Notice of HUD's Fiscal Year 2005 Notice of Funding Availability Policy Requirements and General Section to the SuperNOFA for HUD's Discretionary Programs
Federal RegisterMar 21, 2005
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Notice of HUD's Fiscal Year 2005 Notice of Funding Availability Policy
Requirements and General Section to the SuperNOFA for HUD's
Discretionary Programs; Notice
Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 /
Notices
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4950-N-01]
Notice of HUD's Fiscal Year 2005 Notice of Funding Availability
Policy Requirements and General Section to the SuperNOFA for HUD's
Discretionary Programs
AGENCY: Office of the Secretary, HUD.
ACTION: Notice of HUD's fiscal year (FY) 2005 Notice of Funding
Availability (NOFA) policy requirements and general section to the
FY2005 SuperNOFA for HUD's discretionary programs (notice).
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Overview Information
A. Federal Agency Name: Department of Housing and Urban Development
(HUD), Office of the Secretary.
B. Funding Opportunity Title: Policy requirements applicable to all
HUD Federal financial assistance programs issued through a NOFA during
FY2005.
C. Announcement Type: Initial announcement of the general policy
requirements that apply to all HUD federal financial assistance NOFAs
for FY2005 issued simultaneously with or after the publication of this
notice.
D. Funding Opportunity Number: FR 4950-N-01.
E. Catalog of Federal Domestic Assistance (CFDA) Number: A CFDA
number is provided for each HUD federal financial assistance program.
When using ``Apply Step 1'' on the Grants.gov Web site to download an
application you will be asked for the CFDA number. Please refer to the
program NOFA for the CFDA number assigned to the program(s) for which
you wish to apply.
F. Dates: The key dates that apply to all HUD federal financial
assistance made available through HUD's FY2005 NOFAs are found in each
individual program NOFA and Appendix A to this General Section.
G. Optional, Additional Overview Content Information: Unless
otherwise stated, HUD's general policy requirements set forth in this
notice apply to all HUD federal financial assistance made available
through HUD's FY2005 NOFAs. These policies cover those NOFAs issued
through this SuperNOFA as well as those issued after publication of
this SuperNOFA in the Federal Register.
Full Text of Announcement
I. Funding Opportunity Description
This notice provides information regarding HUD's FY2005 policy
requirements applicable to all of HUD's Federal financial assistance
programs announced through NOFAs published along with this notice and
any subsequent NOFA published for FY2005. Each such NOFA will provide a
description of the specific requirements for the program for which
funding is made available and each will refer to applicable policies
contained in this notice. Each program NOFA will also describe
additional procedures and requirements that apply to the individual
program NOFA, including a description of the eligible applicants,
eligible activities, threshold requirements, factors for award, and any
additional program requirement or limitation. To ensure that you are
able to adequately address all of the application requirements for any
program for which you intend to apply, please be sure you carefully
read and respond to both this notice of HUD's NOFA policy requirements
and the individual program NOFAs.
Authority. HUD's authority for making funding available under its
FY2005 programs is identified in each program NOFA under the section
entitled ``Funding Opportunity Description.''
II. Award Information
Funding Available. Each program NOFA will identify the estimated
amount of funds available in FY2005, either as a result of the
enactment of a HUD appropriations act or based upon available
appropriations and any funds from previous years available for award in
FY2005. The FY2005 SuperNOFA contains 53 funding opportunities composed
of programs and program components totaling approximately $2.26
billion. As a service to our customers, Appendix A of this notice
contains a chart of the estimated amount of funds being made available
in HUD's SuperNOFA for FY2005. If HUD recaptures funds in any program,
HUD reserves the right to increase the available funding for the
applicable program by those amounts. Note that additional NOFAs may be
issued separately from the issuance of the FY2005 SuperNOFA.
III. Eligibility Information
A. Eligible Applicants
The individual program NOFAs describe the eligible applicants and
eligible activities for each program.
B. Cost Sharing or Matching
The individual program NOFAs describe the applicable cost sharing,
matching requirements, or leveraging requirements related to each
program, if any.
C. Other Requirements and Procedures Applicable to All Programs
Except as may be modified in the individual program NOFAs in
FY2005, the requirements, procedures, and principles listed below apply
to all programs in FY2005 for which funding is announced via NOFA and
published in the Federal Register. Please read the individual program
NOFAs for additional requirements or information.
1. Statutory and Regulatory Requirements
To be eligible for funding under HUD NOFAs issued during FY2005,
you, the applicant, must meet all statutory and regulatory requirements
applicable to the program or programs for which you seek funding. If
you need copies of the program regulations, they are available from the
NOFA Information Center or through HUD's Grants Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. See the individual
program NOFAs for instructions on how HUD will respond to proposed
activities that are ineligible.
2. Threshold Requirements
a. Ineligible Applicants. HUD will not consider an application from
an ineligible applicant.
b. Dun and Bradstreet Data Universal Numbering System (DUNS) Number
Requirement. Any applicant seeking funding directly from HUD or other
federal agencies must obtain a DUNS number and include the number in
its Application for Federal Assistance submission. Failure to provide
HUD a DUNS number will prevent you from obtaining an award, regardless
of whether it is a new award or renewal of an existing award.
Individuals who personally apply for Federal financial assistance,
apart from any governmental, business, or nonprofit organization they
may represent, are excluded from the requirement to obtain a DUNS
number. This policy is pursuant to the Office of Management and Budget
(OMB) Policy issued in the Federal Register on June 27, 2003 (68 FR
38402). HUD's regulation implementing the DUNS Number requirement for
its programs was issued on an interim basis in the Federal Register on
March 26, 2004 (69 FR 15671) and published as a final rule on November
9, 2004 (69 FR 65024). A copy of the OMB Federal Register notice and
HUD's regulation implementing the DUNS number can be found on HUD's Web
site at http://www.hud.gov/offices/adm/grants/
[[Page 13577]]
duns.cfm. Applications received electronically cannot be submitted
without a DUNS number entry. For applicants that are provided a waiver
to the requirement for electronic submission, failure to provide a DUNS
number with the application submission will be treated as a technical
deficiency to the application. If the DUNS number is not provided
within the cure period (see Section V.B.4, ``Corrections to Deficient
Applications''), the application will not be funded. Also, see Section
IV.F, ``Other Submission Requirements,'' for additional information
regarding the DUNS requirement. The Web site at http://www.grants.gov/
GetStarted provides step-by-step instructions for obtaining a DUNS
number as well as procedures for registering in the Central Contractor
Registry and receiving credentials from the Grants.gov E-Authentication
provider. The registration in the Central Contractor Registry and the
E-Authentication credentials are not necessary for submitting a paper
copy application to HUD; only the DUNS number is required. Central
Contractor Registration is required for submittal of electronic grant
applications through the Grants.gov portal. For FY2005 electronic
submission is mandatory unless the applicant receives a waiver of the
requirement. Procedures for obtaining a waiver are contained in Section
IV, Application and Submission Information, of this General Section.
The Continuum of Care NOFA is the only program in the SuperNOFA
that has retained the paper application process in 2005. Applicants for
the Continuum of Care NOFA should follow the submission and timely
receipt requirements in the Continuum of Care Program Section of the
SuperNOFA.
c. Compliance with Fair Housing and Civil Rights Laws. (1) With the
exception of federally recognized Indian tribes and their
instrumentalities, all applicants must comply with all applicable fair
housing and civil rights requirements in 24 CFR 5.105(a), as
applicable. If you are a federally recognized Indian tribe, you must
comply with the nondiscrimination provisions enumerated at 24 CFR
1000.12, as applicable. In addition to these requirements, there may be
program-specific threshold requirements identified in the individual
program NOFAs.
(2) If you, the applicant:
(a) Have been charged with an ongoing systemic violation of the
Fair Housing Act; or
(b) Are a defendant in a Fair Housing Act lawsuit filed by the
Department of Justice alleging an ongoing pattern or practice of
discrimination; or
(c) Have received a letter of findings identifying ongoing systemic
noncompliance under Title VI of the Civil Rights Act of 1964, Section
504 of the Rehabilitation Act of 1973, or Section 109 of the Housing
and Community Development Act of 1974, and the charge, lawsuit, or
letter of findings referenced in subparagaph (a), (b), or (c) above has
not been resolved to HUD's satisfaction before the application
deadline, then you are ineligible and HUD will not rate and rank your
application. HUD will determine if actions to resolve the charge,
lawsuit, or letter of findings taken prior to the application deadline
are sufficient to resolve the matter.
Examples of actions that would normally be considered sufficient to
resolve the matter include, but are not limited to:
(i) A voluntary compliance agreement signed by all parties in
response to a letter of findings;
(ii) A HUD-approved conciliation agreement signed by all parties;
(iii) A consent order or consent decree; or
(iv) An issuance of a judicial ruling or a HUD Administrative Law
Judge's decision.
d. Conducting Business in Accordance with Core Values and Ethical
Standards. Entities subject to 24 CFR parts 84 and 85 (most nonprofit
organizations and state, local, and tribal governments or government
agencies or instrumentalities that receive federal awards of financial
assistance) are required to develop and maintain a written code of
conduct (see 24 CFR 84.42 and 85.36(b)(3)). Consistent with regulations
governing specific programs, your code of conduct must prohibit real
and apparent conflicts of interest that may arise among officers,
employees, or agents; prohibit the solicitation and acceptance of gifts
or gratuities by your officers, employees, or agents for their personal
benefit in excess of minimal value; and outline administrative and
disciplinary actions available to remedy violations of such standards.
If awarded assistance under a HUD program NOFA announced in FY2005, you
will be required, prior to entering into an agreement with HUD, to
submit a copy of your code of conduct and describe the methods you will
use to ensure that all officers, employees, and agents of your
organization are aware of your code of conduct. Failure to meet the
requirement for a code of conduct will prohibit you from receiving an
award of funds from HUD. If you submitted an application to HUD during
FY2004 that included a code of conduct , and it has been identified by
HUD on its Web site at http://www.hud.gov/grants/index.cfm, and if that
information is still valid, you will not have to resubmit another copy.
However, if your code of conduct is not listed as received on the HUD
Web site, or if the information you submitted has changed (e.g., the
person who submitted the previous application is no longer your
authorized organization representative, the organization has changed
its legal name or merged with another organization, or the address of
the organization has changed, etc.), you must submit your current code
of conduct with your 2005 application for assistance.
e. Delinquent Federal Debts. Consistent with the purpose and intent
of 31 U.S.C. 3720B and 28 U.S.C. 3201(e), no award of federal funds
will be made to an applicant that has an outstanding delinquent federal
debt unless (1) the delinquent account is paid in full, (2) a
negotiated repayment schedule is established and the repayment schedule
is not delinquent, or (3) other arrangements satisfactory to HUD are
made prior to the deadline submission date.
f. Pre-Award Accounting System Surveys. HUD may arrange for a pre-
award survey of the applicant's financial management system in cases
where the recommended applicant has no prior federal support, HUD's
program officials have reason to question whether the applicant's
financial management system meets federal financial management
standards, or the applicant is considered a high risk based upon past
performance or financial management findings. HUD will not disburse
funds to any applicant that does not have a financial management system
that meets federal standards.
g. Name Check Review. Recommended applicants are subject to a name
check review process. Name checks are intended to reveal matters that
significantly reflect on the applicant's management and financial
integrity, or if any key individual has been convicted or is presently
facing criminal charges. If the name check reveals significant adverse
findings that reflect on the business integrity or responsibility of
the applicant or any key individual, HUD reserves the right to (1) deny
funding or consider suspension or termination of an award immediately
for cause, (2) require the removal of any key individual from
association with management or implementation of the award, and (3)
make appropriate provisions or revisions with respect to the method of
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payment or financial reporting requirements.
h. False Statements. A false statement in an application is ground
for denial or termination of an award and grounds for possible
punishment as provided in 18 U.S.C. 1001.
i. Prohibition Against Lobbying Activities. You, the applicant, are
subject to the provisions of Section 319 of Public Law 101-121
(approved October 23, 1989) (31 U.S.C. 1352) (the Byrd Amendment),
which prohibits recipients of federal contracts, grants or loans from
using appropriated funds for lobbying the executive or legislative
branches of the federal government in connection with a specific
contract, grant, or loan. In addition, you must disclose, using
Standard Form LLL, ``Disclosure of Lobbying Activities,'' any funds,
other than federally appropriated funds, that will be or have been used
to influence federal employees, members of Congress, or congressional
staff regarding specific grants or contracts. Federally recognized
Indian tribes and tribally designated housing entities (TDHEs)
established by federally recognized Indian tribes as a result of the
exercise of the tribe's sovereign power are excluded from coverage of
the Byrd Amendment, but state-recognized Indian tribes and TDHEs
established only under state law must comply with this requirement. You
must submit the SF-LLL if you have used or intend to use federal funds
for lobbying activities.
j. Debarment and Suspension. In accordance with 24 CFR part 24, no
award of federal funds may be made to applicants that are presently
debarred or suspended, or proposed to be debarred or suspended, from
doing business with the federal government. This requirement applies to
all lower-tier covered transactions and to all solicitations for lower-
tier covered transactions. The prohibition includes the following:
(1) Having principals who, within the previous three years, have
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (federal, state, or local)
transaction, violation of federal or state anti-trust statutes, or
commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen
property; and
(2) Charges or indictments by a governmental entity (federal,
state, or local) for commission of any of the above violations.
