a
separate notice on the ROI concept.
2. The Regulatory Agreement (Form
HUD–92466–CA) requires the Owner of
the Section 811 project to submit an
annual financial statement for the
project. This financial statement must
be audited by an Independent Public
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.
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VII. Agency Contact(s)
Technical Assistance. For technical
assistance in downloading an
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application package from
www.grants.gov/Apply, contact the
Grants.gov help desk at 800–518–Grants
or by sending an email to
support@grants.gov.
Programmatic Information. For
programmatic information, you may
contact the appropriate local HUD
office, or Frank Tolliver at HUD
Headquarters at (202) 708–3000 (this is
not a toll-free number), or access the
Internet at: https://www.hud.gov/offices/
adm/grants/fundsavail.cfm. Persons
with hearing and speech impairments
may access the above number via TTY
by calling the toll-free Federal Relay
Service at 800–877–8339.
VIII. Other Information
A. Field Office Workshop. HUD
encourages minority organizations and
grassroots organizations (e.g., civic
organizations, faith-communities and
grassroots faith-based and other
community-based organizations) to
participate in this program and strongly
recommends prospective applicants
attend the local HUD office workshop.
At the workshops, HUD will explain
application procedures and
requirements, as well as address
concerns such as local market
conditions, building codes and
accessibility requirements,
contamination identification and
remediation, historic preservation,
floodplain management, other
environmental requirements,
displacement and relocation, zoning,
and housing costs. If you are interested
in attending the workshop, make sure
that your name, address and telephone
number are on the appropriate local
HUD office’s mailing list so that you
will be informed of the date, time and
place of the workshop. Persons with
disabilities should call the appropriate
local HUD office to assure that any
necessary arrangements can be made to
enable their attendance and
participation in the workshop.
If you cannot attend the workshop,
call the appropriate local HUD office if
you have any questions regarding the
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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 website 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. 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.
BILLING CODE 4210–01–C
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Continuum of Care (COC) Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Community Planning and
Development.
B. Funding Opportunity Title:
Funding Availability for Continuum of
Care (CoC) Homeless Assistance
Programs.
C. Announcement Type: Initial
Announcement.
D. Funding Opportunity Number: The
Federal Register number is FR–5030–
N–32. 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 Deadline Date:
Applications should be submitted no
later than May 25, 2006. Please see
Section IV of this NOFA for application
submission and timely receipt
requirements.
G. Additional Overview Content
Information: 1. Purpose of the Programs:
The purpose of the CoC Homeless
Assistance Programs is to assist
homeless persons to move to selfsufficiency and permanent housing.
2. Available Funds: Approximately
$1.2 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
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I. Funding Opportunity Description
A. Program Description
1. Overview. The purpose of the CoC
Homeless Assistance Programs is to
reduce the incidence of homelessness in
CoC communities by assisting homeless
individuals and families to move to selfsufficiency and permanent housing.
CoCs and their projects that sustain
current successful interventions and
advance the goals of ending chronic
homelessness will be scored higher.
2. The authorizing legislation and
implementing regulations for all
programs covered by this NOFA are
outlined on the chart in Section III.A.3.
3. Changes for 2006. This list includes
all major changes to the CoC NOFA:
a. Chart format—The 2006 CoC
application has eliminated many
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required narratives and replaced them
with tables that gather the same or
similar information. This will reduce
the time that CoCs and project sponsors
will need to fill out the application, and
it prepares for an electronic application
in 2007. Because of the chart format,
there is no longer a page limit on
Exhibit 1. Tables have replaced
narratives in the following areas of
Exhibit 1:
(1) The CoC’s planning process;
(2) The CoC’s past performance in
addressing chronic homelessness, and
long-term strategy for ending chronic
homelessness;
(3) The CoC’s coordination with other
state and local plans;
(4) The community’s methods for
conducting the unsheltered count,
collecting annual data for the Housing
Inventory Chart and Populations and
Subpopulations Chart, and describing
the basis for its determination of unmet
need;
(5) The CoC’s project review and
selection process; and
(6) The CoC’s progress and strategies
for implementation of an HMIS in the
community.
b. The 2006 application has
consolidated Exhibits 2, 2R, 3, 3R, and
4 into a single Exhibit 2. This
streamlined format will make it easier
for project sponsors to complete the
required forms.
c. Exhibit 1 has been reorganized into
four major divisions: Part I: CoC
Organizational Structure, Part II: CoC
Housing and Service Needs, Part III:
CoC Strategic Planning, and Part IV:
CoC Performance. Scoring of these
sections will allocate 8, 12, 10, and 18
points to each part, respectively.
d. Checkboxes regarding the
frequency of meetings in the new
‘‘Groups and Meetings Chart’’ in Exhibit
1 (CoC-C) replace the required listing of
all CoC meeting dates.
e. A new chart in Exhibit 1, ‘‘CoC
Governing Process’’ focuses on the
planning and decision-making structure
of the CoC. HUD has requested that
Congress pass legislation to consolidate
the three CoC programs, and additional
governance is intended to help CoCs
implement this new legislation.
f. The Project Leveraging Chart (CoCS) in Exhibit 1 chart requires that CoCs
enter a single number—the total
leveraging amount requested by all
projects on the priority chart. Each
project will now submit specific
leveraging amounts and details in
Exhibit 2.
g. The Chronic Homeless Progress
Chart (CoC-V) in Exhibit 1 emphasizes
HUD’s goal to end chronic homelessness
by asking CoCs to provide information
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on funding of beds for the chronically
homeless.
h. The CoC 10-Year Plan Chart in
Exhibit 1 eliminates narrative
discussion of long-term planning and
replaces it with a chart containing five
HUD/national objectives. The chart is
called the CoC 10-Year Plan, Objectives,
and Action Steps Chart. CoCs will list
their action steps and measurable
achievements for 1, 5, and 10 years with
respect to these objectives.
i. The Achievements Chart (CoC-U) in
Exhibit 1 requires CoCs to report on
their achievements with respect to their
2005 goals. In the 2007 application,
CoCs will be reporting on their
achievements with respect to the five
HUD/national objectives and action
steps contained in the 2006 application.
j. The CoC Section 3 Employment
Policy Chart (CoC-AB) in Exhibit 1
requires CoCs to identify the
employment policies of projects in the
Continuum to whom Section 3 of the
Housing and Urban Development Act of
1968 applies.
k. Housing Emphasis points will be
calculated using Shelter Plus Care
renewal amounts as well as the housing
activities in transitional and other
permanent housing requests.
l. HUD has streamlined this NOFA
and removed those portions not
immediately pertaining to the selection
process. These include: program
requirements upon conditional award
(relating to coordination of mainstream
resources and prevention strategies/
discharge policies); renewals of Shelter
Plus Care SRO projects expiring in 2006;
and information about Annual Progress
Reports. These sections are now located
on the HUD web site at: www.hud.gov.
m. The ‘‘Questions and Answers
Supplement’’ contains additional
information and should be thoroughly
reviewed. It is now available on the web
at www.hud.gov/offices/adm/grants/
fundsavail.cfm.
4. Developing and Coordinating CoC
Systems: Developing a CoC system
should be an inclusive process that
brings together participants from the
state, local, private and nonprofit
sectors to reduce homelessness. This
NOFA emphasizes HUD’s determination
to integrate and align plans, including
U.S. Interagency Council on
Homelessness-sponsored jurisdictional
state and city ten-year plans
(jurisdictional ten-year plans) and
Consolidated Plans, into the CoC plans.
These plans serve as the vehicle for a
community to comprehensively identify
each of its needs and to coordinate a
plan of action for addressing them. For
a community to successfully address the
complex and interrelated problems
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related to homelessness, the community
must marshal its varied resources—
community and economic development
resources, social service resources,
business, health care, philanthropy, law
enforcement, and housing and homeless
assistance resources—and use them in a
coordinated and effective manner.
5. CoC Components. A CoC system
consists of five basic components, as
follows:
a. A system of outreach, engagement,
and assessment for determining the
needs and conditions of an individual
or family who is homeless, and
necessary support to identify, prioritize,
and respond to persons who are
chronically homeless;
b. Emergency shelters with
appropriate supportive services to help
ensure that homeless individuals and
families receive adequate emergency
shelter and referral to necessary service
providers or housing search counselors;
c. Transitional housing with
appropriate supportive services to help
homeless individuals and families
prepare to make the transition to
permanent housing and independent
living; and
d. Permanent housing, or permanent
supportive housing, to help meet the
long-term needs of homeless individuals
and families.
e. Prevention strategies play an
integral role in a community’s plan to
eliminate homelessness by effectively
intervening for persons in public
systems—e.g., corrections, foster care,
mental health, and other institutions—
so that they do not enter the homeless
system. By law, prevention activities are
ineligible activities in the three
programs for which funds are awarded
in this competition but are eligible for
funding under the Emergency Shelter
Grants block grant program.
6. CoC Planning Process. A CoC
system is developed through a
community-wide or region-wide process
involving nonprofit organizations
(including those representing persons
with disabilities), government agencies,
public housing agencies, community
and faith-based organizations, other
homeless providers, service providers,
housing developers, private health care
organizations, businesses and business
associations, law enforcement and
corrections agencies, school systems,
private funding providers, and homeless
or formerly homeless persons. A CoC
system should address the specific
needs of each homeless subpopulation:
those experiencing chronic
homelessness, veterans, persons with
serious mental illnesses, persons with
substance abuse issues, persons with
HIV/AIDS, persons with co-occurring
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diagnoses (may include diagnoses of
multiple physical disabilities or
multiple mental disabilities or a
combination of these two types), victims
of domestic violence, youth, and any
others. To ensure that the CoC system
addresses the needs of homeless
veterans, it is particularly important that
you involve veteran service
organizations with specific experience
in serving homeless veterans.
7. CoC Funding is provided through
the programs briefly described below.
Please refer to the CoC Homeless
Assistance Programs Chart in Section
III.A.3 for a more detailed description of
each program:
a. The Supportive Housing Program
(SHP) provides funding for the
development of transitional and
permanent supportive housing and
services that help homeless persons
transition from homelessness to living
as independently as possible. Some
services are also funded to assist in
achieving the goal of self-sufficiency.
b. The Shelter Plus Care (S+C)
Program provides funding for rental
assistance and requires grantees to
identify service dollars. This gives
applicants flexibility in devising
appropriate housing and supportive
services for homeless persons with
disabilities.
c. The Section 8 Moderate
Rehabilitation Single Room Occupancy
(SRO) Program provides rental
assistance on behalf of homeless
individuals in connection with the
moderate rehabilitation of SRO
dwellings.
8. Glossary of Terms. a. Applicant. An
entity that applies to HUD for funds. See
the CoC Homeless Assistance Programs
Chart in Section III.A.3 for a list of
entities that are eligible. An applicant
must submit a SF–424. If selected for
funding, the applicant becomes the
grantee and is responsible for the overall
management of the grant, including
drawing grant funds and distributing
them to project sponsors. The applicant
is also responsible for supervision of
project sponsor compliance with grant
requirements. The applicant may also be
a project sponsor.
b. Applicant Certification. The form,
required by law, in which an applicant
certifies that it will adhere to certain
statutory requirements, such as the Civil
Rights Act of 1964.
c. Chronically Homeless Person. An
unaccompanied homeless individual
with a disabling condition who has
either been continuously homeless for a
year or more OR has had at least four
(4) episodes of homelessness in the past
three (3) years. A disabling condition is
defined as ‘‘a diagnosable substance use
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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.
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 (CoC). A
collaborative funding approach that
helps communities plan for and provide
a full range of emergency, transitional,
and permanent housing and service
resources to address the various needs
of homeless persons.
g. Continuum of Care Hold Harmless
Amount. This is the total of the one-year
amount of all SHP projects eligible for
renewal. CoCs shall receive the higher
of: (1) The preliminary pro rata need
(PRN) or (2) the CoC hold harmless
amount. CoCs receiving the CoC hold
harmless amount have the opportunity
to reallocate their PRN funds in order to
create new permanent supportive
housing projects.
h. Current Inventory. A complete
listing of the community’s existing beds
and supportive services.
i. 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
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provide data on client characteristics
and service utilization.
j. 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.
k. NOFA. Notice of Funding
Availability, published in the Federal
Register to announce available funds
and application requirements.
l. Private Nonprofit Status. Private
nonprofit status is documented by
submitting either: (1) A copy of the
Internal Revenue Service (IRS) ruling
providing tax-exempt status under
Section 501(c)(3) of the IRS Code; or (2)
documentation showing that the
applicant is a certified United Way
agency; or (3) a certification from a
designated official of the organization
that no part of the net earnings of the
organization inures to the benefit of any
member, founder, contributor, or
individual; that the organization has a
voluntary board; that the organization
practices nondiscrimination in the
provision of assistance; and that the
organization has a functioning
accounting system that provides for
each of the following (mention each in
the certification):
(1) Accurate, current and complete
disclosure of the financial results of
each federally sponsored project.
(2) Records that identify adequately
the source and application of funds for
federally sponsored activities.
(3) Effective control over and
accountability for all funds, property
and other assets.
(4) Comparison of outlays with budget
amounts.
(5) Written procedures to minimize
the time elapsing between the transfer of
funds to the recipient from the U.S.
Treasury and the use of the funds for
program purposes.
(6) Written procedures for
determining the reasonableness,
allocability and allowability of costs.
(7) Accounting records, including cost
accounting records, which are
supported by source documentation.
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
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standards as applicants do, as outlined
in Section III.A.3, except in the
Sponsor-based rental assistance (SRA)
component of the S+C Program. Eligible
sponsors for the SRA component are
statutorily precluded from applying for
S+C funding.
n. 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.
o. SF 424. The application cover sheet
required to be submitted by applicants
requesting HUD Federal Assistance.
p. 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.
q. 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 pro rata need amount
or $6 million, whichever is less.
Applicants may use no more than 20
percent of this bonus for case
management costs to enable program
participants to remain successfully
housed. See Section V.A.2.b(3) for
additional information on this subject.
9. Applicant Roles and
Responsibilities. An applicant will be
responsible for the overall management
and administration of a particular grant,
including drawing down the grant funds
from HUD, distributing them to the
project sponsors, overseeing project
sponsors, reporting to HUD, providing
performance data to the CoC for
community-level analysis, and
collecting information to provide the
CoC with counts of the homeless
through HMIS. Applicants can submit
applications for projects on behalf of
project sponsors, who will actually
carry out the proposed project activities.
