[Federal Register Volume 72, Number 48 (Tuesday, March 13, 2007)]
[Notices]
[Pages 11434-11772]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 07-974]



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Part II





Department of Housing and Urban Development





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Fiscal Year 2007 SuperNOFA for HUD's Discretionary Programs; Notice

Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / 
Notices

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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-5100-N-01A]


Fiscal Year 2007 SuperNOFA for HUD's Discretionary Programs

AGENCY: Office of the Secretary, HUD.

ACTION: Notice of HUD's Fiscal Year (FY) 2007 Notice of Funding 
Availability (NOFA) for HUD's Discretionary Programs (SuperNOFA).

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SUMMARY: On January 18, 2007, HUD published its Notice of FY2007 Notice 
of Funding Availability Policy Requirements and General Section to the 
SuperNOFA (General Section). HUD published the General Section of the 
FY2007 SuperNOFA in advance of the individual NOFAs to give prospective 
applicants sufficient time to begin preparing their applications, and 
to register early with Grants.gov in order to facilitate their 
application submission process. Today's publication contains the 38 
funding opportunities or program NOFAs that constitute HUD's FY2007 
SuperNOFA. In addition, today's publication provides a revised listing 
of programs contained in the FY2007 SuperNOFA and corrects two items 
contained in the General Section published on January 18, 2007.

DATES: Application deadline and other key dates that apply to all HUD 
federal financial assistance made available through HUD's FY2007 
SuperNOFA are contained in each individual program NOFA and in Appendix 
A of this notice.

FOR FURTHER INFORMATION CONTACT: The individual program NOFA identifies 
the applicable agency contact(s) for each program. Questions regarding 
today's Introduction to the SuperNOFA should be directed to the NOFA 
Information Center between the hours 10 a.m. and 6:30 p.m. eastern time 
at (800) HUD-8929. Hearing-impaired persons may access this telephone 
via TTY by calling the toll-free Federal Information Relay Service at 
(800) 877-8339. Questions regarding specific program requirements 
should be directed to the agency contact(s) identified in each program 
NOFA.

SUPPLEMENTARY INFORMATION: HUD published the General Section of the 
FY2007 SuperNOFA on January 18, 2007 (72 FR 2396). HUD published the 
General Section in advance of the individual program NOFAs to give 
prospective applicants sufficient time to begin preparing their 
applications, and to register early with Grants.gov in order to 
facilitate their application submission process. Today's publication 
contains the 38 individual funding opportunities, or program NOFAs, 
that constitute HUD's FY2007 SuperNOFA. Through the FY2007 SuperNOFA, 
HUD is making available approximately $2 billion in federal financial 
assistance. In addition, today's publication provides a revised listing 
of programs contained in the FY2007 SuperNOFA and corrects one item 
contained in the General Section published on January 18, 2007.
    Each program NOFA provides the statutory and regulatory 
requirements, threshold requirements, and rating factors applicable to 
funding made available through the individual NOFA. Applicants must 
also review, however, the January 18, 2007, General Section for 
important application information and requirements, including 
submission requirements that provide explicit instructions on file 
formats acceptable to HUD.
    Appendix A to the January 18, 2007, General Section identified the 
funding opportunities anticipated to be included in the FY2007 
SuperNOFA. HUD is revising and republishing Appendix A (Revised 
Appendix A) as part of today's FY2007 SuperNOFA publication. Revised 
Appendix A provides an up-to-date funding chart that lists the funding 
opportunities included in today's FY2007 SuperNOFA publication, along 
with the application deadline.
    In reviewing Revised Appendix A, applicants should note that the 
Youthbuild NOFA, Brownfields Economic Development Initiative (BEDI) 
NOFA, and the Public Housing Neighborhood Networks (PH-NN) NOFA are not 
part of today's FY2007 SuperNOFA publication. The Youthbuild program 
was transferred to the U.S. Department of Labor on September 22, 2006, 
in accordance with Public Law 109-281, and will not be included in the 
FY2007 SuperNOFA. Persons interested in funding opportunities under the 
Youthbuild program should contact the U.S. Department of Labor. The 
BEDI and PH-NN were not funded in FY2007. HUD is also providing NOFAs 
for three programs that were not contained in its FY2006 SuperNOFA, 
specifically the Housing Counseling Training Program, Early Doctoral 
Student Research Grant Program, and the Doctoral Dissertation Research 
Program NOFAs.
    HUD is also using today's publication to correct two items 
contained in the General Section published on January 18, 2007. 
Initially, HUD noted in section V.A.1. (third column beginning on page 
2408 and continuing to page 2409), that: ``For each program NOFA, the 
points awarded for the rating factors total 100. Depending on the 
program for which you are seeking funding, the funding opportunity may 
provide up to four bonus points, as provided below:''
    In fact, since the FY2007 SuperNOFA offers bonus points only for 
applicants that certify that their activities or projects are located 
in, intended to serve the residents of, or are consistent with the 
strategic plan for an empowerment zone (EZ), utilization plan for an 
urban or rural renewal community designated by HUD (RC), or strategic 
plan for an enterprise community designated in round II by the U.S. 
Department of Agriculture (EZ-II), collectively referred to as ``RC/EZ/
EC-IIs,'' only two bonus points are available. As a result, section 
V.A.1. (third column beginning on page 2408 and continuing to page 
2409), should read: ``For each program NOFA, the points awarded for the 
rating factors total 100. Depending on the program for which you are 
seeking funding, the funding opportunity may provide up to two bonus 
points, as provided below:''
    HUD is also correcting instructions regarding the completion of the 
Logic Model form (HUD-96010). In the third sentence of section 
VI.C.5.b. (middle column, page 2414), HUD stated that applicants should 
include all activities and outcomes expected per year of the period of 
performance. To be consistent with and correctly complete the Logic 
Model forms, applicants are advised that they must include all 
activities and outcomes expected per year of the period of performance. 
As a result, the third sentence of section VI.C.5.b. is corrected to 
read, ``[T]o provide for greater consistency in reporting, applicants 
must include all activities and outcomes expected per year of the 
period of performance as defined in the program logic model for the 
program NOFA that they apply for.''
    HUD published the General Section of the FY2007 SuperNOFA early to 
provide its applicant community with the opportunity to become familiar 
with cross-cutting requirements, and to remind prospective applicants 
to register or renew their registration in order to successfully submit 
an application via Grants.gov.
    Applicants are required to complete a five-step registration 
process in order to submit their applications electronically and 
previously registered applicants must annually update their information 
in the Central Contractor Registration (CCR) for the registration to 
remain viable. HUD has developed the following brochures and guidance, 
found at http://www.hud.gov/offices/adm/grants/fundsavail.cfm, to 
assist applicants with the registration, CCR update, and application 
processes:
     STEP BY STEP: Your Guide to Registering for Grant 
Opportunities.

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     Finding and Applying for Grant Opportunities.
     Desktop User Guide for Submitting Grant Applications.
    For FY2007, the Continuum of Care remains a paper application 
process. HUD continues to encourage Continuum of Care agencies to 
become familiar with Grants.gov requirements to facilitate the future 
transition to Grants.gov. If you have questions concerning the 
registration process or renewal, or have a question about a NOFA 
requirement, contact HUD staff listed in the program NOFAs. HUD staff 
cannot help you write your application, but can clarify requirements 
contained in this Notice and HUD's registration materials.
    Finally, applicants are invited and encouraged to participate in 
HUD's satellite training and webcast sessions designed to provide a 
detailed explanation of the general section and program section 
requirements for each of the SuperNOFA programs. The interactive 
broadcasts provide an opportunity to ask questions of HUD staff. These 
broadcasts are archived and accessible from HUD's Grants page at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. HUD also encourages 
applicants to subscribe to the Grants.gov free notification service. By 
doing so, applicants will receive e-mail notification as soon as items 
are posted to Grants.gov and will have access to a significant amount 
of useful information, including responses to frequently asked 
questions that arise during the funding application period. The address 
to subscribe to the Grants.gov free notification service is http://www.grants.gov/search/email.do. Modifications to the General Section, 
any of the program NOFAs, or the application are posted to 
www.Grants.gov as soon as they are available (except for the Continuum 
of Care NOFA). Modifications to the Continuum of Care NOFA, or the 
Continuum of Care application are posted to HUD's grants page at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
    As stated in the General Section, HUD hopes that the steps that it 
has taken to provide information early in the FY2007 funding process 
will be of benefit to you, our applicants.

    Dated: February 26, 2007.
Roy A. Bernardi,
Deputy Secretary.

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BILLING CODE 4210-01-C

Community Development Technical Assistance

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Community Planning and Development.
    B. Funding Opportunity Title: Community Development Technical 
Assistance (CD-TA).
    C. Announcement Type: Initial Announcement.
    D. Funding Opportunity Number: FR-5100-N-08; OMB Approval Numbers: 
2506-0166 for HOME Investment Partnerships Program (HOME), HOME 
Investment Partnerships Program for Community Housing Development 
Organizations (CHDO (HOME)), and McKinney-Vento Homeless Assistance 
(Homeless), 2506-0133 for Housing Opportunities for Persons With AIDS 
(HOPWA).
    E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.239, 
HOME and CHDO (HOME); 14.235, Homeless; 14.241, HOPWA.
    F. Dates: The application deadline date is May 25, 2007.
    G. Additional Overview Information: Applicants interested in 
providing technical assistance to entities participating in HUD's 
community development programs should carefully review the General 
Section and the information listed in this CD-TA NOFA. Funds are 
available to provide technical assistance for four separate program 
areas: HOME, CHDO (HOME), Homeless, and HOPWA. Applicants may apply for 
one, two, three, or all four CD-TA program areas. The application 
submission information is contained in this CD-TA NOFA at Section IV.B. 
Approximately $25.4 million is available. No cost sharing is required. 
Grants will be administered under cooperative agreements with 
significant HUD involvement (see Section II.C of this NOFA).

Full Text of Announcement

I. Funding Opportunity Description

    A. CD-TA Purpose. The purpose of the CD-TA program is to provide 
assistance to achieve the highest level of performance and results for 
four separate community development program areas: (1) HOME; (2) CHDO 
(HOME); (3) Homeless and; (4) HOPWA. Information about the four 
community development programs and their missions, goals, and 
activities can be found on the HUD Web site at www.hud.gov.
    B. Description of National TA and Local TA. There are two types of 
technical assistance (TA) funding available in this NOFA: National TA 
and Local TA.
    National TA activities are those that address, at a nationwide 
level, one or more of the CD-TA program activities and/or priorities 
identified in Section III.C. of this NOFA. National TA activities may 
include the development of written products, development of on-line 
materials, development of training courses, delivery of training 
courses previously approved by HUD, organization and delivery of 
workshops and conferences, and delivery of direct TA as part of a 
national program. Applicants for National TA must also be willing to 
work in any HUD field office area, although work in the field office 
areas is likely to be a negligible portion of National TA activities. 
National TA activities are administered by a Government Technical 
Representative (GTR) and Government Technical Monitor (GTM) at HUD 
Headquarters.
    Local TA activities also must address the CD-TA program activities 
and/or priorities identified in this NOFA; however the Local TA is 
targeted to the specific needs of the HUD community development program 
recipients in the field office area in which the TA is proposed. Local 
TA activities are limited to the development of need assessments, 
direct TA to HUD community development program recipients, organization 
and delivery of workshops and conferences, and customization and 
delivery of previously HUD-approved trainings. Local TA will be 
administered by a GTR and GTM in the respective HUD field office.
    C. Authority. HOME TA is authorized by the HOME Investment 
Partnerships Act (42 U.S.C. 12781-12783); 24 CFR part 92. CHDO (HOME) 
TA is authorized by the HOME Investment Partnerships Act (42 U.S.C. 
12773); 24 CFR part 92. For the McKinney-Vento Act Homeless Assistance 
Programs TA, the Supportive Housing Program is authorized under 42 
U.S.C. 11381 et seq.; 24 CFR 583.140; Emergency Shelter Grants, Section 
8 Moderate Rehabilitation Single Room Occupancy Program, and Shelter 
Plus Care TA are authorized by the Revised Continuing Appropriations 
Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007). HOPWA TA 
is also authorized under the continuing resolution.

II. Award Information

    A. Available Funds. Approximately $25.4 million is available for 
the CD-TA program. Additional funds may become available as a result of 
recapturing unused funds. This chart shows how the funds are divided 
among National TA and Local TA activities:

------------------------------------------------------------------------
                 Program                    National TA      Local TA
------------------------------------------------------------------------
HOME....................................      $4,000,000      $6,000,000
CHDO (HOME).............................       2,000,000       6,000,000
Homeless................................       3,500,000       3,000,000
HOPWA...................................         900,000               0
------------------------------------------------------------------------

    The Local TA funds are divided among HUD's field office 
jurisdictions for the HOME, CHDO (HOME), and Homeless programs. No 
Local TA funds are available for HOPWA. In the case of the national 
CHDO (HOME) program, if less than the total amount of available funds 
is awarded, the balance may be used to make awards under the national 
HOME TA program, subject to congressional reprogramming approval, if 
applicable. The chart below shows the amounts available in dollars for 
Local TA by CD-TA program:

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                          Local TA Area                                HOME         CHDO (HOME)      Homeless
----------------------------------------------------------------------------------------------------------------
Alabama.........................................................         $75,000         $50,000         $55,000
Alaska..........................................................          45,000          50,000          30,000
Arkansas........................................................          50,000          75,000          55,000
California--Northern and Arizona, Nevada........................         400,000         425,000         300,000
California--Southern............................................         425,000         450,000         275,000
Caribbean.......................................................         125,000         100,000          40,000
Colorado and Montana, North Dakota, South Dakota, Utah, Wyoming.         175,000         195,000          60,000
Connecticut.....................................................          70,000          80,000          40,000
District of Columbia area.......................................          70,000          80,000          50,000
Florida--Southern...............................................          75,000          60,000          25,000

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Florida--Northern...............................................         125,000          76,000          85,000
Georgia.........................................................         125,000         100,000          55,000
Hawaii..........................................................          65,000          65,000          45,000
Illinois........................................................         180,000         175,000         160,000
Indiana.........................................................         130,000          75,000          25,000
Kansas and Missouri--Western....................................         100,000          75,000          50,000
Missouri--Eastern...............................................          40,000          55,000          40,000
Kentucky........................................................         250,000         150,000          55,000
Louisiana.......................................................         100,000         100,000          54,000
Maryland, except District of Columbia area......................          60,000          50,000          30,000
Massachusetts, Maine, New Hampshire, Rhode Island, Vermont......         310,000         300,000         200,000
Michigan........................................................         175,000         225,000         150,000
Minnesota.......................................................         100,000         140,000          60,000
Mississippi.....................................................         150,000         250,000          50,000
Nebraska and Iowa...............................................          90,000          55,000          40,000
New Jersey......................................................         150,000          75,000          40,000
New Mexico......................................................         200,000         275,000          60,000
New York--Downstate.............................................         200,000         425,000         210,000
New York--Upstate...............................................         125,000          75,000          40,000
North Carolina..................................................         300,000         300,000          55,000
Ohio............................................................         150,000         190,000          70,000
Oklahoma........................................................          55,000          40,000          15,000
Oregon and Idaho................................................          85,000          75,000          30,000
Pennsylvania--Eastern and Delaware..............................         225,000         125,000          50,000
Pennsylvania--Western and West Virginia.........................         150,000         100,000          49,000
South Carolina..................................................          65,000          34,000          40,000
Tennessee.......................................................         150,000         175,000          40,000
Texas--Northern.................................................         150,000         175,000          85,000
Texas--Southern.................................................          85,000          40,000               0
Virginia, except District of Columbia area......................         100,000         100,000          40,000
Washington......................................................         100,000          65,000          40,000
Wisconsin.......................................................         100,000         150,000          70,000
Houston.........................................................         100,000         125,000          37,000
----------------------------------------------------------------------------------------------------------------

    B. Performance Period. Awards will be for a period of up to 36 
months. HUD, however, reserves the right to withdraw funds from a 
specific TA provider if HUD determines that the urgency of need for the 
assistance is greater in other field office jurisdictions or the need 
for assistance is not commensurate with the award.
    C. Terms of Award. HUD will enter into a cooperative agreement with 
selected applicants for the performance period. Because CD-TA awards 
are made as cooperative agreements, implementation entails significant 
HUD involvement. Significant HUD involvement is required in all aspects 
of TA planning, delivery, and follow-up.
    In addition to the requirements listed in the General Section, 
selected applicants are subject to the following requirements:
    1. Demand-Response System. All CD-TA awardees must operate within 
the structure of the demand-response system. Under the demand-response 
system, TA providers are required to:
    a. When requested by a GTR, market the availability of their 
services to existing and potential recipients within the jurisdictions 
in which the assistance will be delivered;
    b. Respond to requests for assistance from the GTR;
    c. When requested by a GTR, conduct a needs assessment to identify 
the type and nature of the assistance needed by the recipient of the 
assistance;
    d. Obtain the local HUD field office's approval before responding 
to direct requests for technical assistance from HOME Participating 
Jurisdictions (PJs), Community Housing Development Organizations 
(CHDOs), and McKinney-Vento Act Homeless Assistance and HOPWA grantees; 
and
    e. For CHDO (HOME) TA providers, secure a letter from a PJ stating 
that a CHDO, or prospective CHDO to be assisted by the provider, is a 
recipient or intended recipient of HOME funds and indicating, at its 
option, subject areas of assistance that are most important to the PJ.
    2. Training. When conducting training sessions as part of its CD-TA 
activities, CD-TA providers are required to:
    a. Design the course materials as ``step-in'' packages so that HUD 
or other CD-TA providers may independently conduct the course on their 
own;
    b. Make the course materials available to the GTR in sufficient 
time for review (minimum of three weeks) and receive concurrence from 
the GTR on the content and quality prior to delivery;
    c. Provide all course materials in an electronic format that will 
permit wide distribution among TA providers, field offices, and HUD 
grantees;
    d. Arrange for joint delivery of the training with HUD 
participation when requested by the GTR;
    e. Deliver HUD-approved training courses that have been designed 
and developed by others on a ``step-in'' basis when requested; and
    f. Send trainers to approved ``train-the-trainers'' sessions. The 
costs associated with attending these required sessions are eligible 
under the cooperative agreement.
    3. Field Office Involvement under National TA awards. When National 
TA providers are undertaking activities in field office jurisdictions, 
the National TA providers must work cooperatively with HUD field 
offices. Providers must notify the applicable HUD field office of the 
planned activities; consider the views or recommendations of that 
office, if any; follow those recommendations, to the degree 
practicable; and report to the applicable field office on the 
accomplishments of the assistance.
    D. Certification of HOME and CHDO TA Providers Required-Beginning 
FY2008.
    Many technical assistance providers have taken the HOME Certified 
Specialist--Regulations training and

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have passed the certification exam. Please note that beginning with the 
FY2008 NOFA, HUD intends to award higher points, under Rating Factor 1, 
to applicants delivering HOME or CHDO technical assistance that have 
staff who have taken and passed the HOME Certified Specialist--
Regulations training and exam.
    At least ten HOME Certified Specialist--Regulations training 
deliveries are scheduled for 2007 and a number of slots are set aside 
for TA providers at each of these deliveries. Registration information 
for these deliveries can be found on the web at: http://www.icfhosting.com/hcd/cpd/hcdcpd.nsf/webpages/Welcome.html.

III. Eligibility Information

    A. Eligible Applicants. The eligible applicants for each of the 
four CD-TA programs are listed in the chart below. In accordance with 
the President's faith-based initiative, HUD welcomes the participation 
of eligible faith-based and other community organizations in the CD-TA 
programs.

 
------------------------------------------------------------------------
               Program                        Eligible applicants
------------------------------------------------------------------------
HOME.................................  A for-profit or nonprofit
                                        professional and technical
                                        services company or firm that
                                        has demonstrated knowledge of
                                        the HOME program and the
                                        capacity to provide technical
                                        assistance services;
                                       A HOME Participating Jurisdiction
                                        (PJ);
                                       A public purpose organization,
                                        established pursuant to state or
                                        local legislation, responsible
                                        to the chief elected officer of
                                        a PJ;
                                       An agency or authority
                                        established by two or more PJs
                                        to carry out activities
                                        consistent with the purposes of
                                        the HOME program; or
                                       A national or regional nonprofit
                                        organization that has membership
                                        comprised predominantly of
                                        entities or officials of
                                        entities of PJs or PJs' agencies
                                        or established organizations.
CHDO (HOME)                            A public or private nonprofit
                                        intermediary organization that
                                        customarily provides services,
                                        in more than one community,
                                        related to the provision of
                                        decent housing that is
                                        affordable to low-income and
                                        moderate-income persons or
                                        related to the revitalization of
                                        deteriorating neighborhoods; has
                                        demonstrated experience in
                                        providing a range of assistance
                                        (such as financing, technical
                                        assistance, construction and
                                        property management assistance)
                                        to CHDOs or similar
                                        organizations that engage in
                                        community revitalization; and
                                        has demonstrated the ability to
                                        provide technical assistance and
                                        training for community-based
                                        developers of affordable
                                        housing.
                                       Note: Any organization funded to
                                        assist CHDOs under CD-TA may not
                                        undertake CHDO set-aside
                                        activities itself within its
                                        service area while under
                                        cooperative agreement with HUD.
Homeless.............................  A state;
                                       A unit of general local
                                        government;
                                       A public housing authority; or
                                       A public or private nonprofit or
                                        for profit organization,
                                        including educational
                                        institutions and area-wide
                                        planning organizations.
HOPWA................................  A for-profit or nonprofit
                                        organization;
                                       A state; or
                                       A unit of general local
                                        government.
------------------------------------------------------------------------

    Applicants must also meet the threshold requirements of the General 
Section, including the Civil Rights threshold in Section III (C).
    A consortium of organizations may apply for one or more CD-TA 
programs, but one organization must be designated as the applicant.
    Applicants may propose assistance using in house staff, sub 
contractors, sub recipients, and local organizations with the requisite 
experience and capabilities. Where appropriate, applicants should make 
use of TA providers located in the field office jurisdiction receiving 
services.
    B. Cost Sharing or Matching. None.

C. Other

    1. Eligible Activities and Priorities. Funds may be used to provide 
TA to grantees, prospective applicants, and project sponsors of the 
HOME, CHDO (HOME), Homeless, and HOPWA programs. For each of the TA 
programs, activities may include but are not limited to written 
information such as papers, manuals, guides, and brochures; assistance 
to individual communities; needs assessments; and training. TA should 
include information needed by the grantee to meet all Fair Housing and 
section 504 requirements. The priority TA areas for each of the four 
program areas are:
    a. HOME TA. HUD has identified four HOME program technical 
assistance priorities. These priorities that result in measurable 
performance outputs and outcomes are:
    (1) Improve the ability of PJs to design and implement housing 
programs that reflect sound underwriting, management, and fiscal 
controls; demonstrate measurable outcomes in the use of public funds; 
and provide accurate and timely reporting of HOME program 
accomplishments.
    (2) Encourage public-private partnerships that yield an increase in 
the amount of private dollars leveraged for HOME-assisted projects and 
result in an increase in the commitment and production of HOME-assisted 
units.
    (3) Assist PJs in developing strategies that ameliorate the 
affordability gap between rapidly increasing housing costs and the less 
rapid growth in incomes among low-income households, especially among 
underserved populations (e.g., residents of the Colonias, homeless 
persons, persons with disabilities, and residents of an empowerment 
zone (EZ) designated by HUD or the United States Department of 
Agriculture (USDA), an urban or rural renewal community designated by 
HUD (RC), or an enterprise community designated in round II by USDA 
(EC-II).
    (4) Assist PJs in developing strategies that increase and help 
sustain homeownership opportunities for low-income households--
particularly low-income, minority households--and directly result in 
the commitment and completion of HOME-assisted units.
    Some examples of measurable performance outputs and outcomes are 
given in Rating Factor 5.
    b. CHDO (HOME) TA.
    (1) HUD has identified three CHDO-specific technical assistance 
priorities. These priorities that result in measurable performance 
outputs and outcomes are:
    (a) Assist new CHDOs and potential CHDOs in developing the 
organizational capacity to own, develop, and sponsor HOME-assisted 
projects. A new CHDO is defined as a nonprofit organization that within 
three years of the publication of this NOFA was

[[Page 11444]]

determined by a PJ to qualify as a CHDO. A potential CHDO is defined as 
a nonprofit organization that is expected by the PJ to qualify as a 
CHDO and is expected to enter into a written agreement with that PJ to 
own, develop, or sponsor HOME-assisted housing within 24 months of the 
PJ determining the organization qualifies as a CHDO.
    (b) Improve the HOME program production and performance of existing 
CHDOs in the areas of:
    (i) Program design and management, including underwriting, project 
financing, property management, and compliance; and
    (ii) Organizational management and capacity, including fiscal 
controls, board development, contract administration, and compliance 
systems.
    (c) Provide organizational support, technical assistance, and 
training to community groups for the establishment of community land 
trusts, as defined in section 233(f) of the Cranston-Gonzales National 
Affordable Housing Act.
    (2) Additional CHDO (HOME) eligible activities are:
    (a) Under the ``Pass-Through'' provision, CD-TA providers may 
propose to fund various operating expenses for eligible CHDOs that own, 
develop, or sponsor HOME-assisted housing. Such operating expenses may 
include reasonable and necessary costs for the operation of the CHDO 
including salaries, wages, and other employee compensation and 
benefits; employee education, training and travel; rent; utilities; 
communication costs; taxes; insurance; equipment, materials, and 
supplies.
    (b) CD-TA providers must establish written criteria for selection 
of CHDOs receiving pass-through funds. PJs must designate the 
organizations as CHDOs; and, generally, the organizations should not 
have been in existence more than three years.
    CD-TA providers must enter into an agreement with the CHDO that the 
agreement and pass-through funding may be terminated at the discretion 
of HUD if no written legally binding agreement to provide assistance 
for a specific housing project (for acquisition, rehabilitation, new 
construction, or tenant-based rental assistance) has been made by the 
PJ with the CHDO within 24 months of initially receiving pass-through 
funding. The pass-through amount, when combined with other capacity 
building and operating support available through the HOME program, 
cannot exceed the greater of 50 percent of the CHDO's operating budget 
for the year in which it receives funds, or $50,000 annually.
    c. Homeless TA. Homeless TA funds are available to provide 
McKinney-Vento Homeless Assistance Act, HUD-funded grantees, project 
sponsors, and potential recipients with skills and knowledge needed to 
develop and operate projects and activities. The assistance may 
include, but is not limited to, developing and disseminating written 
information such as papers, monographs, manuals, curriculums, guides, 
and brochures; and person-to-person exchanges, conferences, training 
and use of technology. TA activities are focused on these priorities 
that result in measurable performance outputs and outcomes:
    (1) Assist CoCs with Homeless Management Information System (HMIS) 
implementation. National technical assistance will relate to data 
collection, data quality, data analysis, provider participation, 
reporting, performance measurement, data warehousing, and HMIS Data and 
Technical Standards.
    (2) Maintain and enhance the HMIS Web site portal as the vehicle 
for collection and dissemination of HMIS information.
    (3) Support collaboration between metropolitan, regional and 
statewide HMISs. Assistance may include providing state and/or regional 
HMIS technical assistance coordinators and/or technology to promote 
effectuating long-distance meeting, conferencing and networking.
    (4) Support collaboration between metropolitan, regional, and 
statewide HMISs for use in disaster preparedness and recovery efforts, 
utilizing the experience of communities that experienced Hurricanes 
Katrina and Rita.
    (5) Improve participation in the Annual Homeless Assessment Report 
(AHAR) by CoCs and providers in their geographic areas through outreach 
and capacity building. Develop materials and training for: Reporting 
bed coverage; extrapolation and data analysis methodologies and 
documents; data integration; data quality assessments; utilization of 
AHAR data at the program and/or CoC level; and the collection and 
analysis of CoC data for Congressionally-directed HMIS-related reports 
to Congress.
    d. HOPWA TA. HOPWA funds are available for technical assistance, 
training, and oversight activities which can be used to provide 
grantees, project sponsors, and potential recipients with the skills 
and knowledge to effectively develop, operate, and support HOPWA-
eligible project activities that result in measurable performance 
outputs and outcomes. TA activities are focused on these priorities:
    (1) Improve the capacity of HOPWA grantees and project sponsors to 
execute long-term comprehensive housing strategies by developing 
housing plans that integrate permanent housing and supportive services, 
thereby promoting HOPWA's national performance goals of increasing 
housing stability, reducing risks of homelessness, and improving access 
to care for HOPWA beneficiaries.
    (2) Develop national models that effectively integrate AIDS housing 
strategies into consolidated planning and Continuum of Care planning 
processes.
    (3) Develop curriculums and related training tools to assist 
grantees and project sponsors in coordinating HOPWA permanent housing 
assistance with mainstream medical and supportive service resources, 
including Ryan White CARE Act, state, local, and private resources.
    (4) Conduct training activities to improve the capacity of grantees 
and project sponsors to increase the availability of affordable housing 
opportunities for eligible persons in high incidence HIV/AIDS 
communities with substantial unmet housing needs (e.g., emerging 
populations, in major disaster areas and underserved rural areas.)
    (5) Develop training materials to promote use of Homeless 
Management Information Systems in the provision of HOPWA-assisted 
housing and coordination of supportive services for eligible homeless 
persons.
    (6) Develop technical assistance plans in collaboration with HUD 
field office oversight for local HOPWA-assisted housing programs. It is 
estimated that up to 40 percent of HOPWA TA funds will be made 
available for this purpose.
    2. DUNS Requirement. Refer to the General Section for information 
regarding the DUNS requirement. Applicants must obtain a DUNS number to 
receive an award from HUD.
    3. Other Eligibility Requirements. All applicants requesting 
funding from programs under this NOFA must be in compliance with the 
applicable threshold requirements found in the General Section. 
Applicants that do not meet these requirements will be ineligible for 
funding.
    4. False Statements. An applicant's false statement in an 
application is grounds for denial or termination of an award and 
grounds for possible punishment as provided in 18 U.S.C. 1001.
    5. Environmental review. Most activities under the CD-TA program 
are categorically excluded and not subject

[[Page 11445]]

to environmental review under 24 CFR 50.19(b)(9) or (13), but in the 
case of CHDO (HOME) TA eligible activities, a proposal for payment of 
rent as part of CHDO operational costs will be subject to environmental 
review by HUD under 24 CFR part 50. If an applicant proposes to assist 
CHDO operating expenses that include rent, the application constitutes 
an assurance that the applicant and CHDO will assist HUD to comply with 
24 CFR part 50; will supply HUD with all available and relevant 
information to perform an environmental review for the proposed 
property to be rented; will carry out mitigating measures required by 
HUD or select an alternate property; and will not lease or rent, 
construct, rehabilitate, convert or repair the property, or commit or 
expend HUD or non-HUD funds for these activities on the property to be 
rented, until HUD has completed an environmental review to the extent 
required by 24 CFR part 50. The results of the environmental review may 
require that the proposed property be rejected.

IV. Application and Submission Information

    A. Addresses to Request Application Package. Applications must be 
received and validated by Grants.gov no later than 11:59:59 p.m. 
Eastern time on the application deadline date. HUD must receive paper 
copy applications from applicants that received a waiver no later than 
11:59:59 p.m. on the application deadline date. See the General Section 
for application submission and timely receipt procedures and for 
instructions on how to request a waiver. Paper applications will not be 
accepted unless the applicant has received a waiver of the electronic 
submission requirement.
    B. Content and Form of Application Submission. Applicants must 
submit a separate application for each National TA and Local TA area 
program for which they are applying. For example, an applicant for 
National TA for HOME and for Local TA in three field office 
jurisdictions would submit four separate and distinct applications.
    A completed application consists of an application submitted by an 
authorized official of the organization and contains all relevant 
sections of the application, as shown in the checklist below in Section 
IV.B.4.
    1. Number of Copies. This information will be included in approval 
letters to applicants submitting a waiver request.
    2. Page Limitation. Narratives addressing Factors 1-5 are limited 
to no more than 25 typed pages. That is, reviewers will not review more 
than 25 pages for all five factors combined, except that the page limit 
does not include the Form HUD-96010, Logic Model.
    3. Prohibition on Materials Not Required. Materials other than what 
is requested in this NOFA are prohibited. Reviewers will not consider 
r[eacute]sum[eacute]s, charts, letters, or any other documents attached 
to the application.
    4. Checklist for Application Submission. Applicants submitting 
electronic copies should follow the procedures in Sections IV.B. and F. 
of the General Section. The following checklist is provided as a guide 
to help ensure that you submit all the required elements. For 
applicants receiving a waiver of the electronic submission, the paper 
submission must be in the order provided below. All applicants should 
enter the applicant name, DUNS number, and page numbers on the 
narrative pages of the application. All forms are available when you 
download the application and instructions from https://apply.grants.gov/forms_apps_idx.html.
--SF-424, Application for Federal Assistance (see General Section)
--An Application Cover Page indicating in bold (a) the type of TA 
proposed in the application whether HOME National, CHDO National, CHDO 
Local, Homeless National, Homeless Local, or HOPWA National (b) the 
amount of funds requested; and (c) for Local TA, the jurisdiction 
proposed in the application.
--A one-page Summary describing (a) each major component of the 
proposed TA approach; (b) the proposed cost of each major component; 
and (c) whether the component is integrally related to another 
component in order to be successful.
--Narrative addressing Factors 1-5
--HUD-96010, Logic Model
--HUD-424-CB, Grant Application Detailed Budget Form (see General 
Section)
--HUD-424-CBW, Detailed Budget Worksheet for Non-Construction Projects 
(see General Section)
--If applying for CHDO (HOME) TA, statement as to whether the 
organization proposes to pass through funds to new CHDOs.
--If applying for the CHDO (HOME) TA, a certification as to whether the 
organization qualifies as a primarily single-state provider under 
section 233(e) of the Cranston-Gonzales Affordable Housing Act.
--SF-LLL, Disclosure of Lobbying Activities (see General Section)
--HUD-2880, Applicant/Recipient Disclosure/Update Report (see General 
Section)
--SF-424, Supplement, Survey on Equal Opportunity for Applicants
--HUD-96011, Facsimile Transmittal (required for electronic submissions 
of third party documents)
    C. Submission Dates and Times. Your completed application must be 
received and validated electronically by Grants.gov no later than 
11:59:59 p.m. eastern time on the deadline date.
    D. Intergovernmental Review. Intergovernmental review is not 
applicable to CD-TA applications.
    E. Funding Restrictions. An organization may not provide assistance 
to itself. An organization may not provide assistance to another 
organization with which it contracts or sub-awards funds to carry out 
activities under the TA award.
    Funding from HOME and from CHDO (HOME) TA to any single eligible 
organization (excluding funds for organizational support and housing 
education ``passed through'' to CHDOs), whether as an applicant or sub-
recipient is limited to not more than 20 percent of the operating 
budget of the recipient organization for any one-year period of each 
cooperative agreement. In addition, funding under either HOME or CHDO 
(HOME) TA to any single organization is limited to 20 percent of the 
$18,000,000 made available for HOME and CHDO (HOME) TA in FY2007.
    Not less than 40 percent of the approximately $8,000,000 for CHDO 
(HOME) shall be made available for eligible TA providers that have 
worked primarily in one state. HUD will consider an applicant as a 
primarily single state TA provider if it can document that more than 50 
percent of its past activities in working with CHDOs or similar 
nonprofit and other organizations (on the production of affordable 
housing, revitalization of deteriorating neighborhoods, and/or the 
delivery of technical assistance to these groups) was confined to the 
geographic limits of a single state.
    No fee or profit may be paid to any recipient or sub-recipient of 
an award under this CD-TA NOFA.
    F. Other Submission Requirements. The General Section describes 
application submission procedures and how applicants may obtain proof 
of timely submission.
    Waiver of Electronic Submission Requirements. Applicants interested 
in applying for funding under this NOFA must submit their applications 
electronically or request a waiver from the Community Development 
Technical Assistance program. Applicants should

[[Page 11446]]

submit their waiver requests in writing by e-mail. Waiver requests must 
be submitted no later than 15 days prior to the application deadline 
date and should be submitted to [email protected]. Instructions 
regarding the number of copies to submit and the address where they 
must be submitted will be contained in any approval of the waiver 
request. Paper submissions must be received at the appropriate HUD 
office(s) no later than the deadline date.