3. Other Threshold Requirements
The individual program NOFAs for which you are applying may specify
other threshold requirements. Additional threshold requirements may be
identified in the discussion of ``eligibility'' requirements in the
individual program NOFAs. If a program NOFA requires a certification of
consistency with the Consolidated Plan and the applicant fails to
provide a certification, and such failure is not cured as a technical
deficiency, HUD will not fund the application. If HUD is provided a
signed certification indicating consistency with the area's approved
Consolidated Plan and HUD finds that the activities are not consistent
with the Consolidated Plan, HUD will not fund the inconsistent
activities or will deny funding the application if a majority of the
activities are not consistent with the approved Consolidated Plan. The
determination not to fund an activity or to deny funding may be
determined by a number of factors including, the number of activities
being proposed, the impact of the elimination of the activities on the
proposal, or the percent of the budget allocated to the proposed
activities.
4. Additional Nondiscrimination and Other Requirements
You, the applicant, and your subrecipients must comply with:
a. Civil Rights Laws, including the Americans with Disabilities Act
of 1990 (42 U.S.C. 1201 et seq.), the Age Discrimination Act of 1974
(42 U.S.C. 6101 et seq.), and Title IX of the Education Amendments Act
of 1972 (20 U.S.C. 1681 et seq.).
b. Affirmatively Furthering Fair Housing. Under Section 808(e)(5)
of the Fair Housing Act, HUD has a statutory duty to affirmatively
further fair housing. HUD requires the same of its funding recipients.
If you are a successful applicant, you will have a duty to
affirmatively further fair housing opportunities for classes protected
under the Fair Housing Act. Protected classes include race, color,
national origin, religion, sex, disability, and familial status. Unless
otherwise instructed in the individual program NOFA, your application
must include specific steps to:
(1) Overcome the effects of impediments to fair housing choice that
were identified in the jurisdiction's Analysis of Impediments (AI) to
Fair Housing Choice;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further, you, the applicant, have a duty to carry out the specific
activities provided in your responses to the individual program NOFA
rating factors that address affirmatively furthering fair housing.
These requirements apply to all HUD programs announced via a NOFA,
unless specifically excluded in the individual program NOFA.
c. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Certain programs to be issued during FY2005 require
recipients of assistance to comply with Section 3 of the Housing and
Urban Development Act of 1968 (Section 3), 12 U.S.C. 1701u (Economic
Opportunities for Low- and Very Low-Income Persons in Connection With
Assisted Projects), and the HUD regulations at 24 CFR part 135,
including the reporting requirements at subpart E. Section 3 requires
recipients to ensure that, to the greatest extent feasible, training,
employment, and other economic opportunities will be directed to low-
and very-low-income persons, particularly those who are recipients of
government assistance for housing, and business concerns that provide
economic opportunities to low- and very low-income persons. Review the
individual program NOFAs to determine if Section 3 applies to the
program for which you are seeking funding.
d. Ensuring the Participation of Small Businesses, Small
Disadvantaged Businesses, and Women-Owned Businesses. HUD is committed
to ensuring that small businesses, small disadvantaged businesses, and
women-owned businesses participate fully in HUD's direct contracting
and in contracting opportunities generated by HUD financial assistance.
Too often, these businesses still experience difficulty accessing
information and successfully bidding on federal contracts. State,
local, and tribal governments are required by 24 CFR 85.36(e) and
nonprofit recipients of assistance (grantees and sub-grantees) by 24
CFR 84.44(b) to take all necessary affirmative steps in contracting for
the purchase of goods or services to assure that minority firms,
women's business enterprises, and labor surplus area firms are used
whenever possible or as specified in the individual program NOFAs.
e. Relocation. The relocation requirements of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970, as amended, and the implementing government-wide regulation at 49
CFR part 24 cover any person who moves permanently from real property
or moves personal property from real
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property directly because of acquisition, rehabilitation, or demolition
for an activity undertaken with HUD assistance. Some HUD program
regulations also cover persons who are temporarily relocated. For
example, 24 CFR 570.606(b)(2)(i)(D)(1), (2), and (3) provide guidance
on temporary relocation for the Community Development Block Grants
(CDBG) program. Applicants should review the regulations for the
programs for which they are applying when planning their project.
f. Executive Order 13166, ``Improving Access to Services for
Persons With Limited English Proficiency (LEP).'' Executive Order 13166
seeks to improve access to federally assisted services, programs, and
benefits for individuals with limited English proficiency. Applicants
obtaining an award from HUD must seek to provide access to program
benefits and information to LEP individuals through translation and
interpretive services in accordance with LEP guidance published on
December 19, 2003 (68 FR 70968). For assistance and information
regarding your LEP obligation, go to http://www.lep.gov.
g. Executive Order 13279, ``Equal Protection of the Laws for Faith-
Based and Community Organizations.'' HUD is committed to full
implementation of Executive Order 13279. The Executive Order
established fundamental principles and policymaking criteria to guide
federal agencies in formulating and developing policies that have
implications for faith-based and community organizations to ensure the
equal protection for these organizations in social services programs
receiving federal financial assistance. Consistent with this order, HUD
has undertaken a review of all policies and regulations that have
implications for faith-based and community organizations and has
established a policy priority to provide full and equal access to
grassroots faith-based and other community-based organizations in HUD
program implementation. On September 30, 2003 (68 FR 56396), HUD issued
a final rule to remove barriers to the participation of faith-based
organizations in eight HUD programs. On March 3, 2004 (69 FR 10126),
HUD published a proposed rule clarifying that the requirements
contained in the September 30, 2003, final rule regarding the equal
participation of faith-based organizations in certain HUD programs also
applied to the State Community Development Block Grant (State CDBG)
Program. On July 9, 2004 (69 FR 41712), HUD issued a final rule that
extended the provisions of the equal treatment of faith-based
organizations to all HUD programs. Copies of the regulatory changes can
be found at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
h. Accessible Technology. Section 508 of the Rehabilitation Act
(Section 508) requires HUD and other federal departments and agencies
to ensure, when developing, procuring, maintaining or using electronic
and information technology (EIT), that the EIT allow, regardless of the
type of medium of technology, persons with disabilities access to and
use of information and data on a comparable basis as is made available
to and used by persons without disabilities. Section 508's coverage
includes, but is not limited to, computers (hardware, software, word-
processing, e-mail, and web pages), facsimile machines, copiers, and
telephones. Among other things, Section 508 requires that unless an
undue burden would result to the federal department or agency,
electronic and information technology allow individuals with
disabilities who are employees or members of the public seeking
information or services, to have access to and use of information and
data that is comparable to that of employees and members of the public
who are not disabled. Where an undue burden exists to the federal
department or agency, alternative means may be used to allow a disabled
individual use of the information and data. Section 508 does not
require that information services be provided at any location other
than a location at which the information services are generally
provided. HUD encourages its funding recipients to adopt the goals and
objectives of the Section 508 by ensuring, whenever EIT is used,
procured, or developed, that persons with disabilities have access to
and use of the information and data made available through the EIT on a
comparable basis as is made available to and used by persons without
disabilities. This does not affect recipients required compliance with
Section 504 of the Rehabilitation Act and, where applicable, the
American with Disabilities Act.
i. Procurement of Recovered Materials. State agencies and agencies
of a political subdivision of a state that are using assistance under a
HUD program NOFA for procurement, and any person contracting with such
an agency with respect to work performed under an assisted contract,
must comply with the requirements of Section 6002 of the Solid Waste
Disposal Act, as amended by the Resource Conservation and Recovery Act.
In accordance with Section 6002, these agencies and persons must
procure items designated in guidelines of the Environmental Protection
Agency (EPA) at 40 CFR part 247 that contain the highest percentage of
recovered materials practicable, consistent with maintaining a
satisfactory level of competition, where the purchase price of the item
exceeds $10,000 or the value of the quantity acquired in the preceding
fiscal year exceeded $10,000; must procure solid waste management
services in a manner that maximizes energy and resource recovery and
must have established an affirmative procurement program for
procurement of recovered materials identified in the EPA guidelines.
j. Participation in HUD-Sponsored Program Evaluation. As a
condition of the receipt of financial assistance under a HUD program
NOFA, all successful applicants will be required to cooperate with all
HUD staff or contractors performing HUD-funded research or evaluation
studies.
k. Executive Order 13202, ``Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects.'' Compliance
with HUD regulations at 24 CFR 5.108 that implement Executive Order
13202 is a condition of receipt of assistance under a HUD program NOFA.
l. Salary Limitation for Consultants. FY2005 funds may not be used
to pay or to provide reimbursement for payment of the salary of a
consultant whether retained by the federal government or the grantee at
more than the daily equivalent of the rate paid for level IV of the
Executive Schedule, unless specifically authorized by law.
m. OMB Circulars and Government-wide Regulations Applicable to
Financial Assistance Programs. Certain OMB Circulars also apply to HUD
programs in this SuperNOFA. The policies, guidance, and requirements of
OMB Circulars A-87 (Cost Principles Applicable to Grants, Contracts and
Other Agreements with State and Local Governments), A-21 (Cost
Principles for Education Institutions), A-122 (Cost Principles for
Nonprofit Organizations), A-133 (Audits of States, Local Governments,
and Non-Profit Organizations), and the regulations at 24 CFR part 84
(Grants and Agreements with Institutions of Higher Education,
Hospitals, and other Non-Profit Organizations), and 24 CFR part 85
(Administrative Requirements for Grants and Cooperative Agreements to
State, Local, and Federally Recognized Indian Tribal Governments), may
apply
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to the award, acceptance, and use of assistance under the individual
program NOFAs of this SuperNOFA, and to the remedies for noncompliance,
except when inconsistent with the provisions of HUD's appropriations
act for 2005, other federal statutes or regulations, or the provisions
of this SuperNOFA notice. Compliance with additional OMB Circulars or
government-wide regulations may be specified for a particular program
in the Program Section of the Super NOFA. Copies of the OMB Circulars
may be obtained from EOP Publications, Room 2200, New Executive Office
Building, Washington, DC 20503, telephone (202) 395-3080 (this is not a
toll-free number) or (800) 877-8339 (toll-free TTY Federal Information
Relay Service) or from the Web site at http://www.whitehouse.gov/omb/
circulars/index.html.
n. Environmental Requirements. If you become a recipient under one
of HUD's programs that assist physical development activities or
property acquisition, you are generally prohibited from acquiring,
rehabilitating, converting, demolishing, leasing, repairing, or
constructing property or committing or expending HUD or non-HUD funds
for these types of program activities, until one of the following has
occurred:
(1) HUD has completed an environmental review in accordance with 24
CFR part 50; or
(2) For programs subject to 24 CFR part 58, HUD has approved a
recipient's Request for Release of Funds (Form HUD-7015.15) following a
Responsible Entity's completion of an environmental review.
