# Notice of HUD's Fiscal Year 2005 Notice of Funding Availability Policy Requirements and General Section to the SuperNOFA for HUD's Discretionary Programs > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/fr%3A05-5041 ## Record - **Collection:** Federal Register - **Document type:** Notice - **Published:** March 21, 2005 - **Citation:** 70 FR 13976 ## Text Part II Department of Housing and Urban Development ----------------------------------------------------------------------- Notice of HUD's Fiscal Year 2005 Notice of Funding Availability Policy Requirements and General Section to the SuperNOFA for HUD's Discretionary Programs; Notice Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 / Notices [[Page 13576]] ----------------------------------------------------------------------- DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT [Docket No. FR-4950-N-01] Notice of HUD's Fiscal Year 2005 Notice of Funding Availability Policy Requirements and General Section to the SuperNOFA for HUD's Discretionary Programs AGENCY: Office of the Secretary, HUD. ACTION: Notice of HUD's fiscal year (FY) 2005 Notice of Funding Availability (NOFA) policy requirements and general section to the FY2005 SuperNOFA for HUD's discretionary programs (notice). ----------------------------------------------------------------------- Overview Information A. Federal Agency Name: Department of Housing and Urban Development (HUD), Office of the Secretary. B. Funding Opportunity Title: Policy requirements applicable to all HUD Federal financial assistance programs issued through a NOFA during FY2005. C. Announcement Type: Initial announcement of the general policy requirements that apply to all HUD federal financial assistance NOFAs for FY2005 issued simultaneously with or after the publication of this notice. D. Funding Opportunity Number: FR 4950-N-01. E. Catalog of Federal Domestic Assistance (CFDA) Number: A CFDA number is provided for each HUD federal financial assistance program. When using ``Apply Step 1'' on the Grants.gov Web site to download an application you will be asked for the CFDA number. Please refer to the program NOFA for the CFDA number assigned to the program(s) for which you wish to apply. F. Dates: The key dates that apply to all HUD federal financial assistance made available through HUD's FY2005 NOFAs are found in each individual program NOFA and Appendix A to this General Section. G. Optional, Additional Overview Content Information: Unless otherwise stated, HUD's general policy requirements set forth in this notice apply to all HUD federal financial assistance made available through HUD's FY2005 NOFAs. These policies cover those NOFAs issued through this SuperNOFA as well as those issued after publication of this SuperNOFA in the Federal Register. Full Text of Announcement I. Funding Opportunity Description This notice provides information regarding HUD's FY2005 policy requirements applicable to all of HUD's Federal financial assistance programs announced through NOFAs published along with this notice and any subsequent NOFA published for FY2005. Each such NOFA will provide a description of the specific requirements for the program for which funding is made available and each will refer to applicable policies contained in this notice. Each program NOFA will also describe additional procedures and requirements that apply to the individual program NOFA, including a description of the eligible applicants, eligible activities, threshold requirements, factors for award, and any additional program requirement or limitation. To ensure that you are able to adequately address all of the application requirements for any program for which you intend to apply, please be sure you carefully read and respond to both this notice of HUD's NOFA policy requirements and the individual program NOFAs. Authority. HUD's authority for making funding available under its FY2005 programs is identified in each program NOFA under the section entitled ``Funding Opportunity Description.'' II. Award Information Funding Available. Each program NOFA will identify the estimated amount of funds available in FY2005, either as a result of the enactment of a HUD appropriations act or based upon available appropriations and any funds from previous years available for award in FY2005. The FY2005 SuperNOFA contains 53 funding opportunities composed of programs and program components totaling approximately $2.26 billion. As a service to our customers, Appendix A of this notice contains a chart of the estimated amount of funds being made available in HUD's SuperNOFA for FY2005. If HUD recaptures funds in any program, HUD reserves the right to increase the available funding for the applicable program by those amounts. Note that additional NOFAs may be issued separately from the issuance of the FY2005 SuperNOFA. III. Eligibility Information A. Eligible Applicants The individual program NOFAs describe the eligible applicants and eligible activities for each program. B. Cost Sharing or Matching The individual program NOFAs describe the applicable cost sharing, matching requirements, or leveraging requirements related to each program, if any. C. Other Requirements and Procedures Applicable to All Programs Except as may be modified in the individual program NOFAs in FY2005, the requirements, procedures, and principles listed below apply to all programs in FY2005 for which funding is announced via NOFA and published in the Federal Register. Please read the individual program NOFAs for additional requirements or information. 