V. Application Review Information

    A. Criteria. The maximum number of points to be awarded for a CD-TA 
application is 100. The minimum score for an application to be 
considered for funding is 75 with a minimum of 20 points on Factor 1. 
The CD-TA program is not subject to bonus points, as described in the 
General Section.
    Points are assigned on five factors. When addressing Factors 2-5, 
applicants should discuss the specific TA activities that will be 
carried out during the term of the cooperative agreement. Applicants 
should provide relevant examples to support the proposal, where 
appropriate. Applicants should also be specific when describing the 
communities, populations, and organizations that they propose to serve 
and the specific outcomes expected as a result of the TA.
    Factor 1 relates to the capacity of the applicant and its relevant 
organizational experience. Rating of the ``applicant'' or the 
``applicant's organization and staff'' includes in-house staff and any 
sub-contractors and sub-recipients which are firmly committed to the 
project. In responding to Factor 1, applicants should specify the 
experience, knowledge, skills, and abilities of the applicant's 
organization and staff, and any persons and organizations firmly 
committed to the project.

Rating Factor 1: Capacity of the Applicant and Relevant Organizational 
Experience (30 points) (Minimum for Funding Eligibility--20 points)

    a. (10 points) Recent and successful experience of the applicant's 
organization in providing TA in eligible activities and to eligible 
entities for the HOME, CHDO (HOME), Homeless, or HOPWA. CD-TA programs, 
as applicable.
    In rating this factor, HUD will consider the extent to which the 
application demonstrates successful experience within the last four 
years of providing TA related to the applicable CD-TA program.
    b. (10 points) Depth of experience in managing multiple TA tasks, 
to multiple entities, and in more than one geographic area.
    In rating this factor, HUD will consider the extent to which the 
application demonstrates ability to manage TA assignments effectively.
    c. (10 points) Knowledgeable key personnel skilled in providing TA 
in one or more of the eligible activities for HOME, CHDO (HOME), 
Homeless, and/or HOPWA programs, as applicable; a sufficient number of 
staff or ability to procure qualified experts or professionals with the 
knowledge, skills, and abilities to deliver the proposed level of TA in 
the proposed service area in a timely and effective fashion; and an 
ability to provide CD-TA in a geographic area larger than a single city 
or county.
    In rating this factor, HUD will consider the extent to which the 
application demonstrates the organization has an adequate number of key 
staff or ability to procure individuals with the knowledge of effective 
TA approaches and knowledge of HOME, CHDO (HOME), Homeless, or HOPWA, 
as applicable.

Rating Factor 2: Need/Extent of the Problem (10 points)

    a. For National TA applications: Sound and extensive understanding 
of need for TA in relation to the priorities listed in Section III C of 
this NOFA as demonstrated by objective information and/or data, such as 
information from HOME Snapshots, current census data, the American 
Housing Survey, or other relevant data sources.
    b. For Local TA applications: Sound and extensive understanding of 
high priority needs for TA in the jurisdiction as demonstrated by 
objective information and/or data, such as information from HOME 
Snapshots, current census data, the American Housing Survey, or other 
relevant data sources.
    In rating this factor, HUD will evaluate the extent to which the 
application demonstrates an understanding of the specific needs for TA 
and supports the description of need with reliable, program-specific, 
quantitative information. Applicants for HOME should, at a minimum, 
draw on HOME Snapshot information to demonstrate PJs' needs, in an area 
or nationwide, for additional training and capacity building. See 
http://www.hud.gov/offices/cpd/affordablehousing/programs/home/snapshot/index.cfm.

Rating Factor 3: Soundness of Approach (40 points)

    a. (25 points) (1) For National TA applications: A sound approach 
for addressing the need for eligible TA activities in relation to the 
priorities listed in Section III C of this NOFA that will result in 
positive outcomes.
    (2) For Local TA applications: A sound approach for addressing high 
priority needs for TA in the jurisdiction that will result in positive 
outcomes.
    In rating this factor, HUD will evaluate the extent to which the 
application presents and supports a detailed, feasible, practical 
approach for addressing TA needs (Local TA applications) or CD-TA 
program priorities (National TA applications), including techniques, 
timeframes, goals, and intended beneficiaries, and the likelihood that 
these activities will be cost-effective and will result in positive 
outcomes.
    b. (10 points) A feasible work plan for designing, organizing, 
managing, and carrying out the proposed TA activities under the demand-
response system.
    In rating this factor, HUD will evaluate the applicant's 
understanding of the demand-response system and the extent to which the 
application demonstrates the efficiency of the design, organization, 
and management of the proposed activities.
    c. (5 points) An effective assistance program to specific 
disadvantaged communities, populations, and/or organizations which 
previously have been underserved and have the potential to participate 
in the CD-TA program (such as the Colonias, an empowerment zone (EZ) 
designated by HUD or the United States Department of Agriculture 
(USDA), an urban or rural renewal community designated by HUD (RC), an 
enterprise community designated in round II by USDA (EC-II), or 
homeless persons and persons with disabilities).
    In rating this factor, HUD will evaluate the extent to which the 
applicant has identified and has documented, using reliable data, 
specific communities, populations, or organizations that have been 
disadvantaged or previously underserved communities, populations, or 
organizations and has developed an effective strategy for engaging 
their participation in the HOME, CHDO (HOME), Homeless, or HOPWA 
program, as applicable.

Rating Factor 4: Leveraging Resources (10 points)

    An efficient practical method to transfer manuals, guides, 
assessment

[[Page 11447]]

forms, other work products, models, and lessons learned in its CD-TA 
activities to other CD-TA grantees and/or HOME, CHDO (HOME), Homeless, 
or HOPWA program beneficiaries.
    In rating this factor, HUD will evaluate the extent to which the 
application demonstrates a cost-effective means of sharing resources 
developed under the CD-TA activities with a wide audience, including 
sharing information with other TA providers in the CD-TA program.
    Rating Factor 5: Achieving Results and Program Evaluation (10 
points)
    a. (5 points) An effective, quantifiable evaluation plan for 
measuring performance using the Logic Model with specific outcome 
measures and benchmarks, including--for HOME applicants--performance 
improvements as measured by the HOME Snapshot indicators.
    In rating this factor, HUD will evaluate the extent to which the 
application has an evaluation plan that includes outcomes and is 
specific, measurable, and appropriate in relation to the activities 
proposed.
    b. (5 points) Successful past performance in administering HUD CD-
TA programs or, for applicants new to HUD's CD-TA Programs, successful 
past performance in providing TA in other community development 
programs. Applicants should include, as applicable, increases in CPD or 
community development program accomplishments as a result of TA (e.g., 
number of homeless people or persons with HIV/AIDS receiving housing 
and services, efficiency or effectiveness of administration of CPD or 
community development programs, number of affordable housing units, 
HOME Snapshot indicators, timeliness of use of CPD or community 
development program funds).
    In rating this factor, HUD will evaluate the extent to which the 
application demonstrates successful past performance that was timely 
and resulted in positive outcomes in the delivery of community 
development TA. HUD will also consider past performance of current CD-
TA providers, including financial and other information in HUD's files.

B. Review and Selection Process

    1. Review Types. Two types of reviews will be conducted. First, HUD 
will review each application to determine whether it meets threshold 
eligibility requirements.
    Second, HUD will review and assign scores to applications using the 
Factors for Award noted in Section V.A.
    2. Ranked Order.
    a. Once rating scores are assigned, rated applications submitted 
for each National TA program and for each Local TA program will be 
listed in ranked order. Applications within the fundable range (score 
of 75+ points with 20+ points for Factor 1) may then be funded in 
ranked order under the CD-TA program and service area for which they 
applied.
    b. For purposes of coordinating activities on a national basis, HUD 
reserves the right to select a single national provider to carry out 
activities, as follows:
    (1) one for HOPWA technical assistance activities, including 
national products and local support;
    (2) one for HMIS technical assistance activities;
    (3) one for HOME and one for CHDO technical assistance activities.
    3. Threshold Eligibility Requirements. All applicants requesting 
CD-TA must be in compliance with the applicable threshold requirements 
found in the General Section and the eligibility requirements listed in 
Section III of this NOFA in order to be reviewed, scored, and ranked. 
Applications that do not meet these requirements and applications that 
were received after the deadline (see Section IV.C of the General 
Section) will be considered ineligible for funding.
    4. Award Adjustment. In addition to the funding adjustment 
authority provided for in the General Section, HUD reserves the right 
to adjust funding amounts for each CD-TA selectee. The amounts listed 
in the charts in Section II.A are provided to assist applicants to 
develop Local TA or National TA budgets and do not represent the exact 
amounts to be awarded. Once TA applicants are selected for award, HUD 
will determine the total amount to be awarded to any selected applicant 
based upon the size and needs of each of the selected applicant's 
service areas, the funds available for that area and CD-TA program, the 
number of other CD-TA applicants selected in that area or CD-TA 
program, and the scope of the TA to be provided.
    Additionally, HUD may reduce the amount of funds allocated for 
field office jurisdictions to fund National CD-TA providers and other 
CD-TA providers for activities that cannot be fully budgeted for or 
estimated by HUD Headquarters or field offices at the time this NOFA 
was published. HUD may also require selected applicants, as a condition 
of funding, to provide coverage on a geographically broader basis than 
proposed in order to supplement or strengthen the CD-TA network in 
terms of the size of the area covered and types and scope of TA 
proposed.
    If funds remain after all selections have been made, the remaining 
funds may be distributed among field offices for Local TA and/or used 
for National TA, or made available for other CD-TA program 
competitions.

VI. Award Administration Information

    A. Award Notices. HUD will send written notifications to both 
successful and unsuccessful applicants. A notification sent to a 
successful applicant is not an authorization to begin performance.
    After selection, HUD requires that all selected applicants 
participate in negotiations to determine the specific terms of the 
cooperative agreement, including the budget. Costs may be denied or 
modified if HUD determines that they are not allowable, allocable, and/
or reasonable. In cases where HUD cannot successfully conclude 
negotiations with a selected applicant or a selected applicant fails to 
provide HUD with requested information, an award will not be made to 
that applicant. In this instance, HUD may offer an award, and proceed 
with negotiations with the next highest-ranking applicant.
    After selection for funding but prior to executing the cooperative 
agreement, the selected applicant must develop in consultation with the 
GTR, a Technical Assistance Delivery Plan (TADP) for each National TA 
award. The TADP must be approved by the GTR and delineate the tasks for 
each CD-TA program the applicant will undertake during the performance 
period. For Local TA awards and generally for National TA awards, prior 
to undertaking individual tasks, the selected applicant must develop in 
consultation with the GTR a Work Plan for specific activities. The TADP 
and the Work Plans must specify the location of the proposed CD-TA 
activities, the amount of CD-TA funding and proposed activities by 
location, the improved program performance or other results expected 
from the CD-TA activities, and the methodology to be used for measuring 
the success of the CD-TA. A detailed time schedule for delivery of the 
activities, budget summary, budget-by-task, and staffing plan must be 
included in the TADP and Work Plans.
    After selection, but prior to award, applicants selected for 
funding will be required to provide HUD with their written Code of 
Conduct if they have not previously done so and it is recorded on the 
HUD Web site at http://

[[Page 11448]]

www.hud.gov/offices/adm/grants/codeofconduct/sconduct.cfm.
    B. Administrative and National Policy Requirements. After selection 
for funding but prior to award, applicants must submit financial and 
administrative information to comply with applicable requirements. 
These requirements are found in 24 CFR part 84 for all organizations 
except states and local governments whose requirements are found in 24 
CFR Part 85. Cost principles requirements are found at OMB Circular A-
122 for nonprofit organizations, OMB Circular A-21 for institutions of 
higher education, OMB Circular A-87 for states and local governments, 
and at 48 CFR 31.2 for commercial organizations. Applicants must submit 
a certification from an Independent Public Accountant or the cognizant 
government auditor, stating that the applicant's financial management 
system meets prescribed standards for fund control and accountability.
    See the General Section for requirements for Procurement of 
Recovered Materials.
    The requirements to Affirmatively Further Fair Housing do not 
apply.
    C. Reporting. CD-TA awardees will be required to report to the GTR 
on, at a minimum, a quarterly basis unless otherwise specified in the 
cooperative agreement. As part of the required report to HUD, grant 
recipients must include a completed Logic Model (HUD 96010), which 
identifies output and outcome achievements. For FY 2007, HUD is 
considering a new concept for the Logic Model. The new concept is a 
Return on Investment (ROI) statement. HUD will be publishing a separate 
notice on the ROI concept.

VII. Agency Contacts

    A. For Assistance. Applicants may contact HUD Headquarters at 202-
708-3176, or they may contact the HUD field office serving their area 
shown in Section VII.B. Persons with hearing and speech challenges may 
access the above numbers via TTY (text telephone) by calling the 
Federal Relay Service at 800-877-8339 (this is a toll-free number). 
Information may also be obtained through the HUD Web site on the 
Internet at www.hud.gov.
    B. List of Field Office Addresses. Applicants that receive a waiver 
of the electronic application submission requirements and need to 
submit copies of their application to HUD field offices should consult 
the following Web site for a listing of the HUD field office addresses 
to send Local TA applications: http://www.hud.gov/offices/cpd/about/staff/fodirectors/index.cfm.
    At the site, the map allows the user to click on an area to obtain 
the field office address and other contact information.

VIII. Other Information

    A. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control numbers 2506-0166 and 
2506-0133. In accordance with the Paperwork Reduction Act, HUD may not 
conduct or sponsor, and a person is not required to respond to, a 
collection of information unless the collection displays a currently 
valid OMB control number. Public reporting burden for the collection of 
information is estimated to average 60 hours for the application and 
grant administration. This includes the time for collecting, reviewing, 
and reporting the data. The information will be used for grantee 
selection and monitoring the administration of funds. Response to this 
request for information is required in order to receive the benefits to 
be derived.
    B. HUD Reform Act. The provisions of the HUD Reform Act of 1989 
that apply to the CD-TA program are explained in the General Section.

[[Page 11449]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.005


[[Page 11450]]



Community Development Block Grant Program for Indian Tribes and Alaska 
Native Villages

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of the Assistant Secretary for Public and Indian 
Housing, Office of Native American Programs (ONAP).
    B. Funding Opportunity Title: Community Development Block Grant 
(ICDBG) Program for Indian Tribes and Alaska Native Villages.
    C. Announcement Type: Initial Announcement.
    D. Funding Opportunity Number: The Federal Register number is FR 
5100-N-22. The OMB Approval Number is 2577-0191.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): The 
Catalog of Federal Assistance (CFDA) Number for the ICDBG program is 
14.862.
    F. Dates: Application Deadline: Applications must be received and 
validated no later than the deadline date of June 1, 2007. Please see 
Section IV of this NOFA for application submission and timely receipt 
requirements.
    G. Additional Information:
    1. Applicants for funding should carefully review the requirements 
identified in this NOFA and the General Section. Unless otherwise 
stated in this NOFA, the requirements of the General Section apply.
    2. The total approximate amount of funding available for the ICDBG 
program for fiscal year 2007 is $59.4 million less $3.96 million 
retained to fund Imminent Threat Grants, for a total of $55.4 million. 
Funds that are carried over from previous fiscal years or are 
recaptured may also be used for grant awards under this NOFA.
    3. Eligible applicants are Indian tribes or tribal organizations on 
behalf of Indian tribes. Specific information on eligibility is located 
in Section III.A. of this NOFA.

Full Text of Announcement

I. Funding Opportunity Description

    A. General. Title I of the Housing and Community Development Act of 
1974, which authorizes Community Development Block Grants, requires 
that grants for Indian tribes be awarded on a competitive basis. All 
grant funds awarded in accordance with this NOFA are subject to the 
requirements of 24 CFR part 1003. Applicants within an Area ONAP's 
geographic jurisdiction compete only against each other for that Area 
ONAP's allocation of funds.
    B. Authority. The authority for this program is Title I of the 
Housing and Community Development Act of 1974 (42 U.S.C. 5301 et seq.) 
and the program regulations in 24 CFR part 1003.
    C. Program Description. The purpose of the ICDBG program is the 
development of viable Indian and Alaska Native communities, including 
the creation of decent housing, suitable living environments, and 
economic opportunities primarily for persons with low- and moderate-
incomes as defined in 24 CFR 1003.4. The ONAP in HUD's Office of Public 
and Indian Housing administers the program.
    Projects funded by the ICDBG program must meet the primary 
objective, defined at 24 CFR 1003.2, to principally benefit low- and 
moderate-income persons. Consistent with this objective, not less than 
70 percent of the expenditures of each single-purpose grant shall be 
for activities that meet the regulatory criteria at 24 CFR 1003.208 
for:
    1. Area Benefit Activities
    2. Limited Clientele Activities
    3. Housing Activities
    4. Job Creation or Retention Activities
    ICDBG funds may be used to improve housing stock, provide community 
facilities, improve infrastructure, and expand job opportunities by 
supporting the economic development of the communities, especially by 
nonprofit tribal organizations or local development corporations.
    ICDBG single-purpose grants are distributed as annual competitive 
grants, in response to this NOFA.
    ICDBG imminent threat grants are intended to alleviate or remove 
threats to health or safety that require an immediate solution as 
described at 24 CFR part 1003, subpart E. The problem to be addressed 
must be such that an emergency situation exists or would exist if the 
problem were not addressed.
    You do not have to submit a request for imminent threat funds by 
the deadline established in this NOFA. The deadline applies only to 
applications submitted for assistance under 24 CFR part 1003, subpart 
D, single-purpose grants. Imminent threat requests may be submitted at 
any time after NOFA publication, and if the following criteria are met, 
the request may be funded until the amount set aside for this purpose 
is expended:
    1. Independent verification from a third party (i.e., Indian Health 
Service, Bureau of Indian Affairs) of the existence, immediacy, and 
urgency of the threat must be provided;
    2. The threat must not be recurring in nature, i.e., it must 
represent a unique and unusual circumstance that has been clearly 
identified by the tribe or village;
    3. The threat must affect or impact an entire service area and not 
solely an individual family or household; and
    4. It must be established that funds are not available from other 
local, state, or federal sources to address the problem. The tribe or 
village must verify that federal or local agencies that would normally 
provide assistance for such improvements have no funds available by 
providing a written statement to that effect. The tribe or village must 
also verify in the form of a tribal council resolution (or equivalent) 
that it has no available funds, including Indian Housing Block Grant 
funds, for this purpose.
    If, in response to a request for assistance, an Area ONAP issues 
you a letter to proceed under the authority of 24 CFR 1003.401(a), then 
your application must be submitted to and approved by the Area ONAP 
before a grant agreement may be executed. Contact your Area ONAP office 
for more information on imminent threat grants.

D. Definitions Used in this NOFA

    1. Adopt. To approve by formal tribal resolution.
    2. Document. To supply supporting written information and/or data 
in the application that satisfies the NOFA requirement. Documentation 
should clearly and concisely support your response to the rating 
factor.
    3. Entity Other than Tribe. A distinction is made between the 
requirements for point award under Rating Factor 3 if a tribe or an 
entity other than the tribe will assume maintenance and related 
responsibilities for projects other than economic development, and land 
acquisition to support new housing. Entities other than the tribe must 
have the following characteristics:
    (a) Must be legally distinct from the tribal government; (b) their 
assets and liabilities cannot be considered to be assets and 
liabilities of the tribal government; (c) claims against such entities 
cannot be made against the tribal government; and (d) must have 
governing boards, boards of directors, or groups or individuals similar 
in function and responsibility to such boards which are separate from 
the tribe's general council, tribal council, or business council, as 
applicable.
    4. Homeownership Assistance Programs. Tribes may apply for 
assistance to provide direct homeownership assistance to low- and 
moderate-income households to: (a) Subsidize interest rates and 
mortgage principal amounts for low- and

[[Page 11451]]

moderate-income homebuyers; (b) finance the acquisition by low- and 
moderate-income homebuyers of housing that is occupied by the 
homebuyers; (c) acquire guarantees for mortgage financing obtained by 
low- and moderate-income homebuyers from private lenders (except that 
ICDBG funds may not be used to guarantee such mortgage financing 
directly, and grantees may not provide such guarantees directly); (d) 
provide up to 50 percent of any down payment required from a low- and 
moderate-income homebuyer; or (e) pay reasonable closing costs 
(normally associated with the purchase of a home) incurred by a low- or 
moderate-income homebuyer.
    5. Leveraged Resources. Leveraged resources are resources that you 
will use in conjunction with ICDBG funds to achieve the objectives of 
the project. Leveraged resources include, but are not limited to: 
tribal trust funds, loans from individuals or organizations, business 
investments, private foundations, state or federal loans or guarantees, 
other grants, and non-cash contributions and donated services. (See 
Rating Factor 4 for documentation requirements for leveraged 
resources.)
    6. Microenterprise Programs. Tribes may apply for assistance to 
operate programs to fund the development, expansion, and stabilization 
of microenterprises. Microenterprises are defined as commercial 
entities with five or fewer employees, including the owner. 
Microenterprise program activities may entail the following assistance 
to eligible businesses: (a) Providing credit, including, but not 
limited to, grants, loans, loan guarantees, and other forms of 
financial support for the establishment, stabilization, and expansion 
of microenterprises; (b) providing technical assistance, advice, and 
business support services to owners of microenterprises and persons 
developing microenterprises; and (c) providing general support, 
including, but not limited to, peer support programs, counseling, child 
care, transportation, and other similar services to owners of 
microenterprises and persons developing microenterprises.
    7. Operations and Maintenance (O&M) for Public Facilities and 
Improvements. While various items of cost will vary in importance and 
significance depending on the type of facility proposed, there are 
items of expense related to the operation of the physical plant that 
must be addressed in an O&M plan (the tribe assumes responsibility) or 
in a letter of commitment (an entity other than tribe will assume these 
responsibilities). Although the tribe no longer has to submit the O&M 
plan with the application, it must provide a written statement that it 
has adopted an O&M plan and that the plan addresses several items. 
These items include daily or other periodic maintenance activities, 
repairs such as replacing broken windows, capital improvements or 
replacement reserves for repairs such as replacing the roof, fire and 
liability insurance (may not be applicable to most types of 
infrastructure projects such as water and sewer lines), and security 
(may not be applicable to many types of infrastructure projects such as 
roads). (Please note that while it is possible that the service 
provider may, in its agreement with a tribe, commit itself to cover 
certain or all facility O&M costs, these costs do not include the 
program service provision costs related to the delivery of services 
(social, health, recreational, educational, or other) that may be 
provided in a facility).
    8. Outcomes. The ultimate impact you hope to achieve with the 
proposed project. Outcomes should be quantifiable measures or 
indicators and identified in terms of the change in the community, 
people's lives, economic status, etc. Common outcomes could include 
increases in percent of housing units in standard condition, 
homeownership rates, or employment rates.
    9. Outputs. Outputs are the direct products of a program's 
activities. They are usually measured in terms of the volume of work 
accomplished, such as the number of low-income households served, 
number of units constructed or rehabilitated, linear feet of curbs and 
gutters installed, or number of jobs created or retained. Outputs 
should be clear enough to allow HUD to monitor and assess your proposed 
project's progress if funded.
    10. Project Cost. The total cost to implement the project. Project 
costs may be covered by both ICDBG and non-ICDBG funds and resources.
    11. Standard Housing/Standard Condition. Housing that meets the 
housing quality standards (HQS) adopted by the applicant. The HQS 
adopted by the applicant must be at least as stringent as the Section 8 
HQS contained in 24 CFR 982.401 (Section 8 Tenant-Based Assistance: 
Housing Choice Voucher program) unless the ONAPs approve less stringent 
standards based on a determination that local conditions make the use 
of Section 8 HQS unfeasible. Before the application deadline, you may 
submit a request for the approval of standards less stringent than 
Section 8 HQS. If you submit the request with your application, you 
should not assume automatic approval by ONAP. The adopted standards 
must provide for (a) a safe house, in physically sound condition with 
all systems performing their intended design functions; (b) a livable 
home environment and an energy efficient building and systems that 
incorporate energy conservation measures; and (c) an adequate space and 
privacy for all intended household members.
    12. Statement. When a ``written statement'' is requested for any 
threshold, program requirement, or rating factor, the applicant must 
address in writing the specific item cited.
    13. Tribe. The word ``tribe'' means an Indian tribe, band, group or 
nation, including Alaska Indians, Aleuts, Eskimos, Alaska Native 
Villages, Alaska Native Claims Settlement Act (ANCSA) Village 
Corporations, and ANCSA Regional Corporations.

II. Award Information

    A. Available Funds. The fiscal year 2007 appropriation for the 
ICDBG program is $59.4 million, less $3.96 million retained to fund 
Imminent threat grants, for a total of approximately $55.4. Funds that 
are carried over from previous fiscal years or are recaptured may also 
be used for grant awards under this NOFA. In accordance with the 
provisions of 24 CFR part 1003, subpart E, HUD has retained $3.96 
million of the FY 2007 appropriation to meet the funding needs of 
imminent threat requests submitted to any of the Area ONAPs. The grant 
ceiling for imminent threat requests for FY 2007 is $450,000. This 
ceiling has been established pursuant to the provisions of 24 CFR 
1003.400(c).
    B. Allocations to Area ONAPs. The requirements for allocating funds 
to Area ONAPs responsible for program administration are found at 24 
CFR 1003.101. Following these requirements, based on an appropriation 
of $59.4 million less $3.96 million for imminent threat grants, the 
allocations for FY 2007 are approximately as follows: Eastern/
Woodlands: $6,325,737; Southern Plains: $11,864,746; Northern Plains: 
$7,917,788; Southwest: $20,525,637; Northwest: $2,891,489; Alaska: 
$5,914,603; Total $55,400,000.
    C. Compliance with Regulations, Guidelines, and Requirements. 
Applicants awarded a grant under this NOFA are required to comply with 
the regulations, guidelines, and requirements with respect to the 
acceptance and use of federal funds for this federally assisted 
program. Also,

[[Page 11452]]

the grantee, by accepting the grant, provides assurance with respect to 
the grant that:
    1. It possesses the legal authority to apply for the grant and 
execute the proposed program.
    2. The governing body has duly authorized the filing of the 
application, including all understandings and assurances contained in 
the application, and has directed and authorized the person identified 
as the official representative of the applicant to act in connection 
with the application and to provide such additional information as may 
be required.
    3. It will comply with HUD general administration requirements in 
24 CFR Part 85.
    4. It will comply with the requirements of Title II of Public Law 
90-284 (25 U.S.C. 1301), the Indian Civil Rights Act. Federally 
recognized Indian tribes and their instrumentalities are subject to the 
requirements of: Title II of the Civil Rights Act of 1964, known as the 
Indian Civil Rights Act; Section 109 prohibitions against 
discrimination based on age, sex, religion and disability; the Age 
Discrimination Act of 1975; and Section 504 of the Rehabilitation Act 
of 1973.
    5. It will comply with the Indian preference provisions required in 
24 CFR 1003.510.
    6. It will establish written safeguards to prevent employees from 
using positions funded under the ICDBG programs for a purpose that is, 
or gives the appearance of being, motivated by private gain for 
themselves, their immediate family, or business associates. Employees 
are not otherwise limited from benefiting from program activities for 
which they are otherwise eligible.
    7. Neither the applicant nor its principals are presently excluded 
from participation in any HUD programs, as required by 24 CFR part 24.
    8. The chief executive officer or other official of the applicant 
approved by HUD:
    a. Consents to assume the status of a responsible federal official 
under the National Environmental Policy Act of 1969 insofar as the 
provisions of the Act apply to the applicant's proposed program 
pursuant to 24 CFR 1003.605.
    b. Is authorized and consents on behalf of the applicant and him/
herself to accept the jurisdiction of the federal courts for the 
purpose of enforcement of his/her responsibilities as such an official.

    Note: Applicants for whom HUD has approved a claim of incapacity 
to accept the responsibilities of the federal government for 
purposes of complying with the environmental review requirements of 
24 CFR part 58, pursuant to 24 CFR 1003.605, are not subject to the 
provision of paragraph 8.

    9. It will comply with the requirements of Section 3 of the Housing 
and Urban Development Act of 1968 and the regulations in 24 CFR part 
135 (Economic Opportunities for Low and Very Low Income Persons) to the 
maximum extent consistent with, but not in derogation of, compliance 
with Section 7(b) of the Indian Self-Determination and Education 
Assistance Act (25 USC. 450e(b)). Two points will be awarded under 
Rating Factor 3 in fiscal year 2007 for applicants who demonstrate how 
they will incorporate Section 3 principles into their proposed 
projects.
    10. It will comply with the requirements of the Fire Authorization 
Administration Act of 1992 (Pub. L. 102-522).
    11. It will comply with 24 CFR, part 4, subpart A, showing full 
disclosure of all benefits of the project as collected by form HUD-
2880, Applicant/Recipient Disclosure Report.
    12. Prior to submission of its application to HUD, the grantee has 
met the citizen participation requirements, which include following 
traditional means of member involvement, as required in 24 CFR 
1003.604.
    13. It will administer and enforce the labor standards requirements 
prescribed in 24 CFR 1003.603.
    14. The project has been developed so that not less than 70 percent 
of the funds received under this grant will be used for activities that 
benefit low- and moderate-income persons.
    15. Executive Order 13202, ``Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects'' applies to 
projects funded under this NOFA. See the General Section for more 
information.
    D. Period of Performance. The period of performance for any grant 
awarded under this NOFA must be included in the Implementation 
Schedule, form HUD-4125, and approved by HUD.

III. Eligibility Information

A. Eligible Applicants

    Eligible applicants are Indian tribes or tribal organizations on 
behalf of Indian tribes. To apply for funding, you must be eligible as 
an Indian tribe (or as a tribal organization), as required by 24 CFR 
1003.5, by the application deadline date.
    Tribal organizations are permitted to submit applications under 24 
CFR 1003.5(b) on behalf of eligible tribes when one or more eligible 
tribe(s) authorize the organization to do so under concurring 
resolutions. The tribal organization must itself be eligible under 
Title I of the Indian Self-Determination and Education Assistance Act. 
The Bureau of Indian Affairs (BIA) or the Indian Health Service (IHS), 
as appropriate, must make a determination of such eligibility. This 
determination must be provided to the Area ONAP by the application 
deadline.
    If a tribe or tribal organization claims that it is a successor to 
an eligible entity, the Area ONAP must review the documentation to 
determine whether it is in fact the successor entity.
    Applicants from within Alaska: Due to the unique structure of 
tribal entities eligible to submit ICDBG applications in Alaska, and as 
only one ICDBG application may be submitted for each area within the 
jurisdiction of an entity eligible under 24 CFR 1003.5, a tribal 
organization that submits an application for activities in the 
jurisdiction of one or more eligible tribes or villages must include a 
concurring resolution from each such tribe or village authorizing the 
submission of the application. An application submitted by a tribal 
organization on behalf of a specific tribe will not be accepted if the 
tribe itself submits an application for the same funding round. The 
hierarchy for funding priority continues to be the IRA Council, the 
Traditional Village Council, the ANCSA Village Corporation, and the 
ANCSA Regional Corporation.
    On November 25, 2005, the BIA published a Federal Register notice 
entitled, ``Indian Entities Recognized and Eligible to Receive Services 
From the United States Bureau of Indian Affairs'' (70 FR 71194). This 
notice provides a listing of Indian Tribal Entities in Alaska found to 
be Indian tribes as the term is defined and used in 25 CFR part 83. 
Additionally, pursuant to Title I of the Indian Self-Determination and 
Education Assistance Act, ANCSA Village Corporations and Regional 
Corporations are also considered tribes and therefore eligible 
applicants for the ICDBG program.
    Any questions regarding eligibility determinations and related 
documentation requirements for entities in Alaska should be referred to 
the Alaska Area ONAP prior to the application deadline. (See 24 CFR 
1003.5 for a complete description of eligible applicants.)

[[Page 11453]]

B. Cost Sharing or Matching.

    Cost sharing or matching is not required under this grant; however, 
applicants who leverage this grant with other funds receive points. See 
Section V. (A) Rating Factor 4.