You, the applicant, should consult the individual program NOFA for
any program for which you are interested in applying to determine the
procedures for, timing of, and any exclusions from environmental review
under a particular program. For applicants applying for funding under
the Section 202 Supportive Housing for the Elderly program or Section
811 Supportive Housing for Persons with Disabilities program, please
note the environmental review requirements for these programs.
o. Conflicts of Interest. If you are a consultant or expert who is
assisting HUD in rating and ranking applicants for funding under this
SuperNOFA or future NOFAs published in FY2005, you are subject to 18
U.S.C. 208, the federal criminal conflict of interest statute, and the
Standards of Ethical Conduct for Employees of the Executive Branch
regulation published at 5 CFR part 2635. As a result, if you have
assisted or plan to assist applicants with preparing applications for
programs in this SuperNOFA or NOFAs published in FY2005, you may not
serve on a selection panel and you may not serve as a technical advisor
to HUD. All individuals involved in rating and ranking HUD FY2005 NOFAs
either published simultaneously with this notice or after the
publication of this notice, including experts and consultants, must
avoid conflicts of interest or the appearance of conflicts. Individuals
involved in the rating and ranking of applications must disclose to
HUD's General Counsel or HUD's Ethics Law Division the following
information, if applicable: how the selection or non-selection of any
applicant under this FY2005 Super NOFA will affect the individual's
financial interests, as provided in 18 U.S.C. 208, or how the
application process involves a party with whom the individual has a
covered relationship under 5 CFR 2635.502. The individual must disclose
this information prior to participating in any matter regarding a
FY2005 NOFA. If you have questions regarding these provisions or if you
have questions concerning a conflict of interest, you may call the
Office of General Counsel, Ethics Law Division, at (202) 708-3815 (this
is not a toll-free number).
p. Drug-Free Workplace. If you receive an award of funds from HUD,
you are required to provide a drug-free workplace. Compliance with this
requirement means that you will:
(1) Publish a statement notifying employees that it is unlawful to
manufacture, distribute, dispense, possess, or use a controlled
substance in the applicant's workplace and that such activities are
prohibited. The statement must specify the actions that will be taken
against employees for violation of this prohibition. The statement must
also notify employees that as a condition of employment under the
federal award that they are required to abide by the terms of the
statement and that each employee must agree to notify the employer in
writing of any violation of a criminal drug statute occurring in the
workplace no later than five calendar days after such violation;
(2) Establish an ongoing drug-free awareness program to inform
employees about:
(a) The dangers of drug abuse in the workplace;
(b) The applicant's policy of maintaining a drug-free workplace;
(c) Any available drug counseling, rehabilitation, or employee
maintenance programs; and
(d) The penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace;
(3) Notify the federal agency in writing within 10 calendar days
after receiving notice from an employee of a drug abuse conviction or
otherwise receiving actual notice of a drug abuse conviction. The
notification must be provided in writing to HUD's Office of
Departmental Grants Management and Oversight, Department of Housing and
Urban Development, 451 Seventh Street, SW., Room 3156, Washington DC
20410-3000, along with the following information:
(a) The program title and award number for each HUD award covered;
(b) The HUD staff contact name, phone, and fax numbers; and
(c) A grantee contact name, phone, and fax numbers; and
(4) Require that each employee engaged in the performance of the
federally funded award be given a copy of the drug-free workplace
statement required in item (1) and notify the employee that one of the
following actions will be taken against the employee within 30 calendar
days of receiving notice of any drug abuse conviction:
(a) Institution of a personnel action against the employee, up to
and including termination consistent with requirements of the
Rehabilitation Act of 1973, as amended; or
(b) Requiring that the employee participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a federal, state, or local health, law enforcement, or
other appropriate agency.
q. Safeguarding Resident/Client Files. In maintaining resident and
client files, HUD funding recipients shall observe state and local laws
concerning the disclosure of records that pertain to individuals.
Further, recipients are required to adopt and take reasonable measures
to ensure that resident and client files are safeguarded.
IV. Application and Submission Information
A. Addresses To Request Application Package
This section describes how you may obtain application forms,
additional information about the HUD program NOFAs, and technical
assistance. Copies of the published NOFAs and application forms for HUD
programs announced through NOFA may be downloaded from the grants.gov
Web site at http://www.grants.gov/FIND and choose from links provided
under the topic ``Search Grant Opportunities'', which allows you to do
a basic search or to browse by category or agency. If you have
difficulty accessing the
[[Page 13581]]
information, you may receive customer support from Grants.gov by
calling its help line at (800) 518-GRANTS or sending an e-mail to
[email protected]. The operators will assist you in accessing the
information. If you do not have Internet access and you need to obtain
a copy of the NOFA, you can contact HUD's NOFA Information Center toll-
free at (800) HUD-8929. Persons with hearing or speech impairments may
also call toll-free at (800) HUD-2209.
1. Application Kits
There are no application kits for HUD programs. All the information
you need to apply will be in the NOFA and available at http://
www.grants.gov/Apply. In response to concerns about the length of time
it takes for the publication and dissemination of application kits, HUD
has made an effort to improve the readability of its NOFAs and publish
all required forms and formats for application submission in the
Federal Register. The NOFAs and forms are available to be downloaded
from http://www.grants.gov/Apply, click on Apply Step 1. Please pay
attention to the submission requirements and format for submission
specified in each program NOFA to ensure that you have submitted all
required elements of your application.
The published Federal Register document is the official document
that HUD uses to solicit applications. Therefore, if there is a
discrepancy between any materials published by HUD in its Federal
Register publications and other information provided in paper copy,
electronic copy, or at www.grants.gov, the Federal Register publication
prevails. Please be sure to review your application submission against
the requirements in the Federal Register file of the program NOFA or
NOFAs to which you are responding by application. The instructions
incorporated into the application found on Grants.gov/Apply contain the
PDF files of the Federal Register publication. By accessing the
information from the Internet at Grants.gov you will not have to wait
for copies of the NOFAs or forms to begin to prepare your application
for funding. HUD is continuing to streamline programs and application
submission requirements and encourages the applicant community to offer
additional suggestions.
2. Guidebook and Further Information
A guidebook to HUD programs entitled, ``Connecting with
Communities: A User's Guide to HUD Programs and the FY2005 NOFA
Process,'' is available from the HUD NOFA Information Center and the
HUD Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
The guidebook provides a brief description of all HUD programs,
identifies eligible applicants for the programs, and provides examples
of how programs can work in combination to serve local community needs.
You can also get a copy from the NOFA Information Center at (800) HUD-
8929, or for the hearing impaired, (800) HUD-2209 (TTY) (these are
toll-free numbers). The NOFA Information Center is open between the
hours of 10 a.m. to 6:30 p.m. Eastern time, Monday through Friday,
except on federal holidays.
3. For Technical Assistance
Before the application submission date, HUD staff will be available
to provide you with general guidance and technical assistance about
this notice or about individual program NOFAs. However, HUD staff is
not permitted to assist in preparing your application. Following
selection of applicants, but before announcement of awards are made,
HUD staff is available to assist in clarifying or confirming
information that is a prerequisite to the offer of an award or Annual
Contributions Contract (ACC) by HUD. For technical support for
downloading an application or submitting an application, please call
Grants.gov Customer Support at (800) 518-GRANTS (this is a toll-free
number) or e-mail [email protected].
4. SuperNOFA Webcasts
HUD provides technical assistance and training on its programs made
available through a notice of funding availability. The NOFA broadcasts
are interactive and allow potential applicants to obtain a better
understanding of the threshold, program, and application submission
requirements for FY2005 funding. Participation in this training
opportunity is free of charge and can be accessed via HUD's Web site at
http://www.hud.gov/offices/adm/grants/fundsavail.cfm. The SuperNOFA web
cast schedule can also be found via HUD's Web site at http://
www.hud.gov/webcasts/index.cfm.
B. Content and Form of Application Submission
Be sure to read and follow the application submission requirements
published in each individual program NOFA to which you are responding
by application.
1. Forms
Each program NOFA will identify all the required forms for
submission. HUD's standard forms are identified below:
a. Application for Federal Assistance (SF-424);
b. Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement);
c. Grant Application Detailed Budget (HUD-424-CB);
d. Grant Application Detailed Budget Worksheet (HUD-424-CBW);
e. Disclosure of Lobbying Activities (SF-LLL);
f. Applicant/Recipient Disclosure/Update Report (HUD-2880);
g. Certification of Consistency with RC/EZ/EC-II Strategic Plan
(HUD-2990), if applicable;
h. Certification of Consistency with the Consolidated Plan (HUD-
2991), if applicable;
i. Acknowledgment of Application Receipt (HUD-2993);
j. Client Comments and Suggestions (HUD 2994) (Optional);
k. Program Outcome Logic Model (HUD-96010);
l. Race and Ethnic Data Reporting Form (HUD-27061);
m. America's Affordable Communities Initiative (HUD-27300), if
applicable; and
n. Facsimile Transmittal (HUD-96011).
Copies of these forms are included in Appendix B to this General
Section. Any additional program form required to be submitted to meet
specific program requirements is included with each program NOFA. The
electronic version of each NOFA contains all forms required for
submission.
2. Certifications and Assurances
The form SF-424-B, Assurances and Certifications, is no longer
required as a separate submission. However, applicants are placed on
notice that by signing the SF-424 cover page:
a. The governing body of the applicant's organization has duly
authorized the application for federal assistance. In addition, by
signing or electronically submitting the application, the Authorized
Organization Representative (AOR) certifies that the applicant:
(1) Has the legal authority to apply for federal assistance and the
institutional, managerial, and financial capacity (including funds to
pay for any non-federal share of program costs) to plan, manage, and
complete the program as described in the application; will provide HUD
any additional information it may require; and
[[Page 13582]]
(2) Will administer the award in compliance with requirements
identified and contained in the NOFA as applicable to the program for
which funds are awarded and in accordance with requirements applicable
to the program.
b. No appropriated federal funds have been paid or will be paid, by
or on behalf of the applicant, to any person for influencing or
attempting to influence an officer or employee of any agency, a Member
of Congress, or an employee of a Member of Congress, in connection with
this application for federal assistance or any award of funds resulting
from the submission of this application for federal assistance or its
extension, renewal, amendment, or modification. If funds other than
federal appropriated funds have been or will be paid for influencing or
attempting to influence the persons listed above, the applicant agrees
to complete and submit Standard Form LLL, Disclosure Form to Report
Lobbying, as part of its applications submission package. The applicant
further agrees to and certifies that it will require all subawards at
all tiers including subgrants and contracts to similarly certify and
disclose accordingly.
c. Federally recognized Indian tribes and tribally designated
housing entities (TDHEs) established by a federally recognized Indian
tribe as a result of the exercise of the tribe's sovereign power are
excluded from coverage by item b. (also known as the Byrd Amendment).
However, state-recognized Indian tribes and TDHEs established under
state law are not excluded from the statute's coverage and therefore
agree to, and must comply with item b. above.
By submitting an application, the applicant affirms its awareness
of these certifications and assurances. Applicants are also affirming
that these Certifications and Assurances are material representations
of the facts upon which HUD will rely when making an award to the
applicant. If it is later determined that the applicant knowingly made
a false certification or assurance, the applicant may be subject to
criminal prosecution, and HUD may terminate the award or pursue other
available remedies.
C. Submission Dates and Times
Applications submitted through Grants.gov must be received by
Grants.gov no later than 11:59:59 p.m. eastern time on the application
submission date. Applicants receiving a waiver of the electronic
submission requirement must submit their application to the United
States Postal Service no later than 11:59:59 p.m. on the application
submission date. Appendix A also provides a funding chart that
identifies the programs in HUD's SuperNOFA along with the application
submission dates.
D. Intergovernmental Review
Executive Order 12372, ``Intergovernmental Review of Federal
Programs,'' was issued to foster intergovernmental partnership and
strengthen federalism by relying on state and local processes for the
coordination and review of federal financial assistance and direct
federal development. HUD implementing regulations are published at 24
CFR part 52. The order allows each state to designate an entity to
perform a state review function. The official listing of State Points
of Contact (SPOC) for this review process can be found at http://www.whitehouse.gov/omb/grants/spoc.html. States not listed on the Web
site have chosen not to participate in the intergovernmental review
process and, therefore, do not have a SPOC. If your state has a SPOC,
you should contact the SPOC to see if it is interested in reviewing
your application prior to submission to HUD.
Please make sure that you allow ample time for this review process
when developing and submitting your applications. If your state does
not have a SPOC, you can submit your application directly to HUD using
Grants.gov for electronic applications or, if you receive a waiver of
the electronic application submission requirement, you can submit your
application to HUD following the directions for the number of copies
and locations for submission found in Appendix C of this General
Section.
E. Funding Restrictions
The individual program NOFAs will describe any funding restrictions
that apply to each program.
F. Other Submission Requirements
Application Submission and Receipt Procedures. This section
provides the application submission and receipt instructions for HUD
program applications. Please read the following instructions carefully
and completely, as failure to comply with these procedures may
disqualify your application.
1. Electronic Delivery. Beginning in FY2005, HUD requires
applicants to submit their applications electronically through
Grants.gov, unless a waiver is granted.
2. The following describes what to expect when you go to apply
online using Grants.gov:
a. Get Started (http://www.grants.gov/GetStarted). Once on the
site, you will find six ``Get Started'' step-by-step instructions that
will enable you to apply for HUD funds. Applicants should read the Get
Started steps carefully. The site also contains four checklists under
the topic ``Registration Checklists'' to help you walk through the
process. HUD recommends that you download the checklists and prepare
the information requested before beginning the registration process.
Reviewing information required and assembling it before beginning the
registration process will save you time and make the process faster and
smoother.
b. DUNS Requirement. All applicants applying for funding, including
renewal funding, must have a Dun and Bradstreet Universal Data
Numbering System (DUNS) number. The DUNS number must be included in the
data entry field labeled ``Organizational Duns'' on the form SF-424.
Instructions for obtaining a DUNS number can be found at either of the
following Web sites: http://www.hud.gov/offices/adm/grants/duns.cfm or
Step 3 at http://www.grants.gov/GetStarted.
c. Central Contractor Registry and Credential Provider
Registration. In addition to having a DUNS number, applicants applying
electronically through Grants.gov must register with the Federal
Central Contractor Registry and with the credential provider for E-
Authentication. The Grants.gov Web site at www.grants.gov/GetStarted,
Step 3, provides instructions for registering in the Central Contractor
Registry and, at Step 4, for registering with the credential provider.