Applicants can also carry out their own
projects. In these cases, the applicant is
responsible for both administering and
managing a grant (as the grantee) and
carrying out the project activities (as the
project sponsor).
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II. Award Information
A. Amount Allocated. Approximately
$1.2 billion is available for this CoC
competition in FY 2006. 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 2006
appropriations to fund applications
submitted in response to this NOFA.
The FY 2006 HUD Appropriations Act
requires HUD to obligate all CoC
homeless assistance funds by September
30, 2008. These funds will remain
available for expenditure for five (5)
years following that date. The only
exception is that $20 million will
remain available until expended for 10year term projects.
1. Distribution of Funds: HUD will not
specify amounts for each of the three
programs. Instead, the distribution of
funds among the three programs will
depend largely on locally determined
priorities and overall demand.
a. Permanent Housing Requirement.
Local priorities notwithstanding, the FY
2006 HUD Appropriations Act requires
that not less than 30 percent of this
year’s Homeless Assistance Grants
(HAG) appropriation, excluding
amounts provided for one-year renewals
under the Shelter Plus Care Program,
must be used for permanent housing
projects for all homeless populations.
b. Chronic Homelessness
Requirement. The Administration has
established as a policy priority the goal
of ending chronic homelessness. CoCs
are strongly encouraged to use the funds
available in this NOFA to target persons
experiencing chronic homelessness in
their communities. HUD encourages
communities to select projects that will
contribute to the achievement of this
important goal. The CoC strategy to end
chronic homelessness is now referred to
as the CoC Ten-Year Plan (see Chart N
in Exhibit 1), and the 2006 application
adds annual action plans and
performance measures into the plan.
CoCs should integrate their CoC 10-year
plans with other plans, including
jurisdictional ten-year plans and
applicable Consolidated Plans. To work
towards this goal, HUD is targeting the
Samaritan Initiative for projects that
exclusively serve individuals who are
experiencing chronic homelessness. In
addition, at least 10 percent of the
appropriation will be awarded to new or
renewal, transitional or permanent
housing projects where at least 70
percent of the project’s clients are
expected to be chronically homeless (as
defined by HUD) immediately prior to
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entry into the project. Housing projects
include: SHP transitional housing,
permanent housing and Safe Havens;
S+C; and SRO projects. Since the
housing funding allocation set-aside
requirements are expected to continue
in future competitions and may affect
project funding selections, you are
strongly encouraged to begin planning
for new housing projects, particularly
those serving individuals experiencing
chronic homelessness, and include
them as part of your submission in this
competition. See Sections V.B.3.a and
V.B.3.b of this NOFA for additional
information on the permanent housing
and chronic homeless requirements.
c. Lower-rated SHP Renewals. HUD
reserves the authority to conditionally
select for one year of funding 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 Sections V.A.2.a and
V.A.2.b of this NOFA for information on
project rating and scoring.) Therefore,
the projects must receive a minimum
score of 65 points. Although these
lower-rated SHP renewal projects will
have scored below the otherwise
recognized funding line, their funding
allows homeless persons to continue to
be served and move towards 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 Sections V.B.3.a. and
V.B.3.b. of this NOFA for additional
information. In such cases, higher
priority non-permanent housing projects
may be de-selected to fund lower
priority permanent housing projects and
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).
• Acquisition .....................................
• Rehabilitation .................................
• New construction.
• Leasing.
• Operating costs.
• Supportive services.
• Homeless individuals and families
• States .............................................
• Units of general local government
• PHAs.
Section 441 of the McKinney-Vento
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 components .........
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Eligible activities See footnotes 1, 2 and 3.
Eligible populations See
footnote 2.
Populations given special
consideration.
• Homeless persons with disabilities
• Homeless families with children ....
............................................................
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•
•
•
•
Tenant-based housing ...................
Sponsor-based housing .................
Project-based housing.
SRO-based housing.
• SRO housing
• 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.
• Homeless individuals.
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3. CONTINUUM OF CARE HOMELESS ASSISTANCE PROGRAMS—Continued
Elements
Supportive housing
Shelter plus care
Initial term of assistance ..
2 or 3 years for new SHP .................
5 years: TRA, SRA, and PRA without rehab.
10 years: SRO, and PRA with rehab.
1, 2 or 3 years for new HMIS ...........
Section 8 SRO
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.
Documentation of the match
requirement must be maintained in the
grantee’s financial records on a grantspecific basis.
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C. Other
1. Eligible Activities. Eligible activities
for the SHP, S+C, and SRO Programs are
outlined in the preceding CoC Homeless
Assistance Programs Chart at Section
III.A.3.
2. Threshold Requirements.
a. Project Eligibility Threshold. HUD
will review projects to determine if they
meet the following eligibility threshold
requirements. If HUD determines that
these standards are not met by a specific
project or activity, the project or activity
will be rejected from the competition.
(1) Applicants and sponsors must
meet the eligibility requirements of the
specific program as described in
program regulations and provide
evidence of eligibility and appropriate
certifications as specified by the
attachments in Section VIII.
(2) The population to be served must
meet the eligibility requirements of the
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specific program as described in the
program regulations, and the
application must clearly establish
eligibility of program participants to be
served pertaining to homelessness and
disability status.
(3) The only persons who may be
served by new and renewal permanent
housing projects are those who come
from the streets, emergency shelters, or
transitional housing who originally
came from the streets or emergency
shelter. As participants leave currently
operating projects, participants who
meet this new eligibility standard must
replace them.
(4) Projects that involve rehabilitation
or new construction must meet the
accessibility requirements of Section
504 of the Rehabilitation Act of 1973,
the design and construction
requirements of the Fair Housing Act
and the accessibility requirements of the
Americans with Disabilities Act, as
applicable.
(5) The project must be cost-effective,
including costs associated with
construction, operations and supportive
services with such costs not deviating
substantially from the norm in that
locale for the type of structure or kind
of activity.
(6) For those applicants applying for
the Innovative component of SHP,
whether or not a project is considered
innovative will be determined on the
basis that the particular approach
proposed is new and can be replicated.
(7) Renewal applications should be
submitted as part of a CoC application,
and must either be listed on the priority
list or accompanied by a certification
from the CoC saying that they have
determined that the project is still
needed.
(8) Under the Sponsor-based rental
assistance S+C component, an applicant
must subcontract the funding awarded
with an eligible sponsor: a private
nonprofit organization or a community
mental health agency established as a
public nonprofit organization, that owns
or leases the housing where participants
will reside.
(9) For the Section 8 SRO program,
only individuals meeting HUD’s
definition of homeless are eligible to
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receive rental assistance. Therefore, any
individual occupying a unit at
commencement of the unit’s
rehabilitation will not receive rental
assistance if they return to their unit (or
any other) upon completion of its
rehabilitation.
(10) Applicants agree to participate in
a local HMIS system when it is
implemented in their community.
b. Project Quality Threshold. HUD
will review projects to determine if they
meet the following quality threshold
requirements with clear and convincing
evidence. A S+C or SHP project renewal
will be considered as having met these
requirements through its previously
approved grant application unless
information to the contrary is received.
The housing and services proposed
must be appropriate to the needs of the
program participants and the
community. HUD will assess the
following:
(1) The type, scale and general
location of the housing fit the needs of
the participants and that the housing is
readily accessible to community
amenities.
(2) That all of the proposed
participants come from the streets,
homeless shelters or transitional
housing for homeless persons.
(3) The type, scale and location of the
supportive services fit the needs of the
participants and the mode of
transportation to those services is
described.
(4) The specific plan for ensuring
clients will be individually assisted to
obtain the benefits of the mainstream
health, social service, and employment
programs for which they are eligible is
provided.
(5) How participants are helped to
obtain and remain in permanent
housing is described.
(6) How participants are assisted to
both increase their incomes and live
independently using mainstream
housing and service programs is
described.
(7) Applicants and sponsors must
evidence satisfactory performance for
existing grant(s).
c. Project Renewal Threshold. Your
local needs analysis process must
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consider the need to continue funding
for projects expiring in calendar year
2007. 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 the threshold
requirements of the General Section.
3. Program Requirements.
a. Projects funded under this NOFA
shall operate in a fashion that complies
with applicable civil rights laws and
Executive Orders, including the
requirement to Affirmatively Further
Fair Housing (AFFH), and does not
deprive any individual of any right
protected by the Fair Housing Act (42
U.S.C. 3601–19), Section 504 of the
Rehabilitation Act of 1973 (29 U.S.C.
794), the Americans with Disabilities
Act of 1990 (42 U.S.C. 12101 et seq.),
Title VI of the Civil Rights Act of 1964
(42 U.S.C. 2000d), Section 109 of Title
I of the Housing and Community
Development Act of 1974 (42 U.S.C.
5309), or the Age Discrimination Act of
1975 (42 U.S.C. 6101).
b. Local Resident Employment. To the
extent that any housing assistance
(including rental assistance) funded
through this NOFA is used for housing
rehabilitation (including reduction and
abatement of lead-based paint hazards,
but excluding routine maintenance,
repair, and replacement) or housing
construction, then it is subject to section
3 of the Housing and Urban
Rehabilitation Act of 1968, and the
implementing regulations at 24 CFR part
135. Section 3, as amended, requires
that economic opportunities generated
by certain HUD financial assistance for
housing and community development
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.
c. Relocation. The SHP, S+C, and SRO
programs are subject to the requirements
of the Uniform Relocation Assistance
and Real Property Acquisition Policies
Act of 1970, as amended (URA). These
requirements are explained in HUD
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Handbook 1378, Tenant Assistance,
Relocation and Real Property
Acquisition. Also see General Section.
d. Environmental Reviews. All CoC
assistance is subject to the National
Environmental Policy Act and
applicable related Federal
environmental authorities. Conditional
selection of projects under the CoC
Homeless Assistance competition is
subject to the environmental review
requirements of 24 CFR 582.230,
583.230 and 882.804(c), as applicable.
The recipient, its project partners and
their contractors may not acquire,
rehabilitate, convert, lease (under S+C/
TRA where participants are required to
live in a particular structure or area as
described in Section III.C.3.h(3)(a)),
repair, dispose of, demolish or construct
property for a project under this CoC
NOFA, or commit or expend HUD or
local funds for such eligible activities,
until the responsible entity has
completed the environmental review
procedures required by Part 58 and the
environmental certification and Request
for Release of Funds (RROF) have been
approved or HUD has performed an
environmental review under Part 50 and
the recipient has received HUD
approval of the property. The
expenditure or commitment of
Continuum of Care assistance or
nonfederal funds for such activities
prior to this HUD approval may result
in the denial of assistance for the project
under consideration.
e. CoC Geographic Area. In deciding
what geographic area you will cover in
your CoC strategy, you should be aware
that the single most important factor in
being awarded funding under this
competition will be the strength of your
CoC strategy when measured against the
CoC rating factors described in this
NOFA. When you determine what
jurisdictions to include in your CoC
strategy area, include only those
jurisdictions that are fully involved in
the development and implementation of
the CoC strategy.
The more jurisdictions you include in
the CoC strategy area, the larger the pro
rata need share that will be allocated to
the strategy area (as described in Section
V.B.2.b. of this NOFA). If you are a rural
county, you may wish to consider
working with larger groups of
contiguous counties to develop a regionwide or multi-county CoC strategy
covering the combined service areas of
these counties. The areas covered by
CoC strategies should not overlap.
f. Expiring/Extended Grants. If your
SHP or S+C Program grant will be
expiring in calendar year 2007, or if
your S+C Program grant has been
extended beyond its original five-year
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term and is projected to run out of funds
in FY 2007, you may apply as a renewal
under this CoC NOFA to get continued
funding.
g. Participation in Energy Star. In
keeping with the Administration’s
policy priority of promoting energy
efficient housing while protecting the
environment, applicants applying for
new construction or rehabilitation
funding, who maintain housing or
community facilities or provide services
in those facilities, are encouraged to
promote energy efficiency and are
specifically encouraged to purchase and
use Energy Star-labeled products. All
applicants must complete the questions
on the Energy Star Chart (Chart CoC–
AA) in Exhibit 1. Refer to the General
Section for detailed information about
this requirement.
h. Program-Specific Requirements.
Please be advised that where an
applicant for the SHP funding is a state
or unit of general local government that
utilizes one or more nonprofit
organizations to administer the
homeless assistance project(s),
administrative funds provided as part of
the SHP grant must be passed on to the
nonprofit organization(s) in proportion
to the administrative burden borne by
them for the SHP project(s). HUD will
consider states or units of general local
government that pass on at least 50
percent of the administrative funds
made available under the grant as
having met this requirement. This
requirement does not apply to either the
SRO Program, since only PHAs
administer the SRO rental assistance, or
to the S+C Program, since paying the
costs associated with the administration
of these grants is ineligible by
regulation.
HUD will not award funds to
rehabilitate leased property. In addition,
SHP funds may not be used to lease
units or structures owned by the project
sponsor, the selectee, or their parent
organizations. This includes
organizations that are members of a
general partnership where the general
partnership owns the structure.
(1) SHP—New Projects:
(a) Please note that 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
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recordation must be provided to HUD
counsel before funds for rehabilitation
or new construction may be drawn
down.
(c) All project sponsors must meet
applicant eligibility standards as
described in Section III.A.3. As in past
years, HUD will review sponsor
eligibility as part of the threshold
review process. Project sponsors for new
projects are required to submit evidence
of their eligibility with the application
(See Section IV.B.1.b.(3)(a) and Section
I.A.8.n).
(2) SHP—Renewal Projects.
(a) For the renewal of a SHP project,
you may request funding for one (1),
two (2) or three (3) years.
(b) The total request for each
renewable project cannot exceed the
Average Yearly Amount received in
your current grant for that project.
Within that total request, the
administrative amount must be the
exact amount awarded in the previous
grant. An exception to this rule is grants
being renewed whose original expiring
award included ‘‘hard’’ development
costs (acquisition, new construction,
and rehab): these must, in the current
competition, recalculate their
administrative allocation not to exceed
five percent of the Average Yearly
Amount of the activities being renewed.
To calculate administrative amounts for
activities in all new projects and
renewal projects with these ‘‘hard’’
development costs, calculate the
subtotal of all requested amounts for
activities. Administrative costs cannot
exceed 5% of this subtotal. For example,
if a project requests $60 for supportive
services and $40 for operating expenses,
the maximum amount of administration
dollars the project can request is $5.
Only leasing, operating, supportive
services, and administration costs may
be renewed. Applicants proposing both
to renew an existing project and to
expand the number of units or number
of participants receiving services in that
grant must submit a new project
proposal for the expansion portion of
the project. HMIS activities being
renewed should be included on the
HMIS budget chart.