C. Other

1. HUD Requirements.
    Applicants for single purpose grants must comply with the HUD 
Threshold Requirements listed in the General Section, Section III, C. 
in order to receive an award of funds.
2. Program and Project Specific Requirements
    a. Low- and Moderate-Income Status for Rehabilitation Projects. 
Your application must contain information that shows that all 
households that receive ICDBG grant assistance under a housing 
rehabilitation project are of low- and moderate-income status.
    b. Housing Rehabilitation Cost Limits. Grant funds spent on 
rehabilitation must fall within the following per-unit limits for each 
Area ONAP jurisdiction: Eastern/Woodlands: $35,000; Southern Plains: 
$35,000; Northern Plains: $50,000; Southwest: $50,000; Northwest 
$40,000; Alaska: $55,000.
    c. Commitment to Housing for Land Acquisition to Support New 
Housing Projects. For land acquisition to support new housing projects, 
your application must include evidence of financial commitment and an 
ability to construct at least 25 percent of the housing units on the 
land proposed for acquisition. This evidence must consist of one (or 
more) of the following: a firm or conditional commitment to construct 
(or to finance the construction of) the units; documentation that an 
approvable application for the construction of these units has been 
submitted to a funding source or entity; or documentation that these 
units are specifically identified in the Indian Housing Plan (IHP), 
(one-Year Financial Resources Narrative; Table 2, Financial Resources, 
Part I, Line 1E; and Table 2, Financial Resources, Part II) submitted 
by or on behalf of the applicant as an affordable housing resource with 
a commensurate commitment of Indian Housing Block Grant (IHBG) (also 
known as NAHBG) resources. If the IHP for the IHBG (also known as 
NAHBG) program year that coincides with the implementation of the ICDBG 
proposed project has not been submitted, you must provide an assurance 
that the IHP will specifically reference the proposed project. The IHP 
submission must occur within three years from the date the land is 
acquired and ready for development.
    d. Health Care Facilities. If you propose a facility that would 
provide health care services funded by the Indian Health Service (IHS), 
you must assure that the facility meets all applicable IHS facility 
requirements. HUD recognizes that tribes that are contracting services 
from the IHS may establish other facility standards. These tribes must 
assure that these standards at least compare to nationally accepted 
minimum standards.
3. Program-Related Threshold Requirements
    a. Outstanding ICDBG Obligation. According to 24 CFR 1003.301(a), 
an applicant who has an outstanding ICDBG obligation to HUD that is in 
arrears, or one that has not agreed to a repayment schedule, will be 
disqualified from the competition.
    b. Compliance with Fair Housing and Civil Rights Laws. Applicants 
and subrecipients that are not federally recognized Indian tribes or 
instrumentalities of a tribe are subject to the Civil Rights threshold 
requirements found in the General Section. Federally recognized Indian 
tribes and instrumentalities of tribes are subject to the requirements 
of Title II of the Civil Rights Act of 1964, known as the Indian Civil 
Rights Act; Section 109 prohibitions against discrimination based on 
age, sex, religion and disability; the Age Discrimination Act of 1975; 
and Section 504 of the Rehabilitation Act of 1973. To be eligible to 
apply, there must be no outstanding violations of these civil rights 
provisions at the time of application.
    4. Project-Specific Threshold Requirements. Applicants must meet 
all parts of the project-specific threshold applicable to the proposed 
project. The thresholds are:
    a. Housing Rehabilitation Project Thresholds. In accordance with 24 
CFR 1003.302(a), for housing rehabilitation projects, you must adopt 
rehabilitation standards and rehabilitation policies before you submit 
an application. In addition, you must state that you have in place 
rehabilitation policies and standards that have been adopted in 
accordance with tribal law or practice. Do not submit your policies or 
standards with the application. You must also provide a written 
statement that project funds will be used to rehabilitate HUD-assisted 
houses only when the homebuyer's payments are current or the homebuyer 
is current in a repayment agreement except because of an emergency 
situation. For purposes of meeting this threshold, HUD-assisted houses 
are houses that are owned and/or managed by the tribe or tribally 
designated housing entity (TDHE). The ONAP Administrator, on a case-by-
case basis, may approve exceptions to this requirement if the applicant 
provides adequate justification for the exception with its application.
    b. New Housing Construction Project Thresholds
    1. In accordance with 24 CFR 1003.302(b), new housing construction 
can only be implemented when necessary through a Community Based 
Development Organization (CBDO). Eligible CBDOs are described in 24 CFR 
1003.204(c). You must provide documentation establishing that the 
entity implementing your new housing construction project qualifies as 
a CBDO.
    2. In accordance with 24 CFR 1003.302, you must have a current, in 
effect, tribal resolution adopting and identifying construction 
standards.
    3. In accordance with 24 CFR 1003.302, you must also include in 
your application documentation affirming the following:
    (a) All households to be assisted under a new housing construction 
project must be of low- or moderate-income status;
    (b) No other housing is available in the immediate reservation area 
that is suitable for the households to be assisted;
    (c) No other sources, including an Indian Housing Block Grants 
(IHBG), can meet the needs of the household(s) to be served; and
    (d) Rehabilitation of the unit occupied by the household(s) to be 
assisted is not economically feasible, the household(s) to be housed is 
currently in an overcrowded house (more than one household per house), 
or the household to be assisted has no current residence.
    c. Economic Development Project Thresholds. In accordance with 24 
CFR 1003.302, for economic development assistance projects, you must 
provide a financial analysis. The financial analysis must demonstrate 
that the project is financially feasible and the project has a 
reasonable chance of success. The analysis must also demonstrate the 
public benefit resulting from the ICDBG assistance. The more funds you 
request, the greater the public benefit you must demonstrate. The 
analysis must also establish that to the extent practicable, reasonable 
financial support will be committed from non-federal sources prior to 
disbursement of federal funds; any grant amount provided will not 
substantially reduce the amount of non-federal financial support for 
the activity; not more than a reasonable rate of return on

[[Page 11454]]

investment is provided to the owner; and that grant funds used for the 
project will be disbursed on a pro-rata basis with amounts from other 
sources.
    d. There are no project specific thresholds for Land Acquisition to 
Support New Housing, Homeownership Assistance, Public Facilities and 
Improvements, and Microenterprise Projects.
    5. Public Service Projects. Because there is a regulatory 15 
percent cap on the amount of grant funds that may be used for public 
service activities, you may not receive a single-purpose grant solely 
to fund public service activities. Your application, however, may 
contain a public service component for up to 15 percent of the total 
grant, and this component may be unrelated to the other project(s) in 
your application. If your application does not receive full funding, 
HUD will reduce the public service allocation proportionately so that 
it comprises no more than 15 percent of the total grant award. In 
making such reductions, the feasibility of the proposed project will be 
taken into consideration. If a proportionate reduction of the public 
service allocation renders such a project infeasible, the project will 
not be funded. A complete description of public service projects is 
located at 24 CFR part 1003.201.
    6. Restrictions on Eligible Activities. A complete description of 
activities that are eligible for ICDBG funding are identified at 24 CFR 
part 1003, subpart C. Please note that although this subpart has not 
yet been revised to include the restrictions on the ineligible activity 
that was added to Section 105 of the CDBG statute by Section 588 of the 
Quality Housing and Work Responsibility Act of 1998, this restriction 
applies. Specifically, ICDBG funds may not be used to assist directly 
in the relocation of any industrial or commercial plant, facility, or 
operation, from one area to another, if the relocation is likely to 
result in a significant loss of employment in the labor market area 
from which the relocation occurs. Rating Factors 2 and 3 included under 
Section V specify many of the activities listed as eligible under part 
1003, subpart C. Those listed include new housing construction (in 
certain circumstances, as described in Rating Factors 2 and 3), housing 
rehabilitation, land acquisition to support new housing, homeownership 
assistance, public facilities and improvements, economic development, 
and microenterprise programs. However, the following eligible 
activities not clearly identified by the rating factors may be proposed 
and rated as described below. During the past few years, many tribes 
have experienced high incidences of mold growth in tribal homes and 
buildings. Renovation of affected buildings is eligible under housing 
rehabilitation or public facility improvement projects.
    a. Acquisition of property. This activity can be proposed as 
acquisition of land or other real property to support New Housing 
Construction, Housing Rehabilitation, Public Facilities and 
Improvements, or Economic Development, depending on the purpose of the 
acquisition.
    b. Assistance to Institutions of Higher Learning. If such entities 
have the capacity, they can help the ICDBG grantees implement eligible 
projects.
    c. Assistance to Community Based Development Organizations (CBDOs). 
Grantees may provide assistance to these organizations to undertake 
activities related to neighborhood revitalization, community economic 
development, or energy conservation.
    d. Clearance and Demolition. These activities can be proposed as 
part of Housing Rehabilitation, New Housing Construction, Public 
Facilities and Improvements, Economic Development, or Land to Support 
New Housing. Section 1003.201 (d) states, ``Demolition of HUD-assisted 
housing units may be undertaken only with the prior approval of HUD.''
    e. Code Enforcement. This activity can be proposed as Housing 
Rehabilitation. The activity must comply with the requirements at 24 
CFR 1003.202.
    f. Comprehensive Planning. This activity is eligible, and can be 
proposed as part of any otherwise-eligible project to the extent 
allowed by the 20 percent cap on the grant for planning/administration.
    g. Energy Efficiency. Associated activities can be proposed under 
Housing Rehabilitation or Public Facilities and Improvements, depending 
upon the type of energy efficiency activity.
    h. Lead-Based Paint Evaluation and Abatement. These activities can 
be proposed under Housing Rehabilitation.
    i. Non-Federal Share. ICDBG funds can be used as a match for any 
non-ICDBG funding to the extent allowed by such funding and the 
activity is eligible under 24 CFR part 1003, subpart C.
    j. Privately and Publicly Owned Commercial or Industrial Buildings 
(real property improvements). These activities can be proposed under 
Economic Development. Privately owned commercial rehabilitation is 
subject to the requirements at 24 CFR 1003.202.
    k. Privately Owned Utilities. Assistance to privately owned 
utilities can be proposed under Public Facilities and Improvements.
    l. Removal of Architectural Barriers. This includes removing 
barriers that restrict mobility and access for elderly and persons with 
disabilities. In addition, accommodation should be made for persons 
with all varieties of disabilities to enable them to benefit from these 
activities. This activity can be proposed under Housing Rehabilitation 
or Public Facilities and Improvements, depending upon the type of 
structure where the barrier will be removed.
    7. Application Screening. The Area ONAP will screen applications 
for single-purpose grants. The Area ONAP will reject an application 
that fails this screening and will return the application unrated. The 
Area ONAP will accept your application if it meets all the criteria 
listed below as items a through f.
    a. Your application is received or submitted in accordance with the 
requirements set forth under Application and Submission Procedures in 
Section IV of this NOFA;
    b. You are eligible;
    c. The proposed project is eligible;
    d. Your application contains all the components specified in 
Section IV. B. of this NOFA;
    e. Your application shows that at least 70 percent of the grant 
funds are to be used for activities that benefit low- and moderate-
income persons, in accordance with the requirements of 24 CFR 1003.208. 
For screening purposes only, HUD will use the 2000 census data if the 
data you submitted does not meet this screening requirement; and
    f. Only one ICDBG application may be submitted for each area within 
the jurisdiction of an entity eligible under 24 CFR 1003. An 
application may include more than one project, but it cannot exceed the 
grant ceilings listed in Section IV.

IV. Application and Submission Information

    A. Addresses to Request Application Package. Applicants are 
required to submit an electronic application, unless they receive a 
waiver of the requirement. See the General Section for information on 
electronic application submission and timely submission and receipt 
requirements. Waiver requests must be submitted to the Headquarters 
ONAP, Office of Grants Management in writing, using mail, e-mail or 
fax. Waiver requests must be submitted no later than 15 days prior to 
the application deadline date and should be

[[Page 11455]]

sent to Deborah M. Lalancette, HUD, ONAP, 1670 Broadway, 23rd Floor 
Denver CO 80202; by e-mail to [email protected] or by fax 
to 303-675-1660.

B. Content and Form of Application Submission

    1. Application Information. All information required to complete a 
valid application is included in the General Section and this NOFA. 
Copies of the General Section and ICDBG NOFA may be downloaded from the 
grants.gov Web site at http://www.grants.gov/applicants/apply--for--
grants.jsp. If you experience any problems with downloading the General 
Section or the ICDBG NOFA, call the Grants.gov help desk at 800-518-
GRANTS. Before preparing an application, applicants should carefully 
review the program description, ineligible activities, program and 
threshold requirements, and the General Section. Applicants should 
carefully review each rating factor listed in Section V of this NOFA, 
before writing a narrative response. Indicate on the first page of each 
project submission the type of project(s) you are proposing: Economic 
Development, Homeownership Assistance, Housing Rehabilitation, Land 
Acquisition to Support New Housing, Microenterprise Programs, New 
Housing Construction, or Public Facilities and Improvements. This will 
help to ensure that the appropriate project-specific thresholds and 
rating subfactors will be applied. Narrative statements submitted to 
support your application should be individually labeled to reflect the 
item the narrative is responding to, e.g., Factor 1, Factor 2, etc. 
Applicants should not submit third party documents, such as audits, 
resolutions, policies, unless specifically asked to do so. Additional 
information regarding electronic submissions can be found in the 
General Section.
    If you received a waiver to the electronic application submission 
requirements and are submitting a paper application, please use 
separate tabs for each rating factor and rating subfactor. In order to 
be rated, make sure the response is beneath the appropriate heading. 
Keep the responses in the same order as the NOFA. It is recommended 
that you limit your narrative explanations to 200 words or less and 
provide the necessary data such as a market analysis, a pro forma, 
housing survey data, etc., that support the response. Include all 
relevant material to a response under the same tab. Only include 
documentation that will clearly and concisely support your response to 
the rating criteria.
    HUD suggests that you do a preliminary rating for your project, 
providing a score according to the point system in Section V of this 
NOFA. This will show you how reviewers might score your project and 
identify its strengths and weaknesses. This will help you determine 
where you can make improvements prior to its submission. An application 
checklist for you to use to ensure that you have submitted all required 
components is found in this section under item 2c.
    2. Content of Application, Forms, and Required Elements. The 
applicant must respond in narrative form to all five of the rating 
factors listed in Section V.A. of this NOFA. In addition, the applicant 
must submit all of the forms required in this section, along with other 
data listed below.
    a. Demographic data. You may submit data that are unpublished, not 
generally available, and not older than three years, in order to meet 
the requirements of this section. Your application must contain a 
statement that the following criteria have been met:
    (1) Generally available published data are substantially inaccurate 
or incomplete;
    (2) Data that you submit have been collected systematically and are 
statistically reliable;
    (3) Data are, to the greatest extent feasible, independently 
verifiable; and
    (4) Data differentiate between reservation and BIA service area 
populations, when applicable.
    b. Publication of Community Development Statement. You must prepare 
and publish or post the community development statement portion of your 
application according to the citizen participation requirements of 24 
CFR 1003.604. You may post or publish a statement that indicates that 
the entire Community Development Statement is available for public 
viewing and include the location, dates, and time it will be available 
for review.
    c. Application Submission. Your application must contain the items 
listed below.
    (1) Application for Federal Assistance (SF-424);
    (2) SF-424 SUPP, Supplement Survey on Ensuring Equal Opportunity 
for Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on 
Grants.gov);
    (3) HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov); and
    (4) Acknowledgement of Application Receipt (HUD-2993). (This is 
relevant only to applicants granted a waiver of the electronic 
submission requirements and who are submitting a paper application.)
    If the application has been submitted by a tribal organization as 
defined in 24 CFR 1003.5(b), on behalf of an Indian tribe, you must 
submit concurring resolutions from the Indian tribe stating that the 
tribal organization is applying on the tribe's behalf. Applicants must 
submit the resolution by attaching it as a file to your electronic 
application submission, or sending it via facsimile transmittal.
    The other required items are as follows:
    (5) Community Development Statement that includes:
    (a) Components that address the general threshold requirement and 
the relevant project-specific thresholds and rating factors;
    (b) A schedule for implementing the project (form HUD-4125, 
Implementation Schedule); and
    (c) Cost information for each separate project, including specific 
activity costs, administration, planning, technical assistance, and 
total HUD share (Form HUD-4123, Cost Summary).
    (6) A map showing project location, if appropriate.
    (7) If the proposed project will result in displacement or 
temporary relocation, a statement that identifies:
    (a) The number of persons (families, individuals, businesses, and 
nonprofit organizations) occupying the property on the date of the 
submission of the application (or date of initial site control, if 
later);
    (b) The number to be displaced or temporarily relocated;
    (c) The estimated cost of relocation payments and other services;
    (d) The source of funds for relocation; and
    (e) The organization that will carry out the relocation activities.
    (8) If applicable, evidence of the disclosure required by 24 CFR 
1003.606(e) regarding conflict of interest.
    (9) If applicable, the demographic data statement described in 
Section IV.B.2.a and Section V.A., Rating Factor 2 of this NOFA. The 
data accompanying the statement must identify the total number of 
persons benefiting from the project and the total number of low- and 
moderate-income persons benefiting from the project. To be considered, 
supporting documentation must include all of the following: a sample 
copy of a completed survey form, an explanation of the methods used to 
collect the data, and a listing of incomes by household including 
household size.
    (10) Optional submissions are:

[[Page 11456]]

    (a) You Are Our Client Grant Applicant Survey (HUD 2994-A) 
(Optional); and
    (b) Program Outcome Logic Model, HUD-96010.
    3. Planning and Administrative Costs. Applicants must report 
project planning and administration costs on Form HUD-4123, Cost 
Summary. Planning and administrative costs cannot exceed 20 percent of 
the grant. The following criteria applies to planning and 
administrative costs:
    a. Planning and administrative activities may be funded only in 
conjunction with a physical development activity.
    b. If you are submitting an application for more than one project, 
costs must be broken down by project. Submit one form HUD-4123 for each 
proposed project in addition to a consolidated form HUD-4123 that 
includes costs for all proposed projects.
    c. Do not include project costs (i.e., architectural/engineering, 
environmental, technical assistance, staff/overhead costs) directly 
related to the project.

C. Submission Dates and Times

    1. Application Submission Deadline. The application deadline date 
is June 1, 2007. Applications submitted through http://www.grants.gov/applicants/apply--for--grants.jsp must be received and validated by 
Grants.gov no later than 11:59:59 PM eastern time on the application 
deadline date. Upon submission, Grants.gov will provide the applicant a 
confirmation of receipt and then validate the application. Within 24 to 
48 hours of receipt, the application will be validated by Grants.gov. 
If the application does not pass validation, the submitter will receive 
a rejection notice indicating why the application was rejected, thus 
giving the applicant (if time permits) an opportunity to make the 
correction in the application package and resubmit. The General Section 
provides details of a validation check. HUD advises applicants to 
submit at least 72 hours prior to the deadline date so that if an 
application is rejected during the validation process, applicants can 
correct the errors and resubmit the application prior to the deadline 
date and time. If you are granted a waiver of the electronic submission 
requirements, and are submitting a paper application, your completed 
application must be received by HUD no later than 11:59:59 p.m. on the 
application deadline date. HUD will not accept any applications sent by 
e-mail or on a diskette, compact disc, or by facsimile unless HUD 
specifically requests an applicant to do so. Please carefully follow 
the instructions in Sections IV.B and F. of the General Section for 
detailed information regarding application submission, delivery, and 
timely receipt requirements.
    D. Intergovernmental Review. Indian tribes are not subject to the 
Intergovernmental Review process.

E. Funding Restrictions

    1. Ineligible Activities. In general, any activity that is not 
authorized under the provisions of 24 CFR 1003.201-1003.206 is 
ineligible to be assisted with ICDBG funds. The regulations at 24 CFR 
1003.207 govern ineligible activities and should be referred to for 
details. The following guidance is provided for determining the 
eligibility of other activities frequently associated with ICDBG 
projects.
    a. Government Office Space. Buildings, or portions thereof, used 
predominantly for the general conduct of government cannot be assisted 
with ICDBG funds. Those buildings include, but are not limited to, 
local government office buildings, courthouses, and other headquarters 
of government where the governing body meets regularly. Buildings that 
contain both governmental and non-governmental services can be assisted 
so long as the ICDBG funds are used only for the non-governmental 
sections. An example of an ineligible building is a building to house 
the community development division or a tribal administration building. 
Your Area ONAP office should be consulted for projects of this nature.
    b. General Government Expenses. Except as authorized in the 
regulations or under OMB Circular A-87, expenses required to carry out 
the regular responsibilities of the unit of general local government 
are not eligible for assistance with ICDBG funds.
    c. Maintenance and Operation Expenses. In general, any expenses 
associated with repairing, operating, or maintaining public facilities 
and services are not eligible for assistance. Specific exceptions to 
this general rule are operating and maintenance expenses associated 
with public service activities [24 CFR 1003.201(e)], office space for 
program staff employed in carrying out the ICDBG program [24 CFR 
1003.206(a)(4)], and interim assistance [24 CFR 1003.201(f)]. For 
example, where a public service is being assisted with CDBG funds, the 
cost of operating and maintaining that portion of the facility in which 
the service is located is eligible as part of the public service. 
Examples of ineligible operating and maintenance expenses are routine 
and non-routine maintenance and repair of streets, parks, playgrounds, 
water and sewer facilities, neighborhood facilities, senior centers, 
centers for persons with disabilities, parking facilities, and similar 
public facilities, as well as staff salaries, utility costs, and 
similar expenses necessary for the operation of public works and 
facilities.
    d. New Housing Construction. The construction of new permanent 
residential structures and any program to subsidize or finance such new 
construction is ineligible, unless carried out by a Community-Based 
Development Organization (CBDO) pursuant to 24 CFR 1003.204(a).
    e. Furnishings and Personal Property. In general, the purchase of 
equipment, fixtures, motor vehicles, furnishings, or other personal 
property not an integral structural fixture is ineligible. Exceptions 
include when such purchases are necessary for use in grant 
administration (24 CFR 1003.206); necessary and appropriate for use in 
a project carried out by a CBDO (24 CFR 1003.204); used in providing a 
public service (24 CFR 1003.201(e)); or used as firefighting equipment 
(24 CFR 1003.201(c)(1)(ii)). However, ICDBG funds may be used to pay 
depreciation or use allowances (in accordance with OMB Circular A-87 or 
A-122, as applicable).
    f. Construction Tools and Equipment. The purchase of construction 
tools and equipment is generally ineligible. However, compensation for 
the use of such tools and equipment through leasing, depreciation, or 
use allowances pursuant to OMB Circulars A-87 and A-122, as applicable, 
for an otherwise eligible activity, is eligible. Exceptions include 
construction tools and equipment purchased for use as part of a solid 
waste facility (24 CFR 1003.201(c)(1)(ii)) and construction tools only 
(not equipment) purchased for use in a housing rehabilitation project 
being administered by the recipient using the force account 
construction method (24 CFR 1003.202(b)(8)).
    g. Income Payments. In general, assistance shall not be used for 
income payments for housing or any other purpose. Income payments mean 
a series of subsistence-type grant payments made to an individual/
family for items such as food, clothing, housing (rent/mortgage), or 
utilities, but excludes emergency payments made over a period of up to 
three months to the provider of such items or services on behalf of an 
individual/family. Examples of ineligible income payments include the 
payments for income maintenance and housing allowances.

[[Page 11457]]

    2. Grant Ceilings. The authority to establish grant ceilings is 
found at 24 CFR 1003.100(b)(1). Grant ceilings are established for 
FY2007 funding at the following levels:

------------------------------------------------------------------------
             Area ONAP                   Population           Ceiling
------------------------------------------------------------------------
Eastern Woodlands.................  ALL.................        $600,000
Southern Plains...................  ALL.................         800,000
Northern Plains...................  6,001+..............       1,100,000
                                    0-6,000.............         900,000
Southwest.........................  50,001+.............       5,500,000
                                    10,501-50,000.......       2,750,000
                                    7,501-10,500........       2,200,000
                                    6,001-7,500.........       1,100,000
                                    1,501-6,000.........         825,000
                                    0-1,500.............         605,000
Northwest.........................  ALL.................         500,000
Alaska............................  ALL.................         600,000
------------------------------------------------------------------------

    For the Southwest Area and Northern Plains ONAP jurisdictions, the 
population used to determine ceiling amounts is the Native American 
population that resides on a reservation or rancheria.
    Applicants from the Southwest or the Northern Plains ONAP 
jurisdictions should contact those offices before submitting an 
application if they are unsure of the population level to use to 
determine the ceiling amount. The Southwest or Northern Plains Area 
ONAP, as appropriate, must approve any corrections or revisions to 
Native American population data before you submit your application.

F. Other Submission Requirements

    1. Applications must be received and validated by Grants.gov via 
http://www.grants.gov/applicants/apply--for--grants.jsp no later than 
the application deadline date and time stated in the NOFA. Validation 
can take up to 72 hours.
    2. Mailing and Receipt Procedures. Applicants granted a waiver of 
the electronic submission requirement will receive specific mailing 
instruction, including the number of copies to be submitted, with 
approval of the waiver. See 24 CFR Part 5.
    3. Addresses for Submitting Applications. HUD will accept mailed 
applications only if it has granted a waiver of the electronic delivery 
process. Information regarding electronic submission and waivers from 
the electronic submission requirement is located in this program NOFA 
and the General Section. If HUD grants such a waiver, the approval 
notification will provide submission instructions including the address 
where to submit the application and number of copies to be provided. A 
list identifying each Area ONAP jurisdiction is provided at http://www.hud.gov/offices/pih/ih/onap/area_onap.cfm under the ICDBG program.

V. Application Review Information

A. Criteria

    1. RC/EZ/EC-II: Bonus points described in the General Section for 
projects located in RC/EZ/EC-IIs will not be awarded under this NOFA.
    2. Rating Factors to Evaluate and Rate Applications: The factors 
for rating and ranking applications and the points for each factor are 
provided below. A maximum of 100 points may be awarded under Rating 
Factors 1 through 5. To be considered for funding, your application 
must receive a minimum of 20 points under rating factor 1 and an 
application score of at least 70 points. The following summarizes the 
points assigned to each rating factor and each rating subfactor and 
lists which rating subfactors apply to which project types. Please use 
this table to ensure you are addressing the appropriate rating 
subfactor for your project.

----------------------------------------------------------------------------------------------------------------
       Rating factor              Rating sub-factor                 Points                   Project type
----------------------------------------------------------------------------------------------------------------
1..........................  Total......................  40........................  Minimum of 20 Points
                                                                                       Required
                             1.a........................  10........................  All Project Types
                             1.b........................  5 or 10*..................  All Project Types
                             1.c........................  3 or 10*..................  All Project Types
                             1.d........................  2 or 10*..................  All Project Types
                             2.a........................  4 or 0*...................  All Project Types
                             2.b........................  4 or 0*...................  All Project Types
                             2.c........................  4 or 0*...................  All Project Types
                             2.d........................  4 or 0*...................  All Project Types
                             2.e........................  4 or 0*...................  All Project Types
2..........................  Total......................  16........................  ..........................
                             1..........................  4.........................  All Project Types
                             2.a........................  12........................  Public Facilities and
                                                                                       Improvements and Economic
                                                                                       Development Projects
                             2.b........................  12........................  New Housing Construction,
                                                                                       Housing Rehabilitation,
                                                                                       Land Acquisition to
                                                                                       Support New Housing, and
                                                                                       Homeownership Assistance
                                                                                       Projects
                             2.c........................  12........................  Microenterprise Programs
3..........................  Total......................  30........................  ..........................
                             1..........................  10........................  All Project Types
                             2..........................  5.........................  All Project Types
                             3..........................  1.........................  All Project Types
                             4..........................  2.........................  All Project Types
                             5.a........................  12........................  Public Facilities and
                                                                                       Improvements
                             5.b........................  12........................  New Housing Construction,
                                                                                       Housing Rehabilitation,
                                                                                       and Homeownership
                                                                                       Assistance Projects
                             5.c........................  12........................  Economic Development
                                                                                       Projects
                             5.d........................  12........................  Microenterprise Programs
                             5.e........................  12........................  Land Acquisition to
                                                                                       Support New Housing
4..........................  Total......................  8.........................  All Project Types
5..........................  Total......................  6.........................  All Project Types
                             1..........................  2.........................  All Project Types
                             2..........................  4.........................  All Project Types
Total......................  ...........................  100.......................  Minimum of 70 Points
                                                                                       Required
----------------------------------------------------------------------------------------------------------------


[[Page 11458]]

    The first number listed indicates the maximum number of points 
available to current ICDBG grantees under this subfactor. The second 
number indicates the maximum number of points available to new 
applicants.
Rating Factor 1: Capacity of the Applicant (40 points)
    This factor addresses the extent to which you have the 
organizational resources necessary to successfully implement the 
proposed activities in accordance with your implementation schedule. If 
applicable, past performance in administering previous ICDBG grants 
will be taken into consideration. You must address the existence or 
availability of these resources for the specific type of activity for 
which you are applying. To be eligible for funding you must receive a 
minimum of 20 points under this factor for your proposed activity. HUD 
will not rate any projects further that do not receive a minimum of 20 
points under this factor. If you are funded, the implementation 
schedule and/or the Logic Model, form HUD-96010, you submit for this 
factor will be measured against actual progress.
     1. (20 points for current ICDBG grantees) (40 points for new 
applicants) Managerial, Technical, and Administrative Capability.
    Your application must include a description demonstrating that you 
possess or can obtain managerial, technical, and/or administrative 
capability necessary to carry out the proposed project. Your 
application must address who will administer the project and how you 
plan to handle the technical aspects of executing the project in 
accordance with your implementation schedule. Typical documents that 
may be submitted include, but are not limited to, written summaries of 
qualifications and past experience of proposed staff, descriptions of 
staff responsibilities, and references or letters of endorsement from 
others who have worked with the proposed staff. Do not submit job 
descriptions or resumes.
    a. (10 points) Managerial and Technical Staff.
    The extent to which your application describes the roles/
responsibilities and the knowledge/experience of your overall proposed 
project director and staff, including the day-to-day program manager, 
consultants, and contractors in planning, managing, and implementing 
projects in accordance with the implementation schedule for which 
funding is being requested. Experience will be judged in terms of 
recent, relevant, and successful experience of your staff to undertake 
eligible program activities. In rating this factor, HUD will consider 
experience within the last 5 years to be recent; experience pertaining 
to the specific activities being proposed or the specific roles and 
responsibilities described in the application to be relevant; and 
experience producing specific accomplishments to be successful. The 
more recent the experience and the more experience your own staff 
members who work on the project have in successfully conducting and 
completing similar activities, the greater the number of points you 
will receive for this rating factor.
    (10 points). The applicant adequately describes the roles/
responsibilities and the knowledge/experience of its overall project 
director and staff, including the day-to-day program manager, 
consultants, and contractors in planning, managing, and implementing 
projects for which funding is being requested. Staff experience as 
described in the application is recent (within 5 years), relevant 
(pertains to the specific activities being proposed or the specific 
roles and responsibilities described in the application) and successful 
(has produced specific accomplishments).
    (5 points). The applicant adequately describes the roles/
responsibilities and the knowledge/experience of its overall project 
director and staff, including the day-to-day program manager, 
consultants, and contractors in planning, managing, and implementing 
projects for which funding is being requested. However, one of the 
following applies: staff experience as described in the application is 
not recent (not within 5 years), is not relevant (does not pertain to 
the specific activities being proposed or the specific roles and 
responsibilities described in the application), or is not successful 
(did not produce specific accomplishments).
    (0 points). The applicant failed to adequately describe the roles/
responsibilities and the knowledge/experience of its overall project 
director and staff, including the day-to-day program manager, 
consultants, and contractors in planning, managing, and implementing 
projects for which funding is being requested or more than one of the 
following applies: staff experience as described in the application is 
not recent (not within 5 years), is not relevant (does not pertain to 
the specific activity being proposed or the specific roles and 
responsibilities described in the application), or is not successful 
(did not produce specific accomplishments).
    b. (5 points for current ICDBG grantees and 10 points for new 
applicants) Project Implementation Plan and Program Evaluation.
    The extent to which your project implementation plan identifies the 
specific tasks and timelines that you and your partner contractors and/
or sub-grantees will undertake to complete your proposed project on 
time and within budget. The Project Implementation Schedule, form HUD-
4125, may serve as this required schedule, provided that it is 
sufficiently detailed to demonstrate that you have clearly thought out 
your project implementation. The extent to which your project 
identifies, measures, and evaluates the specific benchmarks, outputs, 
outcomes, and/or goals of your project that enhance community 
viability. The Logic Model, form HUD-96010, may serve as the format to 
address this information or you may provide a different format that 
provides the same information.
    (5 points for current ICDBG grantees and 10 points for new 
applicants) The applicant submitted a project implementation plan that 
clearly specifies project tasks and timelines. The applicant submitted 
clear project benchmarks, outputs, outcomes, and/or targets and 
identified objectively quantifiable program measures and/or evaluation 
process.
    (3 points for current ICDBG grantees and 4 points for new 
applicants) The applicant submitted a project implementation plan that 
specifies project tasks and timelines. The applicant submitted project 
benchmarks, outputs, outcomes, and/or targets for each; however, the 
applicant did not clearly identify objectively quantifiable program 
measures and/or the evaluation process.
    (0 points for current ICDBG grantees or new applicants) The 
applicant submitted a project implementation schedule that does not 
address all project tasks and timelines associated with the project. 
Project benchmarks, outputs, outcomes, and/or goals were not submitted, 
or if submitted, they did not address either the quantifiable program 
measures and/or the evaluation process.
    c. (3 points for current ICDBG grantees and 10 points for new 
applicants) Financial Management.
    This subfactor evaluates the extent to which your application 
describes how your financial management systems will facilitate 
effective fiscal control over your proposed project and meet the 
requirements of 24 CFR part 85 and 24 CFR part 1003. You must also 
describe how you will apply your financial

[[Page 11459]]

management systems to the specific project for which you are applying. 
The application will also be rated on the seriousness/significance of 
the findings related to your financial management system identified in 
your current audit. If you are required to have an audit but do not 
have a current audit, you must submit a letter from your Independent 
Public Accountant (IPA) that is dated within the past 12 months stating 
that your financial management system complies with all applicable 
regulatory requirements. If you are not required to have an audit, you 
will automatically receive points for this portion of the subfactor if 
you provide the other information required by this subfactor. For 
purposes of this subfactor, a current audit is one which was due to be 
submitted to the Federal Audit Clearinghouse (FAC) within the 12-month 
period prior to the application due date. To be considered, the audit 
must be submitted to the FAC prior to the ICDBG application deadline 
date. Do not submit financial management and/or internal control 
policies and procedures or your audit with the application.
    (3 points for current ICDBG grantees and 10 points for new 
applicants).
    The applicant clearly described how it will apply its financial 
management systems to the proposed project and how the system meets the 
requirements of 24 CFR part 85 and 24 CFR part 1003. The applicant's 
current audit does not contain any serious or significant findings 
related to its financial management system, or if there is no current 
audit, the applicant submitted a letter from its Independent Public 
Accountant stating that its financial management system complies with 
all applicable regulatory requirements.
    (2 points for current ICDBG grantees and 5 points for new 
applicants) The applicant's current audit does not contain any serious 
or significant findings related to its financial management system, or 
if there is no current audit, the applicant submitted a letter from its 
Independent Public Accountant (IPA) stating that its financial 
management system complies with all applicable regulatory requirements. 
The applicant did not describe how it would apply its financial 
management systems to the proposed project and how the system meets the 
requirements of 24 CFR part 85 and 24 CFR part 1003.
    (0 points for current ICDBG grantees or new applicants) The 
applicant's current audit included serious or significant findings 
related to its financial management systems or, if there is no current 
audit, the applicant did not submit a letter from its IPA stating its 
financial management systems comply with all regulatory requirements. 
The applicant did not describe how it would apply its financial 
management systems to the proposed project and how the system meets the 
requirements of 24 CFR part 85 and 24 CFR part 1003.
    d. (2 points for current ICDBG grantees and 10 points for new 
applicants) Procurement and Contract Management.
    This subfactor evaluates the extent to which your application 
describes how your procurement and contract management policies and 
procedures will facilitate effective procurement and contract control 
over your proposed project and meet the requirements of 24 CFR part 85 
and 24 CFR part 1003. You must also describe how you will apply your 
procurement and contract management systems to the specific project for 
which you are applying. The application will also be rated on the 
seriousness of the findings related to procurement and contract 
management identified in your current financial audit. If you are 
required to have an audit but do not have a current audit, you must 
submit a letter from your Independent Public Accountant stating that 
your procurement and contract management system complies with all 
applicable regulatory requirements. If you are not required to have an 
audit, you will automatically receive points for this portion of the 
subfactor if you provide the other information required by this 
subfactor. Do not submit procurement and contract management policies 
and procedures or your audit with the application.
    (2 points for current ICDBG grantees and 10 points for new 
applicants) The applicant clearly described how its procurement and 
contract management policies and procedures will facilitate effective 
procurement and contract control over the proposed project, and meet 
the requirements of 24 CFR part 85 and 24 CFR part 1003. The applicant 
described how it will apply its procurement and management systems to 
the specific project for which it is applying. The applicant's current 
audit does not contain any serious or significant findings related to 
its procurement and contract management system, or if there is no 
current audit, the applicant submitted a letter from its Independent 
Public Accountant (IPA) stating that its procurement and contract 
management system complies with all applicable regulatory requirements.
    (1 point for current ICDBG grantees and 5 points for new 
applicants) The applicant's current audit does not contain any serious 
or significant findings related to its procurement or contract 
management system, or if there is no current audit, the applicant 
submitted a letter from its Independent Public Accountant stating that 
its procurement and contract management system complies with all 
applicable regulatory requirements. The applicant did not describe how 
it would apply its procurement and contract management systems to the 
proposed project and meet the requirements of 24 CFR part 85 and 24 CFR 
part 1003.
    (0 points for current ICDBG grantees or new applicants) The 
applicant's current audit included serious or significant findings 
related to its procurement and contract management systems or if there 
is no current audit, the applicant did not submit a letter from its IPA 
stating its procurement and contract management systems comply with all 
regulatory requirements. The applicant did not describe how it would 
apply its procurement and contract management systems to the proposed 
project and meet the requirements of 24 CFR part 85 and 24 CFR part 
1003.
    2. (20 points for current ICDBG grantees and 0 points for new 
applicants) Past Performance.
    HUD will evaluate your experience in producing products and reports 
in accordance with regulatory timelines for any previous grant programs 
undertaken with HUD funds for the following performance measures. HUD 
reserves the right to take into account your past performance in 
meeting performance and reporting goals on any previous HUD awards. 
Applicants are not required to respond to the subfactors related to 
past performance. HUD will rely on information on file.
    a. (4 points for current ICDBG grantees and 0 points for new 
applicants). You are not more than 90 days behind schedule in meeting 
the time frames established in the HUD-approved Implementation Schedule 
for the ICDBG program.
    (1) (4 points) The applicant is not more than 90 days behind 
schedule in meeting the timeframes established in the HUD-approved 
implementation schedule.
    (2) (2 points) The applicant is not more than 120 days behind 
schedule in meeting the timeframes established in the HUD-approved 
implementation schedule.
    (3) (0 points) The applicant is more than 120 days behind schedule 
in meeting timeframes established in the HUD-approved implementation 
schedule.
    b. (4 points for current ICDBG grantees and 0 points for new

[[Page 11460]]

applicants). Annual Status and Evaluation Reports (ASER) and Federal 
Cash Transaction Reports are submitted by the report submission 
deadlines. The ASER is due 45 days after the end of the federal fiscal 
year on November 15. Federal Cash Transaction Reports are due quarterly 
on April 21, July 21, October 20, and January 22.
    (1) (4 points) The applicant has submitted both the ASER and 
Federal Cash Transaction Reports for ICDBG programs by the report 
submission deadlines.
    (2) (2 points) The applicant has submitted either the Federal Cash 
Transaction Reports or the ASERs for ICDBG programs by the report 
submission deadline.
    (3) (0 points) The applicant has submitted neither of the required 
reports by the report submission deadline.
    c. (4 points for current ICDBG grantees and 0 points for new 
applicants) You have submitted close-out documents to HUD by the 
required deadline. Close-out documents are required for the ICDBG 
program within 90 days of the date it is determined that the criteria 
for close-out at 24 CFR 1003.508 have been met.
    (1) (4 points) The applicant submitted close-out documents to HUD 
in accordance with the timeframe and criteria at Sec.  1003.508.
    (2) (0 points) The applicant has not submitted close-out documents 
to HUD as required by Sec.  1003.508.
    d. (4 points for current ICDBG grantees and 0 points for new 
applicants) You have submitted annual audits in accordance with OMB 
Circular A-133 and its compliance supplements, or if you have received 
an extension of the audit submission date, your audit was submitted by 
the extended date. If an extension was received, submit a copy of the 
extension approval. Do not submit your audit with the application.
    (1) (4 points) You have submitted annual audits in accordance with 
OMB Circular A-133 and its compliance supplements, or if you have 
received an extension of the audit submission date, your audit was 
submitted by the extended date. If an extension was received, submit a 
copy of the extension approval. If the applicant has not been required 
to submit an audit, it will receive 4 points.
    (2) (0 points) You have not submitted annual audits in accordance 
with OMB Circular A-133 and its compliance supplements or if you have 
received an extension of the audit submission date, your audit was not 
submitted by the extended date.
    e. (4 points for current ICDBG grantees and 0 points for new 
applicants) You have resolved ICDBG monitoring findings and controlled 
audit findings by the established target date, or there are no findings 
in current reports. Do not submit responses to open monitoring or audit 
findings with the application.
    (1) (4 points) The applicant resolved open ICDBG monitoring 
findings and controlled audit findings by the established target date. 
If there were no open audit or ICDBG monitoring findings (current 
grantees only), the applicant will receive 4 points.
    (2) (0 points) The applicant has not resolved open ICDBG monitoring 
findings and controlled audit findings by the established target date.
Rating Factor 2: Need/Extent of the Problem (16 Points)
    This factor addresses the extent to which there is a need for the 
proposed project to address a documented problem among the intended 
beneficiaries.
    1. (Up to 4 points) Your application includes quantitative 
information demonstrating that the proposed project meets an essential 
community development need by providing outcomes that are critical to 
the viability of the community.
    2. (12 points) Your project benefits the neediest segment of the 
population, in accordance with the ICDBG program's primary objective 
defined at 24 CFR 1003.2. The criteria for this sub-factor vary 
according to the type of project for which you are applying. Please 
note that you may submit data that are unpublished and not generally 
available in order to meet the requirements of this section. However, 
to do so, you must submit a demographic data statement along with 
supporting documentation as described in Section IV.B. of this NOFA. 
For documenting persons employed by the project, you do not need to 
submit a demographic data statement and corresponding documentation. 
However, you do need to submit information that describes the nature of 
the jobs created or retained. Such information includes, but is not 
limited to, descriptions of proposed job responsibilities, salaries, 
and the number of full-time equivalent positions. If you believe jobs 
will be retained as a result of the ICDBG project, include information 
that shows clearly and objectively that jobs will be lost without the 
ICDBG project. Jobs that are retained only for the period of the grant 
will not count under this rating factor.
a. Public Facilities and Improvements and Economic Development Projects
    The proposed activities benefit the neediest segment of the 
population, as identified below. For economic development projects, you 
may consider beneficiaries of the project as persons served by the 
project and/or persons employed by the project, and jobs created or 
retained by the project.
    (1) (12 points) At least 85 percent of the beneficiaries are low- 
or moderate-income.
    (2) (8 points) At least 75 percent but less than 85 percent of the 
beneficiaries are low- or moderate-income.
    (3) (4 points) At least 55 percent but less than 75 percent of the 
beneficiaries are low- or moderate-income.
    (4) (0 points) Less than 55 percent of the beneficiaries are low-or 
moderate-income.
b. New Housing Construction, Housing Rehabilitation, Land Acquisition 
to Support New Housing, and Homeownership Assistance Projects
    The need for the proposed project is determined by utilizing data 
from the tribe's 2006 IHBG formula information. The ratio is based on 
the dollars allocated to a tribe under the IHBG program for need 
divided by the sum of the number of American Indian and Alaskan Native 
(AIAN) households in the following categories:

--Annual income less than 30 percent of median income;
--Annual income between 30 percent and 50 percent of median income;
--Annual income between 50 percent and 80 percent of median income;
--Overcrowded or without kitchen or plumbing;
--Housing cost burden greater than 50 percent of annual income;
--Housing shortage (Number of low-income AIAN households less total 
number of NAHASDA and Formula Current Assisted Stock).