All applicants filing electronically must have a DUNS number before
registering with the Central Contractor Registry (CCR) and receive
credentials from the Grants.gov credential provider in order to apply
online. Failure to register with the CCR and credential provider will
result in your application being rejected by the Grants.gov portal.
The registration process is a separate process from submitting an
application. Applicants are encouraged to register early. The
registration process can take approximately two weeks to be completed.
Therefore, registration should be done in sufficient time to ensure
that it does not impair your ability to meet required submission
deadlines. You will be able to submit your application online anytime
after you receive your E-Authentication credentials.
d. Electronic Signature. Applications submitted through Grants.gov
constitute electronically signed applications. The registration and E-
Authentication
[[Page 13583]]
process establishes the Authorized Organization Representative (AOR).
When you submit the application through Grants.gov, the name of your
authorized organization representative on file will be inserted into
the signature line of the application. Applicants must register the
individual who is able to make legally binding commitments for the
applicant organization as the Authorized Organization Representative
(AOR).
3. Instructions on How To Submit an Electronic Application to HUD via
www.grants.gov/Apply
a. Applying using Grants.gov. Grants.gov has a full set of
instructions on how to complete a grant application on its website at
www.grants.gov/CompleteApplication. Applicants are encouraged to read
through the ``Complete Application Package'' website. The site contains
a multimedia demonstration that guides you through the process of
completing an application package. The training demonstration is also
available in text. Grants.gov allows applicants to download the
application package, instructions, and forms that are incorporated in
the instructions, and work offline. In addition to forms that are part
of the application instructions, there will be a series of electronic
forms that are provided utilizing a PureEdgeTM reader. The
PureEdgeTM Reader is available free for download from Step 2
of www.grants.gov/Get Started. The PureEdgeTM Reader allows
applicants to read the electronic files in a form format so that they
will look like any other Standard or HUD form. The
PureEdgeTM forms have content-sensitive help. To use this
feature, click on the icon that features an arrow with a question mark
at the top of the page. This engages the content-sensitive help for
each field on the electronic form. The PureEdgeTM forms can
be downloaded and saved on your hard drive, network drive(s), or CDs.
Because of the size of the application, HUD recommends downloading the
application to your computer hard drive.
The instructions include the General and Program sections of the
Federal Register publication of the NOFA and any required form that has
not been converted to a PureEdgeTM form. Each program NOFA
also includes a checklist. Please review the checklist in the program
section to ensure that your application contains all the required
materials.
MacIntosh users will need to use the Virtual PC emulator software,
which allows PC software to run on MacIntosh platforms. More
information on PureEdgeTM Support for MacIntosh Users is
available at www.grants.gov/CompleteApplication#, located under the
topic Tips and Tools.
b. Mandatory Fields on PureEdgeTM Forms. In the
PureEdgeTM forms you will find fields with a yellow
background. These data fields are considered mandatory and must be
completed.
c. Completion of SF-424 Fields First. The PureEdgeTM
forms are designed to fill in common data such as the applicant name
and address, DUNS number, etc., on all PureEdgeTM electronic
forms. In order to trigger this function, the Standard Form 424 (SF-
424) must be completed first. Once you complete the SF-424 the
information will transfer to the other forms.
d. Submission of Narrative Statements, Third Party Letters, and
Certifications. In addition to forms, many of the NOFAs require the
submission of other documentation such as third party letters,
certifications, or program narrative statements. This section discusses
how you should submit this additional information electronically as
part of your application:
(1) Narrative Statements to the Factors for Award. If you are
required to submit narrative statements, you should submit them as an
electronic file in Microsoft Word (version 9 or earlier) or in Portable
Document Format (PDF) that is compatible with AdobeTM Reader
version 6.0 or earlier. Each response to a Factor for Award should be
developed as a separate file labeled with the appropriate factor name,
e.g., Factor 1 Capacity, and submitted as part of your electronic
application. Documents that you possess in electronic format, e.g.,
narratives you have written, or graphic images (such as Computer Aided
Design (CAD)) files from an architect), should be attached using the
``Attachments'' form included in the application package you downloaded
from Grants.gov. In order to reduce the size of your attachments, all
or several files can be compressed using a zip utility. The zipped file
can then be attached as described above.
(2) Third Party Letters, Certifications Requiring Signatures, and
Other Documentation. The following two options apply to applicants
required to submit documentation from organizations providing matching
or leveraging funds; documentation of 501(c)(3) status or incorporation
papers; documents that support the need for the program; memoranda of
understanding (MOUs); or documentation to support your organization's
claims regarding work that has been done to remove regulatory barriers
to affordable housing:
(a) Scanning Documents To Create Electronic Files. Third party
documentation can be scanned and saved as separate electronic files.
Electronic files must be labeled so that the reader will know what the
file contains. All scanned files should be placed together in a zipped
folder and attached to the application package following the directions
in paragraph d.(1), above; or
(b) Faxing Required Documentation. Applicants that do not have
scanning equipment available may submit the required documentation to
HUD via facsimile (fax). The fax method may be used only to submit
attachments that are part of your electronic application. HUD will not
accept entire applications via fax. Applications submitted entirely via
fax will be disqualified. Facsimiles submitted in response to a NOFA
must use the form HUD-96011 cover page downloaded as with the
application found on Grants.gov. Facsimiles received that do not meet
the facsimile requirements contained in this General Section will not
be accepted for review.
To submit documents using the facsimile method, applicants must use
form HUD-96011, Facsimile Transmittal, which is a cover page for the
faxed materials. The form HUD-96011 is an electronic form and is part
of the downloaded application. Each downloaded application contains an
embedded unique identifier that will be used to assist HUD in
associating an item transmitted by facsimile to its electronic
application submission. If you have downloaded an application package
from Grants.gov, be sure to save it to your system, complete the SF-
424, and then provide copies of the facsimile transmittal cover page to
all parties that need to use it to submit information pertaining to
your application. Do not download the same application package from
Grants.gov more than once. Each time the package is downloaded, the
forms are given a unique ID number. To ensure that all the forms in
your package contain the same unique ID number, after downloading your
application complete the SF-424 save the forms to your hard drive, and
use the saved forms to create your application. If you have to provide
a copy of the form HUD-96011 to another party that will be responsible
for faxing an item as part of your application, make a copy of the
facsimile transmittal cover page from your downloaded application and
provide that copy to the third party for use with the fax transmission.
Please instruct other parties to use the HUD form you have
[[Page 13584]]
provided when submitting information related to your application using
the facsimile method. Applicants must fax their information, using the
HUD-96011 facsimile transmittal cover page, to the following fax
number: (800) HUD-1010. Each document must be faxed as a separate
submission to avoid fax transmission problems. When faxing several
documents, applicants must use the Form HUD-96011 as the cover for each
document (e.g., Letter of Matching or Leveraging funds, Memorandum of
Understanding, Certification of Consistency with the Consolidated Plan,
etc.).
Your facsimile machine should provide you with a record of whether
your transmission was received by HUD. If you get a negative response
or a transmission error, you should resubmit the document until you
confirm that HUD has received your transmission. HUD will not
acknowledge that a facsimile was received successfully. HUD will
electronically receive the facsimile, read it with an optical character
reader, and attach it to the application submitted through Grants.gov.
The facsimile transmissions may be sent at any time before the
application submission date. All faxed materials must be received no
later than 11:59:59 p.m. eastern time on the application submission
date. HUD will store the information and attach it to the electronic
application when HUD receives it from Grants.gov.
(c) Submissions Using Other File Formats. If you are required to
submit files in other formats such as CAD files of architectural
drawings and blueprints, or pictures, you should attach these as
electronic files in PDF format that is compatible with
AdobeTM Reader version 6.0 or earlier. The files should be
part of the zipped folder that is attached and submitted with your
application transmission.
e. Customer Support. The grants.gov Web site provides customer
support via (800) 518-GRANTS (this is a toll-free number) or through
email at [email protected]. The customer support center is open from 7
a.m. to 9 p.m. eastern time, Monday through Friday, except federal
holidays, to address grants.gov technology issues. For technical
assistance to program related questions, contact the number listed in
Section VII Agency Contact in the program NOFA you are applying for.
4. Waiver of Electronic Submission Requirement
During FY2005, HUD will accept electronic applications only, and
they must be submitted through the Grants.gov portal, unless the
applicant has received a waiver from the Department. As already noted,
the Continuum of Care NOFA is the only program excepted from this
electronic submission requirement. Applications to the Continuum of
Care may be submitted by hard copy, as discussed below. HUD regulations
at 24 CFR 5.110 permit waivers of regulatory requirements to be granted
for cause. If you are unable to submit your application electronically,
you may request a waiver from this requirement. If you are seeking
funding under several HUD programs, you must submit a separate waiver
request for each program from which you are seeking funding. Your
waiver request must be in writing and state the basis for the request
and explain why electronic submission is not possible. The basis for
waivers for cause may include but are not limited to (a) lack of
available Internet access in the geographic location in which the
applicant's business office is located or (b) physical disability of
the applicant that prevents the applicant from accessing or responding
to the application electronically.
The waiver request should also include an email or name and mailing
address where responses can be directed. You must submit waiver
requests to the appropriate assistant secretary responsible for the
program from which you are seeking funding. Waiver requests will be
accepted beginning on the date of publication of the NOFA and no later
than 30 days prior to the application submission date. HUD will not
consider a waiver request that does not conform to the above
requirement. A list of HUD assistant secretaries with waiver authority,
and their related programs, can be found in Appendix C of this General
Section. To avoid a delay in the process, waiver requests should be
sent by United States Postal Service Express Mail. You, the applicant,
should retain a receipt for the mailing showing the date submitted to
the Postal Service. HUD will acknowledge receipt of the waiver request
by e-mail, if an e-mail address is provided, or by United States Postal
Service Express Mail or other available means. HUD will not make
determinations or respond to waiver requests via the telephone. Each
waiver request will be reviewed and a determination made. HUD will
inform the applicant, whether or not the waiver has been granted. In
the event a waiver is granted, the submission date for mailed
applications will be the same as the electronic application submission
receipt date. Applicants receiving a waiver will be expected to follow
the submission instructions immediately following.
a. Submission Instructions for Applicants Receiving a Waiver of
Electronic Submission. Applicants receiving a waiver of the electronic
submission requirements must submit their complete applications in
paper copy as follows:
(1) Submission Using the United States Postal Service. Beginning in
FY2005, HUD will no longer accept hand deliveries of applications.
Applicants who receive a waiver and are therefore allowed to submit
paper applications must submit them via the United States Postal
Service using either Express Mail or regular mailing services.
(2) Submission Requirements for Specified Number of Copies of Paper
Applications to HUD Headquarters and Field Offices.
(a) When the program NOFA requires that an original and a specified
number of copies be submitted to HUD Headquarters and field offices,
and HUD receives at least one complete application at either location,
HUD will utilize the complete application for its review purposes,
provided it meets the deadline date and timely submission requirements.
(b) Where the program NOFA requires that an application be
submitted to only one HUD location, the paper copy application will be
considered late if:
(i) HUD does not receive the application at the office designated
for receipt of the application; or
(ii) HUD does not receive the application in accordance with the
requirements for timely submission.
(c) When the program NOFA requires that applications be submitted
to more than one HUD office (Headquarters or field), and each
application is unique to the designated location, HUD will consider the
application late if:
(i) HUD does not receiving the application at each office
designated for receipt of the application as indicated in the program
NOFA; or
(ii) HUD does not receive the application in accordance with the
requirements for timely submission.
(d) When submitting a paper copy application, please be sure to
submit the required number of copies to the locations specified in the
program NOFA. For some programs, failure to submit the required number
of copies will disqualify your application. Please be sure to include
on the submittal envelope the title of the Program (and Component Name
if applicable to the Program) under which you are seeking funding.
[[Page 13585]]
5. Timely Receipt Requirements and Proof of Timely Submission
a. Electronic Submission. All applications must be received by
Grants.gov by 11:59:59 p.m. eastern time on the application submission
date established for each program NOFA.
Proof of timely submission is automatically recorded by Grants.gov.
An electronic time stamp is generated within the system when the
application has been successfully received. The applicant will receive
an acknowledgement of receipt and a tracking number from Grants.gov
with the successful transmission of its application. Applicants should
print this receipt and save it, along with facsimile receipts for
information provided by facsimile, as proof of timely submission. When
HUD successfully retrieves the application from Grants.gov, HUD will
provide an electronic acknowledgment of receipt to the e- mail address
provided on the SF-424. Your time of submission will be the date and
time that Grants.gov receives your application submittal and the date
HUD receives those portions of your application submitted by facsimile.
All facsimile transmissions must be received by the application
submission date and time.