1. Statutory and Regulatory Requirements To be eligible for funding under HUD NOFAs issued during FY2005, you, the applicant, must meet all statutory and regulatory requirements applicable to the program or programs for which you seek funding. If you need copies of the program regulations, they are available from the NOFA Information Center or through HUD's Grants Web site at 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 [[Page 13578]] payment or financial reporting requirements. h. False Statements. A false statement in an application is ground for denial or termination of an award and grounds for possible punishment as provided in 18 U.S.C. 1001. i. Prohibition Against Lobbying Activities. You, the applicant, are subject to the provisions of Section 319 of Public Law 101-121 (approved October 23, 1989) (31 U.S.C. 1352) (the Byrd Amendment), which prohibits recipients of federal contracts, grants or loans from using appropriated funds for lobbying the executive or legislative branches of the federal government in connection with a specific contract, grant, or loan. In addition, you must disclose, using Standard Form LLL, ``Disclosure of Lobbying Activities,'' any funds, other than federally appropriated funds, that will be or have been used to influence federal employees, members of Congress, or congressional staff regarding specific grants or contracts. Federally recognized Indian tribes and tribally designated housing entities (TDHEs) established by federally recognized Indian tribes as a result of the exercise of the tribe's sovereign power are excluded from coverage of the Byrd Amendment, but state-recognized Indian tribes and TDHEs established only under state law must comply with this requirement. You must submit the SF-LLL if you have used or intend to use federal funds for lobbying activities. j. Debarment and Suspension. In accordance with 24 CFR part 24, no award of federal funds may be made to applicants that are presently debarred or suspended, or proposed to be debarred or suspended, from doing business with the federal government. This requirement applies to all lower-tier covered transactions and to all solicitations for lower- tier covered transactions. The prohibition includes the following: (1) Having principals who, within the previous three years, have been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) transaction, violation of federal or state anti-trust statutes, or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; and (2) Charges or indictments by a governmental entity (federal, state, or local) for commission of any of the above violations. 3. Other Threshold Requirements The individual program NOFAs for which you are applying may specify other threshold requirements. Additional threshold requirements may be identified in the discussion of ``eligibility'' requirements in the individual program NOFAs. If a program NOFA requires a certification of consistency with the Consolidated Plan and the applicant fails to provide a certification, and such failure is not cured as a technical deficiency, HUD will not fund the application. If HUD is provided a signed certification indicating consistency with the area's approved Consolidated Plan and HUD finds that the activities are not consistent with the Consolidated Plan, HUD will not fund the inconsistent activities or will deny funding the application if a majority of the activities are not consistent with the approved Consolidated Plan. The determination not to fund an activity or to deny funding may be determined by a number of factors including, the number of activities being proposed, the impact of the elimination of the activities on the proposal, or the percent of the budget allocated to the proposed activities. 