    This ratio is computed for each tribe and posted in the ``Factor 2 
Needs Table'' that is available at http://www.hud.gov/offices/adm/grants/fundsavail.cfm under the ICDBG program.
    (1) (12 points) The dollar amount for the Indian tribe is $316-$750 
or the tribe's total FY2006 IHBG amount was $100,000 or less and the 
Needs Table indicates that the Indian tribe has no AIAN households 
experiencing income or housing problems.
    (2) (8 points) The dollar amount for the Indian tribe is $751-
$1,250.
    (3) (4 points) The dollar amount for the Indian tribe is $1,251-
$1,999.
    (4) (0 points) The dollar amount for the Indian tribe is $2,000 or 
higher, or

[[Page 11461]]

the Needs Table indicates that the Indian tribe has no AIAN households 
experiencing income or housing problems.
c. Microenterprise Programs
    A microenterprise is a business that has five or fewer employees, 
one or more of whom owns the enterprise. The owner(s) of the 
microenterprise must be low- or moderate-income and the majority of the 
jobs created or retained will be for low- or moderate-income persons. 
To evaluate need, the nature of the jobs created or retained will be 
evaluated. The owners of the microenterprises are low- and moderate-
income and:
    (1) (12 points) All employees are low- or moderate-income.
    (2) (8 points) At least 75 percent but less than 100 percent of the 
employees are low- or moderate-income.
    (3) (4 points) At least 50 percent but less than 75 percent of the 
employees are low- or moderate-income.
    (4) (0 points) Less than 50 percent of the employees are low- and 
moderate-income.
Rating Factor 3: Soundness of Approach (30 Points)
    This factor addresses the quality and anticipated effectiveness of 
your proposed project's outcomes in enhancing community viability and 
in meeting the needs you have identified in Rating Factor 2 and the 
commitment to sustain your proposed project. The populations that were 
described in demographics that documented need should be the same 
populations that will receive the primary benefit of the proposed 
project.
    1. (10 points) Description of and Rationale for Proposed Project.
    a. (10 points) The proposed project is a viable and cost effective 
approach to address the needs outlined under Rating Factor 2 of your 
application. The proposed project is described in detail and you 
indicate why you believe it will be most effective in addressing the 
identified need. In order for an application to receive full credit 
under this factor, the application must include clear and sound 
measures of the proposed outputs and outcomes for how the community's 
viability will be enhanced, as presented in Rating Factor 5. The 
application includes a description of the size, type, and location of 
the project and a rationale for project design. If your application is 
for construction of housing or a public facility building or 
rehabilitation project, it must also include anticipated cost savings 
related to project development due to innovative program design or 
construction methods. For land acquisition to support new housing 
projects, you must establish that there is a reasonable ratio between 
the number of net usable acres to be acquired and the number of low- 
and moderate-income households to benefit from the project.
    b. (5 points) The proposed project is a viable and cost-effective 
approach to address the needs outlined under Rating Factor 2 of the 
application. The project is described in detail and indicates why you 
believe the project will be most effective in addressing the identified 
need. Proposed outcomes that will enhance the community's viability are 
included. The application includes a description of the size, type, and 
location of the project, as well as a rationale for project design. For 
land acquisition to support new housing projects, the applicant has 
established that there is a reasonable ratio between the number of net 
usable acres to be acquired and the number of low- and moderate-income 
households to benefit from this project. The application (for 
construction of housing or a public facility building or rehabilitation 
projects) does not include anticipated cost savings due to innovative 
program design and/or construction methods.
    c. (3 points) The proposed project is a viable and cost-effective 
approach to address the needs outlined under Rating Factor 2 of the 
application. The project is described and you indicate why you believe 
the project will be most effective in addressing the identified need. 
Proposed outcomes are included but do not describe how the project will 
enhance community viability. The application includes a description of 
the size, type, and location of the project. For land acquisition to 
support new housing projects, the applicant has established that there 
is a reasonable ratio between the number of net usable acres to be 
acquired and the number of low- and moderate-income households to 
benefit from the project. The application (for construction of housing 
or a public facility building or rehabilitation activities) does not 
include anticipated cost savings due to innovative program design and/
or construction methods.
    d. (0 points) The proposed project is not a viable and cost-
effective approach to address the needs outlined under Rating Factor 2 
of the application. The proposed project is not described in detail 
with an indication of why the applicant believes the project will be 
most effective in addressing the identified need. Proposed outcomes 
describing how the project will enhance community viability are not 
included. For land acquisition to support new housing projects, the 
applicant has not established that there is a reasonable ratio between 
the number of net usable acres to be acquired and the number of low- 
and moderate-income households to benefit from the project. The 
application (for construction of housing or a public facility building 
and rehabilitation activities) does not include anticipated cost 
savings due to innovative program design and/or construction methods.
    2. (5 points) Budget and Cost Estimates.
    The quality, thoroughness, and reasonableness of the proposed 
project budget are documented. Cost estimates must be broken down by 
line item for each proposed activity, including planning and 
administration costs, and documented. You must provide a description of 
the qualifications of the person who prepared the cost estimate.
    3. (1 point) HUD Policy Priorities.
    Your application addresses the goals for ``Improving Our Nation's 
Communities,'' or ``Energy Star,'' two of HUD's 2007 policy priorities, 
as described in Section V. B. of the General Section. You must describe 
which one of these two policy priorities you select and describe how 
your activity will meet the applicable goals.
    4. (2 points) Intent to Meet Section 3 Requirements.
    Your application demonstrates how you will apply the Section 3 
requirements of the Housing and Urban Development Act of 1968 and the 
regulations in 24 CFR part 135 (Economic Opportunities for Low- and 
Very Low-Income Persons) to the proposed project. You must demonstrate 
how you will incorporate Section 3 principles, with goals for expanding 
opportunities for Section 3 residents and business concerns, to your 
proposed project. The purpose of Section 3 is to ensure that employment 
and other economic opportunities generated by federal financial 
assistance for housing and community development programs shall, to the 
extent feasible, be directed toward low- and very low-income persons 
(but not in derogation of compliance with Section 7(b) of the Indian 
Self-Determination and Education Assistance Act (25 U.S.C. 4503(b))).
    5. (12 points) Commitment To Sustain Activities.
    Your application demonstrates your commitment to your community's 
viability by sustaining your proposed activities. The information 
provided is sufficient to determine that the project will proceed 
effectively.

[[Page 11462]]

    The criteria for this sub-factor vary according to the type of 
project for which you are applying.
a. Public Facilities and Improvement Projects
    (1) (12 points) If a tribe assumes operation and maintenance 
responsibilities for the public facilities and improvements, provide a 
written statement that the tribe has adopted the operation and 
maintenance plan and commits the necessary funds to provide for these 
responsibilities. In addition, describe how the operation and 
maintenance plan addresses maintenance, repairs, insurance, security, 
and replacement reserves and include a cost breakdown for annual 
expenses. If an entity other than the tribe commits to pay for 
operation and maintenance for the public facilities, a letter of 
commitment from the entity is included in the application that 
identifies the maintenance responsibilities and, if applicable, the 
responsibilities for operations the entity will assume, as well as 
necessary funds to provide for these responsibilities. A description of 
how the operation and maintenance plan addresses maintenance, repairs, 
insurance, security, and replacement reserves is not required when an 
entity other then the tribe assumes operation and maintenance 
responsibilities. For public facility buildings only, a commitment is 
included in the application that identifies the source of and commits 
the necessary operating funds for any recreation, social, or other 
services to be provided. In addition, letters of commitment from 
service providers are included that address both operating expenses and 
space needs.
    (2) (8 points) If a tribe assumes operation and maintenance 
responsibilities for the public facilities and improvements, provide a 
written statement that the tribe has adopted the operation and 
maintenance plan and commits the necessary funds to provide for these 
responsibilities. In addition, a description was included that shows 
that the operation and maintenance plan addresses at least four of the 
following items (maintenance, repairs, insurance, security, and 
replacement reserves) but a satisfactory cost breakdown for annual 
expenses was not included. If an entity other than the tribe commits to 
pay for operation and maintenance for the public facilities and 
maintenance, a letter of commitment from the entity is included in the 
application that identifies the maintenance responsibilities and, if 
applicable, the responsibilities for operations the entity will assume, 
but no information committing the necessary funds to provide for these 
responsibilities is included. A description of how the operation and 
maintenance plan addresses maintenance, repairs, insurance, security, 
and replacement reserves is not required when an entity other than the 
tribe assumes operation and maintenance responsibilities. For community 
buildings only, a commitment is included in the application that 
identifies the source of and commits the necessary operating funds for 
any recreation, social, or other services to be provided. In addition, 
letters of commitment from service providers are included that address 
both operating expenses and space needs. Information provided is 
sufficient to determine that the project will proceed effectively.
    (3) (4 points) If a tribe assumes operation and maintenance 
responsibilities for the public facilities and improvements, the 
application includes a written statement that the tribe has adopted the 
operation and maintenance plan and commits the necessary funds to 
provide for these responsibilities, or a description of the operation 
and maintenance plan is included that shows that the plan addresses at 
least three of the following items (maintenance, repairs, insurance, 
security, and replacement reserves). If an entity other than the tribe 
commits to pay for operation and maintenance for the public facilities 
and maintenance, the maintenance provider is identified and, if 
applicable, the responsibilities for operations the entity will assume, 
but no letter of commitment is included. For public facility buildings 
only, no commitment is included in the application that identifies the 
source of and commits the necessary operating funds for any recreation, 
social, or other services to be provided. Letters of commitment to 
provide services are included but they do not address operating 
expenses and space needs. Information provided is sufficient to 
determine that the project will proceed effectively.
    (4) (0 points) None of the above criteria is met.
b. New Housing Construction, Housing Rehabilitation, and Homeownership 
Assistance Projects
    (1) (12 points) The ongoing maintenance responsibilities are 
clearly identified for the tribe and/or the participants, as 
applicable. If the tribe or another entity is assuming maintenance 
responsibilities, then the applicant must describe the maintenance 
responsibilities and provide a commitment to that effect.
    (2) (8 points) Maintenance responsibilities for the tribe and/or 
participants are identified and described, but lacking in detail, and 
the commitment regarding maintenance responsibilities is submitted.
    (3) (4 points) Tribal maintenance responsibilities are identified 
but participant responsibilities are either not addressed or do not 
exist, or there is no commitment regarding maintenance 
responsibilities.
    (4) (0 points) None of the above criteria is met.
c. Economic Development Projects
    You must include information or documentation that addresses or 
provides all of the following in the application: a description of the 
organizational system and capacity of the entity that will operate the 
business; documents that show that formal provisions exist for 
separation of government functions from business operating decisions, 
an operating plan for the project, and the feasibility and market 
analysis of the proposed business activity and the financial viability 
of the project.
    (1) Appropriate documents to include in the application to address 
these items include:
    (a) Articles of incorporation, bylaws, resumes of key management 
positions, and board members for the entity who will operate the 
business.
    (b) Business operating plan.
    (c) A market study no more than two years old and which has been 
conducted by an independent entity.
    (d) Financial analysis and feasibility study no more than two years 
old which indicates how the proposed business will capture a fair share 
of the market, and which has been conducted by an independent entity.
    (e) Detailed cost summary for the development of the project.
    (f) For the expansion of an existing business, copies of financial 
statements for the most recent three years (or the life of the 
business, if less than three years).
    (2) The submitted documentation will be evaluated to determine the 
project's financial chance for success. The following questions must be 
addressed to meet this requirement:
    (a) Does the business plan seem thorough and does the organization 
structure have quality control and responsibilities built in?
    (b) Does the business plan or market analysis indicate that a 
substantial market share is likely within five years?
    (c) Do the costs appear to be reasonable given projected income and 
information about inputs?

[[Page 11463]]

    (d) Does the business plan or cash flow analysis indicate that cash 
flow will be positive within the first year?
    (e) Is the financial statement clean with no indications of concern 
by the auditor?
    (12 points) All above documents applicable to the proposed project 
are included in your application and provide evidence that the 
project's chance for financial success is excellent.
    (6 points) All or most of the above documents applicable to the 
proposed project are included and provide evidence that the project's 
chance for financial success is reasonable.
    (0 points) Neither of the above criteria is met.
d. Microenterprise Programs
    (1) You must include the following information or documentation in 
the application that addresses or provides a description of how your 
microenterprise program will operate. Appropriate information to 
include in the application to address program operations includes:
    (a) Program description. A description of your microenterprise 
program including the types of assistance offered to microenterprise 
applicants and the types of entities eligible to apply for such 
assistance.
    (b) Processes for selecting applicants. A description of your 
processes for analyzing microenterprise applicants' business plans, 
market studies, and financial feasibility. For credit programs, you 
must describe your process for determining the loan terms (i.e., 
interest rate, maximum loan amount, duration, loan servicing 
provisions) to be offered to individual microenterprise applicants.
    (2) (12 points) All of the above information or documentation 
applicable to the proposed project are thoroughly addressed in the 
application and the chances for success are excellent.
    (3) (6 points) All or most of the above information or 
documentation applicable to the proposed project are addressed in the 
application and the chances for success are reasonable.
    (4) (0 points) Neither of the above criteria is met.
e. Land Acquisition Projects to Support New Housing.
    Submissions must include the results of a preliminary investigation 
conducted by a qualified independent entity demonstrating that the 
proposed site has suitable soil conditions for housing and related 
infrastructure, potable drinking water is accessible for a reasonable 
cost, access to utilities, vehicular access, drainage, nearby social 
and community services, and no known environmental problems.
    (1) (12 points) The submissions include all of the above-mentioned 
items and all necessary infrastructure is in place.
    (2) (6 points) The submissions demonstrate that the proposed 
site(s) is/are suitable for housing but that not all necessary 
infrastructure is in place. A detailed description of resources to be 
used and a detailed implementation schedule for development of all 
necessary infrastructure demonstrates that such infrastructure, as 
needed for proposed housing development, will be developed in time for 
such development, but no later than two years after site purchase.
    (3) (0 points) Neither of the above criteria is met.
Rating Factor 4: Leveraging Resources (8 points)
    HUD believes that ICDBG funds can be used more effectively to 
benefit a larger number of Native American and Alaska Native persons 
and communities if projects are developed that use tribal resources and 
resources from other entities in conjunction with ICDBG funds. To 
encourage this, HUD will award points based on the percentage of non-
ICDBG resources provided relative to project costs as follows:

 
------------------------------------------------------------------------
            Non-ICDBG resources to project costs                Points
------------------------------------------------------------------------
Less than 4 percent........................................            0
At least 4 percent but less than 11 percent................            2
At least 11 percent but less than 18 percent...............            4
At least 18 percent but less than 25 percent...............            6
25 percent or more.........................................            8
------------------------------------------------------------------------

    Contributions that could be considered as leveraged resources for 
point award include, but are not limited to: tribal trust funds, loans 
from individuals or organizations, private foundations, businesses, 
state or federal loans or guarantees, other grants including IHBG (also 
known as NAHBG) funds, donated goods and services needed for the 
project, land needed for the project, and direct administrative costs. 
With the exception of land acquisition, funds that have been expended 
on the project prior to the application deadline date will not be 
counted as leverage. Applicants are reminded that environmental review 
requirements under 24 CFR part 58 apply to the commitment or use of 
both ICDBG and non-ICDBG funds in a leveraged project. See Section 
VI.B. of this NOFA for information related to this requirement.
    Contributions that will not be considered include, but are not 
limited to: indirect administrative costs as identified in OMB Circular 
A-87, attachment A, section F; contributions of resources to pay for 
anticipated operations and maintenance costs of the proposed project; 
and, in the cases of expansions to existing facilities, the value of 
the existing facility.
    To be considered for point award, letters of firm or projected 
commitments, memoranda of understanding, or agreements to participate 
from any entity, including the tribe that will be providing a 
contribution to the project, must accompany the application. The 
documentation must be received by HUD in the paper application package 
(if you have received a waiver of the electronic submission 
requirement) or for electronically submitted applications, the 
documentation must be scanned and submitted as part of the application 
documents or sent by facsimile transmittal (see the General Section). 
To receive funding consideration, all documents must be received by the 
application deadline dates and meet the timely receipt requirements.
    To demonstrate the commitment of tribal resources, the application 
must contain a written statement that identifies and commits the tribal 
resources to the project, subject to approval of the ICDBG assistance. 
In the case of IHBG funds, whether the tribe or a TDHE administers 
them, an approved Indian Housing Plan (IHP) must identify and commit 
the IHBG resources to the project. Do not submit the IHP with your 
application. ONAP will rely on the most recently approved IHP on file. 
If the tribe/TDHE intends to include the leveraged commitment in a 
future IHP, the application must contain a written statement that 
identifies and commits the IHBG resources to the project subject to the 
same requirements as above.
    To demonstrate the commitment of a public agency, foundation, or 
other private party resources, a letter of commitment, memorandum of 
understanding, and/or agreement to participate, including any 
conditions to which the contribution may be subject, must be submitted 
with the application. All letters of commitment must include the donor 
organization's name, the specific resource proposed, the dollar amount 
of the financial or in-kind resource and method for valuation, and the 
purpose of that resource within the

[[Page 11464]]

proposed project. An official of the organization legally authorized to 
make commitments on behalf of the organization must sign the 
commitment.
    HUD recognizes that in some cases, firm commitments of non-tribal 
resources may not be obtainable by your tribe by the application 
deadline. For such projected resources, your application must include a 
statement from the contributing entity that describes why the firm 
commitment cannot be made at the current time and affirms that your 
tribe and the proposed project meets eligibility criteria for receiving 
the resource. In addition, a date by which the funding decisions will 
be made must be included. This date cannot be more than six months from 
the anticipated date of grant approval by HUD. Should HUD not receive 
notification of the firm commitment within 6 months of the date of 
grant approval, HUD will recapture the grant funds approved and will 
use them in accordance with the requirements of 24 CFR 1003.102.
    In addition to the above requirements, for all contributions of 
goods, services and land, you must demonstrate that the donated items 
are necessary to the actual development of the project and include 
comparable costs that support the donation. Land valuation must be 
established using one of the following methods and the documentation 
must be contained in the application: a site-specific appraisal no more 
than two years old; an appraisal of a nearby comparable site also no 
more than two years old; a reasonable extrapolation of land value based 
on current area realtor value guides; or a reasonable extrapolation of 
land value based on recent sales of similar properties in the same 
area.
Rating Factor 5: Comprehensiveness and Coordination (6 Points)
    This factor addresses the extent to which your project planning and 
proposed implementation reflect a coordinated, community-based process 
of identifying and addressing needs, including assisting beneficiaries 
and the program to achieve self-sufficiency/sustainability.
    The Logic Model, HUD form 96010, is not required for Rating Factor 
5 under the ICDBG program. However, applicants are encouraged to use 
this form to address program evaluation requirements under Rating 
Factor 1.(1).(b) of this NOFA, and measurable outputs and outcomes in 
Section (2) of this factor.
    1. (Up to 2 points) The application addresses the extent to which 
you have coordinated your proposed ICDBG activities with other 
organizations and/or tribal departments that are not providing direct 
financial support to your proposed work activities, but with which you 
share common goals and objectives and are working toward meeting these 
objectives in a holistic and comprehensive manner. For example, your 
project is consistent with and, to the extent possible, identified in 
the IHP (One-Year Financial Resources Narrative; Table 2, Financial 
Resources, Part I., Line 1E; and, Table 2, Financial Resources, Part 
II) submitted by you or on your behalf for the IHBG (also known as 
NAHBG) program. If the IHP for the IHBG (also known as NAHBG) program 
year that coincides with the implementation of the ICDBG proposed 
project has not been submitted, you must provide a written statement 
that when submitted, the IHP will specifically reference the proposed 
project.
    2. (Up to 4 points) Your proposed project will have measurable 
outputs and outcomes that will enhance community viability.
    Outputs must include, where applicable:
     Number of houses rehabilitated;
     Number of jobs created;
     Square feet for any public facility;
     Number of education or job training opportunities 
provided;
     Number of homeownership units constructed or financed;
     Number of businesses assisted (including number of 
minority/Native American);
     Number of families proposed to be assisted through a drug-
elimination program, or through a program to reduce or eliminate 
health-related hazards.
    Outcomes must include, where appropriate:
     Reduction in the number of families living in substandard 
housing;
     Increased income resulting from employment generated by 
project;
     Increased quality of life due to services provided by the 
public facility;
     Increased economic self-sufficiency of program 
beneficiaries;
     Increase in homeownership rates;
     Reduction of drug-related crime or health-related hazards.
    HUD is providing a Master Logic Model as a Microsoft 
ExcelTM file with dropdown listings from which applicants 
may select the items in each column that reflect their activity outputs 
and outcomes. The Master Logic Model listing also identifies the unit 
of measure that HUD is interested in collecting for the output and 
outcome selected. Applicants can also select the appropriate estimated 
number of units of measure to be accomplished and identified for each 
output and outcome. The space next to the output and outcome is 
intended to capture the anticipated units of measure. Multiple outputs 
and outcomes may be selected per project. For FY 2007, HUD is 
considering a new concept for the Logic Model. The new concept is a 
Return on Investment (ROI) statement. HUD will be publishing a separate 
notice on the ROI concept. The Master Logic Model pick is incorporated 
into the form available as part of the ICDBG Instructions download from 
Grants.gov. Training on use of the dropdown form will be provided via 
webcast. The schedule for webcast training can be found at http://www.hud.gov/offices/adm/ grants/fundsavail.cfm.

B. Reviews and Selection Process

    1. Application Selection Process. You must meet all of the 
applicable threshold requirements listed in Section III.C. Your 
application must meet all screening for acceptance requirements and all 
identified applicant and project specific thresholds. HUD will review 
each application and assign points in accordance with the selection 
factors described in this section.
    2. Threshold Compliance. The Area ONAP will review each application 
that passes the screening process to ensure that each applicant and 
each proposed project meets the applicant threshold requirements set 
forth in 24 CFR 1003.301(a) and the project specific threshold 
requirements set forth in 24 CFR 1003.302 and III.C. of this NOFA.
    3. Past Performance. An applicant's past performance is evaluated 
under Rating Factor 1. Applicants are encouraged to address all 
performance-related criteria prior to the application deadline date. An 
applicant must score a minimum of 20 points under Rating Factor 1 in 
order to meet the minimum point requirements outlined below in this 
NOFA.
    4. Rating. The Area ONAP will review and rate each project that 
meets the acceptance criteria and threshold requirements.
    After the applications are rated, a summary review of all 
applications will be conducted to ensure consistency in the application 
rating. The summary review will be performed by either the Grants 
Management Director (or designee) or by a panel composed of up to three 
staff members.
    The total points for all rating factors are 100. A maximum of 100 
points may be awarded under Rating Factors 1 through 5.
    5. Minimum Points. To be considered for funding, your application 
must receive a minimum of 20 points under

[[Page 11465]]

Rating Factor 1 and an application score of 70 points.
    6. Ranking. All projects will be ranked against each other 
according to the point totals they receive, regardless of the type of 
project or component under which the points were awarded. Projects will 
be selected for funding based on the final ranking to the extent that 
funds are available. The Area ONAP will determine individual grant 
amounts in a manner consistent with the considerations set forth in 24 
CFR 1003.100(b)(2). Specifically, the Area ONAP may approve a grant 
amount less than the amount requested. In doing so, the Area ONAP may 
take into account the size of the applicant, the level of demand, the 
scale of the activity proposed relative to need and operational 
capacity, the number of persons to be served, the amount of funds 
required to achieve project objectives, and the reasonableness of the 
project costs. If the Area ONAP determines that there are not enough 
funds available to fund a project as proposed by the applicant, it may 
decline to fund that project and may fund the next highest-ranking 
project or projects for which adequate funds are available. The Area 
ONAP shall select, in rank order, additional projects for funding if 
one of the higher-ranking projects is not funded or if additional funds 
become available.
    7. Tiebreakers. When rating results in a tie among projects and 
insufficient resources remain to fund all tied projects, the Area ONAP 
will approve projects that can be fully funded over those that cannot 
be fully funded. When that does not resolve the tie, the Area ONAP will 
use the following factors in the order listed to resolve the tie:
    (a) The applicant that has not received an ICDBG over the longest 
period of time.
    (b) The applicant with the fewest active ICDBGs.
    (c) The project that would benefit the highest percentage of low- 
and moderate-income persons.
8. Technical Deficiencies and Pre-Award Requirements
    a. Technical Deficiencies. If there are technical deficiencies in 
successful applications, you must satisfactorily address these 
deficiencies before HUD can make a grant award. See the General Section 
at V.B.4. for information on curing deficiencies.
    b. Pre-award Requirements. Successful applicants may be required to 
provide supporting documentation concerning the management, 
maintenance, operation, or financing of proposed projects before a 
grant agreement can be executed. Such documentation may include 
additional specifications on the scope, magnitude, timing or method of 
implementing the project; or information to verify the commitment of 
other resources required to complete, operate, or maintain the proposed 
project. Applicants will be provided thirty (30) calendar days to 
respond to these requirements. No extensions will be provided. If you 
do not respond within the prescribed time period or you make an 
insufficient response, the Area ONAP will determine that you have not 
met the requirements and will withdraw the grant offer. You may not 
substitute new projects for those originally proposed in your 
application and any new information will not affect your project's 
rating and ranking. The Area ONAP will award, in accordance with the 
provisions of this NOFA, grant amounts that had been allocated for 
applicants unable to meet pre-award requirements.
    9. Error and Appeals. Judgments made within the provisions of this 
NOFA and the program regulations (24 CFR part 1003) are not subject to 
claims of error. You may bring arithmetic errors in the rating and 
ranking of applications to the attention of the Area ONAPs within 30 
days of being informed of your score. Please see Section VI.A. of the 
General Section for further information regarding errors.
    10. Performance and Compliance Actions of Funding Recipients. HUD 
will measure and address the performance of and order compliance 
actions by funding recipients in accordance with the applicable 
standards and sanctions of their respective programs.

VI. Award Administration Information

    A. Award Notices. HUD expects to announce awards by October 31, 
2007. As soon as rating and ranking are completed, the applicant has 
complied with any pre-award requirements, and Congressional release has 
been obtained, a grant award letter, a grant agreement, and other forms 
and certifications will be mailed to the recipient for signature and 
return to the Area ONAP. The grant agreement, which is signed by HUD 
and the recipient, establishes the conditions by which both the Area 
ONAP and the recipient must abide during the life of the grant. All 
grants are conditioned on the completion of all environmental 
obligations and approval of release of funds by the Area ONAP in 
accordance with the requirements of 24 CFR part 58. HUD may impose 
other grant conditions if additional actions or approvals are required 
before the use of funds.

B. Administrative and National Policy Requirements

1. Statutory and Regulatory Requirements
    a. Environmental Requirements. As required by 24 CFR 1003.605, 
ICDBG grantees must perform environmental reviews of ICDBG activities 
in accordance with 24 CFR part 58 (as amended September 29, 2003). 
Grantees and other participants in the development process may not 
commit or expend any ICDBG or nonfederal funds on project activities 
(other than those listed in 24 CFR 58.22(f), 58.34, or 58.35(b)) until 
HUD has approved a Request for Release of Funds and the grantee has 
submitted an environmental certification. The expenditure or commitment 
of ICDBG or nonfederal funds for such activities prior to HUD approval 
may result in the denial of assistance for the project or activities 
under consideration.
    b. Indian Preference. HUD has determined that the ICDBG program is 
subject to Section 7(b) of the Indian Self-Determination and Education 
Assistance Act (25 U.S.C. 450e(b)). The provisions and requirements for 
implementing this section are in 24 CFR 1003.510.
    c. Anti-discrimination Provisions. Under the authority of Section 
107(e)(2) of the CDBG statute, HUD waived the requirement that 
recipients comply with the anti-discrimination provisions in Section 
109 of the CDBG statute with respect to race, color, and national 
origin. You must comply with the other prohibitions against 
discrimination in Section 109 (HUD's regulations for Section 109 are in 
24 CFR part 6) and with the Indian Civil Rights Act.
    d. Conflict of Interest. In addition to the conflict-of-interest 
requirements with respect to procurement transactions found in 24 CFR 
85.36 and 84.42, as applicable, the provisions of 24 CFR 1003.606 apply 
to such activities as the provision of assistance by the recipient or 
sub-recipients to businesses, individuals, and other private entities 
under eligible activities that authorize such assistance.
    e. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). Section 3 requirements apply to the ICDBG program, but as 
stated in 24 CFR 135.3(c), the procedures and requirements of 24 CFR 
part 135 apply to the maximum extent consistent with, but not in 
derogation of, compliance with Indian Preference.

[[Page 11466]]

    2. OMB Circulars and Government-wide Regulations Applicable to 
Financial Assistance Programs. The policies, guidance and requirements 
of OMB Circular A-87 (Cost Principles Applicable to Grants, Contracts, 
and other Agreements with State and Local Governments); OMB Circular A-
122 (Cost Principles for Nonprofit Organizations); OMB Circular A-133 
(Audits of State and Local Governments, and Nonprofit Organizations); 
and the regulations at 24 CFR part 85 (Administrative Requirements for 
Grants and Cooperative Agreements to State, Local and Federally 
Recognized Indian Tribal Governments) apply to the award, acceptance, 
and use of assistance under the ICDBG program and to the remedies for 
noncompliance, except when inconsistent with the provisions of the 
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5, 
approved February 15, 2007) or the ICDBG program regulations at 24 CFR 
part 1003. Copies of the OMB Circulars may be obtained from EOP 
publications, Room 22000, New Executive Office Building, Washington, DC 
20503, telephone (202) 395-3080 (this is not a toll-free number) or 
(800) 877-8339 (TTY Federal Information Relay Service). Information may 
also be obtained from the OMB Web site at http://www.whitehouse.gov/omb/circulars/index.html.

C. Reporting

1. Post-Award Reporting Requirements
    a. Quarterly Financial Reports. Grant recipients must submit to the 
Area ONAP a quarterly SF-272, Federal Cash Transaction Report. The 
report accounts for funds received and disbursed by the recipient.
    b. Annual Status and Evaluation Report. Recipients are required to 
submit this report in narrative form annually. The report is due 45 
days after the end of the federal fiscal year and at the time of grant 
close-out. The report must include:
    (1) The narrative report must address the progress made in 
completing approved activities and include a list of work remaining, 
along with a revised implementation schedule, if necessary. This report 
should include progress on any outputs or outcomes specified in Rating 
Factor 5 and incorporated into the final award document (applicants can 
use the Logic Model (HUD-96010) to address all or some of the narrative 
requirements). Further information regarding the Return on 
Investment(s) will be issued in a subsequent notice by HUD (see section 
V.A.2., Rating Factor 5 of this NOFA for further information);
    (2) A breakdown of funds spent on each major project activity or 
category; and
    (3) If the project has been completed, an evaluation of the 
effectiveness of the project in meeting the community development needs 
of the grantee, as well as the final outputs and outcomes.
    c. Minority Business Enterprise Report. Recipients must submit this 
report on contract and subcontract activity during the first half of 
the fiscal year by April 10 and, by October 10 for the second half of 
the fiscal year.
    d. A close-out report must be submitted by the recipient within 90 
days of completion of grant activities. The report consists of the 
final Financial Status Report (forms SF 269 or 269A), the final Status 
and Evaluation Report including outputs and outcomes agreed upon in the 
final award document relating to Rating Factor 5 and the Close-Out 
Agreement.
    More information regarding these requirements may be found at 24 
CFR 1003.506 and 1003.508.