Applications received by Grants.gov after the established
submission deadline for the program will be considered late and will
not be considered for funding by HUD. Similarly, applications will be
considered late if information submitted by facsimile as part of the
application has not received by HUD by the established submission
deadline. Please take into account the transmission time required for
submitting your application via the Internet and the time required to
fax any related documents. HUD suggests that applicants submit their
applications during the operating hours of the Grants.gov Support Desk
so that if there are questions concerning transmission, operators will
be available to assist you through the process. Submitting your
application during the Support Desk hours will also ensure that you
have sufficient time for the application to complete its transmission
prior to the application deadline.
Applicants using dial-up connections should be aware that
transmission takes extra time before Grants.gov receives it. Grants.gov
will provide either an error or a successfully received transmission
message. The Grants.gov Support Desk reports that some applicants abort
the transmission because they think that nothing is occurring during
the transmission process. Please be patient and give the system time to
process the application. Uploading and transmitting a large file,
particularly electronic forms with associated eXtensible mark-up
language (XML) schema, will take considerable time to process and be
received by Grants.gov.
b. Applications Receiving Waivers To Submit a Paper Copy
Application. Applicants granted a waiver to the electronic submission
requirement must use the United States Postal Service (USPS) to submit
their applications to HUD. Applicants must take their application to a
post office to get a receipt of mailing that provides the date and time
the package was submitted to the USPS. USPS rules now require that
large packages must be brought to a postal facility for mailing. In
many areas, the USPS has made a practice of returning to the sender,
large packages that have been dropped in a mail collection box. Paper
copy applications submitted to the USPS by the submission date and time
and received by HUD no later than 15 days after the established
submission date will receive funding consideration. If the USPS does
not have a receipt with a digital time stamp, HUD will accept a receipt
showing USPS Form 3817, Certificate of Mailing with a dated postmark.
The proof of submission receipt provided by the Postal Service must
show receipt no later than the application submission deadline.
Applicants whose applications are determined to be late, who cannot
furnish HUD with a receipt from the USPS that verifies the package was
submitted to the USPS prior to the submission due date and time will
not receive funding consideration. 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 submission requirements.
c. Late applications, whether received electronically or in hard
copy, will not receive funding consideration. HUD will not be
responsible for directing or forwarding applications to the appropriate
location. Applicants should pay close attention to these submission and
timely receipt instructions, as they can make a difference in whether
HUD will accept your application for funding consideration.
d. HUD will not accept fax transmissions from applicants who
receive a waiver to submit a paper copy application. Paper applications
must be complete and submitted in their entirety, via the USPS.
Applicants need to pay attention to providing the required number of
copies to the appropriate HUD office(s).
6. Continuum of Care Application Submission
For FY2005, Continuum of Care applications will continue to be
received in paper format. Please see the Continuum of Care program
section of the SuperNOFA for application submission and timely receipt
requirements that apply only to the Continuum of Care applications.
V. Application Review Information
A. Criteria
1. Factors for Award Used To Evaluate and Rate Applications
For each program NOFA, the points awarded for the rating factors
total 100. Depending upon the program for which you, the applicant, are
seeking funding, the funding opportunity may provide up to four bonus
points as provided below:
a. RC/EZ/EC-II. HUD FY2005 NOFAs provide 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 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 ease of reference in this notice, all of the
federally designated areas are collectively referred to as ``RC/EZ/EC-
IIs'' and residents of any of these federally designated areas as ``RC/
EZ/EC-II residents.'' The individual funding announcements will
indicate if the bonus points are available under the program. This
notice contains a certification that must be completed for the
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 http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Applicants can determine
if their program or project activities are located in one of these
designated areas by using the locator on HUD's Web site at http://
www.hud.gov/crlocator.
b. Brownfields Showcase Communities. In the Brownfields Economic
Development Initiative (BEDI) competition, two bonus points are
available for federally designated Brownfields Showcase Communities.
(Please see the FY2005 BEDI program NOFA for additional information.)
The designation of Brownfields Showcase Communities is a federal agency
initiative sponsored by 20 federal agencies, including HUD. A list of
the
[[Page 13586]]
federally designated Brownfields Showcase Communities is available at
http://www.epa.gov/swerosps/bf/html-doc/showfact.htm.
c. The Five Standard Rating Factors for FY2005. HUD has established
the following five standard factors for awarding funds under the
majority of its FY2005 program NOFAs. Additional details about the five
rating factors and the maximum points for each factor are provided in
the program NOFAs. For a specific funding opportunity, HUD may modify
these factors to take into account explicit program needs or statutory
or regulatory limitations. You, the applicant, should carefully read
the factors for award as described in the program NOFA to which you are
responding. The standard factors for award, except as modified in the
program NOFAs, are listed below.
Factor 1: Capacity of the Applicant and Relevant Organizational
Staff.
Factor 2: Need/Extent of the Problem.
Factor 3: Soundness of Approach.
Factor 4: Leveraging Resources.
Factor 5: Achieving Results and Program Evaluation.
The Continuum of Care Homeless Assistance programs have only two
factors that receive points: Need and Continuum of Care.
B. Reviews and Selection Process
1. HUD's Strategic Goals To Implement HUD's Strategic Framework and
Demonstrate 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, as well as the quality of the applicant's proposed
evaluation and monitoring plans. HUD's strategic framework establishes
the following goals and objectives for the department:
a. Increase Homeownership Opportunities.
(1) Expand national homeownership opportunities.
(2) Increase minority homeownership.
(3) Make the home-buying process less complicated and less
expensive.
(4) Fight practices that permit predatory lending.
(5) Help HUD-assisted renters become homeowners.
(6) Keep existing homeowners from losing their homes.
b. Promote Decent Affordable Housing.
(1) Expand access to affordable rental housing.
(2) Improve the physical quality and management accountability of
public and assisted housing.
(3) Increase housing opportunities for the elderly and persons with
disabilities.
(4) Help HUD-assisted renters make progress toward self-
sufficiency.
c. Strengthen Communities.
(1) Provide capital and resources to improve economic conditions in
distressed communities.
(2) Help organizations access the resources they need to make their
communities more livable.
(3) End chronic homelessness.
(4) Mitigate housing conditions that threaten health.
d. Ensure Equal Opportunity in Housing.
(1) Resolve discrimination complaints on a timely basis.
(2) Promote public awareness of fair housing laws.
(3) Improve housing accessibility for persons with disabilities.
e. Embrace High Standards of Ethics, Management, and
Accountability.
(1) Rebuild HUD's human capital and further diversify its
workforce.
(2) Improve HUD's management and its internal controls and systems,
as well as resolve audit issues.
(3) Improve accountability, service delivery, and customer service
of HUD and its partners.
(4) Ensure program compliance.
f. Promote Participation of Grassroots Faith-Based and Other
Community-Based Organizations.
(1) Reduce regulatory barriers to participation by grassroots
faith-based and other community-based organizations.
(2) Conduct outreach to inform potential partners of HUD
opportunities.
(3) Expand technical assistance resources deployed to grassroots
faith-based and other community-based organizations.
(4) Encourage partnerships between grassroots faith-based and other
community-based organizations and HUD's traditional grantees.
You can find out about HUD's Strategic Plan FY2003-FY2008, and
2002-2005 Annual Performance Plans at http://www.hud.gov/offices/cfo/reports/cforept.cfm.
2. Policy Priorities
HUD encourages applicants to undertake specific activities that
will assist the Department in implementing its policy priorities and
achieving its goals for FY2005 and beyond, when the majority of funding
recipients will be reporting programmatic results and achievements.
Applicants that include work activities that specifically address one
or more of these policy priorities will receive higher rating scores
than applicants that do not address these HUD priorities. Each NOFA
issued in FY2005 will specify which priorities relate to a particular
program and how many points will be awarded for addressing those
priorities.
a. Providing Increased Homeownership and Rental Opportunities for
Low- and Moderate-Income Persons, Persons with Disabilities, the
Elderly, Minorities, and Persons with Limited English Proficiency. Too
often, these individuals and families are shut out of the housing
market through no fault of their own. Often developers of housing,
housing counseling agencies, and other organizations engaged in the
housing industry must work aggressively to open up the realm of
homeownership and rental opportunities to low- and moderate-income
persons, persons with disabilities, the elderly, minorities, and
persons with limited English proficiency. Many of these families are
anxious to have homes of their own, but are not aware of the programs
and assistance that are available. Applicants are encouraged to address
the housing, housing counseling, and other related supportive service
needs of these individuals and coordinate their proposed activities
with funding available through HUD's affordable housing programs and
home loan programs.
Proposed activities support strategic goals a, b, and d.
b. Improving Our Nation's Communities. HUD wants to improve the
quality of life for those living in distressed communities. Applicants
are encouraged to include activities that:
(1) Bring private capital into distressed communities;
(a) Finance business investments to grow new businesses;
(b) Maintain and expand existing businesses;
(c) Create a pool of funds for new small and minority-owned
businesses; and
(d) Create decent jobs for low-income persons.
(2) Improve the environmental health and safety of families living
in public and privately owned housing by including activities that:
(a) Coordinate lead hazard reduction programs with weatherization
activities funded by state and local governments and the federal
government; and
(b) Reduce or eliminate health related hazards in the home caused
by toxic agents such as molds and other
[[Page 13587]]
allergens, carbon monoxide, and other hazardous agents and conditions.
(3) Make communities more livable by:
(a) Providing public and social services; and
(b) Improving infrastructure and community facilities.
Activities support strategic goals b, c, and d.
c. Encouraging Accessible Design Features. As described in Section
III.C.2.c, applicants must comply with applicable civil rights laws
including the Fair Housing Act, Section 504 of the Rehabilitation Act
of 1973, and the Americans with Disabilities Act. These laws and the
regulations implementing them provide for nondiscrimination based on
disability and require housing and other facilities to incorporate
certain features intended to provide for their use and enjoyment by
persons with disabilities. HUD is encouraging applicants to add
accessible design features beyond those required under civil rights
laws and regulations. These features would eliminate many other
barriers limiting the access of persons with disabilities to housing
and other facilities. Copies of the Uniform Federal Accessibility
Standards (UFAS) are available from the NOFA Information Center at
(800) HUD-8929 or (800) HUD-2209 (TTY) (these are toll-free numbers)
and also from the Office of Fair Housing and Equal Opportunity,
Department of Housing and Urban Development, Room 5230, 451 Seventh
Street, SW., Washington, DC 20410-2000, at (202) 755-5404 or toll-free
at (800) 877-8339 (TTY) (these are toll-free numbers).
Accessible design features are intended to promote visitability and
incorporate features of universal design as described below.
(1) Visitability in New Construction and Substantial
Rehabilitation. Applicants are encouraged to incorporate visitability
standards where feasible in new construction and substantial
rehabilitation projects. Visitability standards allow a person with
mobility impairments access into the home, but do not require that all
features be made accessible. Visitability means that there is at least
one entrance at grade (no steps), approached by an accessible route,
such as a sidewalk, and that the entrance door and all interior passage
doors are at least 2 feet, 10 inches wide, allowing 32 inches of clear
passage space. A visitable home also serves persons without
disabilities, such as a mother pushing a stroller or a person
delivering a large appliance. More information about visitability is
available at www.concretechange.org.
Activities support strategic goals b, c, and d.
(2) Universal Design. Applicants are encouraged to incorporate
universal design in the construction or rehabilitation of housing,
retail establishments, and community facilities funded with HUD
assistance. Universal design is the design of products and environments
to be usable by all people to the greatest extent possible, without the
need for adaptation or specialized design. The intent of universal
design is to simplify life for everyone by making products,
communications, and the built environment more usable by as many people
as possible at little or no extra cost to the user. Universal design
benefits people of all ages and abilities. In addition to any
applicable required accessibility feature under Section 504 of the
Rehabilitation Act of 1973 or the design and construction requirements
of the Fair Housing Act, the Department encourages applicants to
incorporate the principles of universal design when developing housing,
community facilities, and electronic communication mechanisms or when
communicating with community residents at public meetings or events.
HUD believes that by creating housing that is accessible to all, it
can increase the supply of affordable housing for all, regardless of
ability or age. Likewise, creating places where people work, train, and
interact that are useable and open to all residents increases
opportunities for economic and personal self-sufficiency. More
information on Universal Design is available from the Center for
Universal Design at www.design.ncsu.edu:8120/cud/ or the Resource
Center on Accessible Housing and Universal Design at http://
www.abledata.com/abledata.cfm? pageid=113573&top=
16029§ionid=19326.
Activities support strategic goals a, b, c, and d.
d. Providing Full and Equal Access to Grassroots Faith-Based and
Other Community-Based Organizations in HUD Program Implementation.