(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
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controlling housing costs, a grantee may
require participants to live in a
particular structure for the first year of
assistance or to live in a particular area
for the entire rental assistance period.
Where this option is exercised, an
environmental review and clearance
must be performed prior to any
commitment to lease a particular
structure or unit for participant
occupancy as described in Section
III.C.3.d, Environmental Reviews.
(b) S+C/SRO Component. If you are a
state or a unit of general local
government, you must subcontract with
a public housing agency to administer
the S+C assistance. Also, no single
project may contain more than 100
units.
(c) S+C SRA Component. Project
sponsors must submit proof of their
eligibility to serve as a project sponsor.
(4) S+C Renewal Projects. HUD
encourages the consolidation of
appropriate S+C renewal grants when
the grants are under the same grantee,
same component and expire in the same
year. However, renewal requests for
expiring S+C grants that have not yet
been combined should still be listed
individually on the CoC priority list and
will be awarded as individual renewal
grants. Where the grantee wishes to
consolidate the renewal grants, this
action will be subsequently
accomplished by the field office at the
point of renewal grant agreement
execution. The field office will receive
instructions for this process in the S+C
Operating Procedures guidance for 2006
awards.
(a) For the renewal of a S+C project,
including S+C SROs, the grant term will
be one (1) year, as specified by
Congress. For the renewal of S+C rental
assistance that is Tenant-based (TRA),
Sponsor-based (SRA), Project-based
(PRA), or Single Room Occupancybased (SRO), you may request up to the
amount determined by multiplying the
number of units under lease at the time
of your application for renewal funding
by the applicable 2006 Fair Market
Rent(s) by 12 months. Current FMRs can
be found at www.hudclips.org. For S+C
grants having been awarded one year of
renewal funding in 2005, the number of
units requested for renewal this year
must not exceed the number of units
funded in 2005. As is the case with
SHP, HUD will recapture S+C grant
funds remaining unspent at the end of
the previous grant period when it
renews a grant. The one-year term of
non-competitively awarded S+C
renewal projects may not be extended.
(b) Under the FY 2006 HUD
Appropriations Act, eligible S+C
Program grants whose terms are
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expiring in 2007 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
2007, will be renewed for one year
provided that they are determined to be
needed by the CoC, either as evidenced
by their inclusion on the priority chart
or as accompanied by a certification
from the CoC. These projects must also
demonstrate that their applicant and
sponsor meet eligibility, capacity and
performance requirements described in
Section V.A.1 of this NOFA. Noncompetitive S+C renewals should be
submitted by the application deadline.
These S+C renewal projects will not
count against a continuum’s pro rata
need amount, but, if listed on the CoC
Priority Chart, should be numbered,
continuing the priority sequence. On the
other hand, no community hold
harmless amount will be computed for
any CoC using S+C renewal amounts
since these projects are being funded
outside of the competition.
(5) Section 8 Moderate Rehabilitation
SRO Program—New Projects. As an
applicant, the following limitations
apply to the Section 8 SRO program:
(a) SRO assistance may not be
provided to more than 100 units in any
structure.
(b) Under 24 CFR 882.802, applicants
that are private nonprofit organizations
must subcontract with a public housing
agency to administer the SRO
assistance.
(c) Under 24 CFR 882.802,
rehabilitation must involve a minimum
expenditure of $3,000 for a unit,
including its prorated share of work to
be accomplished on common areas or
systems, to upgrade conditions to
comply with HUD’s physical condition
standards in 24 CFR part 5, subpart G.
(d) Under section 441(e) of the
McKinney-Vento Act and 24 CFR
882.805(d)(1), HUD publishes the SRO
per unit rehabilitation cost limit each
year to take into account changes in
construction costs. This cost limitation
applies to eligible rehabilitation costs
that may be compensated for in the
Housing Assistance Payments (HAP)
contract rents. For purposes of Fiscal
Year 2006 funding, the cost limitation is
raised from $20,000 to $20,500 per unit
to take into account increases in
construction costs during the past 12month 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.
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(g) Resources outside the program pay
for the rehabilitation, and rehabilitation
financing. The rental assistance covers
operating expenses of the SRO housing,
including debt service for rehabilitation
financing. Units may contain food
preparation or sanitary facilities or both.
(6) Section 8 Moderate Rehabilitation
SRO Program—Renewals. This program
section of the NOFA is not applicable to
the renewal of funding under the
Section 8 SRO program. The renewal of
expiring Section 8 SRO projects is not
part of the competitive CoC NOFA
process. Rather, expiring Section 8
SROs will be identified at the beginning
of the applicable year by the public
housing agency and HUD field office.
One-year renewal funds for expiring
Section 8 SRO HAP contracts will be
provided by HUD under a separate, noncompetitive process. For further
guidance on Section 8 SRO renewals,
please contact your local HUD field
office.
i. Timeliness Standards. As an
applicant, you are expected to initiate
your approved projects promptly in
accordance with Section VI.A of this
NOFA. In addition, HUD will take
action if you fail to satisfy the following
timeliness standards:
(1) SHP: HUD will deselect your
award if you do not demonstrate site
control within one (1) year of the date
of your grant award letter, as required
by the McKinney-Vento Act (see 42
USCs 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
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reasonably can be used in the original
term.
(2) S+C Except SRO Component. HUD
may deobligate S+C funds if you do not
meet the following timeliness standards:
(a) For Tenant-based Rental
Assistance, for Sponsor-based Rental
Assistance, and for Project-based Rental
Assistance without rehabilitation, you
must start the rental assistance within
twelve (12) months of the date of HUD’s
grant award letter.
(b) For Project-based Rental
Assistance with rehabilitation, you must
complete the rehabilitation within
twelve (12) months of the date of HUD’s
grant award letter.
(3) Section 8 Moderate Rehabilitation
SRO Program and SRO Component of
the S+C Program. For projects carried
out under the Section 8 SRO program
and the SRO component of the S+C
program, the rehabilitation work must
be completed and the HAP contract
executed within twelve (12) months of
execution of the Annual Contributions
Contract. HUD may reduce the number
of units or the amount of the annual
contribution commitment if, in HUD’s
determination, the Public Housing
Agency fails to demonstrate a good faith
effort to adhere to this schedule.
IV. Application and Submission
Information
A. Application Package. A checklist
of forms needed to complete the
application is provided, as described in
Section VIII below. Exhibits 1, 2, and
the Applicant Certifications are
attachments. The Exhibits, Geographic
Codes, 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
General Section and this NOFA 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 website at https://
www.grants.gov. Please note that all
sections of the General Section are
critical and must be carefully reviewed
to ensure your application can be
considered for funding.
B. Content and Form of Application
Submission. The only option for
submitting a viable application under
this NOFA is to submit the entire
Continuum of Care application, with all
of its projects, together in a single
package mailed to HUD. Each
application will consist of one
Continuum of Care Exhibit and
submissions from one or more
applicants and project sponsors.
Although HUD will accept an
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application for a project exclusive of
participation in any community-wide or
region-wide CoC development process,
projects will receive few, if any, points
under the CoC rating factors and are
very unlikely to be funded. Please note
that Exhibits 1 and 2 should only
include the actual application questions
and responses being provided and
should not include the HUD application
instructions or any blank tables and
charts. The General Section contains
certifications that the applicant will
comply with fair housing and civil
rights requirements, program
regulations, and other Federal
requirements, and (where applicable)
that the proposed activities are
consistent with the HUD-approved
Consolidated Plan of the applicable
state or unit of general local
government. Section IV of Exhibit 2 of
this NOFA contains program-specific
Applicant Certifications.
1. Application Submission
Requirements:
a. A completed application will
include one Exhibit 1 (CoC) and any
number of Exhibits 2, depending on the
number of projects and type of programs
proposed for funding. For example, if
your CoC were proposing five SHP
Renewal projects and one S+C New
project, then you would submit one
Exhibit 1 and six Exhibits 2, filling out
the applicable charts in Exhibit 2 for
each project. Refer to Assembly Order
below for full assembling instructions.
b. Assembly Order: Each CoC must
submit the entire CoC application, with
all of its parts, in a single package to
HUD. There are three separate sections
to a CoC submission: the CoC Exhibit 1,
all applicant documentation, and all
project documentation. The application
must be assembled in the following
order:
(1) Section I—Exhibit 1 Narrative and
Charts:
(a) Exhibit 1, the CoC plan with all
charts completed as applicable.
(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
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information on obtaining a DUNS
number. The SF–424 SUPP, Survey on
Ensuring Equal Opportunity for
Applicants, is for private nonprofit
applicants only and completion/
submission of this survey is voluntary.
Additionally, each applicant must
attach the following documentation (i–
v) to its SF–424:
(i) Documentation of Applicant
Eligibility. Only applicants for new
projects must include documentation of
eligibility as defined in the chart in
Section III.A.3. Also, see Section I.A.8.l.
& m. of this NOFA for information on
the documentation required to validate
non-profit status.
(ii) SF–LLL, Disclosure of Lobbying
Activities, where applicable.
(iii) Applicant Code of Conduct. (New
applicants and applicants awarded HUD
funding prior to 2006 who have not
previously submitted a Code of
Conduct).
(iv) HUD 40090–4, Applicant
Certifications, located in Section IV of
Exhibit 2.
(3) Section III—Project
Documentation: Each project applying
under Exhibit 2 must be submitted in its
priority list order with all Exhibit 2
required forms completed for every
project. The following documentation
must be included after each project
submission:
(a) Documentation of Sponsor
Eligibility. Only sponsors for new
projects must include documentation of
eligibility as defined in the chart in
Section III.A.3. See also Section I.A.8.n.
for information on the documentation
required to validate sponsor eligibility.
(b) HUD–96010, Logic Model (for
Logic Model instructions, see the
General Section of the NOFA and pages
included with the Exhibit 2
instructions);
(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 that should be
used for narratives is Times New
Roman, size 12 (pitch). Number all
pages within each exhibit sequentially
and insert tabs marking each exhibit.
b. Please use a two-hole punch to
insert holes at the top of your
application.
c. Please do not bind your
application, since this impedes
processing.
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C. Submission Dates and Times: 1.
Application Deadline Date. Your
completed application should be
submitted on or before May 25, 2006 to
the addresses shown below. HUD will
not accept faxed or hand delivered
applications.
a. Timeliness. Your application will
be considered filed in a timely manner
if your application is postmarked on or
before 11:59:59 p.m. on the application
deadline date and received by HUD on
or within fifteen (15) days of the
application deadline date. Applicants
may use any type of mail service
provided by the USPS to have their
application package delivered to HUD
in time to meet the timely submission
requirements. Applicants using the
United States Postal Service (USPS)
must obtain and save a Certificate of
mailing showing the date when you
submitted your application. The
Certificate of Mailing will be your
documentary evidence that your
application was timely filed. If your
application is sent by overnight delivery
or express mail, other than the United
States Postal Service, your application
will be timely filed if it is placed in
transit with the overnight/express mail
service on or before the application
submission date. Applicants should
retain a receipt from these services
showing that it was submitted for
delivery by the application 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 filing requirements as
described in Section IV.C.1.a above. In
the rare event that a CoC’s entire
application is not received at HUD
Headquarters on time, HUD may
similarly request proof that the
Headquarters and Field Office copy was
filed on time and, if so, may use the
copy received by the Field Office for
review.
D. Intergovernmental Review. Not
applicable.
E. Funding Restrictions. Funding
Restrictions are outlined in Sections
V.B.3.a and V.B.3.b.
F. Other Submission Requirements: 1.
Addresses for Submitting Applications:
a. To HUD Headquarters. Once you
have downloaded the forms from the
web site and completed the application
and all documentation, submit your
original completed application (the
application with the original signed
documentation) and one additional
copy of Exhibit 1 only to: HUD
Headquarters, Robert C. Weaver
Building, 451 Seventh Street, SW, Room
7270, Washington, DC 20410, Attention:
Continuum of Care Programs.
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b. To the Appropriate CPD Field
Office. Also submit one copy of your
completed application to the
Community Planning and Development
Division of the appropriate HUD Field
Office for your jurisdiction. Please see
the following web site for Field Office
addresses: https://www.hud.gov/
localoffices.cfm.
2. Security Procedures. HUD
recommends that applications be mailed
or shipped express using the United
States Postal Service (USPS). However,
applications shipped via United Parcel
Service (UPS), FedEx, DHL, or Falcon
Carrier will also be accepted. Due to
HUD security regulations, no other
delivery service is permitted into HUD
Headquarters without escort. You must,
therefore, use one of the four carriers
listed above.
V. Application Review Information
A. Criteria. Your application will
receive a higher score under the CoC
scoring factors if the application
demonstrates the achievement of four
basic goals:
—One, that you have successfully
identified and developed partnerships
with nonprofit organizations
(including those representing persons
with disabilities), government
agencies, public housing agencies,
faith-based and other communitybased organizations, other homeless
providers, housing developers and
service providers, private businesses
and business associations, law
enforcement agencies, funding
providers, and homeless or formerly
homeless persons, and that your CoC
structure and decision-making
processes are inclusive of all of these
parties. Also, other jurisdictional tenyear plans within your CoC’s
geographic area must be integrated
with the CoC plan;
—Two, that you have created,
maintained, and built upon a
community-wide inventory of
housing and services for homeless
families and individuals (both HUD
and non-HUD funded); identified the
full spectrum of needs of homeless
families and individuals; and
coordinated efforts to fill gaps
between the current inventory and
existing needs. This coordinated effort
must appropriately address all aspects
of the continuum, especially
permanent housing;
—Three, that you have instituted a CoCwide strategy to achieve the CoC’s
goals, especially to end chronic
homelessness. This can be
accomplished through careful
planning, coordination with other
state and local plans, and through
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leveraging resources from multiple
sources; and
—Four, that your Continuum is working
toward the HUD/national
performance objectives (the objectives
listed in Section VI.B.1 below and on
Chart N in Exhibit 1, the new CoC 10Year Plan, Objectives, and Action
Steps Chart), that you are reporting on
progress toward the CoC’s goals, and
that you are coordinating homeless
assistance with mainstream health,
social services, and employment
programs.