VII. Agency Contact(s)

    A. General Questions. You should direct general program questions 
to the Area ONAP serving your area. A list identifying each Area ONAP 
is provided at http://www.hud.gov/offices/pih/ih/onap/area_onap.cfm. 
Persons with speech or hearing impairments may call HUD's TTY number 
202 708-0770, or 1-800-877-8339 (the Federal Information Relay Service 
TTY). Other than the ``800'' numbers, these numbers are not toll-free. 
You should direct questions concerning downloading the electronic 
application, registering with Grants.gov, or other questions regarding 
the electronic application to the Grants.gov support desk at 800-518-
GRANTS. You may also send an e-mail to Grants.gov">Support@Grants.gov.
    B. Technical Assistance. Before the application deadline date, HUD 
staff will be available to provide you with general guidance and 
technical assistance about the requirements in the General Section and 
this NOFA. However, HUD staff is not permitted to assist in preparing 
your application. Following selection of applicants, but before awards 
are made, HUD staff is available to assist in clarifying or confirming 
information that is a prerequisite to the offer of an award.

VIII. Other Information

    A. NOFA Training. Training for potential applicants on the 
requirements of the General Section, this NOFA, the Logic Model, and 
Grants.gov registration, will be provided by HUD via broadcast and 
webcast. Information on the training can be found in the General 
Section. The training schedule can be found on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
    B. Paperwork Reduction Act Statement. The information collection 
requirements in this NOFA have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2577-0191. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a valid OMB control number. 
Public reporting burden for the collection of information is estimated 
to average 43 hours per annum for the application and grant 
administration. This includes the time for collecting, reviewing, and 
reporting the data. The information will be used for grantee selection 
and monitoring the administration of funds. Response to this request 
for information is required in order to receive the benefits to be 
derived.

[[Page 11467]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.006


[[Page 11468]]



Historically Black Colleges and Universities (HBCU) Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Policy Development and Research, Office of 
University Partnerships.
    B. Funding Opportunity Title: Historically Black Colleges and 
Universities (HBCU) Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Numbers: FR-5100-N-10; OMB Approval Number 
is 2528-0235.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA 
Number for this program is 14.520.
    F. Dates: The application deadline date is May 23, 2007. 
Application must be received and validated by Grants.gov by 11:59:59 
p.m. eastern time on the deadline date. Please be sure to read the 
General Section for electronic application submission and receipt 
requirements.
    G. Additional Overview Content Information:
    1. Purpose of the Program: To assist Historically Black Colleges 
and Universities (HBCU) to expand their role and effectiveness in 
addressing community development needs in their localities, including 
neighborhood revitalization, housing and economic development, 
principally for persons of low- and moderate-income consistent with the 
purposes of Title I of the Housing and Community Development Act of 
1974, as amended.
    2. Award Information: In Fiscal Year (FY) 2007, approximately $8.9 
million has been made available by the Revised Continuing 
Appropriations Resolution, 2007 (Pub. L. 110-5; approved February 15, 
2007), of which up to $1 million has been allocated to provide 
technical assistance and an additional $22,275 in carryover funds. An 
applicant can request up to $600,000 for a three-year (36 months) grant 
performance period. In order to ensure that institutions that have 
never received a HUD HBCU Program grant (First Time HBCU applicants) 
receive awards in this competition, approximately $1.8 million will be 
made available to fund First Time HBCU applicants. In addition, 
approximately, $6.1 million will be made available to fund Previously 
Funded HBCU applicants. If funding designated for First Time HBCU 
applicants remains after all eligible First Time HBCU applicants are 
awarded, the remaining funds will be made available to fund eligible 
Previously Funded HBCU applicants.
    3. Eligible Applicants: Historically Black Colleges and 
Universities that meet the definition of Historically Black Colleges 
and Universities as determined by the Department of Education in 34 CFR 
608.2 in accordance with that Department's responsibilities under 
Executive Order 13256, dated February 12, 2002. Applicants must be 
institutions of higher education accredited by a national or regional 
accrediting agency recognized by the U.S. Department of Education.

Full Text of Announcement

I. Funding Opportunity Description

    The purpose of the Historically Black Colleges and Universities 
(HBCU) Program is to expand their role and effectiveness in addressing 
community development needs in their localities, including neighborhood 
revitalization, housing, and economic development, principally for 
persons of low- and moderate-income, consistent with the purpose of the 
Title I of Housing and Community Development Act of 1974, as amended.
    For the purposes of this program NOFA, the term ``locality'' 
includes any city, county, township, parish, village, or other general 
political subdivision of a state, or the U.S. Virgin Islands where the 
institution is located and the term ``target area'' is the area within 
the locality in which the institution will implement its proposed HBCU 
grant. If an institution wants to provide services/activities in a 
location other than the target area of that institution an applicant 
must provide justification for why they want to do so.

A. Authority

    HUD's authority for making funding available under this NOFA is the 
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; 
approved February 15, 2007). This program is being implemented through 
this NOFA and the policies governing its operation are contained 
herein.

B. Modifications

    Listed below are major modifications from the Fiscal Year (FY) 2006 
program-funding announcement:
    1. In FY 2007, there is only one category of funding. In FY 2006, 
there were two categories, one of which exclusively funded activities 
related to Hurricanes Katrina and Rita. No funding is being set aside 
for this purpose this year.
    2. Commitment letters, memoranda of understanding and/or agreements 
are not required to be submitted with the application, but the 
originals must be on file at the time of application submission. HUD 
will require applicants chosen to proceed to the next step in the 
selection process to submit the signed commitment letters, memoranda of 
understanding and/or agreements outlined in the application, within 
seven calendar days after initial contact from the Office of University 
Partnerships (OUP). OUP will provide specific instructions on how these 
documents must be submitted at that time. HUD will only request and 
consider the resources/organizations outlined in the application. If 
OUP does not receive those documents with the required information and 
within the allotted timeframe, an applicant will not receive points 
under this factor.
    3. The appendix section of an application must not exceed 15 pages 
in length (excluding forms, budget narrative and assurances). An 
applicant SHOULD NOT submit resumes, commitment letters, memoranda of 
understanding and/or agreements, or other back-up material. Each page 
must include the institution's name and should be numbered. HUD will 
not consider the information on any excess pages.
    4. Applicants must budget for travel costs to attend at least one 
HUD sponsored HBCU conference/workshop every year of the three-year 
grant performance period.

II. Award Information

    In Fiscal Year (FY) 2007, approximately $8.9 million is made 
available for this program, of which up to $1 million has been 
allocated to provide technical assistance and an additional $22,275 in 
carryover funds. An applicant can request up to $600,000 for a three-
year (36 months) grant performance period.
    In order to ensure that institutions that have never received a HUD 
HBCU Program grant (First Time HBCU applicants) receive awards in this 
competition, approximately $1.8 million will be made available to fund 
First Time HBCU applicants. In addition, approximately $6.1 million 
will be made available to fund Previously Funded HBCU applicants. If 
funding designated for First Time HBCU applicants remains after all 
eligible First Time HBCU applicants are awarded, the remaining funds 
will be made available to fund eligible Previously Funded HBCU 
applicants.

III. Eligibility Information

A. Eligible Applicants

    Historically Black Colleges and Universities as determined by the 
U.S. Department of Education in 34 CFR

[[Page 11469]]

608.2 in accordance with that Department's responsibilities under 
Executive Order 13256, dated February 12, 2002. All applicants must be 
institutions of higher education accredited by a national or regional 
accrediting agency recognized by the U.S. Department of Education.

B. Cost Sharing or Matching

    None Required.

C. Other

    1. Eligible Activities. Eligible activities are listed in 24 CFR 
part 570, subpart C, particularly Sec. Sec.  570.201 through 570.206. 
Information regarding these activities can be found at: 
www.hudclips.org (click on the Code of Federal Regulations for detailed 
information). The 15 percent cap on the total grant amount that can be 
used on public service activities that benefit low- and moderate-income 
persons can be waived. Institutions seeking to devote more than 15 
percent of the grant funds to public service activities must include a 
written request in their application addressed to Darlene F. Williams, 
Assistant Secretary for Policy Development and Research. The written 
request must include the following information: 1) the basis for the 
request; 2) a description of the proposed public service activities; 3) 
the dollar amount dedicated to the proposed public service activities; 
and 4) a statement describing how the proposed activities meet the 
Community Development Block Grant eligibility requirements and at least 
one national objective. This letter must be included in the 
application. If an applicant devotes more than 15 percent of their 
grant funds to public service activities and the letter is not included 
and/or does not include the information requested above those 
activities may not be considered fundable and this exclusion may result 
in a lower score.
    a. Examples of eligible activities include, but are not limited to:
    (1) Acquisition of real property;
    (2) Clearance and demolition;
    (3) Rehabilitation of residential structures including lead-based 
paint hazard evaluation and reduction and making accessibility and 
visitabilty modifications in accordance with the requirements of 
Section 504 of the Rehabilitation Act of 1973;
    (4) Public facilities and improvements, such as water and sewer 
facilities and streets compliance with accessibility requirements 
including Section 504 of the Rehabilitation Act of 1973, the Fair 
Housing Act, and the American with Disabilities Act of 1990;
    (5) Special economic development activities described at 24 CFR 
570.203 and assistance to facilitate economic development by providing 
technical or financial assistance for the establishment, stabilization, 
and expansion of microenterprises, including minority enterprises;
    (6) Assistance to community-based development organizations (CBDO) 
to carry out a CDBG neighborhood revitalization, community economic 
development, or energy conservation projects, in accordance with 24 CFR 
570.204. This could include activities in support of a HUD-approved 
local entitlement grantee, CDBG Neighborhood Revitalization Strategy 
(NRS) or HUD-approved State CDBG Community Revitalization Strategy 
(CRS);
    (7) Public service activities such as those general support 
activities that can help to stabilize a neighborhood and contribute to 
sustainable redevelopment of the area, including but not limited to 
such activities as those concerned with employment, crime prevention, 
child care, health care services, drug abuse, education, fair housing 
counseling, energy conservation, homebuyer down payment assistance, 
establishment of Neighborhood Network centers in federally assisted or 
insured housing, job training and placement, and recreational needs;
    (8) Payments of reasonable grant administrative costs related to 
planning and execution of the project (e.g., preparation/submission of 
HUD reports). Detailed explanations of these costs are provided in the 
OMB circular (A-21 Cost Principals for Educational Institutions) that 
can be accessed at the White House Web site, www.whitehouse.gov/omb/circulars/index.html; and
    (9) Fair housing services designed to further the civil rights 
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all 
persons, without regard to race, color, religion, sex, national origin, 
familial status and/or disability aware of the range of housing 
opportunities available to them.
    b. Eligible activities funded under this program meet both the 
Community Development Block Grant (CDBG) Program eligibility 
requirements and at least one of the national objectives.
    c. The three national objectives of the Community Development Block 
Grant program are listed in Rating Factor 3 in Section V.A.3 of this 
NOFA.
    Criteria for determining whether an activity addresses one or more 
national objective are provided at 24 CFR 570.208. The CDBG publication 
entitled ``Community Development Block Grant Program Guide to National 
Objectives and Eligible Activities for Entitlement Communities'' 
describes the CDBG regulations, and a copy can be obtained from HUD's 
NOFA Information Center at 800-HUD-8929. Individuals with hearing or 
speech impairments may access this number via the toll-free Federal 
Information Relay Service at 800-877-8339.
    2. Threshold Requirements Applicable to all Applicants. All 
applicants must comply with the threshold requirements as defined in 
the General Section and the requirements listed below. Applications 
that do not meet these requirements will be considered ineligible for 
funding and will be disqualified.
    a. The applicant must meet the eligibility requirements as defined 
in Section III.A.
    b. The maximum amount an applicant can request is $600,000 for a 
three-year (36 months) grant performance period.
    c. An applicant must have a DUNS number to receive HUD grant funds. 
(See the General Section). Only one application can be submitted per 
institution. If multiple applications are submitted all will be 
disqualified. However, different campuses of the same university system 
are eligible to apply as long as they have separate DUNS number, an 
administrative and budgeting structure independent of the other 
campuses in the system.
    d. Applicants must receive a minimum score of 75 points to be 
considered for funding.
    e. Electronic applications must be received and validated by 
grants.gov no later than 11:59:59 p.m. eastern time on the application 
deadline date.
    3. Program Requirements. In addition to the threshold requirements 
listed in Section III C. of the General Section, applicants must meet 
the following program requirements:
    a. All funds awarded are for a three-year (36 months) grant 
performance period.
    b. Applicants must ensure that not less than 51 percent of the 
aggregated expenditures of the grant benefit low- and moderate-income 
persons under the criteria specified in 24 CFR 570.208(a) or 
570.208(d)(5) or (6).
    c. Site Control. Where grant funds will be used for acquisition, 
rehabilitation, or new construction an applicant must demonstrate site 
control. Funds may be recaptured or deobligated from recipients that 
cannot demonstrate control of a suitable site within one year after the 
initial notification of award.
    d. Environmental Requirements. Selection for award does not 
constitute approval of any proposed sites. Following selection for 
award, HUD will perform an environmental review of

[[Page 11470]]

properties proposed for assistance in accordance with 24 CFR part 50. 
The results of the environmental review may require that proposed 
activities be modified or proposed sites be rejected. Applicants are 
particularly cautioned not to undertake or commit funds for acquisition 
or development of proposed properties prior to HUD approval of specific 
properties or areas. An application constitutes an assurance that the 
institution will assist HUD to comply with part 50; will supply HUD 
with all available and relevant information to perform an environmental 
review for each proposed property; will carry out mitigating measures 
required by HUD or select alternate property; and will not acquire, 
rehabilitate, convert, demolish, lease, repair, or construct property, 
and not commit or expend HUD or local funds for these program 
activities with respect to any eligible property until HUD's written 
approval of the property is received. In supplying HUD with 
environmental information, applicants should use the same guidance as 
provided in the HUD Notice CPD-05-07 entitled, ``Field Environmental 
Review Processing for Rural Housing and Economic Development (RHED) 
Grants'' issued August 30, 2005. Further information and assistance on 
HUD's environmental requirements is available at: http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/lawsregs/notices/2005/05-07.pdf.
    e. Labor Standards. Institutions and their sub-grantees, 
contractors and subcontractors must comply with the labor standards 
(Davis-Bacon) requirements referenced in 24 CFR 570.603.
    f. Economic Opportunities for Low- and Very-Low Income Persons 
(Section 3). The provisions of Section 3 of the Housing and Urban 
Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of 
the purposes of the assistance is to give, to the greatest extent 
feasible, and consistent with existing federal, state, and local laws 
and regulations, job training, employment, contracting and other 
economic opportunities to Section 3 residents and Section 3 business 
concerns. Regulations are located at 24 CFR part 135.

IV. Application and Submission Information

A. Addresses To Request Application Package

    Applicants may download the instructions to the application found 
on the Grants.gov Web site at http://www.grants.gov/applicants/apply--
for--grants.jsp. If you have difficulty accessing the information you 
may call the Grants.gov Support Desk toll free 800-518-GRANTS or e-mail 
your questions to Grants.gov">Support@Grants.gov. Hearing- and speech-challenged 
individuals may access this number through TTY by calling the toll-free 
Federal Information Relay Service at 800-877-8339. See the General 
Section for information regarding the registration process or ask for 
registration information from the Grants.gov Support Desk.

B. Content and Form of Application Submission

    1. Forms. The following forms are required for submission. Copies 
of these forms are available on line at http://www.grants.gov/applicants/apply--for--grants.jsp.
    a. SF-424, Application for Federal Assistance;
    b. SF-424 Supplement, Survey on Ensuring Equal Opportunities for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
    c. HUD-424-CB, ``Grant Application Detailed Budget'' (``HUD 
Detailed Budget Form'' on Grants.gov);
    d. SF-LLL, Disclosure of Lobbying Activities, if applicable;
    e. HUD-27300, Questionnaire for HUD's Removal of Regulatory 
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if 
applicable;
    f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov);
    g. HUD-96010, Program Logic Model;
    h. HUD-2990, Certification of Consistency with RC/EZ/EC-II 
Strategic Plan, if applicable;
    i. HUD-2991, Certification of Consistency with the Consolidated 
Plan, if applicable;
    j. HUD-40076, Response Sheet Performance Narrative, Previously 
Funded HBCU Applicant Only.
    k. HUD-40076, Budget-By-Activity;
    l. HUD-2993, Acknowledgement of Applicant Receipt. Complete this 
form if you have received a waiver to the electronic application 
submission requirement. Applicants are not required to include this 
form;
    m. HUD-2994-A, You Are Our Client Grant Applicant Survey. 
Applicants are not required to complete this form; and
    n. HUD-96011, Third Party Documentation Facsimile Transmittal 
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used 
as the cover page to transmit third party documents and other 
information. Applicants are advised to download the application 
package, complete the SF-424 first and it will pre-populate the 
Transmittal Cover page. The Transmittal Cover page will contain a 
unique identifier embedded in the page that will help HUD associate 
your faxed materials to your application. Please do not use your own 
fax sheet. HUD will not read any faxes that are sent without the HUD-
96011 fax transmittal cover page.
    2. Certifications and Assurances. Please read the General Section 
for detailed information on all Certifications and Assurances. All 
applications submitted through Grants.gov constitute an acknowledgement 
and agreement to all required certifications and assurances. Please 
include in your application each item listed below. Applicants 
submitting paper copy applications should submit the application in the 
following order:
    a. SF-424, Application for Federal Assistance. Please remember the 
following:
    (1) The full grant amount requested from HUD (entire three-years) 
should be entered, not the amount for just one year;
    (2) Include the name, title, address, telephone number, facsimile 
number, and e-mail address of the designated contact. This is the 
person who will receive all correspondence, therefore, please ensure 
the accuracy of the information;
    (3) The Employer Identification/Tax ID number;
    (4) The DUNS Number;
    (5) The Catalog of Federal Domestic Assistance Number for this 
program is 14.520;
    (6) The project's proposed start date and completion date. For the 
purpose of this application, the program start date should be December 
1, 2007; and
    (7) The signature of the Authorized Organization Representative 
(AOR) who by virtue of submitting an application via Grants.gov has 
been authenticated by the credential provider to submit applications on 
behalf of the Institution and approved by the eBusiness Point of 
Contact to submit an application via Grants.gov. The AOR must be able 
to make a legally binding agreement with HUD.
    b. Application Checklist. Applicants should use the checklist to 
ensure that they have all the required components of their application. 
Applicants that receive a waiver of the electronic application 
submission requirement must include a copy of the checklist in their 
application submission. Applicants submitting an electronic application 
should not submit the

[[Page 11471]]

checklist. The checklist can be located in Appendix A.
    c. Abstract. Applicants must include no more than a two-page 
summary of the proposed project. Please include the following:
    (1) A brief description of each proposed project activity, where it 
will take place (be located), the target population that will be 
assisted, and the impact this project is expected to have on the 
community and institution;
    (2) A statement that the institution is an eligible institution 
because it is a fully accredited institution, the name of the 
accrediting agency and an assurance that the accrediting agency is 
recognized by the U.S. Department of Education;
    (3) The designated contact person, including phone number, 
facsimile number, and e-mail address (This is the person who will 
receive all correspondence; therefore, please ensure the accuracy of 
the information);
    (4) The project director, if different from the designated contact 
person, for the project, including phone number, facsimile number, and 
e-mail address.
    d. Narrative statement addressing the Factors. HUD will use the 
narrative response to the ``Rating Factors'' to evaluate, rate, and 
rank applications. The narrative statement is the main source of 
information. Applicants are advised to review each factor carefully for 
program specific requirements. The response to each factor should be 
concise and contain only information relevant to the factor, yet 
detailed enough to address each factor fully. PLEASE DO NOT REPEAT 
MATERIAL IN RESPONSE TO THE FIVE FACTORS; INSTEAD, FOCUS ON HOW WELL 
THE PROPOSAL RESPONDS TO EACH OF THE FACTORS. Where there are 
subfactors each subfactor must be presented separately, with the short 
title of the subfactor presented. Make sure to address each subfactor 
and provide sufficient information about every element of the 
subfactor. The narrative section of an application must not exceed 50 
pages in length (excluding forms, budget narrative, assurances, and 
abstract) and must be submitted on 8\1/2\ by 11-inch paper, double-
spaced on one side of the paper, with one inch margins (from the top, 
bottom, and left to right side of the document) and printed in standard 
Times New Roman 12-point font. Each page of the narrative must include 
the institution's name and should be numbered. Note that although 
submitting pages in excess of the page limit will not disqualify an 
applicant, HUD will not consider the information on any excess pages. 
This exclusion may result in a lower score or failure to meet a 
threshold requirement. All applicants submitting electronic 
applications must attach their narrative responses to Rating Factors 1-
5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR 
SEPARATELY. Please follow the instructions on file extension and file 
names in the General Section.
    e. Budget. The budget submission must include the following:
    (1) HUD-424-CB, ``Grant Application Detailed Budget.'' This form 
shows the total budget by year and by line item for the program 
activities to be carried out with the proposed HUD grant. Each year of 
the program should be presented separately. Applicants must also budget 
for travel costs (airfare, lodging and per diem) for two individuals to 
attend at least one HUD sponsored HBCU conference/workshop every year 
of the three-year grant performance period. To calculate travel 
expenses, applicants located in Eastern and Central time zones or the 
U.S. Virgin Islands should use San Francisco, CA as the site of all 
conferences/meetings. Applicants located in Mountain and Pacific time 
zones should use Washington, DC as the site of all conferences/
workshops.
    Applicants must also submit this form to reflect the total cost 
(summary) for the entire grant performance period (Grand Total).
    (2) HUD-40076-HBCU, ``Response Sheet, Budget-By-Activity'' The form 
should include a listing of each activity and task necessary to be 
performed to implement the program, the overall costs for each 
activity, and the cost from each funding source. The budget-by-activity 
should clearly indicate the HUD grant amount and identify the source 
and dollar amount of the leveraged resources, if any.
    Make sure that the amounts shown on the SF-424, HUD-424-CB, HUD-
40076-HBCU and all other required program forms are consistent and the 
budget totals are correct. Remember to check addition in totaling the 
categories on all forms so that all items are included in the total. If 
there is an inconsistency between any of the required budget forms, the 
HUD-424-CB will be used. All budget forms must be completed fully. If 
an application is selected for award, the applicant may be required to 
provide greater specificity to the budget during grant agreement 
negotiations.
    (3) Budget Narrative. A narrative must be submitted that explains 
how the applicant arrived at the cost estimates for any line item over 
$5,000 cumulative. For example, an applicant proposes to construct a 
building using HUD funding totaling $200,000. The following costs 
estimate reflects this total. Foundation cost $75,000, electrical work 
$40,000, plumbing work $40,000, finishing work $35,000, and landscaping 
$10,000. The proposed cost estimates should be reasonable for the work 
to be performed and consistent with rates established for the level of 
expertise required to perform the work proposed in the geographical 
area. When necessary, quotes from various vendors or historical data 
should be used (please make sure they are kept on file and are 
available for review by HUD at any time). When an applicant proposes to 
use a consultant, the applicant must indicate whether there is a formal 
written agreement. For each consultant, please provide the name, if 
known, hourly or daily rate, and the estimated time on the project. 
Applicants must use a cost estimate based on historical data from the 
institution, and/or from a qualified firm (e.g., Architectural or 
Engineering firm), vendor, and/or qualified individual (e.g., 
independent architect or contractor) other than the institution for 
projects that involve rehabilitation of residential, commercial and/or 
industrial structures, and/or acquisition, construction, or 
installation of public facilities and improvements. Such an entity must 
be involved in the business of housing rehabilitation, construction 
and/or management. Equipment and contracts cannot be presented as a 
total estimated costs. For equipment, applicants must provide a list by 
type and cost for each item. Applicants using contracts must provide an 
individual description and cost estimate for each contract. 
Construction costs must be broken down to indicate how funds will be 
utilized (e.g., demolition, foundation, exterior walls, roofing, 
electrical work, plumbing, finishing work, etc.).
    (4) Indirect costs. Indirect costs, if applicable, are allowable 
based on an established approved indirect cost rate. Applicants must 
have on file and submit to HUD, if selected for funding, a copy of 
their indirect cost rate agreement. Applicants who are selected for 
funding that do not have an approved indirect cost rate agreement, 
established by the cognizant federal agency, will be required to 
establish a rate. In such cases, HUD will issue an award with a 
provisional rate and assist applicants in having a rate established.
    f. Appendix. Applicants receiving a waiver of the electronic 
submission requirements and submitting a paper copy of the application 
must place all required forms in this section. The appendix section of 
an application must not exceed 15 pages in length (excluding forms, 
budget narrative and assurances). An applicant SHOULD

[[Page 11472]]

NOT submit resumes, commitment letters, memoranda of understanding and/
or agreements, or other back-up materials. If this information is 
included, it will not be considered during the review process. Each 
page must include the applicant's name and should be numbered. HUD will 
not consider the information on any excess pages. The additional items 
will also slow the transmission of your application.

C. Submission Dates and Times

    A complete application package must be received and validated 
electronically by the Grants.gov portal no later than 11:59:59 p.m. 
eastern time on or before the applications deadline date. In an effort 
to address any issues with transmission of your application, applicants 
are strongly encouraged to submit their applications at least 48 to 72 
hours prior to the application deadline. This will allow an applicant 
enough time to make the necessary adjustments to meet the submission 
deadline in the event Grants.gov rejects the application. Please see 
the General Section for further instructions. Electronic faxes using 
the Facsimile Transmittal Cover Sheet (Form HUD-96011) contained in the 
electronic application must be received no later than 11:59:59 p.m. 
eastern time on the application submission deadline date.

D. Intergovernmental Review

    This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

    Ineligible CDBG Activities are listed at 24 CFR 570.207. Ineligible 
activities include but are not limited to:
    1. Curriculum development and/or expansion of an institution's 
existing curriculum;
    2. General government expenses; and
    3. Political activities.

F. Other Submission Requirements

    1. Application Submission and Receipt Procedure. Please read the 
General Section carefully and completely for the submission and receipt 
procedures for all applications because failure to comply may 
disqualify your application.
    2. Waiver of Electronic Submission Requirements. Applicants should 
submit their waiver requests in writing using e-mail or fax. Waiver 
requests must be submitted no later than 15 days prior to the 
application deadline date and should be submitted to: Susan Brunson, 
Office of University Partnerships, E-mail: [email protected], 
FAX: (202) 708-0309. Paper applications will not be accepted from 
applicants that have not been granted a waiver. If an applicant is 
granted a waiver, the Office of University Partnerships will provide 
instructions for submission. All applicants submitting applications in 
paper format must have received a waiver to the electronic application 
submission requirement and the application must be received by HUD on 
or before the application deadline date.

V. Application Review Information

A. Criteria

    1. Rating Factor 1: Capacity of the Applicant and Relevant 
Experience (25 Points). This factor addresses the extent to which the 
institution has the resources necessary to successfully implement the 
proposed activities in a timely manner.
    a. Knowledge and Experience For First Time Applicants (25 Points) 
For Previously Funded Applicants (10 Points). In rating this subfactor, 
HUD will consider the extent to which the applicant clearly addresses 
the following:
    (1) Describe the knowledge and experience of the proposed project 
director and staff, including the day-to-day program manager, 
consultants (including technical assistance providers), and contractors 
in planning and managing the type of project for which funding is being 
requested; and
    (2) Clearly identify the following: key project team members, 
titles (e.g., project manager/coordinator, etc.), respective roles for 
the project staff, and a brief description of their relevant 
experience.
    If key personnel have not been hired, applicants must identify the 
position title, provide a description of duties and responsibilities, 
and describe the qualifications to be considered in the selection of 
personnel, including subcontractors and consultants.
    Experience will be judged in terms of recent and relevant knowledge 
and skills of the staff to undertake the proposed eligible program 
activities. HUD will consider experience within the last five (5) years 
to be recent and experience pertaining to similar activities to be 
relevant.
    b. Past Performance (15 points) for Previously Funded Grant 
Applicants Only. This subfactor will evaluate how well an applicant has 
performed successfully under HUD/HBCU grants. Applicants must 
demonstrate this by addressing the following information on the HUD-
40076-HBCU ``Response Sheet'' (Performance Narrative) for all 
previously completed and open HUD/HBCU grants:
    (1) A list of all HUD/HBCU grants received, including the dollar 
amount awarded and the amount expended as of the date of this 
application. The HUD-40076-HBCU ``Response Sheet'' (Performance 
Narrative) form is located at the following Web site: http://www.grants.gov/applicants/apply--for--grants.jsp. The form should be 
filled out completely;
    (2) A description of the achievement of specific tasks, measurable 
objectives, and specific outcomes consistent with the approved 
timeline/work plan;
    (3) A comparison of the amount of proposed leveraged funds and/or 
resources to the amount that was actually leveraged;
    (4) A detailed description of compliance with all reporting 
requirements, including timeliness of submission, whether reports were 
complete and addressed all information (both narrative and financial) 
as required by the grant agreement; and
    (5) A list detailing the date the project(s) was completed, was it 
completed in the original three-year grant performance period; if not 
completed why (including when it was or will be completed);
    HUD will also review an applicant's past performance in managing 
funds, including, but not limited to: the ability to account for 
funding appropriately; timely use of funds received from HUD; meeting 
performance targets for completion of activities; timely submission of 
required progress reports and receipt of promised leveraged resources. 
In evaluating past performance, HUD reserves the right to deduct up to 
five (5) points from this rating score as a result of the information 
obtained from HUD's records (i.e., progress and financial reports, 
monitoring reports, Logic Model submissions, and amendments).
    2. Rating Factor 2: Need/Extent of the Problem (15 Points). This 
factor addresses the extent to which there is a need for funding the 
proposed program activities and an indication of the importance of 
meeting the need(s). In addressing this factor, applicants should 
provide, at a minimum, the following and must cite statistics and/or 
analyses contained in one or more current data sources that are sound 
and reliable.
    (1) Describe the need(s); and
    (2) Describe the importance of meeting the proposed needs.
    In rating this factor, HUD will consider only current data that is 
specific to the area where the proposed project activities will be 
carried out.

[[Page 11473]]

Sources for localized data can be found at: www.ffiec.gov.
    HUD will also consider data collected within the last five (5) 
years to be current. To the extent that the targeted community's Five 
Year Consolidated Plan and Analysis of Impediments to Fair Housing 
Choice (AI) identify the level of the problem and the urgency in 
meeting the need, applicants should include references to these 
documents in response to this factor.
    Other reliable data sources include, but are not limited to, Census 
reports, HUD Continuum of Care gap analysis and its E-MAP (to find 
additional information go to HUD's Web site: http://www.hud.gov/emaps), 
law enforcement agency crime reports, Public Housing Agencies' 
Comprehensive Plans, community needs analyses such as provided by the 
United Way, the applicant's institution, and other sound, reliable and 
appropriate sources. Needs in terms of fulfilling court orders or 
consent decrees, settlements, conciliation agreements, and voluntary 
compliance agreements may also be addressed.
    3. Rating Factor 3: Soundness of Approach (40 Points). This factor 
addresses the quality and effectiveness of the proposed work plan and 
the commitment of the institution to sustain the proposed project 
activities.
    a. (33 Points) Quality of the Work Plan. This subfactor will be 
evaluated on the extent to which an applicant provides a clear detailed 
description of the proposed project activities, anticipated 
accomplishments, and the impact they will have on the target population 
at the end of the project.
    (1) (25 Points) Specific activities. The work plan must describe 
all proposed project activities and major tasks required to 
successfully implement them. The work plan must also identify the 
anticipated accomplishments and impact these activities will have on 
the targeted population. In addressing this subfactor, applicants must 
provide a clear description of each proposed project activity and 
address the following:
    (a) Describe each proposed project activity in measurable terms 
(e.g., the number of persons to be trained and employed; houses to be 
rehabilitated; or minority-owned businesses to be started, etc.);
    (b) List and describe how each activity meets one of the following 
Community Development Block Grant (CDBG) Program national objectives:
     Benefit low- and moderate-income persons;
     Aid in the prevention or elimination of slums or blight; 
or
     Meet other community development needs having a particular 
urgency because existing conditions pose a serious and immediate threat 
to the health and welfare of the community, and other financial 
resources are not available to meet such needs.
    Criteria for determining whether an activity addresses one or more 
objectives are provided at 24 CFR 570.208;
    (c) Describe the measurable impact that implementing each activity 
(by the end of the grant period) will have on the target population;
    (d) Identify the major tasks required (in sequential order) to 
successfully implement and complete each proposed project activity. 
Include target completion dates for each task (in 6 month intervals, up 
to thirty-six (36) months); and
    (e) Identify the key staff, as described in Factor 1, who will be 
responsible and accountable for completing each task.
    (2) (8 Points) Describe clearly how each proposed activity will:
    (a) Expand the role of the institution in the community;
    (b) Address the needs identified in Factor 2;
    (c) Relate to and not duplicate other activities in the target 
area. Duplicative efforts will be acceptable only if an applicant can 
demonstrate through documentation that there is a population in need 
that is not being served; and
    (d) Involve citizens of the target area in the planning and 
implementation of the proposed project activity (e.g., development of 
an advisory committee that is representative of the target community).
    b. (3 Points) Involvement of the Faculty and Students. The 
applicant must describe how it proposes to integrate the institution's 
students and faculty into proposed project activities.
    c. (2 Points) HUD Policy Priorities. As described in the General 
Section, to earn points under this subfactor, HUD requires applicants 
to undertake specific activities that will assist the Department in 
implementing its policy priorities that help the Department achieve its 
goals and objectives in FY2008, when the majority of grant recipients 
will be reporting programmatic results and achievements. In addressing 
this subfactor, HUD will evaluate the extent to which a program will 
further and support HUD's priorities. The quality of the responses 
provided to one or more of HUD's priorities will determine the score an 
applicant can receive. Applicants must describe how each policy 
priority selected will be addressed. Applicants that just list a 
priority will receive no points. Please refer to the General Section 
for additional information about HUD's policy priorities.
    The total number of points an applicant can receive under this 
subfactor is two (2). Each policy priority addressed has a point value 
of one (1) point with the exception of the policy priority to remove 
regulatory barriers to affordable housing, which has a point value of 
up to two (2) points. To receive these two (2) points, an applicant 
must: (1) Complete either Part A or Part B (not both), (2) include 
appropriate documentation, (3) identify a point of contact, (4) 
indicate how this priority will be addressed and (5) submit the 
completed questionnaire, (HUD-27300) ``HUD's Initiative on Removal of 
Regulatory Barriers'' found in the General Section. It is up to the 
applicant to determine which of the policy priorities they elect to 
address to receive the available two (2) points.
    d. (2 Points) Economic Opportunities for Low- and Very-Low Income 
Persons (Provision of Section 3). This subfactor will be evaluated on 
the extent to which an applicant describes how it proposes to:
    (1) Provide opportunities to train and employ Section 3 residents; 
and/or
    (2) Award contracts to Section 3 contractors (see the regulations 
at 24 CFR 135). Regulations regarding the provision of Section 3 of the 
Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) can be 
located at 24 CFR Part 135.
    4. Rating Factor 4: Leveraging Resources (8 Points). This factor 
addresses the ability of the applicant to secure resources and develop 
partnerships that can be combined with HUD's grant funds to achieve the 
program's purpose.
    In evaluating this factor, HUD will consider how well the applicant 
has established partnerships with other entities to secure additional 
resources to increase the effectiveness of the proposed project 
activities. Resources may include funding or in-kind contributions, 
such as services or equipment, allocated for the purpose(s) of the 
proposed project activities. Resources may be provided by governmental 
entities, public or private nonprofit organizations, for-profit private 
organizations, or other entities. Applicants may also establish 
partnerships with other program funding recipients to coordinate the 
use of resources in the target area. Overhead and other institutional 
costs (e.g., salaries, indirect costs, etc.) that the institution has 
waived may be counted.