(1) HUD encourages nonprofit organizations, including grassroots
faith-based and other community-based organizations, to participate in
the vast array of programs for which funding is available through HUD's
programs. HUD also encourages States, units of local government,
universities, colleges, and other organizations to partner with
grassroots organizations (e.g., civic organizations, faith communities,
and grassroots faith-based and other community-based organizations)
that have not been effectively utilized. These grassroots organizations
have a strong history of providing vital community services, such as
assisting the homeless and preventing homelessness, counseling
individuals and families on fair housing rights, providing elderly
housing opportunities, developing first-time homeownership programs,
increasing homeownership and rental housing opportunities in
neighborhoods of choice, developing affordable and accessible housing
in neighborhoods across the country, creating economic development
programs, and supporting the residents of public housing facilities.
HUD seeks to make its programs more effective, efficient, and
accessible by expanding opportunities for grassroots organizations to
participate in developing solutions for their own neighborhoods.
Additionally, HUD encourages applicants to include these grassroots
faith-based and other community-based organizations in their workplans.
Applicants, their partners, and participants must review the individual
FY2005 HUD program announcements to determine whether they are eligible
to apply for funding directly or whether they must establish a working
relationship with an eligible applicant in order to participate in a
HUD funding opportunity. Grassroots faith-based and other community-
based organizations, and applicants that currently or propose to
partner, fund, subgrant, or subcontract with grassroots organizations
(including grassroots faith-based or other community-based nonprofit
organizations eligible under applicable program regulations) in
conducting their work programs will receive higher rating points as
specified in the individual FY2005 HUD program announcements.
(2) Definitions of Grassroots Organizations.
(a) HUD will consider an organization a ``grassroots organization''
if the organization is headquartered in the local community in which it
provides services; and,
(i) Has a social services budget of $300,000 or less, or
(ii) Has six or fewer full-time equivalent employees.
(b) Local affiliates of national organizations are not considered
``grassroots.'' Local affiliates of national organizations are
encouraged, however, to partner with grassroots organizations, but must
demonstrate that they are currently working with a grassroots
organization (e.g., having a grassroots faith-based or other community-
based organization provide volunteers).
(c) The cap provided in paragraph (2)(a)(i) above includes only
that portion of an organization's budget allocated to
[[Page 13588]]
providing social services. It does not include other portions of the
budget, such as salaries and expenses, not directly expended in the
provision of social services.
Activities support strategic goal f.
e. Participation of Minority-Serving Institutions (MSIs) in HUD
Programs. Pursuant to Executive Orders 13256, ``President's Board of
Advisors on Historically Black Colleges and Universities,'' 13230,
``President's Advisory Commission on Educational Excellence for
Hispanic Americans,'' 13216, ``Increasing Participation of Asian
Americans and Pacific Islanders in Federal Programs,'' and 13270,
``Tribal Colleges and Universities,'' HUD is strongly committed to
broadening the participation of MSIs in its programs. HUD is interested
in increasing the participation of MSIs in order to advance the
development of human potential, strengthen the nation's capacity to
provide high quality education, and increase opportunities for MSIs to
participate and benefit from federal financial assistance programs. HUD
encourages all applicants and recipients to include meaningful
participation of MSIs in their work programs. A listing of MSIs can be
found on the Department of Education Web site at http://www.ed.gov/
about/offices/list/ocr/edlite-minorityinst.html or HUD's Web site at
http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
Activities support strategic goals c and d.
f. Ending Chronic Homelessness. President Bush has set a national
goal to end chronic homelessness. Secretary Alphonso Jackson has
embraced this goal and has pledged that HUD's grant programs will be
used to support the President's goal and better meet the needs of
chronically homeless individuals. 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 episodes of homelessness over the last three
years. A disabling condition is defined as a diagnosable substance
abuse disorder, serious mental illness, developmental disability, or
chronic physical illness or disability, including the co-occurrence of
two or more of these conditions. Applicants are encouraged to target
assistance to chronically homeless persons by undertaking activities
that will result in:
(1) Creation of affordable housing units, supportive housing and
group homes;
(2) Establishment of a set-aside of units of affordable housing for
the chronically homeless;
(3) Establishment of substance abuse treatment programs targeted to
the homeless population;
(4) Establishment of job training programs that will provide
opportunities for economic self-sufficiency;
(5) Establishment of counseling programs that assist homeless
persons in finding housing, managing finances, managing anger, and
building interpersonal relationships;
(6) Provision of supportive services, such as health care
assistance that will permit homeless individuals to become productive
members of society; and
(7) Provision of service coordinators or one-stop assistance
centers that will ensure that chronically homeless persons have access
to a variety of social services.
Applicants that are developing programs to meet the goals set in
this policy priority should be mindful of the requirements of the
regulations implementing Section 504 of the Rehabilitation Act, in
particular, 24 CFR 8.4(b)(1)(iv), 8.4(c)(1), and 8.4(d).
Activities support strategic goals b and c.
g. Removal of Regulatory Barriers to Affordable Housing. On March
22, 2004, HUD published a final notice (69 FR 13450) announcing its
intention to establish the Removal of Regulatory Barriers to Affordable
Housing policy priority in the majority of its FY2004 NOFAs. In that
notice, HUD advised that applicants would be required to respond to a
series of evaluative questions in order to receive the rating points
associated with this priority. On April 21, 2004 (69 FR 21663), HUD
published a correction to Question 5 in Part A of the questionnaire. In
the April 21, 2004 notice, HUD also responded to questions that arose
after the publication of the March 22, 2004 notice. In FY2005, HUD is
continuing to make this a policy priority. Through this initiative, HUD
is seeking input into how it can work more effectively with the public
and private sectors to remove regulatory barriers to affordable
housing. The published notices address how HUD will evaluate the
effectiveness of State and local government efforts to remove
regulatory barriers to affordable housing.
Increasing the affordability of rental and homeownership housing
continues to be a high priority of the Department. Over the last 15
years, there has been increased recognition that unnecessary,
duplicative, excessive, or discriminatory public processes often
significantly increase the cost of housing development and
rehabilitation. Often referred to as ``regulatory barriers to
affordable housing,'' many public statutes, ordinances, regulatory
requirements, or processes and procedures significantly impede the
development or availability of affordable housing without providing a
commensurate or demonstrable health or safety benefit. ``Affordable
housing'' is decent, quality housing that low-, moderate-, and middle-
income families can afford to buy or rent without spending more than 30
percent of their income; spending more than 30 percent of income on
shelter may require families to sacrifice other necessities of life.
Addressing these barriers to housing affordability is a necessary
component of any overall national housing policy. However, addressing
such barriers must be viewed as a complement, not a substitute, for
other efforts to meet affordable housing needs. For many families,
federal, state, and local subsidies are fundamental tools for meeting
these affordable needs. In many instances, however, other sometimes
well-intentioned public policies work at cross-purposes with subsidy
programs by imposing significant constraints. From zoning that keeps
out affordable housing, especially multifamily housing, to other
regulations and requirements that unnecessarily raise the costs of
construction, the need to address this issue is clear. For example,
affordable rehabilitation is often constrained by outmoded building
codes that require excessive renovation. Barrier removal will not only
make it easier to find and get approval for affordable housing sites
but it will also allow available subsidies to go further in meeting
these needs. For housing for moderate-income families often referred to
as ``work force'' housing, barrier removal can be the most essential
component of meeting housing needs.
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.'' Copies of HUD's
notices published on this issue, can be found on HUD's Web site at
http://www.hud.gov/offices/adm/
[[Page 13589]]
grants/fundsavail.cfm. Local jurisdictions and counties with land use
and building regulatory authority applying for funding, as well as
housing authorities, nonprofit organizations, and other qualified
applicants applying for funds for projects located in these
jurisdictions, 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.
State agencies or departments applying for funding, as well as
housing authorities, nonprofit organizations, and other qualified
applicants applying for funds for projects located in unincorporated
areas or areas not otherwise covered in Part A are invited to answer
the 15 questions under Part B. Under Part B an applicant that scores at
least four in Column 2 will receive one point in the NOFA evaluation.
Under Part B an applicant that scores eight or greater will receive a
total of two points in the respective evaluation. Applicants that will
be providing services in multiple jurisdictions may choose to address
the questions in either Part A or Part B for that jurisdiction in which
the preponderance of services will be performed if an award is made. In
no case will an applicant receive more than two points for barrier
removal activities under this policy priority. An applicant that is an
Indian tribe or TDHE may choose to complete either Part A or Part B
based upon a determination by the tribe or TDHE as to whether the
tribe's or the TDHE's association with the local jurisdiction or the
state would be the more advantageous for its application.
Note: Upon completion of all NOFA evaluations, grant selections,
and awards, it is HUD's intent to add relevant data obtained from
this evaluative factor to the database on state and local regulatory
reform actions maintained at the Regulatory Barrier Clearinghouse
Web site at http://www.huduser.org/rbc/ used by states, localities,
and housing providers to identify regulatory barriers and learn of
exemplary local efforts at regulatory reform.
Form HUD-27300 can be found in the appendix to this General
Section. 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, Internet 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. Applicants are
encouraged to read HUD's three notices to obtain an understanding of
this policy priority and how it can affect their score. Applicants that
do not provide the Internet addresses, references, or documentation
will not get the policy priority points.
Activities support strategic goals a and b.
h. Participation in Energy Star. The Department of Housing and
Urban Development 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 partnership to
promote energy efficiency in HUD's affordable housing programs,
including public housing, HUD insured housing, and housing financed
through HUD formula and competitive programs. The purpose of the Energy
Star partnership is to promote energy-efficient affordable housing
stock while protecting 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 products that display the
Energy Star label. 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.
Applicants are encouraged to undertake program activities that
include developing Energy Star promotional and information materials,
providing outreach to low- and moderate-income renters and buyers on
the benefits and savings when using Energy Star products and
appliances, utilizing Energy Star-designated products in the
construction or rehabilitation of housing units, and replacing worn
products or facilities such as light bulbs, water heaters, furnaces,
etc., with Energy Star products to reduce operating costs. Communities
and developers are encouraged to promote the designation of community
buildings and homes as Energy Star compliant. For further information
about Energy Star see http://www.energystar.gov or call (888) 782-7937,
or 8 (888) 588-9920 (TTY).
Activities support Strategic Goals 1 and 2.
3. Threshold Compliance
Only applications that meet all of the threshold requirements will
be eligible to receive an award of funds from HUD.
4. Corrections to Deficient Applications
After the application submission date, HUD may not, consistent with
its regulations in 24 CFR part 4, subpart B, consider any unsolicited
information you, the applicant, may want to provide. HUD may contact
you to clarify an item in your application or to correct technical
deficiencies. HUD may not seek clarification of items or responses that
improve the substantive quality of your response to any rating factors.
In order not to unreasonably exclude applications from being rated and
ranked, HUD may contact applicants to ensure proper completion of the
application and will do so on a uniform basis for all applicants.
Examples of curable (correctable) technical deficiencies include
inconsistencies in the funding request, failure to submit the proper
certifications, and failure to submit an application that contains a
signature by an official able to make a legally biding commitment on
behalf of the applicant. In the case of an applicant that received a
waiver, the technical deficiency may include failure to submit an
application that contains an original signature. If HUD finds a curable
deficiency in the application, HUD will notify you in writing by
describing the clarification or technical deficiency. HUD will notify
applicants by facsimile or by USPS, return receipt requested.
Clarifications or corrections of technical deficiencies in accordance
with the information provided by HUD must be submitted within 14
calendar days of the date of receipt of the HUD notification. (If the
submission date falls on a Saturday, Sunday, or federal holiday, your
correction must be received by HUD on the next day that is not a
Saturday, Sunday, or federal holiday.) If the deficiency is not
corrected within this time period, HUD will reject the application as
incomplete and it will not be considered for funding. In order to meet
statutory deadlines for the obligation of funds or for timely
completion of the review process, program NOFAs may reduce the number
of days for submitting a response to a HUD clarification or correction
to a technical deficiency. Please be sure to carefully read each
program NOFA for any additional information and instructions. An
applicant's response to a HUD notification of a curable deficiency
should be submitted directly to HUD in accordance with the instructions
provided in the notification.
[[Page 13590]]
5. Rating Panels
To review and rate applications, HUD may establish panels that may
include persons not currently employed by HUD. HUD may include these
non-HUD employees to obtain certain expertise and outside points of
view, including views from other federal agencies. Persons brought into
HUD to review applications are subject to conflict of interest
provisions. In addition, reviewers using HUD Information Technology
(IT) systems may be subject to an IT security check.
6. Rating
HUD will evaluate and rate all applications for funding that meet
the threshold requirements. HUD will consider the factors described
below when rating your application(s).
a. Past Performance. In evaluating applications for funding, HUD
will take into account applicants' past performance in managing funds,
including, but not limited to, the ability to account for funds
appropriately; timely use of funds received either from HUD or other
federal, state, or local programs; meeting performance targets for
completion of activities and receipt of promised matching or leveraged
funds; and number of persons to be served or targeted for assistance.