4. Additional Nondiscrimination and Other Requirements You, the applicant, and your subrecipients must comply with: a. Civil Rights Laws, including the Americans with Disabilities Act of 1990 (42 U.S.C. 1201 et seq.), the Age Discrimination Act of 1974 (42 U.S.C. 6101 et seq.), and Title IX of the Education Amendments Act of 1972 (20 U.S.C. 1681 et seq.). b. Affirmatively Furthering Fair Housing. Under Section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to affirmatively further fair housing. HUD requires the same of its funding recipients. If you are a successful applicant, you will have a duty to affirmatively further fair housing opportunities for classes protected under the Fair Housing Act. Protected classes include race, color, national origin, religion, sex, disability, and familial status. Unless otherwise instructed in the individual program NOFA, your application must include specific steps to: (1) Overcome the effects of impediments to fair housing choice that were identified in the jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice; (2) Remedy discrimination in housing; or (3) Promote fair housing rights and fair housing choice. Further, you, the applicant, have a duty to carry out the specific activities provided in your responses to the individual program NOFA rating factors that address affirmatively furthering fair housing. These requirements apply to all HUD programs announced via a NOFA, unless specifically excluded in the individual program NOFA. c. Economic Opportunities for Low- and Very Low-Income Persons (Section 3). Certain programs to be issued during FY2005 require recipients of assistance to comply with Section 3 of the Housing and Urban Development Act of 1968 (Section 3), 12 U.S.C. 1701u (Economic Opportunities for Low- and Very Low-Income Persons in Connection With Assisted Projects), and the HUD regulations at 24 CFR part 135, including the reporting requirements at subpart E. Section 3 requires recipients to ensure that, to the greatest extent feasible, training, employment, and other economic opportunities will be directed to low- and very-low-income persons, particularly those who are recipients of government assistance for housing, and business concerns that provide economic opportunities to low- and very low-income persons. Review the individual program NOFAs to determine if Section 3 applies to the program for which you are seeking funding. d. Ensuring the Participation of Small Businesses, Small Disadvantaged Businesses, and Women-Owned Businesses. HUD is committed to ensuring that small businesses, small disadvantaged businesses, and women-owned businesses participate fully in HUD's direct contracting and in contracting opportunities generated by HUD financial assistance. Too often, these businesses still experience difficulty accessing information and successfully bidding on federal contracts. State, local, and tribal governments are required by 24 CFR 85.36(e) and nonprofit recipients of assistance (grantees and sub-grantees) by 24 CFR 84.44(b) to take all necessary affirmative steps in contracting for the purchase of goods or services to assure that minority firms, women's business enterprises, and labor surplus area firms are used whenever possible or as specified in the individual program NOFAs. e. Relocation. The relocation requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, and the implementing government-wide regulation at 49 CFR part 24 cover any person who moves permanently from real property or moves personal property from real [[Page 13579]] property directly because of acquisition, rehabilitation, or demolition for an activity undertaken with HUD assistance. Some HUD program regulations also cover persons who are temporarily relocated. For example, 24 CFR 570.606(b)(2)(i)(D)(1), (2), and (3) provide guidance on temporary relocation for the Community Development Block Grants (CDBG) program. Applicants should review the regulations for the programs for which they are applying when planning their project. f. Executive Order 13166, ``Improving Access to Services for Persons With Limited English Proficiency (LEP).'' Executive Order 13166 seeks to improve access to federally assisted services, programs, and benefits for individuals with limited English proficiency. Applicants obtaining an award from HUD must seek to provide access to program benefits and information to LEP individuals through translation and interpretive services in accordance with LEP guidance published on December 19, 2003 (68 FR 70968). For assistance and information regarding your LEP obligation, go to 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 [[Page 13580]] to the award, acceptance, and use of assistance under the individual program NOFAs of this SuperNOFA, and to the remedies for noncompliance, except when inconsistent with the provisions of HUD's appropriations act for 2005, other federal statutes or regulations, or the provisions of this SuperNOFA notice. Compliance with additional OMB Circulars or government-wide regulations may be specified for a particular program in the Program Section of the Super NOFA. Copies of the OMB Circulars may be obtained from EOP Publications, Room 2200, New Executive Office Building, Washington, DC 20503, telephone (202) 395-3080 (this is not a toll-free number) or (800) 877-8339 (toll-free TTY Federal Information Relay Service) or from the Web site at 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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The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A05-5041. Public record. Not legal advice.