[[Page 11474]]

Examples of potential sources for outside assistance include:
     Federal, state, and local governments;
     Local or national nonprofit organizations;
     Financial institutions and/or private businesses;
     Foundations;
     Faith-based and other community-based organizations.
    To address this factor, an applicant must provide an outline in the 
application and have the original written commitment letters, memoranda 
of understanding and/or agreements that show the extent and firm 
commitment of all proposed leveraged resources (including any 
commitment of resources from the applicant's own institution) that 
address the following information for each leveraged resource/fund on 
file at the time of application submission:
    (1) The name of the organization and the executive officer 
authorizing the funds/goods and/or services (only applicable to the 
narrative section)
    (2) The cash amount contributed or dollar value of the in-kind 
goods and/or services committed (if a dollar amount and its use is not 
shown, the value of the contribution will not be scored for award);
    (3) A specific description of how each contribution is to be used 
toward the proposed activities;
    (4) The date the contribution will be made available and a 
statement that describes the duration of the contribution;
    (5) Any terms or conditions affecting the commitment, other than 
receipt of a HUD Grant; and
    (6) The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services (only applicable to 
the written documentation).
    DO NOT submit commitment letters, memoranda of understanding and/or 
agreements at the time of application submission but have the originals 
on file at the time of submission. IF THIS INFORMATION IS INCLUDED, IT 
WILL NOT BE CONSIDERED DURING THE REVIEW PROCESS. Applicants chosen to 
proceed to the next step in the selection process will be required to 
submit the signed commitment letters, memoranda of understanding and/or 
agreements outlined in the application, within seven (7) calendar days 
after initial contact from the Office of University Partnerships (OUP). 
Letters, memoranda of understanding, or agreements must be submitted on 
the provider's letterhead and should be addressed to Sherone Ivey, 
Associate Deputy Assistant Secretary for University Partnerships. The 
date of the letter, memorandum of understanding, or agreement from the 
CEO of the provider organization must be dated no earlier than nine 
months prior to this published NOFA. OUP will provide specific 
instructions on how these documents must be submitted when contact is 
made with the applicant. HUD will only request and consider the 
resources/organizations that are listed in the outline submitted in the 
application. If OUP does not receive those documents with the required 
information and within the allotted timeframe, an applicant will not 
receive points under this factor.
    5. Rating Factor 5: Achieving Results and Program Evaluation (12 
Points). This factor reflects HUD's goal to embrace high standards of 
management and accountability. It measures the applicant's commitment 
to assess their performance to achieve the program's proposed 
objectives and goals. Applicants are required to develop an effective, 
quantifiable, outcome oriented evaluation plan for measuring 
performance and determining that objectives and goals have been 
achieved by using the Logic Model. The Logic Model is a summary of the 
narrative statements presented in Factors 1-4. Therefore, it should be 
consistent with the information contained in the narrative statements.
    ``Outcomes'' are benefits accruing to the community during or after 
participation in the HBCU program. Applicants must clearly identify the 
outcomes to be measured and achieved. Examples of outcomes include 
increased employment opportunities in the target community by a certain 
percentage, increased incomes/wages or other assets for persons 
trained, or enhanced family stability through the creation of 
affordable housing opportunities (e.g., increased assets to families 
and communities through the development of affordable housing).
    In addition, applicants must establish interim benchmarks and 
outputs that lead to the ultimate achievement of outcomes. ``Outputs'' 
are the direct products of the program's activities. Examples of 
outputs are the number of new affordable housing units, the number of 
homes that have been renovated, and the number of facilities that have 
been constructed or rehabilitated. Outputs should produce outcomes for 
the program. At a minimum, an applicant must address the following 
activities in the evaluation plan:
    a. Measurable outputs to be accomplished (e.g., the number of 
persons to be trained and employed; houses to be built pursuant to 24 
CFR 570.207 or rehabilitated; minority-owned businesses to be started);
    b. Measurable outcomes the grant will have on the community in 
general and the target area or population; and
    c. The impact the grant will have on assisting the university to 
obtain additional resources to continue this type of work at the end of 
the grant performance period.
    The information must be placed on a HUD-96010, Program Outcome 
Logic Model form. HUD has developed a new approach to completing this 
form. Please carefully read the General Section for instructions; 
training is available. If an applicant utilizes ``other'' from the 
Logic Model categories, then the applicant should describe briefly this 
``other'' category within the Rating Factor 5 narrative. If a narrative 
is provided, those pages will be included in the page count. (Form HUD-
96010 will be excluded from the page count.)

B. Review and Selection Process

1. Application Selection Process
    Two types of reviews will be conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Rating Factors'' 
listed in Section V.A. Only those applications that pass the threshold 
review will receive a technical review.
    2. Rating Panels. To review and rate applications HUD may establish 
panels, which may include experts or consultants not currently employed 
by HUD to obtain certain expertise.
    3. Ranking. HUD will fund applications in rank order, until all 
available program funds are awarded. In order to be considered for 
funding, an applicant must receive a minimum score of 75 points out of 
a possible 100 points for Factors 1 through 5; plus up to two bonus 
points that may be awarded for activities conducted in the RC/EZ/EC-II 
communities, as described in the General Section. If two or more 
applications have the same number of points, the application with the 
most points for Factor 3 shall be selected. If there is still a tie, 
the application with the most points for Factor 1 shall be selected. If 
there is still a tie, the application with the most points for Factors 
2, 4 and then 5 shall be selected in that order until the tie is 
broken. HUD reserves the right to make selections out of rank order to 
provide for geographic distribution of grantees.

[[Page 11475]]

HUD also reserves the right to reduce the amount of funding requested 
in order to fund as many highly ranked applications as possible. 
Additionally, if funds remain after funding the highest ranked 
applications, HUD may fund part of the next highest-ranking 
application. If an applicant turns down an award offer, HUD will make 
an award to the next highest-ranking application. If funds remain after 
all selections have been made, the remaining funds will be carried over 
to the next funding cycle's competition.
    4. Correction to Deficient Applications. See the General Section.

C. Anticipated Announcement and Award Dates

    Announcements of awards are anticipated on or before September 30, 
2007.

VI. Award Administration Information

A. Award Notice

    After all selections have been made, HUD will notify all winning 
applications in writing. HUD may require winning applicants to 
participate in additional negotiations before receiving an official 
award. For further discussion on this matter, please refer to the 
General Section.

B. Administrative and National Policy Requirements

    Refer to the General Section.
    1. Debriefing. The General Section provides the procedures for 
requesting a debriefing. All requests for debriefings must be made in 
writing to: Ophelia Wilson, Office of University Partnerships, 
Department of Housing and Urban Development, 451 Seventh Street, SW., 
Room 8106, Washington, DC 20410-6000.
    2. Administrative. Grants awarded under this NOFA will be governed 
by the provisions of 24 CFR part 84 (Grants and Agreements with 
Institutions of Higher Education, Hospitals and Other Non-Profit 
Organizations), A-21 (Cost Principles for Educational Institutions) and 
A-133 (Audits of States, Local Governments, and Non-Profit 
Organizations). Applicants can access the OMB circulars at the White 
House Web site at www.whitehouse.gov/omb/circulars/index.html.
    3. OMB Circulars and Governmentwide Regulations Applicable to 
Financial Assistance Programs. The General Section provides further 
discussion on this matter.
    4. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects. See the General 
Section for further discussion.
    5. Procurement of Recovered Materials. The General Section provides 
further discussion on the matter.
    6. Code of Conduct. See the General Section for further discussion.

C. Reporting

    All grant recipients under this NOFA are required to submit 
quarterly progress reports. The progress reports shall consist of two 
components, a narrative that must reflect the activities undertaken 
during the reporting period and a financial report that reflects costs 
incurred by budget line item, as well as a cumulative summary of costs 
incurred during the reporting.
    For each reporting period, as part of the required report to HUD, 
grant recipients must include a completed Logic Model form (HUD-96010), 
which identifies output and outcome achievements.
    For FY2007, HUD is considering a new concept for the Logic Model. 
The new concept is a Return on Investment (ROI) statement. HUD will be 
publishing a separate notice on the ROI concept.

VII. Agency Contacts

    Applicants may contact Ophelia Wilson at (202) 708-3061, extension 
4390 or Susan Brunson at (202) 708-3061, extension 3852. Persons with 
speech or hearing impairments may call the Federal Information Relay 
Service (TTY) at (800) 877-8339. Except for the ``800'' number, these 
numbers are not toll-free. mail to: Applicants may also reach Ms. 
Wilson via e-mail at [email protected], and/or Ms. Brunson at 
[email protected].

VIII. Other Information

Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2528-0235. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 356 hours per annum per respondent for the application and 
grant administration. This includes the time for collecting, reviewing, 
and reporting the data for the application, quarterly, semi-annual and 
final reports. The information will be used for grantee selection and 
monitoring the administration of funds. Response to this request for 
information is required in order to receive the benefits to be derived.
Appendix A--Application Checklist--HBCU
    This checklist identifies application submission requirements. 
Applicants are requested to use this checklist when preparing an 
application to ensure submission of all required elements. Applicants 
submitting an electronic application do not have to submit the 
checklist. Applicants that receive a waiver of the electronic 
application submission requirement must include a copy of the checklist 
in their application.
    Check off to ensure these items have been included in the 
application:
----SF-424 ``Application For Federal Assistance''
----Application Checklist (Applicants that submit paper applications 
must include the checklist in their applications)
----Abstract (must include no more than a two-page summary of the 
proposed project)
    Indicate the page number where each of the Factors are located:
    Narrative Statement Addressing the Rating Factors.
    The narrative section of an application must not exceed 50 pages in 
length (excluding forms, budget narrative and abstract). This 
information must be submitted on 8\1/2\ by 11-inch paper, double-spaced 
on one side of the paper, with one-inch margins (from the top, bottom, 
left, and right sides of the documents) and printed in standard Times 
New-Roman 12-point font. [Applicants that submit applications via 
Grants.gov should review the General Section for information about file 
names and extensions. File names should not contain spaces or special 
characters.]
----Factor I
----Factor II
----HUD-40076, ``Response Sheet Performance Narrative'' (If applicable)
----Factor III
----Factor IV
----Factor V
---- HUD-96010 ``Logic Model''
    Check off to ensure these items have been included in the 
application:
----Appendix. The appendix section of an application must not exceed 15 
pages in length (excluding forms, budget narrative and assurances).
----Budget
----HUD 424-CB ``Grant Application Detailed Budget'' (``HUD Detailed 
Budget Form'' on Grants.gov)

[[Page 11476]]

----HUD-40076-HBCU ``Budget-By-Activity''
----Budget Narrative (No form provided and must be submitted for the 
total three-year grant period)
Appendix B (All Required Forms)
    The following forms are required for submission. All required forms 
are contained in the electronic application package.
----Application for Federal Assistance (SF-424)
----Survey on Ensuring Equal Opportunity for Applicants (SF-424 
Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov)
----Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed 
Budget Form'' on Grants.gov)
----Disclosure of Lobbying Activities (SF-LLL), if applicable
----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300), 
(``HUD Communities Initiative Form'' on Grants.gov), if applicable
----Applicant/Recipient Disclosure/Update Report (HUD-2880) (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov)
----Certification of Consistency with RC/EZ/EC-II Strategic Plan (HUD-
2990), if applicable
----Certification of Consistency with the Consolidated Plan (HUD-2991) 
if applicable
----Acknowledgement of Applicant Receipt (HUD-2993) Only applicants 
that submit paper applications
----You Are Our Client Grant Applicant Survey (HUD-2994-A)
----Response Sheet Performance Narrative (HUD-40076) if applicable
----Budget-By-Activity (HUD-40076)
----Program Logic Model (HUD-96010)
----Third Party Documentation Facsimile Transmittal (HUD-96011) 
(``Facsimile Transmittal Form'' on Grants.gov) required as the cover 
page to third party documents transmitted by facsimile to HUD. See the 
General Section.

[[Page 11477]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.007


[[Page 11478]]



Hispanic-Serving Institutions Assisting Communities (HSIAC) Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Policy Development and Research, Office of 
University Partnerships.
    B. Funding Opportunity Title: Hispanic-Serving Institutions 
Assisting Communities (HSIAC) Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Numbers: FR-5100-N-13; OMB Approval Number 
is 2528-0198.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: The CDFA 
Number for this program is 14.514.
    F. Dates: The application deadline date is May 23, 2007. 
Applications must be received and validated by Grants.gov by 11:59:59 
p.m. eastern time on the deadline date. Please be sure to read the 
General Section for electronic application submission and receipt 
requirements.
    G. Additional Overview Content Information:
    1. Purpose of the Program: To assist Hispanic-Serving Institutions 
(HSI) expand their role and effectiveness in addressing community 
development needs in their localities, including neighborhood 
revitalization, housing, and economic development, principally for 
persons of low- and moderate-income, consistent with the purposes of 
Title I of the Housing and Community Development Act of 1974, as 
amended.
    2. Award Information: In Fiscal Year (FY) 2007, approximately $5.9 
million has been made available for this program by the Revised 
Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; approved 
February 15, 2007) and an additional $111,226 in carryover funds. An 
applicant can request up to $600,000 for a three-year (36 months) grant 
performance period.
    3. Eligible Applicants: Nonprofit Hispanic-serving institutions 
that meet the definition of an HSI of higher education established in 
Title V of the Higher Education Act of 1965 (20 U.S.C. 1101), as 
amended. In order to meet this definition, at least 25 percent of the 
full-time undergraduate students enrolled in an institution must be 
Hispanic. In addition, all applicants must be institutions of higher 
education granting two-or four-year degrees that are fully accredited 
by a national or regional accrediting agency recognized by the U.S. 
Department of Education. Institutions are not required to be on the 
list of eligible HSIs prepared by the U.S. Department of Education. 
However, an institution that is not on the list is required to provide 
a statement in the application that the institution meets the U.S. 
Department of Education's statutory definition of an HSI as cited 
above. If an applicant is one of several campuses of the same 
institution, the applicant may apply separately from the other campuses 
as long as the campus has a separate DUNS number, administrative 
structure and budget, and meets the enrollment requirements outlined 
above.

Full Text of Announcement

I. Funding Opportunity Description

    The purpose of the Hispanic-Serving Institutions Assisting 
Communities (HSIAC) Program is to assist Hispanic-Serving Institutions 
(HSI) of higher education expand their role and effectiveness in 
addressing community development needs in their localities, including 
neighborhood revitalization, housing and economic development, 
principally for persons of low- and moderate-income consistent with the 
purpose of the Title I of the Housing and Community Development Act of 
1974, as amended.
    For the purpose of this program NOFA, the term ``locality'' 
includes any city, county, township, parish, village, or other general 
political subdivision of a state, Puerto Rico, or the U.S. Virgin 
Islands where the institution is located.
    A ``target area'' is the area within the locality in which the 
institution will implement its proposed HSIAC grant.

A. Authority

    HUD's authority for making this funding available under this NOFA 
is the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-
5; approved February 15, 2007). This program is being implemented 
through this NOFA and the policies governing its operation are 
contained herein.

B. Modifications

    Listed below are major modifications from the Fiscal Year (FY) 2006 
program-funding announcement:
    1. Commitment letters, memoranda of understanding and/or agreements 
are not required to be submitted with the application, but the 
originals must be on file at the time of application submission. HUD 
will require applicants chosen to proceed to the next step in the 
selection process to submit the signed commitment letters, memoranda of 
understanding and/or agreements outlined in the application, within 
seven (7) calendar days after initial contact from the Office of 
University Partnerships (OUP). OUP will provide specific instructions 
on how these documents must be submitted at that time. HUD will only 
request and consider the resources/organizations outlined in the 
application. If OUP does not receive those documents with the required 
information and within the allotted timeframe, an applicant will not 
receive points under this factor.
    2. The appendix section of an application must not exceed 15 pages 
in length (excluding forms, budget narrative and assurances). An 
applicant SHOULD NOT submit resumes, commitment letters, memoranda of 
understanding and/or agreements, or other back-up material. Each page 
must include the applicant's name and should be numbered. HUD will not 
consider the information on any excess pages.
    3. Applicants must budget for travel costs to attend at least one 
HUD sponsored HSIAC conference/workshop every year of the three-year 
grant performance period.
    4. Public Law 109-242 (approved September 30, 2006) revised the 
definition of Hispanic-serving institution found in Title V of the 
Higher Education Act of 1965 (20 U.S.C. 1101). The revision removed the 
requirement that not less than 50 percent of the institution's Hispanic 
students are low-income individuals.

II. Award Information

    In Fiscal Year (FY) 2007, approximately $5.9 million is made 
available for this program and an additional $111,226 in carryover 
funds. An applicant can request up to $600,000 for a three-year (36 
months) grant performance period.

III. Eligibility Information

A. Eligible Applicants

    Nonprofit Hispanic-serving institutions that meet the definition of 
an HSI of higher education established in Title V of the Higher 
Education Act of 1965 (20 U.S.C. 1101), as amended. In order to meet 
this definition, at least 25 percent of the full-time undergraduate 
students enrolled in an institution must be Hispanic. In addition, all 
applicants must be institutions of higher education granting two- or 
four-year degrees that are fully accredited by a national or regional 
accrediting agency recognized by the U.S. Department of Education. 
Institutions are not required to be on the list of eligible HSIs 
prepared by the U.S. Department of Education. However, an institution 
that is not on the list is required to provide a statement in the 
application that the institution meets

[[Page 11479]]

the U.S. Department of Education's statutory definition of an HSI as 
cited above. If an applicant is one of several campuses of the same 
institution, the applicant may apply separately from the other campuses 
as long as the campus has a separate DUNS number, administrative 
structure and budget, and meets the enrollment requirements outlined 
above.

B. Cost Sharing or Matching

    None Required.

C. Other

    1. Eligible Activities. Eligible activities are listed in 24 CFR 
part 570, subpart C, particularly Sec. Sec.  570.201 through 570.206. 
Information regarding these activities can be found at: 
www.hudclips.org (click on the Code of Federal Regulations for detailed 
information).
    a. Examples of eligible activities include, but are not limited to:
    (1) Acquisition of real property;
    (2) Clearance and demolition;
    (3) Rehabilitation of residential structures including lead-based 
paint hazard evaluation and reduction and making accessibility and 
visitabilty modifications in accordance with the requirements of 
Section 504 of the Rehabilitation Act of 1973;
    (4) Public facilities and improvements, such as water and sewer 
facilities and streets, compliance with accessibility requirements, 
including Section 504 of the Rehabilitation Act of 1973, the Fair 
Housing Act, and the American with Disabilities Act of 1990;
    (5) Relocation payments and other assistance for permanently and 
temporarily relocated individuals, families, businesses, nonprofit 
organizations, and farm operations where the assistance is:
    (a) Required under the provisions of 24 CFR 570.606(b) or (c); or
    (b) Determined by the grantee to be appropriate under the 
provisions of 24 CFR 570.606(d);
    (6) Direct homeownership assistance to low- and moderate-income 
persons, as provided in section 105(a)(25) of the Housing and Community 
Development Act of 1974;
    (7) Special economic development activities described at 24 CFR 
570.203 and assistance to facilitate economic development by providing 
technical or financial assistance for the establishment, stabilization, 
and expansion of microenterprises, including minority enterprises;
    (8) Assistance to community-based development organizations (CBDO) 
to carry out a CDBG neighborhood revitalization, community economic 
development, or energy conservation project, in accordance with 24 CFR 
570.204. This could include activities in support of a HUD-approved 
local entitlement grantee, CDBG Neighborhood Revitalization Strategy 
(NRS) or HUD-approved State CDBG Community Revitalization Strategy 
(CRS);
    (9) Public service activities such as general support activities 
that can help to stabilize a neighborhood and contribute to sustainable 
redevelopment of the area, including but not limited to such activities 
as those concerned with employment, crime prevention, child care, 
health care services, drug abuse, education, housing counseling, energy 
conservation, homebuyer down payment assistance, establishing and 
maintaining Neighborhood Network centers in federally assisted or 
insured housing, job training and placement and recreational needs;
    (10) Up to 20 percent of the grant may be used for payments of 
reasonable grant administrative costs related to planning and execution 
of the project (e.g., preparation/submission of HUD reports). Detailed 
explanations of these costs are provided in OMB circular A-21 Cost 
Principals for Educational Institutions that can be accessed at the 
White House Web site at: www.whitehouse.gov/omb/circulars/index.html;
    (11) Fair housing services designed to further civil rights 
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all 
persons, without regard to race, color, religion, sex, national origin, 
familial status and/or disability aware of the range of housing 
opportunities available to them; and
    b. Each activity proposed for funding must meet the Community 
Development Block Grant (CDBG) program eligibility requirements and at 
least one of the three CDBG national objectives. The three national 
objectives of the CDBG program are listed in Rating Factor 3 in Section 
V.A.3 of this NOFA.
    Criteria for determining whether an activity addresses one or more 
national objectives are provided at 24 CFR 570.208.
    c. The CDBG publication entitled ``Community Development Block 
Grant Program Guide to National Objectives and Eligible Activities for 
Entitlement Communities'' describes the CDBG regulations, and a copy 
can be obtained from HUD's NOFA Information Center at 800-HUD-8929. 
Individuals with hearing or speech impairments may access this number 
via the toll-free Federal Information Relay Service at 800-877-8339.
    2. Threshold Requirements Applicable to all Applicants. All 
applicants must comply with the threshold requirements as defined in 
the General Section and the requirements listed below. Applications 
that do not meet these requirements will be considered ineligible for 
funding and will be disqualified.
    a. The applicant must meet the eligibility requirements as defined 
in Section III.A.
    b. The applicant may request up to $600,000.
    c. An applicant must have a DUNS number to receive HUD grant funds 
(See the General Section). Only one application can be submitted per 
campus. If multiple applications are submitted, all will be 
disqualified. However, different campuses of the same university system 
are eligible to apply as long as they have a separate DUNS number and 
an administrative and budgeting structure independent of the other 
campuses in the system.
    d. Institutions that received an HSIAC grant in FY2006 are not 
eligible to submit an application under this NOFA. If an institution 
received an HSIAC grant in FY2003, FY2004, or FY2005, the institution 
may apply under this NOFA as long as it proposes a different activity 
(activities), which has not been previously undertaken in their current 
project location, or proposes replicating their current project in a 
new location.
    e. Applicants must receive a minimum score of 75 points to be 
considered for funding.
    f. Electronic applications must be received and validated by 
Grants.gov no later than 11:59:59 p.m. eastern time on the application 
deadline date.
    3. Program Requirements. In addition to the program requirements 
listed in Section III.C of the General Section, applicants must meet 
the following program requirements:
    a. All funds awarded are for a three-year (36 months) grant 
performance period.
    b. Applicants must ensure that not less than 51 percent of the 
aggregated expenditures of a grant award are used to benefit low- and 
moderate-income persons under the criteria specified in 24 CFR 
570.208(a) or 570.208(d)(5) or (6).
    c. Site Control. Where grant funds will be used for acquisition, 
rehabilitation, or new construction, an applicant must demonstrate site 
control. Funds may be recaptured or deobligated from recipients that 
cannot demonstrate control of a suitable site within one year after the 
initial notification of award.
    d. Environmental Requirements. Selection for award does not 
constitute

[[Page 11480]]

approval of any proposed sites. Following selection for award, HUD will 
perform an environmental review of properties proposed for assistance 
in accordance with 24 CFR Part 50. The results of the environmental 
review may require that proposed activities be modified or proposed 
sites be rejected. Applicants are particularly cautioned not to 
undertake or commit funds for acquisition or development of proposed 
properties prior to HUD approval of specific properties or areas. An 
application constitutes an assurance that the institution will assist 
HUD to comply with part 50; will supply HUD with all available and 
relevant information to perform an environmental review for each 
proposed property; will carry out mitigating measures required by HUD 
or select alternate property; and will not acquire, rehabilitate, 
convert, demolish, lease, repair, or construct property, and not commit 
or expend HUD or local funds for these program activities with respect 
to any eligible property until HUD's written approval of the property 
is received. In supplying HUD with environmental information, 
applicants should use the same guidance as provided in the HUD Notice 
CPD-05-07 entitled, ``Field Environmental Review Processing for Rural 
Housing and Economic Development (RHED) grants'' issued August 30, 
2005. The General Section provides further discussion of the 
environmental requirements. Further information and assistance on HUD's 
environmental requirements is available at: http://hudstage.hud.gov/utilities/intercept.cfm?/offices/cpd/lawsregs/notices/2005/05-07.pdf.
    e. Labor Standards. Institutions and their sub-grantees, 
contractors, and subcontractors must comply with the labor standards 
(Davis-Bacon) requirements referenced in 24 CFR 570.603.
    f. Economic Opportunities for Low- and Very-Low Income Persons 
(Section 3). The provisions of Section 3 of the Housing and Urban 
Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of 
the purposes of the assistance is to give, to the greatest extent 
feasible, and consistent with existing federal, state, and local laws 
and regulations, job training, employment, contracting and other 
economic opportunities to Section 3 residents and Section 3 business 
concerns. Regulations are located at 24 CFR Part 135.

IV. Application and Submission Information.

A. Addresses To Request Application Package

    Applicants may download the instructions to the application found 
on the Grants.gov Web site at http://www.Grants.gov/applicants/apply--
for--grants.jsp. If you have difficulty accessing the information, you 
may call the Grants.gov Support Desk toll free at 800-518-GRANTS or e-
mail your questions to Grants.gov">Support@Grants.gov. See the General Section for 
information regarding the registration process or ask for registration 
information from the Grants.gov Support Desk.

B. Content and Form of Application Submission

    1. Forms. The following forms are required for submission. Copies 
of these forms are available on line at http://www.Grants.gov/
applicants/apply--for--grants.jsp.
    a. SF-424, Application for Federal Assistance;
    b. SF-424, Supplement, Survey on Ensuring Equal Opportunities for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
    c. HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed 
Budget Form'' on Grants.gov);
    d. SF-LLL, Disclosure of Lobbying Activities, if applicable;
    e. HUD-27300, Questionnaire for HUD's Removal of Regulatory 
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if 
applicable;
    f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov);
    g. HUD-96010, Program Logic Model;
    h. HUD-2990, Certification of Consistency with RC/EZ/EC-II 
Strategic Plan, if applicable;
    i. HUD-2991, Certification of Consistency with the Consolidated 
Plan, if applicable;
    j. HUD-2993, Acknowledgement of Applicant Receipt. Complete this 
form only if you have received a waiver to the electronic application 
submission requirement. Applicants submitting electronically are not 
required to include this form;
    k. HUD-2994-A, You Are Our Client Grant Applicant Survey. 
Applicants are not required to complete this form.
    l. HUD-96011, Third Party Documentation Facsimile Transmittal 
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used 
as the cover page to transmit third party documents and other 
information. Applicants are advised to download the application 
package, complete the SF-424 first and it will pre-populate the 
Transmittal Cover page. The Transmittal Cover page will contain a 
unique identifier embedded in the page that will help HUD associate 
your faxed materials to your application. Please download the cover 
page and then make multiple copies to provide to any of the entities 
responsible for submitting faxed materials to HUD on your behalf. 
Please do not use your own fax sheet. HUD will not read any faxes that 
are sent without the HUD-96011 fax transmittal cover page.
    2. Certifications and Assurances. Please read the General Section 
for detailed information on all Certifications and Assurances. All 
applications submitted through Grants.gov constitute an acknowledgement 
and agreement to all required certifications and assurances. Please 
include in your application each item listed below. Applicants 
submitting paper copy applications should submit the application in the 
following order:
    a. SF-424, Application for Federal Assistance. Please remember the 
following:
    (1) The full grant amount requested from HUD (entire three years) 
should be entered, not the amount for just one year;
    (2) Include the name, title, address, telephone number, facsimile 
number, and e-mail address of the designated contact. This is the 
person who will receive all correspondence; therefore, please ensure 
the accuracy of the information;
    (3) The Employer Identification/Tax ID;
    (4) The DUNS Number;
    (5) The Catalog of Federal Domestic Assistance Number for this 
program is 14.514;
    (6) The project's proposed start date and completion date. For the 
purpose of this application, the program start date should be December 
1, 2007; and
    (7) The signature of the Authorized Organization Representative 
(AOR) who, by virtue of submitting an application via Grants.gov, has 
been authenticated by the credential provider to submit applications on 
behalf of the Institution and approved by the eBusiness Point of 
Contact to submit an application via Grants.gov. The AOR must be able 
to make a binding legal agreement with HUD.
    b. Application Checklist. Applicants should use the checklist to 
ensure that they have all the required components of their application. 
Applicants submitting an electronic application should not submit the 
checklist.

[[Page 11481]]

Applicants that receive a waiver of the electronic application 
submission must include a copy of the checklist in their application 
submission. The checklist can be located in Appendix A.
    c. Abstract. Applicants must include no more than a two-page 
summary of the proposed project. Please include the following:
    (1) A clear description of each proposed project activity, where it 
will take place (be located), the target population that will be 
assisted, and the impact this project is expected to have on the 
community and institution;
    (2) A statement that the institution is an eligible institution 
because it is a two- or four-year fully accredited institution, the 
name of the accrediting agency and an assurance that the accrediting 
agency is recognized by the U.S. Department of Education;
    (3) A statement that the institution meets the definition of an 
Hispanic Serving Institution: at least 25 percent of the full-time 
undergraduate students enrolled in an institution must be Hispanic.
    (4) The designated contact person, including phone number, 
facsimile number, and e-mail address (This is the person who will 
receive all correspondence from HUD; therefore please ensure the 
accuracy of the information);
    (5) The project director, if different from the designated contact 
person, for the project, including phone number, facsimile number, and 
e-mail address.
    d. Narrative Statement Addressing the Factors. HUD will use the 
narrative response to the ``Rating Factors'' to evaluate, rate, and 
rank applications. The narrative statement is the main source of 
information. Applicants are advised to review each factor carefully for 
program specific requirements. The response to each factor should be 
concise and contain only information relevant to the factor, yet 
detailed enough to address each factor fully. PLEASE DO NOT REPEAT 
MATERIAL IN RESPONSE TO THE FIVE FACTORS; INSTEAD, FOCUS ON HOW WELL 
THE PROPOSAL RESPONDS TO EACH OF THE FACTORS. Where there are 
subfactors, each subfactor must be presented separately, with the short 
title of the subfactor presented. Make sure to address each subfactor 
and provide sufficient information about every element of the 
subfactor. The narrative section of an application must not exceed 50 
pages in length (excluding forms, budget narrative, assurances, and 
abstract) and must be submitted on 8\1/2\ by 11-inch paper, double-
spaced on one side of the paper, with one inch margins (from the top, 
bottom and left to right side of the document) and printed in standard 
Times New Roman 12-point font. Each page of the narrative must include 
the applicant's name and should be numbered. Note that although 
submitting pages in excess of the page limit will not disqualify an 
applicant, HUD will not consider the information on any excess pages. 
This exclusion may result in a lower score or failure to meet a 
threshold requirement. All applicants submitting electronic 
applications must attach their narrative responses to Rating Factors 1-
5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR 
SEPARATELY. Please follow the instructions on file extension and file 
names in the General Section.
    e. Budget. The budget submission must include the following:
    (1) HUD-424-CB, ``HUD Detailed Budget Form.'' This form shows the 
total budget by year and by line item for the program activities to be 
carried out with the proposed HUD grant. Each year of the program 
should be presented separately. Applicants must also budget for travel 
costs (airfare, lodging and per diem) for two individuals to attend at 
least one HUD sponsored HSIAC conference/workshop every year of the 
three-year grant performance period. To calculate travel expenses, 
applicants located in Eastern and Central time zones or the U.S. Virgin 
Islands should use San Francisco, CA as the site of all conferences/
workshops. Applicants located in Mountain and Pacific time zones or 
Puerto Rico should use Washington, DC as the site of all conferences/
meetings.
    Applicants must also submit this form to reflect the total cost for 
the entire grant performance period (Grand Total).
    Make sure that the amounts shown on the SF-424, the HUD-424-CB, and 
on all other required program forms are consistent and the budget 
totals are correct. Remember to check addition in totaling the 
categories on all forms so that all items are included in the total. If 
there is an inconsistency between any of the required budget forms, the 
HUD-424-CB will be used. All budget forms must be fully completed. If 
an application is selected for award, the applicant may be required to 
provide greater specificity to the budget during grant agreement 
negotiations.
    (2) Budget Narrative. A narrative must be submitted that explains 
how the applicant arrived at the cost estimates for any line item over 
$5,000 cumulative. For example, an applicant proposes to construct a 
building using HUD funding totaling $200,000. The following costs 
estimate reflects this total. Foundation cost $75,000, electrical work 
$40,000, plumbing work $40,000, finishing work $35,000, and landscaping 
$10,000. The proposed cost estimates should be reasonable for the work 
to be performed and consistent with rates established for the level of 
expertise required to perform the work proposed in the geographical 
area. When necessary, quotes from various vendors or historical data 
should be used (please make sure they are kept on file and are 
available for review by HUD at any time). All direct labor or salaries 
must be supported with mandated city/state pay scales, the Davis-Bacon 
rate, (if applicable) or other documentation. When an applicant 
proposes to use a consultant, the applicant must indicate whether there 
is a formal written agreement. For each consultant, please provide the 
name, if known, hourly or daily rate, and the estimated time on the 
project. Applicants must use cost estimates based on historical data 
from the institution and/or from a qualified firm (e.g., Architectural 
or Engineering firms), vendor, and/or qualified individual (e.g., 
independent architect or contractor) other than the institution for 
projects that involve rehabilitation of residential, commercial and/or 
industrial structures, and/or acquisition, construction, or 
installation of public facilities and improvements. Such an entity must 
be involved in the business of housing rehabilitation, construction 
and/or management. Equipment and contracts cannot be presented as a 
total estimated cost. For equipment, applicants must provide a list by 
type and cost for each item. Applicants using contracts must provide an 
individual description and cost estimate for each contract. 
Construction costs must be broken down to indicate how funds will be 
utilized (e.g., demolition, foundation, exterior walls, roofing, 
electrical work, plumbing, finishing work, etc.).
    (3) Indirect costs. Indirect costs, if applicable, are allowable 
based on an established approved indirect cost rate. Applicants must 
have on file, and submit to HUD if selected for award, a copy of their 
indirect cost rate agreement. Applicants who are selected for funding 
that do not have an approved indirect cost rate agreement, established 
by the cognizant federal agency, will be required to establish a rate. 
In such cases, HUD will issue an award with a provisional rate and 
assist applicants with the process of establishing a final rate.
    f. Appendix. Applicants receiving a waiver of the electronic 
submission requirements and submitting a paper copy of the application 
must place all required forms in this section. The appendix section of 
an application must

[[Page 11482]]

not exceed 15 pages in length (excluding forms, budget narrative and 
assurances). An applicant SHOULD NOT submit resumes, commitment 
letters, memoranda of understanding and/or agreements, or other back-up 
materials. If this information is included, it will not be considered 
during the review process. Each page must include the applicant's name 
and should be numbered. HUD will not consider the information on any 
excess pages. The additional items will also slow the transmission of 
your application.

C. Submission Dates and Times

    A complete application package must be received and validated 
electronically by the Grants.gov portal no later than 11:59:59 p.m. 
eastern time on or before the application deadline date. In an effort 
to address any issues with transmission of your application, applicants 
are strongly encouraged to submit their applications at least 48 to 72 
hours prior to the application deadline. This will allow an applicant 
enough time to make the necessary adjustments to meet the submission 
deadline in the event Grants.gov rejects the application. Please see 
the General Section for further instructions. Electronic faxes using 
the Facsimile Transmittal Cover Sheet (Form HUD-96011) contained in the 
electronic application must be received no later than 11:59:59 p.m. 
eastern time on the application deadline date.

D. Intergovernmental Review

    This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

    Ineligible CDBG Activities are listed at 24 CFR 570.207. Ineligible 
activities include but are not limited to:
    a. Curriculum development and/or expansion of an institution's 
existing curriculum;
    b. General government expenses;
    c. Political activities; and
    d. Planning and administrative activities that would result in a 
grantee exceeding the 20 percent cost limitations (e.g., preparation/
submission of HUD reports).