HUD may consider information available from HUD's records, the name
check review, public sources such as newspapers, Inspector General or
Government Accountability Office reports or findings, or hotline or
other complaints that have been proven to have merit.
b. Deducting Points for Poor Performance. In evaluating past
performance, HUD may elect to deduct points from the rating score or
establish threshold levels as specified under the Factors for Award in
the individual program NOFAs.
7. Ranking
HUD will rank applicants within each program or, for Continuum of
Care applicants, across the three programs identified in the Continuum
of Care NOFA. HUD will rank applicants only against those applying for
the same program funding.
Where there are set-asides within a program competition, you, the
applicant, will compete against only those applicants in the same set-
aside competition.
C. Anticipated Announcement and Award Dates
The individual program NOFAs will provide the applicable
information regarding this subject.
VI. Award Administration Information
A. Award Notices
1. Negotiation
After HUD has rated and ranked all applications and made
selections, HUD may require, depending upon the program, that a
selected applicant participate in negotiations to determine the
specific terms of the funding agreement and budget. 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 such an instance, HUD
may offer an award and proceed with negotiations with the next highest-
ranking applicant.
2. Adjustments to Funding
a. HUD reserves the right to fund less than the full amount
requested in your application to ensure the fair distribution of funds
and enable the purposes or requirements of a specific program to be
met.
b. 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 is
duplicative of other funded programs or activities from prior year
awards or other selected applicants. Only the eligible portions of your
application (excluding duplicative portions) may be funded.
c. If funds remain after funding the highest-ranking applications,
HUD may fund all or part of the next highest-ranking application in a
given program. If you, the applicant, turn down an award offer, HUD
will make an offer of funding to the next highest-ranking application.
d. If funds remain after all selections have been made, remaining
funds may be made available within the current fiscal year for other
competitions within the program area or held over for future
competitions.
e. Individual program NOFAs may have other requirements, so please
review the program NOFA carefully.
3. Funding Errors
In the event HUD commits an error that, when corrected, would
result in selection of an otherwise eligible applicant during the
funding round of a program NOFA, HUD may select that applicant when
sufficient funds become available.
4. 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 their respective programs.
5. Debriefing
For a period of at least 120 days, beginning 30 days after the
awards for assistance are publicly announced, HUD will provide to a
requesting applicant a debriefing related to its application. A
debriefing request must be made in writing or by email by the
authorized official whose signature appears on the SF-424 or his or her
successor in office, and submitted to the person or organization
identified as the Contact under the section entitled ``Agency
Contact(s)'' in the individual program NOFA under which you applied for
assistance. Information provided during a debriefing will include, at a
minimum, the final score 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.
B. Administrative and National Policy Requirements
See Section III.C. of this notice regarding related requirements.
C. Reporting
The individual program NOFAs will identify applicable reporting
requirements related to each program, including racial and ethnic data
collection requirements based upon the OMB standards for federal data
on race and ethnicity, dated August 13, 2002. Applicants are also
required to submit a completed form HUD-96010 Logic Model indicating
results achieved against the proposed output goal(s) and proposed
outcome(s) stated in your approved application and agreed to by HUD.
The submission of the Logic Model and required information should be in
accord with the reporting time frames identified for providing reports
to HUD in each program NOFA.
VII. Agency Contact(s)
The individual program NOFAs will identify the applicable agency
contacts related to each program. Questions regarding this notice
should be directed to Dorthera (Rita) Yorkshire or Eric Gauff, in HUD's
Office of Departmental Grants Management, at (202) 708-0667 (this is
not a toll-free number). Persons with speech or hearing impairments may
contact Ms. Yorkshire or Mr. Gauff using the toll-free Federal Relay
Service
[[Page 13591]]
at (800) 877-8339. Questions regarding specific program requirements
should be directed to the agency contacts identified in each program
NOFA.
VIII. Other Information
A. Grants.gov and Pub. L. 106-107 Streamlining Activities
The Federal Financial Assistance Management Improvement Act of 1999
(Pub. L. 106-107) directs each federal agency to develop and implement
a plan that, among other things, streamlines and simplifies the
application, administrative, and reporting procedures for federal
financial assistance programs administered by the agency. This law also
requires the Director of OMB to direct, coordinate, and assist federal
agencies in establishing (1) a common application and reporting system
and (2) an interagency process for addressing ways to streamline and
simplify federal financial assistance application and administrative
procedures and reporting requirements for program applicants.
HUD is working with the 26 federal grant-making agencies to
implement President George W. Bush's grants.gov ``FIND and APPLY''
initiative. This initiative is an effort by federal agencies to develop
a common electronic application and reporting system for federal
financial assistance. This system will provide ``one-stop shopping''
for funding opportunities for all federal programs. The system is being
implemented in response to public and governmental concerns that it is
difficult for organizations to know all the funding available from the
federal government and how to apply for funding. It also is an effort
by the federal government to develop common application requirements,
further streamlining the application process to make it easier for you,
our customers, to apply for funding.
The first segment of the Grants.gov initiative focuses on allowing
the public to easily FIND competitive funding opportunities and then
APPLY via Grants.gov. HUD posted all of its funding opportunities on
www.grants.gov/Find in FY2004 and intends to do the same in FY2005. In
FY2004, HUD posted two fully electronic grant applications on
Grants.gov Find and Apply. In FY2005, HUD is posting all but the
Continuum of Care NOFA on Grants.gov for electronic application
submission through www.grants.gov/Apply. It is HUD's intent to post the
Continuum of Care as a fully electronic application for submission on
www.grants.gov/Apply in FY2006.
In addition, Grants.gov is working with the federal agencies to
begin the process of accepting mandatory and formula grant program
plans and application submissions online via Grants.gov in 2005-2006.
Applicants for HUD's formula and competitive programs are urged to
become familiar with the Grants.gov site, registration procedures, and
electronic submissions so that as the site is expanded, you will be
registered and familiar with the find and apply functionality.
B. HUD-IRS Memorandum of Agreement
HUD and the Internal Revenue Service have entered into a Memorandum
of Agreement to provide information to HUD grantees serving low-income,
disabled, and elderly persons, as well as persons with limited English
proficiency, on the availability of low-income tax credits; the earned
income tax credit; individual development accounts; child tax credits,
and the IRS Voluntary Income Tax Assistance program. HUD is making
available on its website information on these IRS asset-building
resources. We encourage you to visit the site and disseminate this
information to low-income residents in your community and other
organizations that serve low-income residents, so that eligible
individuals can take advantage of these resources.
C. Paperwork Reduction Act Statement
The information collection requirements in this notice have been
approved by OMB under the Paperwork Reduction Act of 1995 (44 U.S.C.
3501-3520). 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. Each program NOFA will identify its applicable OMB
control number.
D. Environmental Impact
A Finding of No Significant Impact with respect to the environment
has been made for this notice in accordance with HUD regulations at 24
CFR part 50 that implement Section 102(2)(C) of the National
Environmental Policy Act of 1969 (42 U.S.C. 4332(2)(C)). The Finding of
No Significant Impact is available for public inspection between 8 a.m.
and 5 p.m. eastern time, Monday through Friday, except federal
holidays, in the Office of the General Counsel, Regulations Division,
Room 10276, Department of Housing and Urban Development, 451 Seventh
Street, SW., Washington, DC 20410-0500.
E. Executive Orders and Congressional Intent
1. Executive Order 13132, Federalism
Executive Order 13132 prohibits, to the extent practicable and
permitted by law, an agency from promulgating policies that have
federalism implications and either impose substantial direct compliance
costs on State and local governments and are not required by statute,
or preempt State law, unless the relevant requirements of Section 6 of
the executive order are met. This notice does not have federalism
implications and does not impose substantial direct compliance costs on
State and local governments or preempt State law within the meaning of
the executive order.
2. Sense of Congress
The Consolidated Appropriations Act, 2005 (Pub. L. 108-447,
approved December 8, 2004), includes a Sense of Congress resolution,
which states that, to the greatest extent practicable, all equipment
and products purchased with funds made available in the Consolidated
Appropriations Act, 2005, should be American-made.
F. Public Access, Documentation, and Disclosure
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and the
regulations codified at 24 CFR part 4, subpart A, contain a number of
provisions that are designed to ensure greater accountability and
integrity in the provision of certain types of assistance administered
by HUD. On January 14, 1992, HUD published a notice that also provides
information on the implementation of Section 102 (57 FR 1942). The
documentation, public access, and disclosure requirements of Section
102 apply to assistance awarded under individual NOFAs published as
part of HUD's SuperNOFA or thereafter, as described below.
1. Documentation, Public Access and Disclosure Requirements
HUD will ensure that documentation and other information regarding
each application submitted pursuant to its FY2005 NOFAs published in
the FY2005 SuperNOFA or NOFAs published thereafter are sufficient to
indicate the basis upon which assistance was provided or denied. This
material, including any letters of support, will be made available for
public inspection for a five-year period beginning not less than 30
days after the award of the assistance. Material will be
[[Page 13592]]
made available in accordance with the Freedom of Information Act (5
U.S.C. 552) and HUD's implementing regulations (24 CFR part 15).
2. Form HUD-2880
HUD will also make available to the public for five years all
applicant disclosure reports (form HUD-2880) submitted in connection
with an FY2005 NOFA. Update reports (also reported on form HUD-2880)
will be made available along with the applicant disclosure reports, but
in no case for a period of less than three years. All reports, both
applicant disclosures and updates, will be made available in accordance
with the Freedom of Information Act (5 U.S.C. 552) and HUD's
implementing regulations (24 CFR part 5).
3. 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 funding
decisions made by the Department to provide:
a. Assistance subject to Section 102(a) of the HUD Reform Act; and
b. Assistance provided through grants or cooperative agreements on
a discretionary (non-formula, non-demand) noncompetitive basis, but
that is not provided on the basis of a competition.
G. Section 103 of the HUD Reform Act
HUD's regulations implementing Section 103 of the HUD Reform Act,
codified at 24 CFR part 4, subpart B, apply to this funding
competition. The regulations continue to apply until the announcement
of the selection of successful applicants. HUD employees involved in
the review of applications and in the making of funding decisions are
prohibited by the regulations from providing advance information to any
person (other than an authorized employee of HUD) concerning funding
decisions or from otherwise giving any applicant an unfair competitive
advantage. Persons who apply for assistance should confine their
inquiries to the subject areas permitted under 24 CFR part 4.
Applicants or employees who have ethics-related questions should
contact the HUD Ethics Law Division at (202) 708-3815 (this is not a
toll-free number). The toll-free TTY number for persons with speech or
hearing impairments is (800) 877-8339. HUD employees who have specific
program questions should contact the appropriate field office counsel
or Headquarters counsel for the program to which the question pertains.
H. The FY2005 HUD NOFA Process and Future HUD Funding Processes
Each year, HUD strives to improve its NOFA process. The FY2005
NOFAs have been revised based upon comments received during the FY2004
funding process. The changes also reflect HUD's efforts to move to
electronic government consistent with federal government-wide
practices. In FY2004, as part of the Public Law 106-107 streamlining
efforts and the interagency eGrants Initiative, HUD began making
considerable changes to the format and presentation of its funding
notices, which have been enhanced further for FY2005. HUD is
continually striving to ensure effective communication with HUD program
funding recipients and potential funding recipients. HUD has been
posting pertinent documents related to these efforts on its Web site.
HUD encourages you to visit the Department's Web site on an ongoing
basis to keep abreast of the latest developments. HUD's website address
for information on this initiative is http://www.hud.gov/offices/adm/
grants/egrants/egrants.cfm. Information on grant streamlining
activities can be found at http://www.hud.gov/offices/adm/grants/pl-
106107/pl106-107.cfm. HUD continues to welcome comments and feedback
from applicants and other members of the public on how HUD may further
improve its competitive funding process.
The programs for which funding is available in the FY2005 SuperNOFA
are published simultaneously with this policy notice and follow this
section and its appendices.
Dated: March 4, 2005.
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-4950-N-03. The OMB approval number for this program is 2506-
0166 for HOME Investment Partnerships Program (HOME), HOME Investment
Partnerships Program for Community Housing Development Organizations
[CHDO (HOME)], McKinney-Vento Homeless Assistance (Homeless), and
Community Development Block Grants (CDBG), 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; CDBG Entitlement Grants is 14.218; CDBG for Small Cities
Program is 14.219; CDBG for States is 14.228; CDBG for Insular Areas is
14.225; CDBG--Section 108 is 14.248; Youthbuild is 14.243.