1. Applicant and sponsor eligibility,
capacity and performance. HUD will
review applications to ensure that the
applicant and project sponsor meet the
eligibility and capacity standards
outlined in this section. If HUD
determines these standards are not met,
the project will be rejected from the
competition. The eligibility, capacity
and performance standards are as
follows:
a. You must be eligible to apply for
the specific program.
b. You must demonstrate ability to
carry out the project(s). With respect to
each proposed project, this means that,
in addition to knowledge of and
experience with homelessness in
general, the organization carrying out
the project, its employees, or its
partners, must have the necessary
experience and knowledge to carry out
the specific activities proposed, such as
housing development, housing
management, and service delivery.
c. If you or the project sponsor is a
current or past recipient of assistance
under a HUD McKinney-Vento Act
program, there must have been no delay
in meeting applicable program
timeliness standards unless HUD
determines the delay in project
implementation is beyond your or the
project sponsor’s control, there are no
serious unresolved HUD monitoring
finding, and no outstanding audit
finding of a material nature regarding
the administration of the program.
2. Review, Rating and Conditional
Selection. HUD will use the same
review, rating, and conditional selection
process for all three programs (SHP, S+C
and SRO). The standard factors for
award identified in the General Section
have been modified in this NOFA as
described below. Only the factors
described in this NOFA—Continuum of
Care and Need—will be used to assign
points. Parts 2a and 2b in this section
describe selection factors. Up to 100
points will be assigned using these
factors, including rating points for
HUD’s policy priority of ending chronic
homelessness; and the policy priority
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for removing regulatory barriers to
affordable housing (see Section V.A.3.a.
and V.A.5. below on both policy
priorities). There are no bonus points for
proposing projects in an RC/EZ/EC-IIs.
a. Continuum of Care. HUD will
award up to 60 points as follows:
(1) Organizational Structure: HUD
will award up to 8 points based on the
extent to which your application
demonstrates:
(a) The existence of a coordinated,
inclusive, and outcome-oriented
community process, including
organizational structure(s) and decisionmaking processes for developing and
implementing a CoC strategy;
(b) That this process includes
nonprofit organizations (such as
veterans service organizations,
organizations representing persons with
disabilities, faith-based and other
community-based organizations, and
other groups serving homeless and other
low-income persons), state and local
governmental agencies, public housing
agencies, housing developers and
service providers, school systems, law
enforcement, hospital and medical
entities, funding providers, local
businesses and business associations,
and homeless or formerly homeless
persons; and
(c) That the CoC has a process in
place to achieve fair and impartial
project review and selection, with
representation and input from diverse
parties such as those outlined under
Criteria for Application Review.
(2) CoC Housing and Service Needs:
HUD will award up to 12 points based
on the extent to which your application
demonstrates:
(a) That a well-defined and
comprehensive strategy has been
developed which addresses the
components of a CoC system (i.e.,
outreach, intake and assessment;
emergency shelter; transitional housing;
permanent supportive housing;
permanent supportive housing, and
prevention), and that the strategy has
been designed to serve all homeless
subpopulations in the community (e.g.,
seriously mentally ill, persons with
multiple diagnoses, veterans, persons
with HIV/AIDS), including those
persons living in emergency shelters,
supportive housing for homeless
persons, or in places not designed for,
or ordinarily used as, a regular sleeping
accommodation for human beings.
Having high-quality data is important,
and your application in this section
must demonstrate the CoC’s data
collection methods.
(b) HMIS Implementation. Of these 12
points, HUD will award up to 5 points
based upon the extent to which your
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application demonstrates progress in the
planning, implementation and operation
of an HMIS system covering at a
minimum all street outreach, emergency
shelters and transitional housing
programs so that a reliable,
unduplicated count of homeless persons
on the street and in shelters may be
conducted.
(3) CoC Strategic Planning: HUD will
award up to 10 points based on the
extent to which your application
demonstrates:
(a) The existence of a performancebased 10-year strategy for ending
chronic homelessness that establishes
specific action steps to achieve the five
objectives listed in Chart N, the CoC 10Year Plan, Objectives, and Action Steps
Chart, with measurable achievements. It
should be integrated with other ten-year
plans in the community to eliminate
chronic homelessness (if applicable),
the local HUD Consolidated Plan, and
other state and local plans related to
homelessness;
(b) Your Continuum’s progress in
working with the appropriate local
government entity to develop and
implement a discharge policy for
persons leaving publicly funded
institutions or systems of care (such as
health care facilities, foster care or other
youth facilities, or correction programs
and institutions) in order to prevent
such discharge from immediately
resulting in persons entering the
homeless system;
(c) Proposes projects that are
consistent with identified unmet needs
and correctly completes the priority
chart (note: if you do not provide a
Project Priority Chart in Exhibit 1, all
proposed projects may lose up to 30
points of the 40-point Need total);
(d) Provides estimates of renewal
funds needed through 2011 for SHP and
S+C projects; and
(e) Demonstrates leveraging of funds
requested under this NOFA with other
resources, including private, other
public, and mainstream services and
housing programs, for proposed projects
and ongoing efforts (Leveraging
Supplemental Resources).
(4) CoC Performance: HUD will award
up to 18 points based upon the CoC’s
progress in reducing homelessness,
including chronic homelessness. Please
note that HUD will award at least a
minimum score in this section to
continuums located in areas affected by
Hurricanes Katrina and Rita that
President Bush has declared to be major
disaster areas under Title IV of the
Robert T. Stafford Act, as follows: for
each completed chart in Part IV, CoC
Performance, CoCs in these areas will
receive no less than one half of the full
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points allotted. CoC Performance will be
measured by demonstrating:
(a) That the CoC has taken specific
action steps and made progress toward
achieving its goals;
(b) That the CoC has increased the
number of permanent housing beds for
the chronically homeless and made
progress toward eliminating chronic
homelessness;
(c) Program participants’ success in
moving to and maintaining permanent
housing as reported in the most recent
APR;
(d) The extent to which participants
successfully become employed and
access mainstream programs. These
measures emphasize HUD’s
determination to assess grantees’
performance in the prior program year
and to determine if they are meeting the
overall goal of the homeless assistance
grants under which they are funded.
Both housing and supportive services
only projects will be assessed, using the
data submitted in Exhibit 1, Charts W
and X;
(e) That the CoC has no unexecuted
grants;
(f) That projects within the CoC have
policies and practices in place to hire
low and very low-income employees
and subcontractors, under Section 3 of
the Housing and Urban Development
Act of 1968 (HUD will award up to 2
points for this chart, within the 18
points for this rating factor); and
(g) Removal of Regulatory Barriers to
Affordable Housing: As provided for in
the General Section, HUD will award up
to 2 points, within the 18 points for this
rating factor, based on the extent that
the CoC’s application demonstrates a
local plan and/or existing policy to
remove regulatory barriers to the
production of affordable housing.
Applicable activities include the
support of state and local efforts to
streamline processes, eliminate
redundant requirements, statutes,
regulations, and codes that impede the
availability of affordable housing. The
response (one questionnaire per CoC)
should be submitted for consideration
as a completed HUD Form 27300,
Questionnaire for HUD’s 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.
(5) Emphasis on Housing Activities:
HUD will award up to 12 points based
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upon the relationship between funds
requested for housing activities (i.e.,
transitional and permanent) and funds
requested for supportive service
activities among projects assigned 40
need points (including S+C renewals).
Points will be awarded on a sliding
scale with the Continuums with the
highest percentage of approvable
requests for funds for housing activities
receiving the highest points. HUD will
count as housing activity all approvable
requests for funds for rental assistance
and approvable requests for funds for
acquisition, rehabilitation, construction,
leasing and operations when used in
connection with housing. HMIS costs
and administrative costs will be
excluded from this calculation.
b. Need: HUD will award up to 40
points for need. There is a three-step
approach to determining the need scores
to be awarded to projects.
(1) Step 1—HUD’s Determination of
preliminary pro rata need: To determine
the homeless assistance need of a
particular jurisdiction, HUD will use
nationally available data, including the
following factors as used in the
Emergency Shelter Grants (ESG)
program; data on poverty, housing
overcrowding, population, age of
housing, and growth lag. Applying those
factors to a particular jurisdiction
provides an estimate of the relative need
index for that jurisdiction compared to
other jurisdictions applying for
assistance under this NOFA.
(2) Step 2—Determining CoC hold
harmless pro rata need: In CoCs where
the total amount needed to fund, for one
year, all SHP grants eligible for renewal
in this competition exceeds the
preliminary pro rata need amount for
that CoC, the CoC will receive this
higher amount, referred to as the CoC
hold harmless amount. This adjustment
was formerly known as the renewal
bonus. SHP grants eligible for renewal
are those that expire between January 1,
2007 and December 31, 2007. 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 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.
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(3) Step 3—Samaritan Housing
Initiative: Formerly referred to as the
Permanent Housing Bonus, this special
incentive to promote permanent
supportive housing for the chronically
homeless is provided to CoC systems
that place an eligible, new permanent
supportive housing project in the
number one priority position on the
priority list. If the number one priority
project qualifies as an eligible, new
permanent housing project exclusively
serving the chronically homeless, then
the full amount of that project’s eligible
housing activities, up to a maximum 15
percent of the CoC’s preliminary pro
rata need, will be added to the pro rata
need amount for the Continuum. The
only eligible activities that will be
counted toward this bonus are housing
activities and for SHP, case
management, and administration.
Applicants may use no more than 20
percent of this bonus for case
management costs. Please note: any
amount of the proposed project that
exceeds the limitations described above
will be applied against the pro rata need
for the CoC. For the SHP program,
housing activities are acquisition, new
construction, rehabilitation, leasing of
housing and operating costs when used
in connection with housing. S+C and
SRO rental assistance are defined as
housing activities and are eligible under
the incentive as well. HMIS costs will
be excluded from this calculation.
The dollar amount determined after
application of each of these steps, as
applicable, is referred to as the ‘‘final
pro rata need amount.’’ Please be
advised that the final funding amount
awarded to Shelter Plus Care or Section
8 SRO projects may be different from
the requested amount due to changes in
the FMRs. HUD will apply FMR changes
after selection.
(4) Awarding need points to projects:
Once HUD establishes the final pro rata
need, HUD will apply it against the
priority project list in the application.
Starting from the highest priority
project, HUD will proceed down the list
to award need points to each project.
Any project not falling fully within the
40 point need range will receive 10 need
points. Thereafter, HUD will proceed
further down the priority project list
and award 10 points for need to each
project if it falls fully within the
‘‘second level’’ of pro rata need amount
for that CoC. The ‘‘second level’’ is the
amount between the pro rata need and
twice the pro rata need for the CoC.
Remaining projects each receive 5
points. If the projects for the Continuum
are not prioritized, then all projects will
receive 0 points for Need.
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B. Reviews and Selection Process. 1.
Review, Rating and Ranking. HUD may
employ rating panels to review and rate
applications. See the General Section for
more information on rating panels. Two
types of reviews will be conducted—
threshold review and selection factor
(CoC and Need) rating. Applicant and
Sponsor Eligibility and Capacity as well
as Project Eligibility and Project Quality
are threshold reviews. Threshold
reviews are explained in Section III.C.2
of this NOFA, which covers eligible
applicants and projects. HUD will add
the score for the CoC to the Need score
to obtain a total score for each project.
The projects will then be ranked
nationally from highest to lowest
according to the total combined score.
2. Conditional Selection and
Adjustments to Funding.
a. Conditional Selection. Whether a
project is conditionally selected, as
described in Section VI.A, will depend
on its overall ranking compared to
others, except that HUD reserves the
right to select lower rated eligible
projects in order to meet the 30 percent
overall permanent housing requirement,
as well as the 10 percent chronic
homeless requirement. Projects that are
included in the 10 percent chronic
homeless requirement may also be part
of the 30 percent overall permanent
housing requirement. (See Section V.B.3
below for additional selection
considerations regarding these
requirements.)
When insufficient funds remain to
fund all projects in the competition
having the same total score, HUD will
first fund permanent housing projects if
necessary to achieve the 30 percent
overall permanent housing requirement.
HUD will then fund non-permanent
housing, safe haven-TH and transitional
housing projects that predominantly
serve individuals experiencing chronic
homelessness in order to achieve the 10
percent chronic homeless requirement.
HUD will then break ties among the
remaining projects with the same total
score by comparing scores received by
the projects for each of the following
scoring factors, in the order shown:
Need, Overall CoC score, CoC
Organizational Structure, CoC Housing
and Service Needs, CoC Strategic
Planning, CoC Performance, CoC
Supplemental Resources, Housing
Emphasis and Performance. The final
tie-breaking factor is the priority
number of the competing projects on the
applicable CoC priority list(s).
HUD has determined that the
Congressional goal of enhancing
homeless data collection at the CoC
level is best achieved by assisting CoCs
seeking dedicated Homeless
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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
duplicate activities. If the geography
included in your CoC strategy
substantially overlaps that of another
application, projects within the CoC
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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 2006 HUD
Appropriations Act, HUD will use not
less than 30 percent of the total FY 2006
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 2006 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
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
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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
percentages. If not, HUD will skip
higher-ranked projects in order to
achieve these minimum percentages.
In accordance with section 463(a) of
the McKinney-Vento Act, at least 10
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percent of S+C funds will be awarded
for each of the four components of the
program: Tenant-based Rental
Assistance; Sponsor-based Rental
Assistance; Project-based Rental
Assistance; and Single Room
Occupancy (provided there are
sufficient numbers of approvable
projects to achieve these percentages).
After projects are rated and ranked,
based on the factors described above,
HUD will determine if the conditionally
selected projects achieve these
minimum percentages. If necessary,
HUD will skip higher-ranked projects in
order to achieve these minimum
percentages.
In accordance with section 455(b) of
the McKinney-Vento Act, no more than
10 percent of the assistance made
available for S+C in any fiscal year may
be used for programs located within any
one unit of general local government. In
accordance with section 441(c) of the
McKinney-Vento Act, no city or urban
county may have SRO Section 8 projects
receiving a total of more than 10 percent
of the assistance made available under
this program. HUD is defining the 10
percent availability this fiscal year as
$10 million for S+C and $10 million for
Section 8 SRO. However, if the amount
awarded under either of these two
programs exceeds $100 million, then the
amount awarded to any one unit of
general local government (for purposes
of the S+C Program) or city or urban
county (for the purposes of the Section
8 SRO Program) cannot exceed 10
percent of the actual total amount
awarded for that program.
Lastly, HUD reserves the right to
reduce the amount of a grant if
necessary to ensure that no more than
10 percent of assistance made available
under this NOFA will be awarded for
projects located within any one unit of
general local government or within the
geographic area covered by any one
Continuum of Care. If HUD exercises a
right it has reserved under this NOFA,
that right will be exercised uniformly
across all applications received in
response to this NOFA.