F. Other Submission Requirements

    1. Application Submission and Receipt Procedure. Please read the 
General Section carefully and completely for the submission and receipt 
procedures for all applications because failure to comply may 
disqualify your application.
    2. Waiver of Electronic Submission Requirements. Applicants should 
submit their waiver requests in writing using e-mail or fax. Waiver 
requests must be submitted no later than 15 days prior to the 
application deadline date and should be submitted to: Susan Brunson, 
Office of University Partnerships, E-mail: [email protected], 
FAX: (202) 708-0309.
    Paper applications will not be accepted from applicants that have 
not been granted a waiver. If an applicant is granted a waiver, the 
Office of University Partnerships will provide instructions for 
submission. All applicants submitting applications in paper format must 
have received a waiver to the electronic application submission 
requirement and the application must be received by HUD on or before 
the application deadline date.

V. Application Review Information

A. Criteria

    1. Rating Factor 1: Capacity of the Applicant and Relevant 
Experience (25 Points). This factor addresses the extent to which the 
applicant has the resources necessary to successfully implement the 
proposed project in a timely manner.
    a. Knowledge and Experience For First Time Applicants (25 Points); 
For Previously Funded Applicants (10 Points). In rating this subfactor, 
HUD will consider how well an applicant clearly addresses the 
following:
    (1) Describe the knowledge and experience of the proposed project 
director and staff, including the day-to-day program manager/
coordinator, consultants (including technical assistance providers), 
and contractors in planning and managing the type of project for which 
funding is being requested; and
    (2) Clearly identify the following: key project team members, 
titles (e.g., project manager/coordinator, etc.), respective roles for 
the project staff, and a brief description of their relevant 
experience.
    If key personnel have not been hired, applicants must identify the 
position title, provide a description of duties and responsibilities, 
and describe the qualifications to be considered in the selection of 
personnel, including subcontractors and consultants.
    Experience will be evaluated in terms of recent and relevant 
knowledge and skills of the staff to undertake eligible program 
activities. HUD will consider experience within the last five (5) years 
to be recent and experience pertaining to similar activities to be 
relevant.
    b. Past Performance (15 Points) For Previously Funded Grant 
Applicants Only. This subfactor will evaluate how well an applicant has 
performed successfully under HUD/HSIAC grants. Applicants must 
demonstrate this by addressing the following information for all 
previously completed and open HUD/HSIAC grants:
    (1) A list of all HUD/HSIAC grants received, including the dollar 
amount awarded and the amount expended and obligated as of the date of 
this application;
    (2) A description of the achievement of specific tasks, measurable 
objectives, and specific outcomes consistent with the approved project 
management plan;
    (3) A list detailing the date the project(s) was completed, was it 
completed in the original three-year grant performance period; if not 
completed, why (including when it was or will be completed);
    (4) A comparison of the amount of proposed leveraged funds and/or 
resources to the amount that was actually leveraged; and
    (5) A detailed description of compliance with all reporting 
requirements, including timeliness of submission, whether reports were 
complete and addressed all information (both narrative and financial) 
as required by the grant agreement.
    HUD will also review an applicant's past performance in managing 
funds, including, but not limited to: the ability to account for 
funding appropriately; timely use of funds received from HUD; meeting 
performance targets for completion of activities; timely submission of 
required progress reports and receipt of promised leveraged resources. 
In evaluating past performance, HUD reserves the right to deduct up to 
five (5) points from this rating score as a result of the information 
obtained from HUD's records (i.e, progress and financial reports, 
monitoring reports, Logic Model submissions, and amendments).
    2. Rating Factor 2: Need/Extent of the Problem (10 Points). This 
factor addresses the extent to which there is a need for funding the 
proposed program activities and an indication of the importance of 
meeting the need(s) in the target area. The need(s) described must be 
relevant to the activities for which funds are being requested. In 
addressing this factor, applicants should provide, at a minimum, the 
following and must cite statistics and/or analyses contained in at 
least one or more current data sources that are sound and reliable.
    (1) Describe the need(s); and
    (2) Describe the importance of meeting the proposed needs.
    In rating this factor, HUD will consider only current data that is 
specific to the area where the proposed

[[Page 11483]]

project activities will be carried out. Sources for localized data can 
be found at: www.ffiec.gov.
    HUD will consider data collected within the last five (5) years to 
be current. To the extent that the targeted community's Five Year 
Consolidated Plan and Analysis of Impediments to Fair Housing Choice 
(AI) identify the level of the problem and the urgency in meeting the 
need, applicants should include references to these documents in the 
response to this factor.
    Other reliable data sources include, but are not limited to, Census 
reports, HUD Continuum of Care gap analysis and its E-MAP (www.hud.gov/emaps), law enforcement agency crime reports, Public Housing Agencies' 
Comprehensive Plans, community needs analyses such as those provided by 
the United Way, the applicant's institution, and other sound, reliable 
and appropriate sources. Needs in terms of fulfilling court orders or 
consent decrees, settlements, conciliation agreements, and voluntary 
compliance agreements may also be addressed.
    3. Rating Factor 3: Soundness of Approach (44 Points). This factor 
addresses the quality and effectiveness of the proposed work plan and 
the commitment of the institution to sustain the proposed activities.
    a. (37 Points) Quality of the Work Plan. This subfactor will be 
evaluated on the extent to which an applicant provides a clear detailed 
description of the proposed project activities, anticipated 
accomplishments and the impact they will have on the target population 
at the end of the project.
    (1) (32 Points) Specific Activities. The work plan must describe 
all proposed activities and major tasks required to successfully 
implement them. The work plan must also identify the anticipated 
measurable accomplishments and impact these activities will have on the 
targeted population. In addressing this subfactor, applicants must 
provide a clear description of each proposed activity and address the 
following:
    (a) Describe each proposed project activity in measurable terms 
(e.g., the number of persons to be trained and employed; houses to be 
built or rehabilitated; or minority owned businesses to be started, 
etc.);
    (b) List and describe how each activity meets one of the following 
Community Development Block Grant (CDBG) Program national objectives:
     Benefit low- and moderate-income persons;
     Aid in the prevention or elimination of slums or blight; 
or
     Meet other community development needs having a particular 
urgency because existing conditions pose a serious and immediate threat 
to the health and welfare of the community, and other financial 
resources are not available to meet such needs.
    Criteria for determining whether an activity addresses one or more 
objective are provided at 24 CFR 570.208;
    (c) Describe the measurable impact that implementing each activity 
(by the end of the grant period) will have on the target population;
    (d) Identify the major tasks required (in sequential order) to 
successfully implement and complete each proposed project activity. 
Include target completion dates for these tasks (in 6 month intervals, 
up to 36 months);
    (e) Identify the key staff, as described in Factor 1, who will be 
responsible for completing each task; and
    (f) Describe how the project director will work with the partners 
and citizens to accomplish the proposed project activities.
    (2) (5 Points) Describe clearly how each proposed activity will:
    (a) Expand the role of the institution in the community;
    (b) Address the needs identified in Factor 2;
    (c) Relate to and not duplicate other activities in the target 
area. Duplicative efforts will be acceptable only if an applicant can 
demonstrate through documentation that there is a population in need 
that is not being served; and
    (d) Involve citizens of the target area in the planning and 
implementation of the proposed project activity (e.g., development of 
an advisory committee that is representative of the target community).
    b. (3 Points) Involvement of the Faculty and Students. The 
applicant must describe how it proposes to integrate the institution's 
students and faculty into proposed project activities.
    c. (2 Points) HUD Policy Priorities. As described in the General 
Section, to earn points under this subfactor, HUD requires applicants 
to undertake specific activities that will assist the Department in 
implementing its policy priorities and that will help the Department 
achieve its goals and objectives in FY2008, when the majority of grant 
recipients will be reporting programmatic results and achievements. In 
rating this subfactor, HUD will evaluate the extent to which a program 
will further and support HUD's priorities. The quality of the responses 
provided to one or more of HUD's priorities will determine the score an 
applicant can receive. Applicants must describe how each policy 
priority selected will be addressed. Applicants that just list a 
priority will receive no points.
    The total number of points an applicant can receive under this 
subfactor is two (2). Each policy priority addressed has a point value 
of one (1) point with the exception of the policy priority to remove 
regulatory barriers to affordable housing, which has a point value of 
up to two (2) points. To receive these two (2) points, an applicant 
must: (1) Complete either Part A or Part B (not both), (2) include 
appropriate documentation, (3) identify a point of contact, (4) 
indicate how this priority will be addressed and (5) submit the 
completed questionnaire, (HUD-27300) ``HUD's Initiative on Removal of 
Regulatory Barriers Communities Initiative'' found in the General 
Section. It is up to the applicant to determine which of the policy 
priorities they elect to address to receive the available two (2) 
points.
    d. (2 Points) Economic Opportunities for Low- and Very-Low Income 
Persons (Provision of Section 3). This subfactor will be evaluated on 
the extent to which an applicant describes how it proposes to:
    (1) Provide opportunities to train and employ Section 3 residents; 
and/or
    (2) Award contracts to Section 3 contractors (See the regulations 
at 24 CFR 135.). Regulations regarding the provision of Section 3 of 
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) can be 
located at 24 CFR Part 135.
    4. Rating Factor 4: Leveraging Resources (9 Points). This factor 
addresses the ability of the applicant to secure resources and develop 
partnerships that can be combined with HUD's grant funds to achieve the 
program's purpose.
    HUD will consider how well an applicant has established 
partnerships with other entities to secure additional resources to 
increase the effectiveness of the proposed project activities. 
Resources may include funding or in-kind contributions, such as 
services or equipment, allocated for the purpose(s) of the proposed 
project activities. Resources may be provided by governmental entities, 
public or private nonprofit organizations, for-profit private 
organizations, or other entities. Applicants may also establish 
partnerships with other program funding recipients to coordinate the 
use of resources in the target area. Overhead and other institutional 
costs (e.g., salaries, indirect costs, etc.) that the institution has 
waived may be counted.
     Examples of potential sources for outside assistance 
include:

[[Page 11484]]

     Federal, state, and local governments
     Local or national nonprofit organizations
     Financial institutions and/or private businesses
     Foundations
     Faith-based and other community-based organizations.
    To address this factor, an applicant must provide an outline in the 
application and have the original written commitment letters, memoranda 
of understanding and/or agreements that show the extent and firm 
commitment of all proposed leveraged resources (including any 
commitment of resources from the applicant's own institution) that 
address the following information for each leveraged resource/fund on 
file at the time of application submission:
    (1) The name of the organization and the executive officer 
authorizing the funds/goods and/or services (Only applicable to the 
narrative section);
    (2) The cash amount contributed or dollar value of the in-kind 
goods and/or services committed (If a dollar amount and its use are not 
shown, the value of the contribution will not be scored for award);
    (3) A specific description of how each contribution is to be used 
toward the proposed activities;
    (4) A description of the current and/or past working relationship 
that the institution has with the organization contributing the 
resources and the involvement it will have with this proposed project.
    (5) The date the contribution will be made available and a 
statement that describes the duration of the contribution;
    (6) Any terms or conditions affecting the commitment, other than 
receipt of a HUD Grant; and
    (7) The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services (Only applicable to 
the written documentation).
    Do not submit commitment letters, memoranda of understanding and/or 
agreements are not required at the time of application submission but 
have the originals on file at the time of submission. IF THIS 
INFORMATION IS INCLUDED, IT WILL NOT BE CONSIDERED DURING THE REVIEW 
PROCESS. Applicants chosen to proceed to the next step in the selection 
process will be required to submit the signed commitment letters, 
memoranda of understanding and/or agreements outlined in the 
application, within seven (7) calendar days after initial contact from 
the Office of University Partnerships (OUP). Letters, memoranda of 
understanding, or agreements must be submitted on the provider's 
letterhead and should be addressed to Sherone Ivey, Associate Deputy 
Assistant Secretary for University Partnerships. The date of the 
letter, memorandum of understanding, or agreement from the CEO of the 
provider organization must be dated no earlier than nine months prior 
to this published NOFA. OUP will provide specific instructions on how 
these documents must be submitted when contact is made with the 
applicant. HUD will only request and consider the resources/
organizations that are listed in the outline submitted in the 
application. If OUP does not receive those documents with the required 
information and within the allotted timeframe, an applicant will not 
receive points under this factor.
    In scoring this factor, HUD will award
     Nine (9) points to an applicant that provides properly 
documented leveraging resources as listed in their application that are 
15 percent or more of the amount requested under this program;
     Seven (7) to eight (8) points to applicants that provide 
documentation that includes at least five of the seven required items 
outlined above and that represents 10 to 14 percent of the amount 
requested under this program;
     Five (5) to six (6) points to applicants that provide 
documentation that includes at least four of the seven required items 
outlined above and that represents 10 to 14 percent of the amount 
requested under this program;
     Three (3) to four (4) points to applicants that provide 
documentation that includes at least five of the seven required items 
outlined above and that represents 5 to 9 percent of the amount 
requested under this program;
     One (1) to two (2) points to applicants that provide 
documentation that includes at least three of the seven required items 
outlined above and that represents 5 to 9 percent of the amount 
requested under this program; and
     Zero (0) points to applicants that provide documented 
leveraging resources as listed above that are less than 5 percent of 
the amount requested.
5. Rating Factor 5: Achieving Results and Program Evaluation (12 
Points)
    This factor reflects HUD's goal to embrace high standards of 
management and accountability. It measures the applicant's commitment 
to assess their performance to achieve the program's proposed 
objectives and goals. Applicants are required to develop an effective, 
quantifiable, outcome oriented evaluation plan for measuring 
performance and determining that objectives and goals have been 
achieved by using the HUD Logic Model. The Logic Model is a summary of 
the narrative statements presented in Factors 1-4. Therefore, the 
information submitted on the Logic Model should be consistent with the 
information contained in the narrative statements. ``Outcomes'' are 
benefits accruing to institutions and/or communities during or after 
participation in the HSIAC program. Applicants must clearly identify 
the outcomes to be measured and achieved. Examples of outcomes include 
increased employment opportunities in the target community by a certain 
percentage, or enhanced family stability through the creation of 
affordable housing opportunities.
    In addition, applicants must establish interim benchmarks and 
outputs that lead to the ultimate achievement of outcomes. ``Outputs'' 
are the direct products of the program's activities. Examples of 
outputs are the number of new affordable housing units, the number of 
homes that have been renovated, and the number of community facilities 
that have been constructed or rehabilitated. Outputs should produce 
outcomes for the program. At a minimum an applicant must address the 
following activities in the evaluation plan:
    a. Measurable outputs to be accomplished, e.g., the number of 
persons to be trained and employed; houses to be built (pursuant to 24 
CFR 570.207) or rehabilitated; minority-owned businesses to be started;
    b. Measurable outcomes the grant will have on the community in 
general and the target area or population; and
    c. The impact the grant will have on assisting the university to 
obtain additional resources to continue this type of work at the end of 
the grant performance period.
    The information must be placed on a HUD-96010, Program Outcome 
Logic Model form. HUD has developed a new approach to completing this 
form. Please carefully read the General Section for instructions, 
training is available. (Form HUD-96010 will be excluded from the page 
count.) If an applicant utilizes ``other'' from the Logic Model 
categories, then the applicant should describe briefly this ``other'' 
category within the Rating Factor 5 narrative. If a narrative is 
provided, those pages will be included in the page count.

B. Review and Selection Process

1. Application Selection Process
    Two types of reviews will be conducted:

[[Page 11485]]

    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Rating Factors'' 
listed in Section V, A. Only those applications that pass the threshold 
review will receive a technical review and be rated and ranked.
    2. Rating Panels. To review and rate applications, HUD may 
establish panels, which may include experts or consultants not 
currently employed by HUD to obtain certain expertise.
    3. Ranking. HUD will fund applications in rank order, until all 
available program funds are awarded. In order to be considered for 
funding, an applicant must receive a minimum score of 75 points out of 
a possible 100 points; plus up to two bonus points that may be awarded 
for activities conducted in the RC/EZ/EC-II communities, as described 
in the General Section. If two or more applications have the same 
number of points, the application with the most points for Factor 3 
shall be selected. If there is still a tie, the application with the 
most points for Factor 1 shall be selected. If there is still a tie, 
the application with the most points for Factors 2, 4 and then 5 shall 
be selected, in that order, until the tie is broken. HUD reserves the 
right to make selections out of rank order to provide for geographic 
distribution of grantees. HUD also reserves the right to reduce the 
amount of funding requested in order to fund as many highly ranked 
applications as possible. Additionally, if funds remain after funding 
the highest ranked applications, HUD may fund part of the next highest-
ranking application. If an applicant turns down an award offer, HUD 
will make an award to the next highest-ranking application. If funds 
remain after all selections have been made, the remaining funds will be 
carried over to the next funding cycle's competition.
    4. Correction to Deficient Applications. See the General Section.
    C. Anticipated Announcement and Award Dates. Announcements of 
awards are anticipated on or before September 30, 2007.

VI. Award Administration Information

A. Award Notice

    After all selections have been made, HUD will notify all winning 
applicants in writing. HUD may require winning applicants to 
participate in additional negotiations before receiving an official 
award. For further discussion on this matter, please refer to the 
General Section.

B. Administrative and National Policy Requirements

    Refer to Section in the General Section.
    1. Debriefing. The General Section provides the procedures for 
requesting a debriefing. All requests for debriefings must be made in 
writing to: Madlyn Wohlman-Rodriguez, Office of University 
Partnerships, Department of Housing and Urban Development, 451 Seventh 
Street, SW., Room 8106, Washington, DC 20410-6000. Applicants may also 
write to Ms. Wohlman-Rodriguez via e-mail at [email protected].
    2. Administrative. Grants awarded under this NOFA will be governed 
by the provisions of 24 CFR part 84 (Grants and Agreements with 
Institutions of Higher Education, Hospitals and Other Non-Profit 
Organizations), A-21 (Cost Principles for Educational Institutions) and 
A-133 (Audits of States, Local Governments, and Non-Profit 
Organizations). Applicants can access the OMB circulars at the White 
House Web site at www.whitehouse.gov/omb/circulars/index.html.
    3. OMB Circulars and Governmentwide Regulations Applicable to 
Financial Assistance Programs. The General Section provides further 
discussion.
    4. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors Labor Relations on 
Federal and Federally Funded Construction Projects. See the General 
Section for further discussion.
    5. Procurement of Recovered Materials. The General Section provides 
further information.
    6. Executive Order 13166, Improving Access to Services For Persons 
With Limited English Proficiency (LEP). See the General Section for 
further discussion.
    7. Code of Conduct. See the General Section for further discussion.

C. Reporting

    All grant recipients under this NOFA are required to submit semi-
annual progress reports. The progress reports shall consist of two 
components, a narrative that must reflect the activities undertaken 
during the reporting period and a financial report that reflects costs 
incurred by budget line items, as well as a cumulative summary of costs 
incurred during the reporting period.
    For each reporting period, as part of the required report to HUD, 
grant recipients must include a completed Logic Model (HUD-96010), 
which identifies output and outcome achievements.
    For FY2007, HUD is considering a new concept for the Logic Model. 
The new concept is a Return on Investment (ROI) statement. HUD will be 
publishing a separate notice on the ROI concept.

VII. Agency Contacts

    Applicants may contact Madlyn Wohlman-Rodriguez at (202) 708-3061, 
extension 5939 or Susan Brunson, at (202) 708-3061, extension 3852. 
Persons with speech or hearing impairments may call the Federal 
Information Relay Service (TTY) at (800) 877-8339. Except for the 
``800'' number, these numbers are not toll-free. mail to: Applicants 
may also reach Ms. Rodriguez via e-mail at [email protected] and/or Ms. Brunson at [email protected].

VIII. Other Information

Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2528-0198. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 59 hours per annum per respondent for the application and grant 
administration. This includes the time for collecting, reviewing, and 
reporting the data for the application semi-annual and final reports. 
The information will be used for grantee selection and monitoring the 
administration of funds. Response to this request for information is 
required in order to receive the benefits to be derived.

Appendix A--Application Checklist--HSIAC

    This checklist identifies application submission requirements. 
Applicants are requested to use this checklist when preparing an 
application to ensure submission of all required elements. Applicants 
submitting an electronic application do not have to submit the 
checklist. Applicants that receive a waiver of the electronic 
application submission requirement must include a copy of the checklist 
in their application.
    Check off to ensure these items have been included in the 
application:

----SF-424 ``Application For Federal Assistance''


[[Page 11486]]


----Application Checklist (Applicants that submit paper applications 
must include the checklist in their applications)

----Abstract (must include no more than a two-page summary of the 
proposed project)

    Indicate the page number where each of the Factors is located:

----Narrative Statement Addressing the Rating Factors. The narrative 
section of an application must not exceed 50 pages in length (excluding 
forms, budget narrative and abstract). This information must be 
submitted on 8\1/2\ by 11-inch paper, double-spaced on one side of the 
paper, with one-inch margins (from the top, bottom, left, and right 
sides of the documents) and printed in standard Times New-Roman 12-
point font. [Applicants that submit applications via Grants.gov should 
review the General Section for information about file names and 
extensions. File names should not contain spaces or special 
characters.]

----Factor I

----Factor II

----Factor III

----Factor IV

----Factor V

----HUD-96010 ``Logic Model''

    Check off to ensure these items have been included in the 
application:
----Appendix. The appendix section of an application must not exceed 15 
pages in length (excluding forms, budget narrative and assurances).

----Budget

----Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed 
Budget Form'' on Grants.gov).

----Budget Narrative (No form provided, but must be submitted for the 
total three-year grant period.

Appendix B (All Required Forms)

    The following forms are required for submission. All required forms 
are contained in the electronic application package.

----Application for Federal Assistance (SF-424);

----Survey on Ensuring Equal Opportunity for Applicants (SF-424 
Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);

----Disclosure of Lobbying Activities (SF-LLL), if applicable;

----Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed 
Budget'' on Grants.gov);

----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300) 
(``HUD Communities Initiative Form'' on Grants.gov), if applicable;

----Applicant Recipient Disclosure Update Report (HUD-2880) (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov);

----Certification of Consistency with RC/EZ/EC-II Strategic Plan (HUD-
2990), if applicable;

----Certification of Consistency with the Consolidated Plan (HUD-2991), 
if applicable;

----Acknowledgement of Applicant Receipt (Only applicants who submit 
paper applications (HUD-2993);

----You Are Our Client! Grant Applicant Survey (HUD-2994-A);

----Third Party Documentation Facsimile Transmittal (HUD-96011) 
(``Facsimile Transmittal Form'' on Grants.gov), to be used as the cover 
page to transmit third party documents via facsimile, if applicable 
(See General Section); and

----Logic Model (HUD-96010)

[[Page 11487]]

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[[Page 11488]]



Alaska Native/Native Hawaiian Institutions Assisting Communities (AN/
NHIAC) Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Policy Development and Research, Office of 
University Partnerships.
    B. Funding Opportunity Title: Alaska Native/Native Hawaiian 
Institutions Assisting Communities (AN/NHIAC) Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Numbers: FR-5100-N-12; OMB Approval Number 
is 2528-0206.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA 
Number for this program is 14.515.
    F. Dates: The application deadline date is May 23, 2007. 
Applications must be received and validated by Grants.gov by 11:59:59 
p.m. eastern time on the deadline date. Please be sure to read the 
General Section for electronic application submission and receipt 
requirements.
    G. Additional Overview Content Information:
    1. Purpose of the Program. To assist Alaska Native/Native Hawaiian 
Institutions (AN/NHI) of higher education expand their role and 
effectiveness in addressing community development needs in their 
localities, including neighborhood revitalization, housing, and 
economic development, principally for persons of low and moderate 
income, consistent with the purposes of Title I of the Housing and 
Community Development Act of 1974, as amended.
    2. Award Information. In Fiscal Year (FY) 2007, approximately $2.9 
million has been made available for this program by the Revised 
Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; approved 
February 15, 2007) and an additional $36,048 in carryover funds. An 
applicant can request up to $800,000 for a three-year (36 months) grant 
performance period.
    3. Eligible Applicants. Nonprofit Alaska Native and Native Hawaiian 
Institutions of Higher Education that meet the definitions of Alaska 
Native and Native Hawaiian Institutions of Higher Education established 
in Title III, Part A, Section 317 of the Higher Education Act of 1965, 
as amended by the Higher Education Amendments of 1998 (Pub. L. 105-244; 
enacted October 7, 1998). Institutions are not required to be on the 
list of eligible AN/NHIs prepared by the U.S. Department of Education. 
However, an institution that is not on the list is required to provide 
a statement in the application that the institution meets the U.S. 
Department of Education's statutory definition of an AN/NHI 
institution. In order to meet the definition of an Alaska Native 
Institution, at least 20 percent of the undergraduate headcount 
enrollment must be Alaska Native students. If an applicant is a Native 
Hawaiian institution, at least 10 percent of the undergraduate 
headcount enrollment must be Native Hawaiian students in order to meet 
this definition. In addition, all applicants must be a two-or four-year 
institution, fully accredited by a national or regional accrediting 
agency recognized by the U.S. Department of Education. If an applicant 
is one of several campuses of the same institution, the applicant may 
apply separately from the other campuses as long as the campus has a 
separate DUNS number, administrative structure and budget, and meets 
the enrollment requirements outlined above.

Full Text of Announcement

I. Funding Opportunity Description

    The purpose of the Alaska Native/Native Hawaiian Institutions 
Assisting Communities (AN/NHIAC) Program is to assist Alaska Native/
Native Hawaiian Institutions (AN/NHI) of higher education expand their 
role and effectiveness in addressing community development needs in 
their localities, including neighborhood revitalization, housing, and 
economic development, principally for persons of low and moderate 
income, consistent with the purposes of Title I of the Housing and 
Community Development Act of 1974, as amended.

A. Authority

    HUD's authority for making funding available under this NOFA is the 
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; 
approved February 15, 2007). This program is being implemented through 
this NOFA and the policies governing its operation are contained 
herein.

B. Modifications

    Listed below are major modifications from the FY2006 program-
funding announcement:
    1. Commitment letters, memoranda of understanding and/or agreements 
are not required to be submitted with the application but the originals 
must be on file at the time of application submission. HUD will require 
applicants chosen to proceed to the next step in the selection process 
to submit the signed commitment letters, memoranda of understanding 
and/or agreements outlined in the application within seven (7) calendar 
days after initial contact from the Office of University Partnerships 
(OUP). OUP will provide specific instructions on how these documents 
must be submitted at that time. HUD will only request and consider the 
resources/organizations outlined in the application. If OUP does not 
receive those documents with the required information and within the 
allotted timeframe, an applicant will not receive points under this 
factor.
    2. The appendix section of an application must not exceed 15 pages 
in length (excluding forms, budget narrative and assurances). An 
applicant SHOULD NOT submit resumes, commitment letters, memoranda of 
understanding and/or agreements, or other back-up material. Each page 
must include the applicant's name and should be numbered. HUD will not 
consider the information on any excess pages.
    3. Applicants must budget for travel costs to attend at least one 
HUD sponsored AN/NHIAC conference/workshop every year of the three-year 
grant performance period.

II. Award Information

    In Fiscal Year (FY) 2007, approximately $2.9 million is made 
available for this program with an additional $36,048 in carryover 
funds. HUD will award grants under this program to Alaska Native 
Institutions (ANI) and Native Hawaiian Institutions (NHI). An applicant 
can request up to $800,000 for a three-year (36 months) grant 
performance period.

III. Eligibility Information

A. Eligible Applicants

    Nonprofit Alaska Native and Native Hawaiian Institutions of Higher 
Education that meet the definitions of Alaska Native and Native 
Hawaiian Institutions of Higher Education established in Title III, 
Part A, Section 317 of the Higher Education Act of 1965, as amended by 
the Higher Education Amendments of 1998 (Pub. L. 105-244; enacted 
October 7, 1998). Institutions are not required to be on the list of 
eligible AN/NHIs prepared by the U.S. Department of Education. However, 
an institution that is not on the list is required to provide a 
statement in the application that the institution meets the U.S. 
Department of Education's statutory definition of an AN/NHI 
institution. In order to meet the definition of an Alaska Native 
Institution, at least 20 percent of the

[[Page 11489]]

undergraduate headcount enrollment must be Alaska Native students. If 
an applicant is a Native Hawaiian institution, at least 10 percent of 
the undergraduate headcount enrollment must be Native Hawaiian students 
in order to meet this definition. In addition, all applicants must be a 
two-or four-year institution, fully accredited by a national or 
regional accrediting agency recognized by the U.S. Department of 
Education. If an applicant is one of several campuses of the same 
institution, the applicant may apply separately from the other campuses 
as long as the campus has a separate DUNS number, administrative 
structure and budget, and meets the enrollment requirements outlined 
above.

B. Cost Sharing or Matching

    None required.

C. Other

    1. Eligible Activities: Eligible activities are listed in 24 CFR 
Part 570, subpart C, particularly Sec.  570.201 through Sec.  570.206. 
Information regarding these activities can be found at: 
www.hudclips.org (click on the Code of Federal Regulations for detailed 
information).
    Eligible activities include, but are not limited to:
    a. Acquisition of real property;
    b. Clearance and demolition;
    c. Rehabilitation of residential structures and compliance with the 
accessibility requirements contained in Section 504 of the 
Rehabilitation Act of 1973;
    d. Acquisition, construction, reconstruction, rehabilitation, or 
installation of public facilities and improvements, such as water and 
sewer facilities and streets; including lead-based paint hazard 
evaluation and reduction and compliance with the accessibility 
requirements contained in Section 504 of the Rehabilitation Act of 1973 
and Americans with Disabilities Act of 1990;
    e. Direct homeownership assistance to low- and moderate-income 
persons, as provided in section 105(a) (25) of the Housing and 
Community Development Act of 1974;
    f. Special economic development activities described at 24 CFR 
570.203 and assistance to facilitate economic development by providing 
technical or financial assistance for the establishment, stabilization, 
and expansion of microenterprises, including minority enterprises;
    g. Assistance to community-based development organizations (CBDO) 
to carry out neighborhood revitalization, community economic 
development, or energy conservation projects, in accordance with 24 CFR 
570.204. This could include activities in support of a HUD-approved 
local entitlement grantee, CDBG Neighborhood Revitalization Strategy 
(NRS) or HUD-approved State CDBG Community Revitalization Strategy 
(CRS);
    h. Public service activities such as general support activities 
that can help to stabilize a neighborhood and contribute to sustainable 
redevelopment of the area, including but not limited to such activities 
as those concerned with employment, crime prevention, child care, 
health care services, drug abuse, education, housing counseling, energy 
conservation, homebuyer down payment assistance, establishing and 
maintaining Neighborhood Network centers in federally assisted or 
insured housing, job training and placement and recreational needs;
    i. Fair housing services designed to further the civil rights 
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all 
persons, without regard to race, color, religion, sex, national origin, 
familial status, and/or disability aware of the range of housing 
opportunities available to them;
    j. Up to 20 percent of the grant may be used for payments of 
reasonable grant administrative costs related to planning and execution 
of the project (e.g., preparation/submission of HUD reports, etc.). 
Detailed explanations of these costs are provided in the OMB circulars 
that can be accessed at the White House Web site at: 
www.whitehouse.gov/omb/circulars/index.html; and
    Each activity proposed for funding must meet the Community 
Development Block Grant (CDBG) program are listed in Rating Factor 3 in 
Section V.A.3 of this NOFA.
    Criteria for determining whether an activity addresses one or more 
of these objectives are provided at 24 CFR 570.208.
    The CDBG publication entitled ``Community Development Block Grant 
Program Guide to National Objectives and Eligible Activities for 
Entitlement Communities'' describes the CDBG regulations, and a copy 
can be obtained online at http://www.hud.gov/offices/cpd/communitydevelopment/library/deskguid.cfm, or from HUD's NOFA 
Information Center at 800-HUD-8929. Individuals with hearing or speech 
impairments may access this number via the toll-free Federal 
Information Relay Service at 800-877-8339.
    2. Threshold Requirements Applicable to all Applicants. All 
applicants must comply with the threshold requirements as defined in 
the General Section and the requirements listed below. Applications 
that do not meet these requirements will be considered ineligible for 
funding and will be disqualified.
    a. The applicant must meet the eligibility requirements as defined 
in Section III.A
    b. The applicant may request up to $800,000.
    c. An applicant must have a separate DUNS number to receive HUD 
grant funds (See the General Section). Only one application can be 
submitted per campus. If multiple applications are submitted, all will 
be disqualified. However, different campuses of the same university 
system are eligible to apply as long as they have a separate DUNS 
number and an administrative and budgeting structure independent of the 
other campuses in the system.
    d. Institutions that received grants in FY2006 are not eligible to 
submit an application under this NOFA.
    e. Applicants must receive a minimum score of 75 points to be 
considered for funding.
    f. Electronic applications must be received and validated by 
Grants.gov no later than 11:59:59 p.m. eastern time on the application 
deadline date.
    3. Program Requirements. In addition to the program requirements 
listed in Section III.C of the General Section, applicants must meet 
the following program requirements:
    a. All funds awarded are for a three-year (36 months) grant 
performance period.
    b. Applicants must ensure that not less than 51 percent of the 
aggregated expenditures of a grant award are used to benefit low- and 
moderate-income persons under the criteria specified in 24 CFR 
570.208(a) or 570.208(d)(5) or (6).
    c. Site Control. Where grant funds will be used for acquisition, 
rehabilitation, or new construction, an applicant must demonstrate site 
control. Funds may be recaptured or deobligated from recipients that 
cannot demonstrate control of a suitable site within one year after the 
initial notification of award.
    d. Environmental Requirements. Selection for award does not 
constitute approval of any proposed sites. Following selection for 
award, HUD will perform an environmental review of properties proposed 
for assistance in accordance with 24 CFR part 50. The results of the 
environmental review may require that proposed activities be modified 
or proposed sites be rejected. Applicants are particularly cautioned 
not to undertake or commit funds for acquisition or development of 
proposed

[[Page 11490]]

properties prior to HUD approval of specific properties or areas. An 
application constitutes an assurance that the institution will assist 
HUD to comply with part 50; will supply HUD with all available and 
relevant information to perform an environmental review for each 
proposed property; will carry out mitigating measures required by HUD 
or select alternate property; and will not acquire, rehabilitate, 
convert, demolish, lease, repair, or construct property, and not commit 
or expend HUD or local funds for these program activities with respect 
to any eligible property until HUD's written approval of the property 
is received. In supplying HUD with environmental information, 
applicants should use the same guidance as provided in the HUD Notice 
CPD-05-07 entitled, ``Field Environmental Review Processing for Rural 
Housing and Economic Development (RHED) grants'' issued August 30, 
2005. The General Section provides further discussion of the 
environmental requirements. Further information and assistance on HUD's 
environmental requirements is available at: http://hudstage.hud.gov/utilities/intercept.cfm?/offices/cpd/lawsregs/notices/2005/05-07.pdf.
    e. Labor Standards. Institutions and their subgrantees, 
contractors, and subcontractors must comply with the labor standards 
(Davis-Bacon) requirements referenced in 24 CFR 570.603.
    f. Economic Opportunities for Low- and Very-Low Income Persons 
(Section 3). The provisions of Section 3 of the Housing and Urban 
Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of 
the purposes of the assistance is to give, to the greatest extent 
feasible, and consistent with existing federal, state, and local laws 
and regulations, job training, employment, contracting and other 
economic opportunities to Section 3 residents and Section 3 business 
concerns. Regulations are located at 24 CFR Part 135.

IV. Application and Submission Information

A. Address To Request Application Package

    Applicants may download the instructions to the application found 
on the Grants.gov Web site at http://www.Grants.gov./applicants/apply--
for--grants.jsp. If you have difficulty accessing the information you 
may call the Grants.gov Support Desk toll free 800-518-GRANTS or e-mail 
your questions to Grants.gov">Support@Grants.gov. See the General Section for 
information regarding the registration process or ask for registration 
information from the Grants.gov Support Desk.