F. Dates. The application submission date is June 1, 2005.
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 of the SuperNOFA and the information listed in this CD-
TA NOFA. Funds are available to provide technical assistance for six
separate program areas: HOME, CHDO (HOME), Homeless, HOPWA, CDBG, and
Youthbuild. Applicants may apply for one, two, three, four, five, or
all six CD-TA program areas. The application submission information is
contained in this CD-TA NOFA at Section IV.B. Approximately $30.1
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 six separate
community development program areas: (1) HOME; (2) CHDO (HOME); (3)
Homeless; (4) HOPWA; (5) CDBG; and (6) Youthbuild. Information about
the six community development programs and their missions, goals, and
activities can be found on the HUD Web site at http://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 FY2005 HUD Appropriations Act. HOPWA TA is
authorized under the FY2005 HUD Appropriations Act. CDBG TA is
authorized under Title I of the Housing and Community Development Act
of 1974 (42 U.S.C. 5301-5320); 24 CFR 570.402. 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. 12899); 24 CFR part 585.
II. Award Information
A. Available Funds
Approximately $30,120,000 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.......................................... $2,216,000 $5,000,000
CHDO (HOME)................................... 2,440,000 5,000,000
Homeless...................................... 6,000,000 3,000,000
HOPWA......................................... 2,000,000 0
CDBG.......................................... 1,388,800 0
Youthbuild.................................... 3,075,200 0
------------------------------------------------------------------------
The Local TA funds are divided among HUD's field office
jurisdictions for the HOME, CHDO (HOME), and Homeless programs. No
Local TA funds are available for HOPWA, CDBG, or Youthbuild.
The chart below shows the amounts available in dollars for Local TA
by CD-TA program:
----------------------------------------------------------------------------------------------------------------
Local TA area HOME CHDO (HOME) Homeless
----------------------------------------------------------------------------------------------------------------
Alabama................................................... $100,000 $75,000 $40,000
Alaska.................................................... 40,000 30,000 30,000
Arkansas.................................................. 40,000 30,000 40,000
California--Northern and Arizona, Nevada.................. 300,000 300,000 300,000
California--Southern...................................... 300,000 400,000 275,000
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Caribbean................................................. 50,000 75,000 40,000
Colorado and Montana, North Dakota, South Dakota, Utah, 170,000 170,000 60,000
Wyoming..................................................
Connecticut............................................... 60,000 55,000 40,000
District of Columbia area................................. 60,000 50,000 50,000
Florida--Southern......................................... 60,000 60,000 50,000
Florida--Northern......................................... 150,000 100,000 70,000
Georgia................................................... 125,000 75,000 50,000
Hawaii.................................................... 70,000 0 40,000
Illinois.................................................. 275,000 125,000 145,000
Indiana................................................... 90,000 50,000 25,000
Kansas and Missouri--Western.............................. 60,000 75,000 50,000
Missouri--Eastern......................................... 45,000 55,000 40,000
Kentucky.................................................. 100,000 150,000 40,000
Louisiana................................................. 75,000 50,000 40,000
Maryland, except District of Columbia area................ 60,000 50,000 40,000
Massachusetts, Maine, New Hampshire, Rhode Island, Vermont 300,000 250,000 200,000
Michigan.................................................. 200,000 225,000 138,000
Minnesota................................................. 75,000 140,000 52,000
Mississippi............................................... 70,000 125,000 50,000
Nebraska and Iowa......................................... 40,000 40,000 40,000
New Jersey................................................ 50,000 25,000 25,000
New Mexico................................................ 120,000 225,000 50,000
New York--Downstate....................................... 410,000 482,000 250,000
New York--Upstate......................................... 80,000 60,000 35,000
North Carolina............................................ 105,000 150,000 40,000
Ohio...................................................... 215,000 116,000 125,000
Oklahoma.................................................. 40,000 40,000 40,000
Oregon and Idaho.......................................... 100,000 130,000 30,000
Pennsylvania--Eastern and Delaware........................ 75,000 75,000 50,000
Pennsylvania--Western and West Virginia................... 145,000 158,000 57,000
South Carolina............................................ 55,000 34,000 40,000
Tennessee................................................. 125,000 150,000 40,000
Texas--Northern........................................... 250,000 250,000 88,000
Texas--Southern........................................... 60,000 20,000 40,000
Virginia, except District of Columbia area................ 80,000 80,000 40,000
Washington................................................ 50,000 50,000 50,000
Wisconsin................................................. 125,000 200,000 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 of
the SuperNOFA, 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, HOPWA, and CDBG
grantees; and
e. For CHDO (HOME) TA providers, secure a letter from a PJ stating
that a CHDO, or prospective CHDO to be assisted by the provider, is a
recipient or intended recipient of HOME funds and indicating, at its
option, subject areas of assistance that are most important to the PJ.
2. Training
When conducting training sessions as part of its CD-TA activities,
CD-TA providers are required to:
a. Design the course materials as ``step-in'' packages so that HUD
or other CD-TA providers may independently conduct the course on their
own;
b. Make the course materials available to the GTR in sufficient
time for review (minimum of three weeks) and receive concurrence from
the GTR on the content and quality prior to delivery;
c. Provide all course materials in an electronic format that will
permit wide distribution among TA providers, field offices, and HUD
grantees;
d. Arrange for joint delivery of the training with HUD
participation when requested by the GTR;
e. Deliver HUD-approved training courses that have been designed
and developed by others on a ``step-in'' basis when requested; and
f. Send trainers to approved ``train-the-trainers'' sessions. The
costs associated with attending these required sessions are eligible
under the cooperative agreement.
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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.
III. Eligibility Information
A. Eligible Applicants
The eligible applicants for each of the six 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 predominately of entities or
officials of entities of PJs or PJs'
agencies or established organizations.
CHDO (HOME).................. A public or private nonprofit
intermediary organization that
customarily provides services, in more
than one community, related to the
provision of decent housing that is
affordable to low-income and moderate-
income persons or related to the
revitalization of deteriorating
neighborhoods; has demonstrated
experience in providing a range of
assistance (such as financing, technical
assistance, construction and property
management assistance) to CHDOs or
similar organizations that engage in
community revitalization; and has
demonstrated the ability to provide
technical assistance and training for
community-based developers of affordable
housing.
Note: Any organization funded to assist
CHDOs under CD-TA may not undertake CHDO
set-aside activities itself within its
service area while under cooperative
agreement with HUD.
Homeless..................... A state;
A unit of general local government;
A public housing authority; or
A public or private nonprofit or for-
profit organization, including
educational institutions and area-wide
planning organizations.
HOPWA........................ A for-profit or nonprofit organization;
A state; or
A unit of general local government.
CDBG......................... A state;
A unit of general local government;
A national or regional nonprofit
organization that has membership
comprised predominately of entities or
officials of entities of CDBG
recipients;
A for-profit or nonprofit professional
and technical services company or firm
that has demonstrated knowledge of the
CDBG program and the capacity to provide
technical assistance services; or
A public or private nonprofit or for-
profit organization, including
educational institutions and area-wide
planning organizations.
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 of the SuperNOFA, 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. This draws upon 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 delivering the proposed
TA services.
B. Cost Sharing or Matching
None.
C. Other
1. Eligible Activities and Priorities
Funds may be used to provide TA to prospective applicants,
applicants, grantees, and project sponsors of the HOME, CHDO (HOME),
Homeless, HOPWA, CDBG, 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
six program areas are:
a. HOME TA. By statute, HUD may provide HOME program technical
assistance to meet specified objectives. From these objectives, 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.
[[Page 13648]]
(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, and persons with disabilities).
(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) By statute, HUD may provide HOME program
technical assistance to meet specified objectives. From these
objectives, 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. HUD welcomes the
participation of otherwise eligible faith-based and community
organizations.
(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-funded grantees, project
sponsors, and potential recipients with skills and knowledge needed to
develop and operate projects and activities. TA activities are focused
on these priorities that result in measurable performance outputs and
outcomes:
(1) Facilitate the exchange of information between community
organizations to develop and implement a community-wide discharge plan
for individuals exiting publicly-funded institutions (e.g., criminal
justice system, foster care system, mental health system) so that these
individuals do not become homeless.
(2) Improve the ability of eligible applicants to develop and
operate permanent housing projects for chronically homeless persons.
(3) Develop materials on effective grant administration for
grantees and sponsors.
(4) Improve the ability of eligible grantees and sponsors in
reaching out to chronically homeless persons.
(5) Improve the ability of grantees and sponsors in coordinating
services available through mainstream resources with housing units
available for homeless persons.
(6) Facilitate the formation of metropolitan, regional, and
statewide Homeless Management Information Systems (HMIS) and improve
the ability of communities to prepare data for their Annual Homeless
Assessment Reports.
(7) Develop materials on effective grant management for Emergency
Shelter Grants recipients, including guidance on IDIS implementation.
(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 grantees to develop comprehensive
housing strategies, through collaborative public and private
partnerships, that coordinate the use of mainstream resources and
promote the long-term sustainability of HOPWA-assisted rental housing
programs.
(2) Identify and train grantees and project sponsors on successful
examples of how local or regional employment and re-entry discharge
planning programs and efforts can complement the overall delivery and
effectiveness of housing and supportive services which result in
greater client self-sufficiency and independence.
(3) Develop materials and training for grantees and project
sponsors (a) on implementing and achieving long-term performance
outcome measures that promote housing stability, reduce the risk of
homelessness, and improve access to care; and (b) on implementing sound
fiscal and financial management practices, including oversight of
project sponsor activities.
(4) Develop materials that promote the utilization and coordination
of Homeless Management Information Systems in the provision of HOPWA-
assisted housing and supportive services for homeless and chronically
homeless persons and persons at-risk of homelessness who are served
under this program.
(5) Provide direct TA for local HOPWA programs in coordination with
[[Page 13649]]
HUD field office oversight and approval of TA and training efforts to
support those HOPWA-funded projects. It is estimated that up to 40
percent of HOPWA TA funds will be made available for this purpose.
e. CDBG TA. HUD may provide CDBG program technical assistance to
meet specified objectives, in particular the facilitating of skills and
knowledge in planning, developing, and administering activities under
the CDBG program for recipients and other entities that may need but do
not possess such skill and knowledge, including measuring programs and
activities under the CDBG program. Technical assistance funds will
support local and state grantees' efforts in these areas as well as
support for efforts to streamline the Consolidated Plan, program
management, and analytical support of information for performance
measurement. TA activities that result in measurable performance
outputs and outcomes are focused on the following priorities:
(1) Assist grantees' efforts to streamline the Consolidated Plan,
making it more results-oriented and useful to communities in assessing
their own progress toward addressing the problems of low-income areas
in their communities.
(2) Improve CDBG recipient understanding of performance measurement
from a national programmatic perspective.
(3) Improve recipient knowledge and skills to develop and implement
local CDBG performance measurement systems.
(4) Assist recipients' development of local CDBG performance
measurement systems focused on outcomes.
(5) Develop model, local protocols that ensure accurate, required
program recordkeeping and performance data by recipients, sub-
recipients and sub-grantees.
(6) Develop materials on effective grant administration for
grantees, sub-recipients, and sub-grantees.
(7) Improve CDBG and Section 108 program knowledge through program-
specific recipient training.
f. 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.
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.
2. DUNS Requirement
Refer to the General Section of the SuperNOFA 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 of the SuperNOFA. 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
Electronic applications are to be submitted through Grants.gov/Apply. Applicants receiving a waiver of the electronic submission
requirement should see the General Section, Appendix C for the address
where to submit paper applications. The General Section provides
instructions on steps required to receive a waiver and Appendix C
provides the address for submitting the waiver request. Paper
applications are not accepted without the applicant having received a
waiver to the electronic submission requirement.
B. Content and Form of Application Submission
Applicants must submit a completed application for each National TA
and Local TA area and 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 containing all relevant
sections of the application, as shown in the checklist below in Section
IV.B.4.
1. Number of Copies
This section only applies to applicants that have received a waiver
of the electronic submission requirement. Applicants for National TA
must submit two copies of their application to HUD Headquarters.
Applicants for Local TA must submit one copy of their application to
HUD Headquarters and must also send one copy of their application to
the HUD field office in which their organization is applying. See
Section VII.C of this NOFA for information on field office addresses.
Applicants for National TA must submit two copies of the application
to: HUD Headquarters;
[[Page 13650]]
Robert C. Weaver Federal Building; 451 Seventh Street, SW., room 7218;
Washington, DC 20410; Attention: CD-TA.
2. Page Limitation
Narratives addressing Factors 1-5 are limited to no more than 25
typed pages. That is, reviewers will not review more than 25 pages for
all five factors combined, except that the page limit does not include
the Form HUD-96010, Logic Model.
3. Prohibition on Materials Not Required
Materials other than what is requested in this NOFA are prohibited.
Reviewers will not consider 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 the General Section and the application submission as
posted on Grants.gov. The following checklist is provided to ensure
that you have submitted the submission of all the required elements.
Make sure you see the General Section for how to submit third party
letters and other documents as part of your electronic submission
utilizing form HUD-96011, Facsimile Transmittal. 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 of
SuperNOFA)
--An Application Cover Page in
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