4. Corrections to Deficient
Applications. The General Section
provides the procedures for corrections
to deficient applications.
VI. Award Administration Information
A. Award Notices
1. Action on Conditionally Selected
Applications. HUD will notify
conditionally selected applicants in
writing. HUD may subsequently request
them to submit additional project
information, which may include
documentation to show the project is
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financially feasible; documentation of
firm commitments for cash match;
documentation showing site control;
information necessary for HUD to
perform an environmental review; a
copy of your Code of Conduct; and such
other documentation as specified by
HUD in writing to the applicant, that
confirms or clarifies information
provided in the application. HUD will
notify SHP, SRO, S+C and S+C/SRO
applicants of the deadline for
submission of such information. If an
applicant is unable to meet any
conditions for fund award within the
specified timeframe, HUD reserves the
right not to award funds to the applicant
and add them to funds available for the
next competition for the applicable
program.
2. Applicant Debriefing: See the
General Section for applicant debriefing
procedures.
3. Appeals Process: Applicants may
appeal the results of HUD’s review and
selection process if they believe a HUD
error has occurred. Appeals must be
submitted in writing to the Assistant
Secretary for Community Planning and
Development and must state what HUD
error the applicant believes has
occurred.
B. Administrative and National Policy
Requirements
1. Administrative and Other Program
Requirements. a. The Government
Performance and Results Act (GPRA)
require Federal agencies to measure the
performance of their programs. HUD
captures this information not only from
monitoring visits and APRs, but also on
the data gathered in annual
competitions. For example, the
description of methods used in
determining the project priority order
submitted in Exhibit 1, CoC–Q, Project
Priorities Chart, provides verification
that projects are performing
satisfactorily and are effectively
addressing the needs for which they
were designed. HUD’s homeless
assistance programs are measured in
2006 by the objective to ‘‘end chronic
homelessness and to move homeless
families and individuals to permanent
housing.’’ This objective has a number
of measurable indicators, five of which
relate directly to the Continuum of Care
homeless assistance programs. These
five indicators are:
(1) At least 390 functioning CoC
communities will have a Homeless
Management Information System
(HMIS) in 2005. This information is
collected via Exhibit 1, Chart CoC–M,
HMIS Charts;
(2) The percentage of formerly
homeless individuals who remain
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housed in HUD permanent housing
projects for at least 6 months will be at
least 71 percent. Stability in this
permanent housing is addressed in
Exhibit 1, Chart CoC–W, CoC Housing
Project Performance Chart;
(3) The percentage of homeless
persons who have moved from HUD
transitional housing into permanent
housing will be at least 61 percent. The
success of transitional housing is
addressed in Exhibit 1, Chart CoC–W,
CoC Housing Project Performance Chart;
and
(4) The employment rate of persons
exiting HUD homeless assistance
projects will be at least 11 percentage
points higher than the employment rate
of those entering. Obtaining
employment is addressed in Exhibit 1,
Chart CoC–X, CoC Mainstream Programs
and Employment Project Performance
Chart.
b. To achieve this objective and each
of these measurable indicators, HUD
needs your community’s help. The
emphasis in this year’s competition on
housing chronically homeless persons,
using HUD funds for transitional and
especially permanent housing, helping
clients access mainstream service
programs and jobs, and implementing
HMIS are all aligned with this GPRA
objective and its performance
indicators.
c. Executive Order 13202,
‘‘Preservation of Open Competition and
Government Neutrality Towards
Government Contractors’ Labor
Relations on Federal and Federally
Funded Construction Projects.’’ Please
see the General Section for further
information.
d. Procurement of Recovered
Materials. Please see the General
Section for further information.
e. Please reference the General
Section of the NOFA for other
administrative requirements.
2. Sanctions. Should HUD determine,
in its sole discretion, that sufficient
evidence exists to confirm that the
entity responsible for convening and
managing the CoC process in a
community has failed to follow locally
established or accepted procedures
governing the conduct of that process or
has failed to provide for a fair process,
including a project priority selection
process that gives equal consideration to
projects proposed by nonprofit
organizations, HUD reserves the
authority to impose sanctions up to and
including a prohibition on that entity
and the individuals comprising that
entity from participating in that capacity
in the future. In making this
determination, HUD will consider as
evidence court proceedings and
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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. In addition,
grantees must also respond to the
management questions contained in the
Logic Model.
For FY2006, HUD is considering a
new concept for the Logic Model. The
new concept is a Return on Investment
statement. HUD will be publishing a
separate notice on the ROI concept.
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.
of your application pertinent to HUD’s
funding decision.
C. Satellite Broadcast. HUD will hold
one or more information broadcasts via
satellite for potential applicants to learn
more about the program and preparation
of the application. Viewing of these
broadcasts, which will provide critical
information on the application process,
is highly recommended. For more
information about the date and time of
the broadcast, you should consult the
HUD Web site at https://www.hud.gov.
VIII. Other Information
A. Paperwork Reduction Act
The information collection
requirements contained in this
document have been submitted for
approval by the Office of Management
and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501–
3520) and OMB approval is pending. In
accordance with the Paperwork
Reduction Act, HUD may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a
currently valid OMB control number.
Public reporting burden for the
collection of information is estimated to
average 200 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
VII. Agency Contacts
the data for the application, semi-annual
A. For Further Information. You may
reports and final report. The
contact the HUD Field Office serving
information will be used for grantee
your area, at the telephone number
selection and monitoring the
shown in the General Section, or you
administration of funds. Response to
may contact the NOFA Information
this request for information is required
Center at 1–800–483–8929 or by Internet in order to receive the benefits to be
at: https://www.hud.gov. Individuals who derived.
are hearing- or speech-impaired should
B. Attachments. This final section
use the Information Relay Service at 1–
lists the attachments that are critical to
800–877–8339 (these are toll-free
the application process. Please see
numbers).
Section IV.B.1.b of this NOFA for a
B. For Technical Assistance. Before
complete description of the forms and
the application deadline, HUD staff will certifications required and the order of
be available to provide you with general assembly. In addition to applicant and
guidance. HUD staff, however, cannot
sponsor documentation of eligibility,
provide you with guidance in actually
please provide:
preparing your application. HUD Field
1. Forms to complete for Exhibit 1,
Office staff also will be available to help Continuum of Care.
you identify organizations in your
Form HUD–40090–1—Exhibit 1,
community that are involved in
Continuum of Care Application. All of
developing the CoC system. Following
the following charts comprise this form:
conditional selection of applications,
A: CoC Lead Organization Chart
HUD staff will be available to assist
B: CoC Geography Chart
selected applicants in clarifying or
C: CoC Groups and Meetings Chart
confirming information that is a
D: CoC Planning Process Organizations
prerequisite to the offer of a grant
Chart
agreement or Annual Contributions
E: CoC Governing Process Chart
Contract by HUD. However, between the F: CoC Project Review and Selection
application deadline and the
Chart
announcement of conditional selections, G: Written Complaints Chart
HUD will accept no information that
H: CoC Services Inventory
I: Housing Inventory Charts
would improve the substantive quality
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J: Housing Inventory Data Sources and
Methods Chart
K: CoC Point-in-Time Homeless
Population and Subpopulations Chart
L: CoC Homeless Population and
Subpopulations Data Sources and
Methods Chart
M: CoC HMIS Charts
N: CoC 10-Year Plan, Objectives, and
Action Steps Chart
O: CoC Discharge Planning Policy Chart
P: CoC Coordination Chart
Q: CoC Project Priorities Chart
R: CoC Pro Rata Need (PRN)
Reallocation Chart
S: CoC Project Leveraging Chart
T: CoC Current Funding and Renewal
Projections Chart
U: CoC Achievements Chart
V: CoC Chronic Homeless (CH) Progress
Chart
W: CoC Housing Performance Chart
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X: Mainstream Programs and
Employment Project Performance
Chart
Y: Enrollment and Participation in
Mainstream Programs Chart
Z: Unexecuted Grants Awarded Prior to
the 2005 CoC Competition Chart
AA: CoC Participation in Energy Star
Chart
BB: Section 3 Employment Policy Chart
Form HUD–27300—Questionnaire for
HUD’s Initiative on Removal of
Regulatory Barriers
Form HUD–2993—Acknowledgment of
Application Receipt
Form HUD–2994—Client Comments
and Suggestions
2. Forms to complete for each
applicant. These include:
HUD–40090–4—Applicant
Certifications (located at the end of
Exhibit 2)
Form HUD–2880—Applicant/Recipient
Disclosure/Update Report
SF–424 SUPP—Voluntary Survey on
Ensuring Equal Opportunity
3. Forms to complete for each project
(Exhibit 2). These include:
Form HUD–40090–2—Exhibit 2,
Continuum of Care Project
Application
Form HUD–96010—Logic Model
Form HUD–2991—Certification of
Consistency with the Consolidated
Plan
SF–424—Application for Federal
Assistance
[FR Doc. 06–1869 Filed 3–7–06; 8:45 am]
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Note: This year, the Questions and
Answers Supplement can be accessed at:
https://www.hud.gov/offices/adm/grants/
fundsavail.cfm.
BILLING CODE 4210–01–P
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Agencies
[Federal Register Volume 71, Number 45 (Wednesday, March 8, 2006)]
[Notices]
[Pages 11712-12069]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 06-1869]
[[Page 11711]]
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Part II
Department of Housing and Urban Development
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Fiscal Year 2006 SuperNOFA for HUD's Discretionary Programs; Notice
Federal Register / Vol. 71, No. 45 / Wednesday, March 8, 2006 /
Notices
[[Page 11712]]
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-5030-N-01A]
Fiscal Year 2006 SuperNOFA for HUD's Discretionary Programs
AGENCY: Office of the Secretary, HUD.
ACTION: Notice of HUD's Fiscal Year (FY) 2006 Notice of Funding
Availability (NOFA) for HUD's Discretionary Programs (SuperNOFA).
-----------------------------------------------------------------------
SUMMARY: On January 20, 2006, HUD published its Notice of Fiscal Year
2006 Notice of Funding Availability Policy Requirements and General
Section to the SuperNOFA (General Section). In that publication, HUD
announced it was publishing the General Section of the FY2006 SuperNOFA
in advance of the individual NOFAs in order to give prospective
applicants sufficient time to begin preparing their applications, and
to register early with Grants.gov to facilitate their application
submission process. This publication contains the 39 funding
opportunities that constitute HUD's FY2006 SuperNOFA.
DATES: The key dates that apply to all HUD federal financial assistance
made available through HUD's FY2006 SuperNOFA are found in each
individual program NOFA and in Appendix A to this notice.
FOR FURTHER INFORMATION CONTACT: The individual program NOFAs will
identify the applicable agency contacts for each program. Questions
regarding this Introduction should be directed to the NOFA Information
Center between the hours 10 a.m. and 6:30 p.m. Eastern Time at 800-HUD-
8929. Hearing-impaired persons may call 800-HUD-2209. Questions
regarding specific program requirements should be directed to the
agency contacts identified in each program NOFA.
SUPPLEMENTARY INFORMATION:
Introduction (Supplemental General Section)
This publication follows HUD's publication of the General Section
of the FY2006 SuperNOFA on January 20, 2006 (71 FR 3382), and presents
the 39 individual funding opportunities that constitute HUD's FY2006
SuperNOFA. HUD makes available through today's FY2006 SuperNOFA
publication approximately $2.2 billion in assistance.
While each program NOFA provides the statutory and regulatory
requirements, threshold requirements, and rating factors applicable to
funding made available through the individual NOFA, applicants must
also refer to the January 20, 2006, General Section of the FY2006
SuperNOFA for important application information and requirements,
including submission requirements, which have changed this year.
Appendix A to the January 20, 2006, General Section identified the
funding opportunities anticipated to be included in the FY2006
SuperNOFA. HUD is revising and republishing Appendix A (Revised
Appendix A) as part of today's FY2006 SuperNOFA publication. Revised
Appendix A provides an up-to-date funding chart that lists the funding
opportunities included in today's FY2006 SuperNOFA publication, along
with the application deadline for receipt of applications. In reviewing
Revised Appendix A, applicants should note that the HOPE VI Main Street
Program NOFA is not part of today's FY2006 SuperNOFA publication. This
NOFA will be published separately, together with the HOPE VI
Revitalization NOFA. In addition, the Self Help Homeownership
Opportunity Program (SHOP) is part of today's FY2006 SuperNOFA
publication and is included in Revised Appendix A.
In addition to Revised Appendix A, this notice makes one
clarification regarding the discussion of the Logic Model in Section
VI.C. entitled ``Reporting'' of the January 20, 2006, General Section
(see 71 FR 3398). Although the Logic Model is to be completed by
applicants, the Return on Investment (ROI) Statement referenced in the
discussion of the Logic Model only applies to grantees, i.e.,
applicants selected for funding under the NOFAs. Applicants are not to
complete the ROI statement. Additionally, for FY2006, the ROI concept
is a new concept for the Logic Model. HUD is considering this new
concept and will issue a separate notice within the next few weeks that
further addresses the ROI concept.
HUD published the General Section of the FY2006 SuperNOFA early to
provide its applicant community with the opportunity to become familiar
with cross cutting requirements, and to remind prospective applicants
to register or renew their registration in order to successfully submit
an application via Grants.gov.
Applicants are required to complete a five-step registration
process in order to submit their applications electronically. The
registration process is outlined in HUD's Notice of Opportunity to
Register Early for Electronic Submission of Grant Applications for
Funding Opportunities, published in the Federal Register on December 9,
2006 (70 FR 73332), and the brochure entitled ``STEP BY STEP: Your
Guide to Registering for Grant Opportunities,'' located at https://
www.hud.gov/offices/adm/grants/fundsavail.cfm. HUD also has a new
brochure titled, ``Finding and Applying for Grant Opportunities,''
dated February 2006, which walks you through the process of finding and
applying for grant opportunities. This brochure also contains
Registration Tips that will help applicants who successfully submitted
a grant application last year to determine if their registration is
active and if they are ready to submit a grant application to
Grants.gov.
HUD has received a number of questions regarding what to do if an
Authorized Organization Representative (AOR) has left the organization.
An excerpt from the ``Finding and Applying for Grant Opportunities
Brochure,'' dated February 2006 and describes the steps that are needed
in such situations and also provides other pertinent registration
information. This excerpt can be found on HUD's Web site at https://
www.hud.gov/offices/adm/grants/fundsavail.cfm under the title
``Registration Tips.''
In FY2006, HUD intends to continue to require its applicants to
submit their applications electronically through Grants.gov. For
FY2006, only the Continuum of Care program will remain a paper
application process. It is HUD's intent, however, to move the Continuum
of Care program to electronic application submission in FY2007. As a
result, HUD continues to encourage Continuum of Care agencies to become
familiar with Grants.gov requirements to facilitate this transition.
If you have questions concerning the registration process,
registration renewal, assigning a new AOR, or have a question about a
NOFA requirement, please feel free to contact HUD staff listed in the
NOFA. HUD staff cannot help you write your application, but can clarify
requirements that are contained in this Notice and HUD's registration
materials.
Applicants are also encouraged to participate in HUD's satellite
training and web cast sessions designed to provide a detailed
explanation of the general section and program section requirements for
each of the SuperNOFA programs. The interactive broadcasts provide you
an opportunity to ask questions of HUD staff. These broadcasts are also
achieved and accessible from HUD's Grants page at https://www.hud.gov/
offices/adm/grants/fundsavail.cfm. Applicants should bookmark the
Grants page as it provides a wealth of information including responses
to frequently asked questions that arise during the funding application
period.
[[Page 11713]]
Modifications to any of the NOFAs or the application are posted to
www.Grants.gov as soon as they are available. Applicants should
subscribe to the Grants.gov free notification service. By doing so, you
will receive an e-mail notification as soon as items are posted to
Grants.gov. The address to subscribe to this service is https://
www.grants.gov/search/email.do.
HUD reiterates the statement made in the publication of the General
Section on January 20, 2006, and that is, HUD hopes the steps that it
has taken to provide information early on the FY2006 funding process
and SuperNOFA requirements are of benefit to applicants.
Dated: February 22, 2006.
Roy A. Bernardi,
Deputy Secretary.
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Community Development Technical Assistance
Overview Information
A. Federal Agency Name. Department of Housing and Urban
Development, Office of Community Planning and Development.
B. Funding Opportunity Title. Community Development Technical
Assistance (CD-TA).
C. Announcement Type. Initial Announcement.
D. Funding Opportunity Number. The Federal Register number for this
NOFA is FR-5030-N-08. The OMB approval numbers are: 2506-0166 for HOME
Investment Partnerships Program (HOME), HOME Investment Partnerships
Program for Community Housing Development Organizations [CHDO (HOME)],
and McKinney-Vento Homeless Assistance (Homeless), 2506-0133 for
Housing Opportunities for Persons With AIDS (HOPWA), and 2506-0142 for
Youthbuild.
E. Catalog of Federal Domestic Assistance (CFDA) Numbers. The HOME
and CHDO (HOME) CFDA number is 14.239; Homeless is 14.235; HOPWA is
14.241; Youthbuild is 14.243.
F. Dates. The application submission date is May 18, 2006.
G. Additional Overview and Content Information. Applicants
interested in providing technical assistance to entities participating
in HUD's community development programs should carefully review the
General Section and the information listed in this CD-TA NOFA. Funds
are available to provide technical assistance for five separate program
areas: HOME, CHDO (HOME), Homeless, HOPWA, and Youthbuild. Applicants
may apply for one, two, three, four, or all five CD-TA program areas.
The application submission information is contained in this CD-TA NOFA
at Section IV.B. Approximately $19.7 million is available. No cost
sharing is required. Grants will be administered under cooperative
agreements with significant HUD involvement (see Section II.C of this
NOFA).
Full Text of Announcement
I. Funding Opportunity Description
A. CD-TA Purpose. The purpose of the CD-TA program is to provide
assistance to achieve the highest level of performance and results for
five separate community development program areas: (1) HOME; (2) CHDO
(HOME); (3) Homeless; (4) HOPWA; and (5) Youthbuild. Information about
the five community development programs and their missions, goals, and
activities can be found on the HUD Web site at https://www.hud.gov.
B. Description of National TA and Local TA. There are two types of
technical assistance (TA) funding available in this NOFA: National TA
and Local TA.
National TA activities are those that address, at a nationwide
level, one or more of the CD-TA program activities and/or priorities
identified in Section III.C of this NOFA. National TA activities may
include the development of written products, development of on-line
materials, development of training courses, delivery of training
courses previously approved by HUD, organization and delivery of
workshops and conferences, and delivery of direct TA as part of a
national program. Applicants for National TA must also be willing to
work in any HUD field office area, although work in the field office
areas is likely to be a negligible portion of National TA activities.
National TA activities are administered by a Government Technical
Representative (GTR) and Government Technical Monitor (GTM) at HUD
Headquarters.
Local TA activities also must address the CD-TA program activities
and/or priorities identified in this NOFA, however the Local TA is
targeted to the specific needs of the HUD community development program
recipients in the field office area in which the TA is proposed. Local
TA activities are limited to the development of need assessments,
direct TA to HUD community development program recipients, organization
and delivery of workshops and conferences, and customization and
delivery of previously HUD-approved trainings. Local TA will be
administered by a GTR and GTM in the respective HUD field office.
C. Authority. HOME TA is authorized by the HOME Investment
Partnerships Act (42 U.S.C. 12781-12783); 24 CFR part 92. CHDO (HOME)
TA is authorized by the HOME Investment Partnerships Act (42 U.S.C.
12773); 24 CFR part 92. For the McKinney-Vento Act Homeless Assistance
Programs TA, the Supportive Housing Program is authorized under 42
U.S.C. 11381 et seq.; 24 CFR 583.140; Emergency Shelter Grants, Section
8 Moderate Rehabilitation Single Room Occupancy Program, and Shelter
Plus Care TA are authorized by the FY2006 HUD Appropriations Act. HOPWA
TA is authorized under the FY2006 HUD Appropriations Act. Youthbuild TA
is authorized under Title IV of the Cranston-Gonzalez National
Affordable Housing Act, as amended by the Housing and Community
Development Act of 1992 (42 U.S.C. 12899g); 24 CFR part 585.
II. Award Information
A. Available Funds. Approximately $19.7 million is available for
the CD-TA program. Additional funds may become available as a result of
recapturing unused funds. This chart shows how the funds are divided
among National TA and Local TA activities:
------------------------------------------------------------------------
Program National TA Local TA
------------------------------------------------------------------------
HOME.......................................... $1,980,000 $0
CHDO (HOME)................................... 2,920,000 5,000,000
Homeless...................................... 3,501,085 3,000,000
HOPWA......................................... 900,000 0
Youthbuild.................................... 2,475,000 0
------------------------------------------------------------------------
The Local TA funds are divided among HUD's field office
jurisdictions for the CHDO (HOME) and Homeless programs. No Local TA
funds are available for HOPWA, Youthbuild, or HOME. In the case of the
national CHDO (HOME) program, if less than the total amount of
available funds is awarded, the balance may be used to make awards
under the national HOME TA program.
The chart below shows the amounts available in dollars for Local TA
by CD-TA program:
------------------------------------------------------------------------
Local TA area CHDO (HOME) Homeless
------------------------------------------------------------------------
Alabama....................................... $75,000 $40,000
Alaska........................................ 30,000 30,000
Arkansas...................................... 30,000 40,000
California--Northern and Arizona, Nevada...... 300,000 300,000
California--Southern.......................... 400,000 275,000
Caribbean..................................... 75,000 40,000
Colorado and Montana, North Dakota, South 170,000 60,000
Dakota, Utah, Wyoming........................
Connecticut................................... 55,000 40,000
[[Page 11720]]
District of Columbia area..................... 50,000 50,000
Florida--Southern............................. 60,000 50,000
Florida--Northern............................. 100,000 70,000
Georgia....................................... 75,000 50,000
Hawaii........................................ ........... 40,000
Illinois...................................... 125,000 145,000
Indiana....................................... 50,000 25,000
Kansas and Missouri--Western.................. 75,000 50,000
Missouri--Eastern............................. 55,000 40,000
Kentucky...................................... 150,000 40,000
Louisiana..................................... 50,000 40,000
Maryland, except District of Columbia area.... 50,000 40,000
Massachusetts, Maine, New Hampshire, Rhode 250,000 200,000
Island, Vermont..............................
Michigan...................................... 225,000 138,000
Minnesota..................................... 140,000 52,000
Mississippi................................... 125,000 50,000
Nebraska and Iowa............................. 40,000 40,000
New Jersey.................................... 25,000 25,000
New Mexico.................................... 225,000 50,000
New York--Downstate........................... 482,000 250,000
New York--Upstate............................. 60,000 35,000
North Carolina................................ 150,000 40,000
Ohio.......................................... 116,000 125,000
Oklahoma...................................... 40,000 40,000
Oregon and Idaho.............................. 130,000 30,000
Pennsylvania--Eastern and Delaware............ 75,000 50,000
Pennsylvania--Western and West Virginia....... 158,000 57,000
South Carolina................................ 34,000 40,000
Tennessee..................................... 150,000 40,000
Texas--Northern............................... 250,000 88,000
Texas--Southern............................... 20,000 40,000
Virginia, except District of Columbia area.... 80,000 40,000
Washington.................................... 50,000 50,000
Wisconsin..................................... 200,000 55,000
------------------------------------------------------------------------
B. Performance Period. Awards will be for a period of up to 36
months. HUD, however, reserves the right to withdraw funds from a
specific TA provider if HUD determines that the urgency of need for the
assistance is greater in other field office jurisdictions or the need
for assistance is not commensurate with the award.
C. Terms of Award. HUD will enter into a cooperative agreement with
selected applicants for the performance period. Because CD-TA awards
are made as cooperative agreements, implementation entails significant
HUD involvement. Significant HUD involvement is required in all aspects
of TA planning, delivery, and follow-up.
In addition to the requirements listed in the General Section,
selected applicants are subject to the following requirements:
1. Demand-Response System
All CD-TA awardees must operate within the structure of the demand-
response system. Under the demand-response system, TA providers are
required to:
a. When requested by a GTR, market the availability of their
services to existing and potential recipients within the jurisdictions
in which the assistance will be delivered;
b. Respond to requests for assistance from the GTR;
c. When requested by a GTR, conduct a needs assessment to identify
the type and nature of the assistance needed by the recipient of the
assistance;
d. Obtain the local HUD field office's approval before responding
to direct requests for technical assistance from HOME Participating
Jurisdictions (PJs), Community Housing Development Organizations
(CHDOs), and McKinney-Vento Act Homeless Assistance and HOPWA grantees;
and
e. For CHDO (HOME) TA providers, secure a letter from a PJ stating
that a CHDO, or prospective CHDO to be assisted by the provider, is a
recipient or intended recipient of HOME funds and indicating, at its
option, subject areas of assistance that are most important to the PJ.
2. Training
When conducting training sessions as part of its CD-TA activities,
CD-TA providers are required to:
a. Design the course materials as ``step-in'' packages so that HUD
or other CD-TA providers may independently conduct the course on their
own;
b. Make the course materials available to the GTR in sufficient
time for review (minimum of three weeks) and receive concurrence from
the GTR on the content and quality prior to delivery;
c. Provide all course materials in an electronic format that will
permit wide distribution among TA providers, field offices, and HUD
grantees;
d. Arrange for joint delivery of the training with HUD
participation when requested by the GTR;
e. Deliver HUD-approved training courses that have been designed
and developed by others on a ``step-in'' basis when requested; and
f. Send trainers to approved ``train-the-trainers'' sessions.
3. Field Office Involvement Under National TA Awards
When National TA providers are undertaking activities in field
office jurisdictions, the National TA providers must work cooperatively
with HUD field offices. Providers must notify the applicable HUD field
office of the planned activities; consider the views or recommendations
of that office, if any; follow those recommendations, to the degree
practicable; and report to the applicable field office on the
accomplishments of the assistance.
[[Page 11721]]
III. Eligibility Information
A. Eligible Applicants
The eligible applicants for each of the five CD-TA programs are
listed in the chart below. In accordance with the President's faith-
based initiative, HUD welcomes the participation of eligible faith-
based and other community organizations in the CD-TA programs.
------------------------------------------------------------------------
Program Eligible applicants
------------------------------------------------------------------------
HOME......................... A for-profit or nonprofit professional
and technical services company or firm
that has demonstrated knowledge of the
HOME program and the capacity to provide
technical assistance services;
A HOME Participating Jurisdiction (PJ);
A public purpose organization,
established pursuant to state or local
legislation, responsible to the chief
elected officer of a PJ;
An agency or authority established by two
or more PJs to carry out activities
consistent with the purposes of the HOME
program; or
A national or regional nonprofit
organization that has membership
comprised predominantly of entities or
officials of entities of PJs or PJs'
agencies or established organizations.
CHDO (HOME).................. A public or private nonprofit
intermediary organization that
customarily provides services, in more
than one community, related to the
provision of decent housing that is
affordable to low-income and moderate-
income persons or related to the
revitalization of deteriorating
neighborhoods; has demonstrated
experience in providing a range of
assistance (such as financing, technical
assistance, construction and property
management assistance) to CHDOs or
similar organizations that engage in
community revitalization; and has
demonstrated the ability to provide
technical assistance and training for
community-based developers of affordable
housing.
Note: Any organization funded to assist
CHDOs under CD-TA may not undertake CHDO
set-aside activities itself within its
service area while under cooperative
agreement with HUD.
Homeless..................... A state;
A unit of general local government;
A public housing authority; or
A public or private nonprofit or for-
profit organization, including
educational institutions and area-wide
planning organizations.
HOPWA........................ A for-profit or nonprofit organization;
A state; or
A unit of general local government.
Youthbuild................... A public or private nonprofit agency that
has significant prior experience in the
operation of projects similar to the
Youthbuild program and that has the
capacity to provide effective technical
assistance.
------------------------------------------------------------------------
Applicants must also meet the threshold requirements of the General
Section, including the Civil Rights threshold in Section III (C).
A consortium of organizations may apply for one or more CD-TA
programs, but one organization must be designated as the applicant.
Applicants may propose assistance using in-house staff, sub-
contractors, sub-recipients, and local organizations with the requisite
experience and capabilities. Where appropriate, applicants should make
use of TA providers located in the field office jurisdiction receiving
services.
B. Cost Sharing or Matching
None.
C. Other
1. Eligible Activities and Priorities
Funds may be used to provide TA to grantees, prospective
applicants, and project sponsors of the HOME, CHDO (HOME), Homeless,
HOPWA, and Youthbuild programs. The TA activities may include but are
not limited to written information such as papers, manuals, guides, and
brochures; assistance to individual communities; needs assessments; and
training. The priority TA areas for each of the five program areas are:
a. HOME TA. HUD has identified four HOME program technical
assistance priorities. These priorities that result in measurable
performance outputs and outcomes are:
(1) Improve the ability of PJs to design and implement housing
programs that reflect sound underwriting, management, and fiscal
controls; demonstrate measurable outcomes in the use of public funds;
and provide accurate and timely reporting of HOME program
accomplishments.
(2) Encourage public-private partnerships that yield an increase in
the amount of private dollars leveraged for HOME-assisted projects and
result in an increase in the commitment and production of HOME-assisted
units.
(3) Assist PJs in developing strategies that ameliorate the
affordability gap between rapidly increasing housing costs and the less
rapid growth in incomes among low-income households, especially among
underserved populations (e.g., residents of the Colonias, homeless
persons, persons with disabilities, and residents of an empowerment
zone (EZ) designated by HUD or the United States Department of
Agriculture (USDA), an urban or rural renewal community designated by
HUD (RC), or an enterprise community designated in round II by USDA
(EC-II).
(4) Assist PJs in developing strategies that increase and help
sustain homeownership opportunities for low-income households--
particularly low-income, minority households--and directly result in
the commitment and completion of HOME-assisted units.
Some examples of measurable performance outputs and outcomes are
given in Rating Factor 4.
b. CHDO (HOME) TA (1) HUD has identified three CHDO-specific
technical assistance priorities. These priorities that result in
measurable performance outputs and outcomes are:
(a) Assist new CHDOs and potential CHDOs in developing the
organizational capacity to own, develop, and sponsor HOME-assisted
projects. A new CHDO is defined as a nonprofit organization that within
three years of the publication of this NOFA was determined by a PJ to
qualify as a CHDO. A potential CHDO is defined as a nonprofit
organization that is expected by the PJ to qualify as a CHDO and is
expected to enter into a written agreement with that PJ to own,
develop, or sponsor HOME-assisted housing within 24 months of the PJ
determining the organization qualifies as a CHDO.
[[Page 11722]]
(b) Improve the HOME program production and performance of existing
CHDOs in the areas of:
(i) Program design and management, including underwriting, project
financing, property management, and compliance; and
(ii) Organizational management and capacity, including fiscal
controls, board development, contract administration, and compliance
systems.
(c) Provide organizational support, technical assistance, and
training to community groups for the establishment of community land
trusts, as defined in section 233(f) of the Cranston-Gonzales National
Affordable Housing Act.
(2) Additional CHDO (HOME) eligible activities are:
(a) Under the ``Pass-Through'' provision, CD-TA providers may
propose to fund various operating expenses for eligible CHDOs that own,
develop, or sponsor HOME-assisted housing. Such operating expenses may
include reasonable and necessary costs for the operation of the CHDO
including salaries, wages, and other employee compensation and
benefits; employee education, training and travel; rent; utilities;
communication costs; taxes; insurance; equipment, materials, and
supplies.
(b) CD-TA providers must establish written criteria for selection
of CHDOs receiving pass-through funds. PJs must designate the
organizations as CHDOs; and, generally, the organizations should not
have been in existence more than three years.
CD-TA providers must enter into an agreement with the CHDO that the
agreement and pass-through funding may be terminated at the discretion
of HUD if no written legally binding agreement to provide assistance
for a specific housing project (for acquisition, rehabilitation, new
construction, or tenant-based rental assistance) has been made by the
PJ with the CHDO within 24 months of initially receiving pass-through
funding. The pass-through amount, when combined with other capacity
building and operating support available through the HOME program,
cannot exceed the greater of 50 percent of the CHDO's operating budget
for the year in which it receives funds, or $50,000 annually.
c. Homeless TA. Homeless TA funds are available to provide
McKinney-Vento Homeless Assistance Act, HUD-funded grantees, project
sponsors, and potential recipients with skills and knowledge needed to
develop and operate projects and activities. The assistance may
include, but is not limited to, developing and disseminating written
information such as papers, monographs, manuals, curriculums, guides,
and brochures; and person-to-person exchanges, conferences, training
and use of technology. TA activities are focused on these priorities
that result in measurable performance outputs and outcomes:
(1) Continue the integration of the Technical Assistance Catalog
and the Homelessness Resource Exchange through the development of new
materials and dissemination of curriculums for defined audiences
including existing technical assistance materials and newly created
technical assistance materials. All curriculum dissemination may
include training, conferences, and use of technology, as well as
written materials.
(2) Develop curriculums to improve Continuum of Care (CoC)
governance, development, organizational capacity, planning, and five-
year renewal burden assessment, and to assist in developing strategies
to eliminate chronic homelessness and increase access to mainstream
services for homeless persons.
(3) Assist CoCs with Homeless Management Information System (HMIS)
implementation. National technical assistance will relate to data
collection, data quality, data analysis, provider participation,
reporting, performance measurement, data warehousing, and HMIS Data and
Technical Standards.
(4) Maintain and enhance the HMIS website portal as the vehicle for
collection and dissemination of HMIS information. (5) Support
collaboration between metropolitan, regional and statewide HMISs.
Assistance may include providing state and/or regional HMIS technical
assistance coordinators and/or technology to promote effectuating long-
distance meeting, conferencing and networking. (6) Support
collaboration between metropolitan, regional, and statewide HMISs for
use in disaster preparedness and recovery efforts, utilizing the
experience of communities that experienced Hurricanes Katrina and Rita.
(7) Improve participation in the Annual Homeless Assessment Report
(AHAR) by CoCs and providers in their geographic areas through outreach
and capacity building. Develop materials and training for: Reporting
bed coverage; extrapolation and data analysis methodologies and
documents; data integration; data quality assessments; utilization of
AHAR data at the program and/or CoC level; and the collection and
analysis of CoC data for Congressionally-directed HMIS-related reports
to Congress.
(8) Develop curriculums for grantees and project sponsors on
implementing and achieving long-term performance outcome measures that
promote housing stability, reduce the risk of homelessness, and improve
access to mainstream systems of care.
(9) Develop curriculums on program requirements and monitoring
standards for McKinney-Vento Act funded grant recipients, including
sound fiscal and financial management practices, assessment of sub-
recipients and activities, and reporting in IDIS and via Annual
Progress Reports.
(10) Develop curriculums to improve the ability of grantees to
establish comprehensive housing development strategies for homeless
persons through collaborative public and private partnerships. Such
curriculums may include educational components on the availability and
use of tax incentive programs that increase access to private capital
(e.g., Low Income Housing Tax Credit, the Historic Preservation
Investment Tax Credit, Renewal Communities and Empowerment Zones tax
incentives, and New Markets Tax Credit).
(11) Develop curriculums for homelessness prevention strategies,
including discharge planning.
(12) Assist CoC applicants with understanding the Grants.gov
registration and application submission process so they are prepared to
submit electronic applications in 2007 and assist HUD in increasing the
number of McKinney Vento applicants fully registered at Grants.gov.
(A person experiencing chronic homelessness is defined as an
unaccompanied individual with a disabling condition who has been
continuously homeless for a year or more or has experienced four or
more sustained episodes of homelessness over the last three years.)
d. HOPWA TA. HOPWA funds are available for technical assistance,
training, and oversight activities which can be used to provide
grantees, project sponsors, and potential recipients with the skills
and knowledge to effectively develop, operate, and support HOPWA-
eligible project activities that result in measurable performance
outputs and outcomes. TA activities are focused on these priorities:
(1) Improve the ability of state and local governments to develop
comprehensive and coordinated housing strategies in identifying and
addressing the housing needs of low income persons living with HIV/AIDS
that promote housing stability which
[[Page 11723]]
reduces the risk of homelessness and improves access to healthcare and
other needed support.
(2) Develop national models that effectively integrate AIDS housing
strategies into consolidated planning and Continuum of Care planning
processes.
(3) Facilitate the development of collaborative endeavors that
coordinate mainstream resources including federal HOPWA and Ryan White
CARE Act resources, state, local, private, and philanthropic grant
resources that promote the sustainability of permanent supportive
housing, and develop regional training sessions that educate and
instruct AIDS housing providers in implementing these collaborative
efforts.
(4) Develop creative housing models that address the housing and
supportive service needs of chronically homeless individuals and those
who are multiple diagnosed living with HIV/AIDS, and that provide
emergency and transitional housing that results in the provision of
permanent supportive housing.
(5) Develop written materials that promote the utilization and
coordination of Homeless Management Information Systems in the
provision of HOPWA-assisted housing and supportive services for
homeless persons.
(6) Develop technical assistance plans in collaboration with HUD
field office oversight for local HOPWA-assisted housing programs. It is
estimated that up to 40 percent of HOPWA TA funds will be made
available for this purpose.
(7) Develop a strategy to facilitate implementation of the HUD-IRS
agreement that promotes the Earned Income Tax Credit. Disseminate
information that will enable HOPWA grantees and AIDS housing and
service organizations to assist low-income persons in receiving the
financial savings on their annual taxes.
e. Youthbuild TA. Youthbuild TA funds are available to provide
appropriate training, information, and technical assistance to
federally funded Youthbuild programs and to assist HUD in the
management, supervision, and coordination of such Youthbuild programs.
If the youth population includes persons who are limited English
proficient, instructional materials for distribution may need to be
translated in other languages than English. If translated documents are
unavailable, oral interpreters should be provided during on-site and
telephone assistance and while conducting training. TA activities that
result in measurable performance outputs and outcomes are focused on
the following priorities:
(1) Improve the management and implementation of Youthbuild
programs by providing on-site and telephone assistance, preparing
appropriate instruction materials, and conducting training workshops on
key aspects of the Youthbuild program.
(2) Improve Youthbuild program applications by providing assistance
to eligible applicants in the preparation of their grant applications,
giving priority to community-based organizations in the provision of
this assistance.
(3) Strengthen Youthbuild program design by facilitating peer-to-
peer assistance for Youthbuild grantee staff and disseminating best
program practices that are identified through training workshops, peer-
to-peer assistance, and on-site TA.
(4) Assist HUD in the management, supervision, and coordination of
Youthbuild programs by preparing handbooks or printed materials to
provide guidance to Youthbuild grantees and by collecting and analyzing
performance evaluation data from Youthbuild grantees.
(5) Assist Youthbuild applicants with understanding the Grants.gov
registration and application submission process so they are prepared to
submit electronic applications and assist HUD in increasing the number
of applicants fully registered at Grants.gov.
2. DUNS Requirement
Refer to the General Section for information regarding the DUNS
requirement. Applicants need to obtain a DUNS number to receive an
award from HUD.
3. Other Eligibility Requirements
All applicants requesting funding from programs under this NOFA
must be in compliance with the applicable threshold requirements found
in the General Section. Applicants that do not meet these requirements
will be ineligible for funding.
4. False Statements
An applicant's false statement in an application is grounds for
denial or termination of an award and grounds for possible punishment
as provided in 18 U.S.C. 1001.
5. Environmental Review
Most activities under the CD-TA program are categorically excluded
and not subject to environmental review under 24 CFR 50.19(b)(9) or
(13), but in the case of CHDO (HOME) TA eligible activities, a proposal
for payment of rent as part of CHDO operational costs will be subject
to environmental review by HUD under 24 CFR part 50. If an applicant
proposes to assist CHDO operating expenses that include rent, the
application constitutes an assurance that the applicant and CHDO will
assist HUD to comply with 24 CFR part 50; will supply HUD with all
available and relevant information to perform an environmental review
for the proposed property to be rented; will carry out mitigating
measures required by HUD or select an alternate property; and will not
lease or rent, construct, rehabilitate, convert or repair the property,
or commit or expend HUD or non-HUD funds for these activities on the
property to be rented, until HUD has completed an environmental review
to the extent required by 24 CFR part 50. The results of the
environmental review may require that the proposed property be
rejected.
IV. Application and Submission Information
A. Addresses to Request Application Package. Applications must be
received and validated by Grants.gov no later than 11:59:59 PM Eastern
time on the application due date of May 18, 2006. HUD must receive
paper copy applications from applicants that received a waiver no later
than 11:59:59 PM on the application deadline date. See the General
Section for application submission and timely receipt procedures and
for instructions on how to request a waiver. Paper applications will
not be accepted unless the applicant has received a waiver of the
electronic submission requirement.
B. Content and Form of Application Submission. Applicants must
submit a separate application for each National TA and Local TA area
program for which they are applying. For example, an applicant for
National TA for HOME and for Local TA in three field office
jurisdictions would submit four separate and distinct applications.
A completed application consists of an application submitted by an
authorized official of the organization and contains all relevant
sections of the application, as shown in the checklist below in Section
IV.B.4.
1. Number of Copies
See General Section. This information will be included in approval
letters to applicants submitting a waiver request.
2. Page Limitation
Narratives addressing Factors 1-5 are limited to no more than 25
typed pages. That is, reviewers will not review more than 25 pages for
all five factors combined, except that the page limit
[[Page 11724]]
does not include the Form HUD-96010, Logic Model.
3. Prohibition on Materials Not Required
Materials other than what is requested in this NOFA are prohibited.
Reviewers will not consider resumes, charts, letters, or any other
documents attached to the application.
4. Checklist for Application Submission
Applicants submitting electronic copies should follow the
procedures in Section IV.F. of the General Section. The following
checklist is provided as a guide to help ensure that you submit all the
required elements. For applicants receiving a waiver of the electronic
submission, the paper submission must be in the order provided below.
All applicants should enter the applicant name, DUNS number, and page
numbers on the narrative pages of the application.
--SF-424, Application for Federal Assistance (from General Section)
--An Application Cover Page indicating in bold (a) the type of TA
proposed in the application whether HOME National, CHDO National, CHDO
Local, Homeless National, Homeless Local, HOPWA National, or Youthbuild
National; (b) the amount of funds requested; and (c) for Local TA, the
jurisdiction proposed in the application.
--A one-page Summary describing (a) each major component of the
proposed TA approach; (b) the proposed cost of each major component;
and (c) whether the component is integrally related to another
component in order to be successful.
--Narrative addressing Factors 1-5
--HUD-96010, Logic Model
--HUD-424-CB, Grant Application Detailed Budget Form (from General
Section)
--HUD-424-CBW, Detailed Budget Worksheet for Non-Construction Projects
(from General Section)
--If applying for CHDO (HOME) TA, statement as to whether the
organization proposes to pass through funds to new CHDOs.
--If applying for the CHDO (HOME) TA, a certification as to whether the
organization qualifies as a primarily single-state provider under
section 233(e) of the Cranston-Gonzales Affordable Housing Act.
--SF-LLL, Disclosure of Lobbying Activities (from General Section)
--HUD-2880, Applicant/Recipient Disclosure/Update Report (from General
Section)
--SF-424, Supplement, Survey on Equal Opportunity for Applicants
--HUD-96011, FacsimileTransmittal (required for electronic submissions
of third party documents)
C. Submission Dates and Times. The application submission date is
May 18, 2006.
D. Intergovernmental Review. Intergovernmental review is not
applicable to CD-TA applications.
E. Funding Restrictions. An organization may not provide assistance
to itself. An organization may not provide assistance to another
organization with which it contracts or sub-awards funds to carry out
activities under the TA award.
Funding from HOME and from CHDO (HOME) TA to any single eligible
organization (excluding funds for organizational support and housing
education ``passed through'' to CHDOs), whether as an applicant or sub-
recipient is limited to not more than 20 percent of the operating
budget of the recipient organization for any one-year period of each
cooperative agreement. In addition, funding under either HOME or CHDO
(HOME) TA to any single organization is limited to 20 percent of the
$9,900,000 made available for HOME and CHDO (HOME) TA in FY2006.
Not less than 40 percent of the approximately $7,920,000 for CHDO
(HOME) shall be made available for eligible TA providers that have
worked primarily in one state. HUD will consider an applicant as a
primarily single state TA provider if it can document that more than 50
percent of its past activities in working with CHDOs or similar
nonprofit and other organizations (on the production of affordable
housing, revitalization of deteriorating neighborhoods, and /or the
delivery of technical assistance to these groups) was confined to the
geographic limits of a single state.
No fee or profit may be paid to any recipient or sub-recipient of
an award under this CD-TA NOFA.
F. Other Submission Requirements. The General Section describes
application submission procedures and how applicants may obtain proof
of timely submission.
V. Application Review Information
A. Criteria. The maximum number of points to be awarded for a CD-TA
application is 100. The minimum score for an application to be
considered for funding is 75 with a minimum of 20 points on Factor 5.
The CD-TA program is not subject to bonus points, as described in the
General Section.
Points are assigned on five factors. When addressing Factors 1-4,
applicants should discuss the specific TA activities that will be
carried out during the term of the cooperative agreement. Applicants
should provide relevant examples to support the proposal, where
appropriate. Applicants should also be specific when describing the
communities, populations, and organizations that they propose to serve
and the specific outcomes expected as a result of the TA.
Factor 5 relates to the capacity of the applicant and its relevant
organizational experience. Rating of the ``applicant'' or the
``applicant's organization and staff'' includes in-house staff and any
sub-contractors and sub-recipients which are firmly committed to the
project. In responding to Factor 5, applicants should specify the
experience, knowledge, skills, and abilities of the applicant's
organization and staff, and any persons and organizations firmly
committed to the project.
1. Rating Factor 1: Need/Extent of the Problem (10 Points)
a. For National TA applications: Sound and extensive understanding
of need for TA in relation to the priorities listed in Section III C of
this NOFA as demonstrated by objective information and/or data, such as
information from HOME Snapshots, current census data, the American
Housing Survey, or other relevant data sources.
b. For Local TA applications: Sound and extensive understanding of
high priority needs for TA in the jurisdiction as demonstrated by
objective information and/or data, such as information from HOME
Snapshots, current census data, the American Housing Survey, or other
relevant data sources.
In rating this factor, HUD will evaluate the extent to which the
application demonstrates an understanding of the specific needs for TA
and supports the description of need with reliable, program-specific,
quantitative information. Applicants for HOME should, at a minimum,
draw on HOME Snapshot information to demonstrate PJs' needs, in an area
or nationwide, for additional training and capacity building. See
https://www.hud.gov/offices/cpd/affordablehousing/programs/home/
snapshot/index.cfm.
2. Rating Factor 2: Soundness of Approach (40 Points)
a. (25 points) (1) For National TA applications: A sound approach
for addressing the need for eligible TA activities in relation to the
priorities listed in Section III C of this NOFA that will result in
positive outcomes.
[[Page 11725]]
(2) For Local TA applications: A sound approach for addressing high
priority needs for TA in the jurisdiction that will result in positive
outcomes.
In rating this factor, HUD will evaluate the extent to which the
application presents and supports a detailed, feasible, practical
approach for addressing TA needs (Local TA applications) or CD-TA
program priorities (National TA applications), including techniques,
timeframes, goals, and intended beneficiaries, and the likelihood that
these activities will result in positive outcomes.
b. (10 points) A feasible work plan for designing, organizing,
managing, and carrying out the proposed TA activities under the demand-
response system.
In rating this factor, HUD will evaluate the applicant's
understanding of the demand-response system and the extent to which the
application demonstrates the efficiency of proposed activities.
c. (5 points) An effective assistance program to specific
disadvantaged communities, populations, and/or organizations which
previously have been underserved and have the potential to participate
in the CD-TA program (such as the Colonias, an empowerment zone (EZ)
designated by HUD or the United States Department of Agriculture
(USDA), an urban or rural renewal community designated by HUD (RC), an
enterprise community designated in round II by USDA (EC-II), or
homeless persons and persons with disabilities).
In rating this factor, HUD will evaluate the extent to which the
applicant has identified specific disadvantaged or previously
underserved communities, populations, and organizations and has
developed an effective strategy for engaging their participation in the
HOME, CHDO (HOME), Homeless, HOPWA, or Youthbuild program, as
applicable.
3. Rating Factor 3: Leveraging Resources (10 Points)
An efficient practical method to transfer manuals, guides,
assessment forms, other work products, models, and lessons learned in
its CD-TA activities to other CD-TA grantees and/or HOME, CHDO (HOME),
Homeless, HOPWA, or Youthbuild program beneficiaries.
In rating this factor, HUD will evaluate the extent to which the
application demonstrates a cost-effective means of sharing resources
developed under the CD-TA activities with a wide audience, including
sharing information with other TA providers in the CD-TA program.
4. Rating Factor 4: Achieving Results and Program Evaluation (10
Points)
a. (5 points) An effective, quantifiable evaluation plan for
measuring performance using the Logic Model with specific outcome
measures and benchmarks, including--for HOME applicants--performance
improvements as measured by the HOME Snapshot indicators.
In rating this factor, HUD will evaluate the extent to which the
application has an evaluation plan that includes outcomes and is
specific, measurable, and appropriate in relation to the activities
proposed.
b. (5 points) Successful past performance in administering HUD CD-
TA programs or, for applicants new to HUD's CD-TA Programs, successful
past performance in providing TA in other community development
programs. Applicants should include, as applicable, increases in CPD or
community development program accomplishments as a result of TA (e.g.,
number of homeless people or persons with HIV/AIDS receiving housing
and services, efficiency or effectiveness of administration of CPD or
community development programs, number of affordable housing units,
HOME Snapshot indicators, timeliness of use of CPD or community
development program funds).
In rating this factor, HUD will evaluate the extent to which the
application demonstrates successful past performance that was timely
and resulted in positive outcomes in the delivery of community
development TA. HUD will also consider past performance of current CD-
TA providers, including financial and other information in HUD's files.
5. Rating Factor 5: Capacity of the Applicant and Relevant
Organizational Experience (30 Points) (Minimum for Funding
Eligibility--20 Points)
a. (10 points) Recent and successful experience of the applicant's
organization in providing TA in eligible activities and to eligible
entities for the HOME, CHDO (HOME), Homeless, HOPWA, or Youthbuild CD-
TA programs, as applicable.
In rating this factor, HUD will consider the extent to which the
application demonstrates successful experience within the last four
years of providing TA related to the applicable CD-TA program.
b. (10 points) Depth of experience in managing multiple TA tasks,
to multiple entities, and in more than one geographic area.
In rating this factor, HUD will consider the extent to which the
application demonstrates ability to manage TA assignments effectively.
c. (10 points) Knowledgeable key personnel skilled in providing TA
in one or more of the eligible activities for HOME, CHDO (HOME),
Homeless, HOPWA, and/or Youthbuild programs, as applicable; a
sufficient number of staff or ability to procure qualified experts or
professionals with the knowledge, skills, and abilities to deliver the
proposed level of TA in the proposed service area in a timely and
effective fashion; and an ability to provide CD-TA in a geographic area
larger than a single city or county.
In rating this factor, HUD will consider the extent to which the
application demonstrates the organization has an adequate number of key
staff or ability to procure individuals with the knowledge of effective
TA approaches and knowledge of HOME, CHDO (HOME), Homeless, HOPWA, or
Youthbuild program, as applicable.
B. Review and Selection Process
1. Review Types
Two types of reviews will be conducted. First, HUD will review each
application to determine whether it meets threshold eligibility
requirements.
Second, HUD will review and assign scores to applications using the
Factors for Award noted in Section V.A.
2. Rank Order
a. Once rating scores are assigned, rated applications submitted
for each National TA program and for each Local TA program will be
listed in rank order. Applications within the fundable range (score of
75+ points with 20+ points for Factor 1) may then be funded in rank
order under the CD-TA program and service area for which they applied.
b. For purposes of coordinating activities on a national basis, HUD
reserves the right to select a single national provider to carry out
activities, as follows:
(1) One for HOPWA technical assistance activities, including
national products and local support;
(2) One for Continuum of Care technical assistance activities that
primarily focus on HMIS support;
(3) One for HOME and one for CHDO technical assistance activities.
3. Threshold Eligibility Requirements
All applicants requesting CD-TA must be in compliance with the
applicable threshold requirements found in the General Section and the
eligibility requirements listed in Section III of this NOFA in order to
be reviewed, scored, and ranked. Applications that
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do not meet these requirements and applications that were received
after the submission deadline (see Section IV.F of the General Section)
will be considered ineligible for funding.
4. Award Adjustment
In addition to the funding adjustment authority provided for in the
General Section, HUD reserves the right to adjust funding amounts for
each CD-TA selectee. The amounts listed in the charts in Section II.A
are provided to assist applicants to develop Local TA or National TA
budgets and do not represent the exact amounts to be awarded. Once TA
applicants are selected for award, HUD will determine the total amount
to be awarded to any selected applicant based upon the size and needs
of each of the selected applicant's service areas, the funds available
for that area and CD-TA program, the number of other CD-TA applicants
selected in that area or CD-TA program, and the scope of the TA to be
provided.
Additionally, HUD may reduce the amount of funds allocated for
field office jurisdictions to fund National CD-TA providers and other
CD-TA providers for activities that cannot be fully budgeted for or
estimated by HUD Headquarters or field offices at the time this NOFA
was published. HUD may also require selected applicants, as a condition
of funding, to provide coverage on a geographically broader basis than
proposed in order to supplement or strengthen the CD-TA network in
terms of the size of the area covered and types and scope of TA
proposed.
If funds remain after all selections have been made, the remaining
funds may be distributed among field offices for Local TA and/or used
for National TA, or made available for other CD-TA program
competitions.
VI. Award Administration Information
A. Award Notices. HUD will send written notifications to both
successful and unsuccessful applicants. A notification sent to a
successful applicant is not an authorization to begin performance.
After selection, HUD requires that all selected applicants
participate in negotiations to determine the specific terms of the
cooperative agreement, including the budget. Costs may be denied or
modified if HUD determines that they are not allowable, allocable, and/
or reasonable. In cases where HUD cannot successfully conclude
negotiations with a selected applicant or a selected applicant fails to
provide HUD with requested information, an award will not be made to
that applicant. In this instance, HUD may offer an award, and proceed
with negotiations with the next highest-ranking applicant.
After selection for funding but prior to executing the cooperative
agreement, the selected applicant must develop in consultation with the
GTR, a Technical Assistance Delivery Plan (TADP) for each National TA
award. The TADP must be approved by the GTR and delineate the tasks for
each CD-TA program the applicant will undertake during the performance
period. For Local TA awards and generally for National TA awards, prior
to undertaking individual tasks, the selected applicant must develop in
consultation with the GTR a Work Plan for specific activities. The TADP
and the Work Plans must specify the location of the proposed CD-TA
activities, the amount of CD-TA funding and proposed activities by
location, the improved program performance or other results expected
from the CD-TA activities, and the methodology to be used for measuring
the success of the CD-TA. A detailed time schedule for delivery of the
activities, budget summary, budget-by-task, and staffing plan must be
included in the TADP and Work Plans.
After selection, but prior to award, applicants selected for
funding will be required to provide HUD with their written Code of
Conduct if they have not previously done so and it is recorded on the
HUD Web site at https://www.hud.gov/offices/adm/grants/codeofconduct/
sconduct.cfm.
B. Administrative and National Policy Requirements. After selection
for funding but prior to award, applicants must submit financial and
administrative information to comply with applicable requirements.
These requirements are found in 24 CFR part 84 for all organizations
except states and local governments whose requirements are found in 24
CFR Part 85. Cost principles requirements are found at OMB Circular A-
122 for nonprofit organizations, OMB Circular A-21 for institutions of
higher education, OMB Circular A-87 for states and local governments,
and at 48 CFR 31.2 for commercial organizations. Applicants must submit
a certification from an Independent Public Accountant or the cognizant
government auditor, stating that the applicant's financial management
system meets prescribed standards for fund control and accountability.
See the General Section for requirements for Procurement of
Recovered Materials.
The requirements to Affirmatively Further Fair Housing do not
apply.
C. Reporting. CD-TA awardees will be required to report to the GTR
on, at a minimum, a quarterly basis unless otherwise specified in the
cooperative agreement. As part of the required report to HUD, grant
recipients must include a completed Logic Model (HUD 96010), which
identifies output and outcome achievements.
VII. Agency Contacts
A. For Assistance. Applicants may contact HUD Headquarters at 202-
708-3176, or they may contact the HUD field office serving their area
shown in Section VII.C. Persons with hearing and speech challenges may
access the above numbers via TTY (text telephone) by calling the
Federal Relay Service at 800-877-8339 (this is a toll-free number).
Information may also be obtained through the HUD website on the
Internet at https://www.hud.gov.
B. List of Field Office Addresses. Applicants that receive a waiver
of the electronic application submission requirements and need to
submit copies of their application to HUD field offices should consult
the following website for a listing of the HUD field office addresses
to send Local TA applications: https://www.hud.gov/offices/cpd/about/
staff/fodirectors/index.cfm.
At the site, the map allows the user to click on an area to obtain
the field office address and other contact information.
VIII. Other Information
A. Paperwork Reduction Act. The information collection requirements
contained in this document have been approved by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995
(44 U.S.C. 3501-3520) and assigned OMB control numbers 2506-0166 and
2506-0133. In accordance with the Paperwork Reduction Act, HUD may not