B. Content and Form of Application Submission

    1. Forms. The following forms are required for submission. Copies 
of these forms are available on line at www.grants.gov/applicants/apply_for_grans.jsp.
    a. SF-424, Application for Federal Assistance;
    b. SF-424 Supplement, Survey on Ensuring Equal Opportunities for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
    c. HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed 
Budget Form'' on Grants.gov);
    d. SF-LLL, Disclosure of Lobbying Activities, if applicable;
    e. HUD-27300, Questionnaire for HUD's Removal of Regulatory 
Barriers (``HUD Communities Initiative'' on Grants.gov), if applicable;
    f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov);
    g. HUD-2990, Certification of Consistency with RC/EZ/EC-II 
Strategic Plan, if applicable;
    h. HUD-96010, Program Logic Model;
    i. HUD-2993, Acknowledgement of Applicant Receipt. Complete this 
form only if you have received a waiver to the electronic application 
submission requirement. Applicants submitting electronically are not 
required to include this form;
    j. HUD-2994-A, You Are Our Client Grant Applicant Survey. 
Applicants are not required to complete this form.
    k. HUD-96011, Third Party Documentation Facsimile Transmittal 
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used 
as the cover page to transmit third party documents and other 
information. Applicants are advised to download the application 
package, complete the SF-424 first and it will pre-populate the 
Transmittal Cover page. The Transmittal Cover page will contain a 
unique identifier embedded in the page that will help HUD associate 
your faxed materials to your application. Please download the cover 
page and then make multiple copies to provide to any of the entities 
responsible for submitting faxed materials to HUD on your behalf. 
Please do not use your own fax sheet. HUD will not read any faxes that 
are sent without the HUD-96011 fax transmittal cover page; and
    2. Certifications and Assurances. Please read the General Section 
for detailed information on all Certifications and Assurances. All 
applications submitted through Grants.gov constitute an acknowledgement 
and agreement to all required certifications and assurances. Please 
include in your application each item listed below. Applicants 
submitting paper copy applications should submit the application in the 
following order:
    a. SF-424, Application for Federal Assistance. Please remember the 
following:
    (1) The full grant amount requested from HUD (entire three years) 
should be entered, not the amount for just one year;
    (2) Include the name, title, address, telephone number, facsimile 
number, and e-mail address of the designated contact; this is the 
person who will receive all correspondence; therefore, please ensure 
the accuracy of the information;
    (3) The Employer Identification/Tax ID number;
    (4) The DUNS Number;
    (5) The Catalog of Federal Domestic Assistance Number for this 
program is 14.515;
    (6) The project's proposed start date and completion date. For the 
purpose of this application, the program start date should be December 
1, 2007; and
    (7) The signature of the Authorized Organization Representative 
(AOR) who, by virtue of submitting an application via Grants.gov, has 
been authenticated by the credential provider to submit applications on 
behalf of the Institution and approved by the eBusiness Point of 
Contact to submit an application via Grants.gov. The AOR must be able 
to make a legally binding agreement with HUD.
    b. Application Checklist. Applicants should use the checklist to 
ensure that they have all the required components of their application. 
Applicants submitting an electronic application should not submit the 
checklist. Applicants that receive a waiver of the electronic 
application submission requirement must include a copy of the checklist 
in their application submission. The checklist can be located in 
Appendix A.
    c. Abstract. Applicants must include no more than a two-page 
summary of the proposed project. Please include the following:
    (1) A clear description of each proposed project activity, where it 
will take place (be located), the target population that will be 
assisted, and the impact this project is expected to have on the 
community and institution;
    (2) A statement that the institution is an eligible institution 
because it is a

[[Page 11491]]

two-or four-year fully accredited institution, the name of the 
accrediting agency and an assurance that the accrediting agency is 
recognized by the U.S. Department of Education;
    (3) A statement that the institution meets the definition of an 
Alaska Native Institution, or a Native Hawaiian Institution, as 
appropriate;
    (4) The designated contact person, including phone number, 
facsimile number, and e-mail address. (This is the person who will 
receive all correspondence; therefore, please ensure the accuracy of 
the information.);
    (5) The project director, if different from the designated contact 
person, for the project, including phone number, facsimile number, and 
e-mail address.
    d. Narrative statement addressing the Rating Factors. HUD will use 
the narrative response to the ``Rating Factors'' to evaluate, rate, and 
rank applications. The narrative statement is the main source of 
information. Applicants are advised to review each factor carefully for 
program specific requirements. The response to each factor should be 
concise and contain only information relevant to the factor, yet 
detailed enough to address each factor fully. PLEASE DO NOT REPEAT 
MATERIAL IN RESPONSE TO THE FIVE FACTORS; INSTEAD, FOCUS ON HOW WELL 
THE PROPOSAL RESPONDS TO EACH OF THE FACTORS. Where there are 
subfactors, each subfactor must be presented separately, with the short 
title of the subfactor presented. Make sure to address each subfactor 
and provide sufficient information about every element of the 
subfactor. The narrative section of an application must not exceed 50 
pages in length (excluding forms, budget narrative, assurances, and 
abstract) and must be submitted on 8\1/2\ by 11-inch paper, double-
spaced on one side of the paper, with one inch margins (from the top, 
bottom and left to right side of the document) and printed in standard 
Times New Roman 12-point font. Each page of the narrative must include 
the applicant's name and should be numbered. Note that although 
submitting pages in excess of the page limit will not disqualify an 
applicant, HUD will not consider the information on any excess pages. 
This exclusion may result in a lower score or failure to meet a 
threshold requirement. All applicants submitting electronic 
applications must attach their narrative responses to Rating Factors 1-
5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR 
SEPARATELY. Please follow the instructions on file extension and file 
names in the General Section.
    e. Budget. The budget submission must include the following:
    (1) HUD-424-CB, ``Grant Application Detailed Budget.'' This form 
shows the total budget by year and by line item for the program 
activities to be carried out with the proposed HUD grant. Each year of 
the program should be presented separately. Applicants must also budget 
for travel cost (airfare, lodging and per diem) for two individuals to 
attend at least one HUD sponsored AN/NHIAC conference/workshop every 
year of the three-year grant performance period. To calculate travel 
expenses, applicants should use Washington, DC as the site of all 
conferences/workshops. Applicants must also submit this form to reflect 
the total cost for the entire grant performance period (Grand Total).
    Make sure that the amounts shown on the SF-424, the HUD-424-CB and 
on all other required program forms are consistent and the budget 
totals are correct. Remember to check addition in totaling the 
categories on all forms so that all items are included in the total. If 
there is any inconsistency between any of the required budget forms, 
the HUD-424-CB will be used. All budget forms must be fully completed. 
If an application is selected for award, the applicant may be required 
to provide greater specificity to the budget during grant agreement 
negotiations.
    (2) Budget Narrative. A narrative must be submitted that explains 
how the applicant arrived at the cost estimates for any line item over 
$5,000 cumulative. For example, an applicant proposes to construct a 
building using HUD funding totaling $200,000. The following costs 
estimate reflects this total. Foundation cost $75,000, electrical work 
$40,000, plumbing work $40,000, finishing work $35,000, and landscaping 
$10,000. The proposed cost estimates should be reasonable for the work 
to be performed and consistent with rates established for the level of 
expertise required to perform the work proposed in the geographical 
area. When necessary, quotes from various vendors or historical data 
should be used (please make sure they are kept on file and are 
available for review by HUD at any time). When an applicant proposes to 
use a consultant, the applicant must indicate whether there is a formal 
written agreement. For each consultant, please provide the name, if 
known, hourly or daily rate, and the estimated time on the project. 
Applicants must use cost estimates based on historical data from the 
institution and/or from a qualified firm (e.g., Architectural or 
Engineering firm), vendor, and/or qualified individual (e.g., 
independent architect or contractor) other than the institution for 
projects that involve rehabilitation of residential, commercial and/or 
industrial structures, and/or acquisition, construction, or 
installation of public facilities, and improvements. Such an entity 
must be involved in the business of housing rehabilitation, 
construction, and/or management. Equipment and contracts cannot be 
presented as a total estimated cost. For equipment, applicants must 
provide a list by type and cost for each item. Applicants using 
contracts must provide an individual description and cost estimate for 
each contract. Construction costs must be broken down to indicate how 
funds will be utilized (e.g., demolition, foundation, exterior walls, 
roofing, electrical work, plumbing, finishing work, etc.)
    (3) Indirect costs. Indirect costs, if applicable, are allowable 
based on an established approved indirect cost rate. Applicants must 
have on file, and submit to HUD if selected for award, a copy of their 
indirect cost rate agreement. Applicants who are selected for funding 
that do not have an approved indirect cost rate agreement, established 
by the cognizant federal agency, will be required to establish a rate. 
In such cases, HUD will issue an award with a provisional rate and 
assist applicants with the process of establishing a final rate.
    f. Appendix. Applicants receiving a waiver of the electronic 
submission requirements and submitting a paper copy of the application 
must place all required forms in this section. The appendix section of 
the an application must not exceed 15 pages in length (excluding forms, 
budget narrative and assurances) An applicant SHOULD NOT submit 
resumes, commitment letters, memoranda of understanding and/or 
agreements, or other back-up materials. If this information is 
included, it will not be considered during the review process. Each 
page must include the applicant's name and should be numbered. HUD will 
not consider the information on any excess pages. The additional items 
will also slow the transmission of your application.

C. Submission Dates and Times

    A complete application package must be received and validated 
electronically by the Grants.gov portal no later than 11:59:59 p.m. 
eastern time on or before the application deadline date. In an effort 
to address any issues with transmission of your applications, 
applicants are strongly encouraged to submit their applications at 
least 48 to 72 hours prior to the application deadline. This will allow 
an applicant enough time to make the necessary

[[Page 11492]]

adjustments to meet the submission deadline in the event Grants.gov 
rejects the application. Please see the General Section for further 
instructions. Electronic faxes using the Facsimile Transmittal Cover 
Sheet (Form HUD-96011) contained in the electronic application must be 
received no later than 11:59:59 p.m. eastern time on the application 
deadline date.

D. Intergovernmental Review

    This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

    Ineligible CDBG Activities are listed at 24 CFR 570.207. Ineligible 
activities include but are not limited to:
    1. New construction of public housing;
    2. General government expenses;
    3. Political activities;
    4. Planning and administrative activities that would result in a 
grantee exceeding the 20 percent cost limitations (e.g., preparation/
submission of HUD reports);
    5. Development and/or expansion of an institution's existing 
curriculum when it is primarily to enhance the institution rather than 
to achieve the specific goals/objectives of the proposed project; and
    6. Construction, renovation, expansion of an institution's own 
facilities.

F. Other Submission Requirements

    1. Application Submission and Receipt Procedure. Please read the 
General Section carefully and completely for the submission and receipt 
procedures for all applications because failure to comply may 
disqualify your application.
    2. Waiver of Electronic Submission Requirements. Applicants should 
submit their waiver requests in writing using e-mail or fax. Waiver 
requests must be submitted no later than 15 days prior to the 
application deadline date and should be submitted to:
    Susan Brunson, Office of University Partnerships, E-mail: [email protected], FAX: (202) 708-0309.
    Paper applications will not be accepted from applicants that have 
not been granted a waiver. If an applicant is granted a waiver, the 
Office of University Partnerships will provide instructions for 
submission. All applicants submitting applications in paper format must 
have received a waiver to the electronic application submission 
requirement and the application must be received by HUD on or before 
the application deadline date.

V. Application Review Information

A. Criteria

1. Rating Factor 1: Capacity of the Applicant and Relevant Experience 
(25 Points)
    This factor addresses the extent to which the applicant has the 
resources necessary to successfully implement the proposed project in a 
timely manner.
    a. Knowledge and Experience. For First Time Applicants (25 Points) 
For Previously Funded Applicants (13 Points). In rating this subfactor, 
HUD will consider the extent to which the applicant clearly addresses 
the following:
    (1) Describe the knowledge and experience of the proposed project 
director and staff, including the day-to-day program manager/
coordinator, consultants (including technical assistance providers), 
and contractors in planning and managing the type of project for which 
funding is being requested; and
    (2) Clearly identify the following: key project team members, 
titles (e.g., project manager/coordinator, etc.), respective roles for 
the project staff, and a brief description of their relevant 
experience.
    If key personnel have not been hired, applicants must identify the 
position title, provide a description of duties and responsibilities, 
and describe the qualifications to be considered in the selection of 
personnel, including subcontractors and consultants.
    Experience will be judged in terms of recent and relevant knowledge 
and skills of the staff to undertake eligible program activities. HUD 
will consider experience within the last five (5) years to be recent 
and experience pertaining to similar activities to be relevant.
    b. Past Performance (12 Points) For Previously Funded Applicants 
Only. This subfactor will evaluate how well an applicant has performed 
successfully under HUD/AN/NHIAC grants. Applicants must demonstrate 
this by addressing the following information for all previously 
completed and open HUD/AN/NHIAC grants:
    (1) A list of all HUD/AN/NHIAC grants received, including the 
dollar amount awarded and the amount expended and obligated as of the 
date of this application;
    (2) A description of the achievement of specific tasks, measurable 
objectives, and specific outcomes consistent with the approved project 
management plan;
    (3) A list detailing the date the project(s) was completed, was it 
completed in the original three-year grant performance period; if not 
completed, why (including when it was or will be completed);
    (4) A comparison of the amount of proposed leveraged funds and/or 
resources to the amount that was actually leveraged; and
    (5) A detailed description of compliance with all reporting 
requirements, including timeliness of submission, whether reports were 
complete and addressed all information (both narrative and financial) 
as required by the grant agreement.
    HUD will also review an applicant's past performance in managing 
funds, including, but not limited to: The ability to account for 
funding appropriately; timely use of funds received from HUD; meeting 
performance targets for completion of activities. In evaluating past 
performance, HUD reserves the right to deduct up to five (5) points 
from this rating score as a result of the information obtained from 
HUD's records (i.e., progress and financial reports, monitoring 
reports, Logic Model submissions, and amendments).
2. Rating Factor 2: Need/Extent of the Problem (10 Points)
    This factor addresses the extent to which there is a need for 
funding the proposed program activities and an indication of the 
importance of meeting the need(s) in the target area. The need(s) 
described must be relevant to the activities for which funds are being 
requested. In addressing this factor, applicants should provide, at a 
minimum, the following and must cite statistics and/or analyses 
contained in at least one or more current data sources that are sound 
and reliable.
    (1) Describe the need(s); and
    (2) Describe the importance of meeting the proposed needs.
    In rating this factor, HUD will consider only current data that is 
specific to the area where the proposed project activities will be 
carried out. Sources for localized data can be found at: www.ffiec.gov.
    HUD will consider data collected within the last five (5) years to 
be current. To the extent that the targeted community's Five (5) Year 
Consolidated Plan and Analysis of Impediments to Fair Housing Choice 
(AI) identify the level of the problem and the urgency in meeting the 
need, applicants should include references to these documents in the 
response to this factor.
    Other reliable data sources include, but are not limited to, Census 
reports, HUD Continuum of Care gap analysis and its E-MAP (http://www.hud.gov/emaps), law enforcement agency crime reports, Public 
Housing Agencies' Comprehensive Plans, community

[[Page 11493]]

needs analyses such as provided by the United Way, the applicant's 
institution, and other sound, reliable and appropriate sources. Needs 
in terms of fulfilling court orders or consent decrees, settlements, 
conciliation agreements, and voluntary compliance agreements may also 
be addressed.
3. Rating Factor 3: Soundness of Approach (44 Points)
    This factor addresses the quality and effectiveness of the proposed 
work plan and the commitment of the institution to sustain the proposed 
project activities.
    a. (37 Points) Quality of the Work Plan. This subfactor will be 
evaluated on the extent to which an applicant provides a clear detailed 
description of the proposed project activities, anticipated 
accomplishments and the impact they will have on the target population 
at the end of the project.
    (1) (32 Points) Specific Activities. The work plan must describe 
all proposed project activities and major tasks required to 
successfully implement them. The work plan must also identify the 
anticipated accomplishment and impact these activities will have on the 
target population. In addressing this subfactor applicants must provide 
a clear description of each proposed activity and address the 
following:
    (a) Describe each proposed project activity in measurable terms 
(e.g., the number of homes that will be renovated, the number of jobs 
created, etc.);
    (b) List and describe how each activity meets one of the following 
Community Development Block Grant (CDBG) Program national objectives:
     Benefit low- and moderate-income person;
     Aid in the prevention or elimination of slums or blight; 
or
     Meet other community development needs having a particular 
urgency because existing conditions pose a serious and immediate threat 
to the health and welfare of the community, and other financial 
resources are not available to meet such needs.
    Criteria for determining whether an activity addresses one or more 
objectives are provided at 24 CFR 570.208;
    (c) Describe the measurable outcomes that will be realized as a 
result of implementing each activity (by the end of the grant period) 
will have or expect to have on the target population;
    (d) Identify the major tasks required (in sequential order) to 
successfully implement and complete each proposed project activity. 
Include the target completion dates for these tasks (in 6 month 
intervals, up to 36 months);
    (e) Identify key staff, as described in Factor 1, who will be 
responsible and accountable for completing each task; and
    (f) Describe how the project director will work with partners and 
citizens to accomplish the proposed project activities.
    (2) (5 Points) Describe clearly how each proposed activity will:
    (a) Expands the role of the institution in the community;
    (b) Address the needs identified in Factor 2;
    (c) Relate to and not duplicate other activities in the target 
area. Duplicative efforts will be acceptable only if an applicant can 
demonstrate through documentation that there is a population in need 
that is not being served; and
    (d) Involve citizens of the target area in the planning and 
implementation of the proposed project activity (e.g., development of 
an advisory committee that is representative of the target community).
    b. (3 Points) Involvement of the faculty and students. The 
applicant must describe how it proposes to integrate the institution's 
students and faculty into the proposed project activities.
    c. (2 Points) HUD Policy Priorities. As described in the General 
Section, to earn points under this subfactor, HUD requires applicants 
to undertake specific activities that will assist the Department in 
implementing its policy priorities and that help the Department achieve 
its goals and objectives in FY2008, when the majority of grant 
recipients will be reporting programmatic results and achievements. In 
rating this subfactor, HUD will evaluate the extent to which a program 
will further and support HUD's priorities. The quality of the responses 
provided to one or more of HUD's priorities will determine the score an 
applicant can receive. Applicants must describe how each policy 
priority selected will be addressed. Applicants that just list a 
priority will receive no points.
    The total number of points an applicant can receive under this 
subfactor is two (2). Each policy priority addressed has a point value 
of one (1) point with the exception of the policy priority to remove 
regulatory barriers to affordable housing, which has a point value of 
up to two (2) points. To receive these two (2) points, an applicant 
must: (1) complete either Part A or Part B (not both), (2) include 
appropriate documentation, (3) identify a point of contact, (4) 
indicate how this priority will be addressed and (5) submit the 
completed questionnaire, (HUD-27300) ``HUD's Initiative on Removal of 
Regulatory Barriers'' found in the General Section along with required 
documentation. It is up to the applicant to determine which of the 
policy priorities they elect to address to receive the available two 
(2) points.
    d. (2 Points) Economic Opportunities for Low- and Very-Low Income 
Persons (Provision of Section 3). This subfactor will be evaluated on 
the extent to which an applicant describes how it proposes to:
    (1) Provide opportunities to train and employ Section 3 residents; 
and/or
    (2) Award contracts to Section 3 contractors (See the regulations 
at 24 CFR).
    Regulations regarding the provision of Section 3 of the Housing and 
Urban Development Act of 1968 (12 U.S.C. 1701u) can be located at 24 
CFR Part 135.
4. Rating Factor 4: Leveraging Resources (9 Points)
    This factor addresses the ability of the applicant to secure 
resources and develop partnerships that can be combined with HUD's 
grant funds to achieve the program's purpose.
    HUD will consider the extent to which the applicant established 
partnerships with other entities to secure additional resources to 
increase the effectiveness of the proposed project activities. 
Resources may include funding or in-kind contributions, such as 
services or equipment, allocated for the purpose(s) of the project 
activities. Resources may be provided by governmental entities, public 
or private nonprofit organizations, for-profit private organizations, 
or other entities. Applicants may also establish partnerships with 
other program funding recipients to coordinate the use of resources in 
the target area. Overhead and other institutional costs (e.g., 
salaries, indirect costs, etc.) that the institution has waived may be 
counted.
    Examples of potential sources for outside assistance include:
     Federal, state, and local governments
     Public Housing Agencies
     Local or national nonprofit organizations
     Financial institutions and/or private businesses
     Foundations
     Faith-based and other community-based organizations.
    To address this factor, an applicant must provide an outline in the 
application and have the original commitment letters, memoranda of

[[Page 11494]]

understanding and/or agreements that show the extent and firm 
commitment of all proposed leveraged resources (including any 
commitment of resources from the applicant's own institution) that 
address the following information for each leveraged resource/fund on 
file at the time of application submission:
    (1) The name of the organization and the executive officer 
authorizing the funds/goods and/or services (only applicable to the 
narrative section);
    (2) The cash amount contributed or dollar value of the in-kind 
goods and/or services committed (If a dollar amount and its use is not 
shown, the value of the contribution will not be scored for award);
    (3) A specific description of how each contribution is to be used 
toward the proposed activities;
    (4) A description of the current and/or past working relationship 
that the institution has with the organization contributing the 
resources and the involvement they will have with this proposed 
project.
    (5) The date the contribution will be made available and a 
statement that describes the duration of the contribution;
    (6) Any terms or conditions affecting the commitment, other than 
receipt of a HUD Grant; and
    (7) The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services. (Only applicable to 
the written documentation) Please remember that only items eligible for 
funding under this program can be counted.
    Do not submit commitment letters, memoranda of understanding and/or 
agreements at the time of application submission but have the originals 
on file at the time of submission. IF THIS INFORMATION IS INCLUDED, IT 
WILL NOT BE CONSIDERED DURING THE REVIEW PROCESS. Applicants chosen to 
proceed to the next step in the selection process for award will be 
required to submit the signed commitment letters, memoranda of 
understanding and/or agreements outlined in the application, within 
seven (7) calendar days after initial contact from the Office of 
University Partnerships (OUP). Letters, memoranda of understanding, or 
agreements must be submitted on the provider's letterhead and should be 
addressed to Sherone Ivey, Associate Deputy Assistant Secretary for 
University Partnerships. The date of the letter, memorandum of 
understanding, or agreement from the CEO of the provider organization 
must be dated no earlier than nine months prior to this published NOFA. 
OUP will provide specific instructions on how these documents must be 
submitted when contact is made with the applicant. HUD will only 
request and consider the resources/organizations that are listed in the 
outline submitted in the application. If OUP does not receive those 
documents with the required information and within the allotted 
timeframe, an applicant will not receive points under this factor.
    In scoring this factor, HUD will award:
     Nine (9) points to an applicant that provides properly 
documented leveraging resources as listed in their application that are 
15 percent or more of the amount requested under this program;
     Seven (7) to eight (8) points to applicants that provide 
documentation that includes at least five of the seven required items 
outlined above and that represents 10 to 14 percent of the amount 
requested under this program;
     Five (5) to six (6) points to applicants that provide 
documentation that includes at least four of the seven required items 
outlined above and that represents 10 to 14 percent of the amount 
requested under this program;
     Three (3) to four (4) points to applicants that provide 
documentation that includes at least five of the seven required items 
outlined above and that represents 5 to 9 percent of the amount 
requested under this program;
     One (1) to two (2) points to applicants that provide 
documentation that includes at least three of the seven required items 
outlined above and that represents 5 to 9 percent of the amount 
requested under this program; and
     Zero (0) points to applicants that provide documentation 
of leveraging resources as listed above that are less than 5 percent of 
the amount requested.
5. Rating Factor 5: Achieving Results and Program Evaluation (12 
Points)
    This factor reflects HUD's goal to embrace high standards of 
management and accountability. It measures the applicant's commitment 
to assess their performance to achieve the program's proposed 
objectives and goals. Applicants are required to develop an effective, 
quantifiable, outcome oriented evaluation plan for measuring 
performance and determining that objectives and goals have been 
achieved by using the Logic Model. The Logic Model is a summary of the 
narrative statements presented in Factors 1-4. Therefore, the 
information submitted on the Logic Model should be consistent with the 
information contained in the narrative statements.
    ``Outcomes'' are benefits accruing to institutions of higher 
education and/or communities during or after participation in the AN/
NHIAC program. Applicants must clearly identify the outcomes to be 
measured and achieved. Examples of outcomes include increased community 
development in the target community by a certain percentage, increased 
employment opportunities in the target community by a certain 
percentage, increased incomes/wages or other assets for persons 
trained, and or enhanced family stability through the creation of 
affordable housing opportunities.
    In addition, applicants must establish interim benchmarks and 
outputs that lead to the ultimate achievement of outcomes. ``Outputs'' 
are the direct products of the program's activities. Examples of 
outputs are the number of new affordable housing units, the number of 
homes that have been renovated, and the number of facilities that have 
been constructed or rehabilitated. Outputs should produce outcomes for 
the program. At a minimum, an applicant must address the following 
activities in the evaluation plan:
    a. Measurable outputs to be accomplished (e.g., the number of 
persons to be trained and employed; houses to be built pursuant to 24 
CFR 570.207 or rehabilitated; minority-owned businesses to be started);
    b. Measurable outcomes the grant will have on the community in 
general and the target area or population; and
    c. The impact the grant will have on assisting the university to 
obtain additional resources to continue this type of work at the end of 
the grant performance period.
    The information must be placed on a HUD-96010, Program Logic Model 
form. HUD has developed a new approach to completing this form. Please 
carefully read the General Section for instructions, training is 
available. (Form HUD-96010 will be excluded from the page count.) If an 
applicant utilizes ``other'' from the Logic Model categories, then the 
applicant should describe briefly this ``other'' category within the 
Rating Factor 5 narrative. If a narrative is provided, those pages will 
be included in the page count.

B. Review and Selection Process

1. Application Selection Process
    Two types of reviews will be conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application

[[Page 11495]]

based on the ``Rating Factors'' listed in Section V.A.
    Only those applications that pass the threshold review will receive 
a technical review and be rated and ranked.
2. Rating Panels
    To review and rate applications, HUD may establish panels, which 
may include experts or consultants not currently employed by HUD to 
obtain certain expertise.
3. Ranking
    HUD will fund applications in rank order, until all available 
program funds are awarded. In order to be considered for funding, an 
applicant must receive a minimum score of 75 points out of a possible 
100 points for Factors 1 through 5, plus up to two bonus points that 
may be awarded for activities conducted in the RC/EZ/EC-II communities, 
as described in the General Section. If two or more applications have 
the same number of points, the application with the most points for 
Factor 3 shall be selected. If there is still a tie, the application 
with the most points for Factor 1 shall be selected. If there is still 
a tie, the application with the most points for Factors 2, 4 and then 5 
shall be selected, in that order, until the tie is broken. HUD reserves 
the right to make selections out of rank order to provide for 
geographic distribution of grantees.
    HUD also reserves the right to reduce the amount of funding 
requested in order to fund as many highly ranked applications as 
possible. Additionally, if funds remain after funding the highest 
ranked applications, HUD may fund part of the next highest-ranking 
application. If an applicant turns down an award offer, HUD will make 
an award to the next highest-ranking application. If funds remain after 
all selections have been made, the remaining funds will be carried over 
to the next funding cycle's competition.
4. Correction to Deficient Applications
    See the General Section.

C. Anticipated Announcement and Award Dates

    Announcements of awards are anticipated on or before September 30, 
2007.

VI. Award Administration Information

A. Award Notices

    After all selections have been made, HUD will notify all winning 
applicants in writing. HUD may require winning applicants to 
participate in additional negotiations before receiving an official 
award. For further discussion on this matter, please refer to the 
General Section.

B. Administrative and National Policy Requirements

    Refer to the General Section.
    1. Debriefing. The General Section provides the procedures for 
requesting a debriefing. All requests for debriefings must be made in 
writing to: Sherone Ivey, Office of University Partnerships, Department 
of Housing and Urban Development; 451 Seventh Street, SW., Room 8106; 
Washington, DC 20410-6000. Applicants may also write to Ms. Ivey via e-
mail at [email protected].
    2. Administrative. Grants awarded under this NOFA will be governed 
by the provisions of 24 CFR part 84 (Grants and Agreements with 
Institutions of Higher Education, Hospitals and Other Non-Profit 
Organizations), A-21 (Cost Principles for Educational Institutions) and 
A-133 (Audits of States, Local Governments, and Non-Profit 
Organizations). Applicants can access the OMB circulars at the White 
House Web site at: www.whitehouse.gov/omb/circulars/index.html.
    3. OMB Circulars and Government-wide Regulations Applicable to 
Financial Assistance Programs. The General Section provides further 
discussion.
    4. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors Labor Relations on 
Federal and Federally Funded Construction Projects. See the General 
Section for further discussion.
    5. Procurement of Recovered Materials. See Section the General 
Section for further discussion.
    6. Executive Order 13166, Improving Access to Services For Persons 
With Limited English Proficiency (LEP). See the General Section for 
further discussion.
    7. Code of Conduct. See the General Section for further discussion.

C. Reporting

    All grant recipients under this NOFA are required to submit 
quarterly progress reports.
    The progress reports shall consist of two components, a narrative 
that must reflect the activities undertaken during the reporting period 
and a financial report that reflects costs incurred by budget line 
item, as well as a cumulative summary of cost incurred during the 
reporting period.
    For each reporting period, as part of the required report to HUD, 
grant recipients must include a completed Logic Model form (HUD-96010), 
which identifies output and outcome achievements.
    For FY2007, HUD is considering a new concept for the Logic Model. 
The new concept is a Return on Investment (ROI) statement. HUD will be 
publishing a separate notice on the ROI concept.

VII. Agency Contacts

    Applicants may contact Sherone Ivey at (202) 708-3061, extension 
4200 or Susan Brunson at (202) 708-3061, extension 3852. Persons with 
speech or hearing impairments may call the Federal Information Relay 
Service TTY at (800) 877-8339. Except for the ``800'' number, these 
numbers are not toll-free. Applicants may also reach Ms. Ivey via e-
mail at [email protected], and/or Ms. Brunson at [email protected].

VIII. Other Information: Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2528-0206. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 59 hours per annum per respondent for the application and grant 
administration. This includes the time for collecting, reviewing, and 
reporting the data for the application, quarterly, and final reports. 
The information will be used for grantee selection and monitoring the 
administration of funds. Response to this request for information is 
required in order to receive the benefits to be derived.

Appendix A--Application Checklist--AN/NHIAC

    This checklist identifies application submission requirements. 
Applicants are requested to use this checklist when preparing an 
application to ensure submission of all required elements. Applicants 
submitting an electronic application do not have to submit the 
checklist. Applicants that receive a waiver of the electronic 
application submission requirement should include a copy of the 
checklist in their application.
    Check off to ensure these items have been included in the 
application:


[[Page 11496]]


----SF-424 ``Application for Federal Assistance''

----Application Checklist (Applicants that submit paper applications 
must include the checklist in their applications)

----Abstract (must include no more than a two-page summary of the 
proposed project)

    Indicate the page number where each of the ----Factors is located:

----Narrative Statement Addressing the Rating Factors. The narrative 
section of an application must not exceed 50 pages in length (excluding 
forms, budget narrative and abstract). This information must be 
submitted on 8\1/2\ by 11-inch paper, double-spaced on one side of the 
paper, with one-inch margins (from the top, bottom, left, and right 
sides of the documents) and printed in standard Times New-Roman 12-
point font. [Applicants that submit applications via Grants.gov should 
review the General Section for information about file names and 
extensions.

    File names should not contain spaces or special characters.

----Factor I

----Factor II

----Factor III

----Factor IV

----Factor V

---- HUD-96010 ``Logic Model''

    Check off to ensure these items have been included in the 
application:

----Appendix. The appendix section of an application must not exceed 15 
pages in length (excluding forms, budget narrative and assurances).

----Budget

----HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed 
Budget Form'' on Grants.gov)

----Budget Narrative (No form provided, but must be submitted for the 
total three-year grant period)

Appendix B (All Required Forms)

    The following forms are required for submission. All required forms 
are contained in the electronic application package.

----Application for Federal Assistance (SF-424)

----Supplement, Survey on Ensuring Equal Opportunities for Applicants 
(SF-424 Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on 
Grants.gov)

----Disclosure of Lobbying Activities (SF-LLL)

----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300) 
(``HUD Communities Initiative Form'' on Grants.gov), if applicable

----Applicant/Recipient Disclosure Update Report (HUD-2880) (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov)

----Acknowledgement of Applicant Receipt (Only applicants who submit 
paper applications (HUD-2993)

----You Are Our Client Grant Applicant Survey (HUD-2994-A)

----Third Party Documentation Facsimile Transmittal (HUD-96011) 
(``Facsimile Transmittal Form'' on Grants.gov), if applicable

----Logic Model (HUD-96010)

[[Page 11497]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.009


[[Page 11498]]



Tribal Colleges and Universities Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Policy Development and Research, Office of 
University Partnerships.
    B. Funding Opportunity Title: Tribal Colleges and Universities 
Program (TCUP).
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Numbers: FR-5100-N-11; OMB Approval Number: 
2528-0215.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA 
Number for this program is 14.519.
    F. Dates: The application deadline date is May 23, 2007. 
Applications must be received and validated by Grants.gov by 11:59:59 
p.m. eastern time on the deadline date. Please be sure to read the 
General Section for electronic application submission and receipt 
requirements.
    G. Additional Overview Content Information:
    1. Purpose of the Program. To assist Tribal Colleges and 
Universities (TCU) to build, expand, renovate, and equip their own 
facilities, and to expand the role of the TCUs into the community 
through the provision of needed services such as health programs, job 
training, and economic development activities.
    2. Award Information: In Fiscal Year (FY) 2007, approximately $2.5 
million has been made available for this program by the Revised 
Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; approved 
February 15, 2007), and approximately $217,190 in carryover funds has 
been made available. An applicant can request up to $600,000 for a 
three-year (36 months) grant performance period.
    3. Eligible Applicants: Tribal Colleges and Universities that meet 
the definition of a TCU established in Title III of the 1998 Amendments 
to the Higher Education Act of 1965 (Pub. L. 105-244, approved October 
7, 1998). Applicants must be a two- or four-year, fully accredited 
institution or provide a statement in the abstract of the application 
that states the institution is a candidate for accreditation by a 
regional institutional accrediting association recognized by the U.S. 
Department of Education. If an applicant is one of several campuses of 
the same institution, the applicant may apply separately from the other 
campuses as long as the campus has a separate DUNS number, 
administrative structure and budget, and meets the definition of a TCU 
outlined above.

Full Text of Announcement

I. Funding Opportunity Description

    The purpose of this program is to assist Tribal Colleges and 
Universities (TCU) to build, expand, renovate, and equip their own 
facilities, and to expand the role of the TCUs into the community 
through the provision of needed services such as health programs, job 
training, and economic development activities.

A. Authority

    HUD's authority for making funding available under this NOFA is the 
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; 
approved February 15, 2007). This program is being implemented through 
this NOFA and the policies governing its operation are contained 
herein.

B. Modifications

    Listed below are major modifications from the Fiscal Year (FY) 2006 
program-funding announcement.
    1. Commitment letters, memoranda of understanding and/or agreements 
are not required to be submitted with the application, but the 
originals must be on file at the time of application submission. HUD 
will require applicants chosen to proceed to the next step in the 
selection process to submit the signed commitment letters, memoranda of 
understanding and/or agreements outlined in the application, within 
seven (7) calendar days after initial contact from the Office of 
University Partnerships (OUP). OUP will provide specific instructions 
on how these documents must be submitted at that time. HUD will only 
request and consider the resources/organizations outlined in the 
application. If OUP does not receive those documents with the required 
information and within the allotted timeframe, an applicant will not 
receive points under this factor.
    2. The appendix section of an application must not exceed 15 pages 
in length (excluding forms, budget narrative and assurances). An 
applicant SHOULD NOT submit resumes, commitment letters, memoranda of 
understanding and/or agreements, or other back-up material. Each page 
must include the applicant's name and should be numbered. HUD will not 
consider the information on any excess page.
    3. Applicants must budget for travel costs to attend at least one 
HUD sponsored TCUP conference/workshop every year of the three-year 
grant performance period.

II. Award Information

    In Fiscal Year (FY) 2007, approximately $2.5 million is made 
available by the Revised Continuing Appropriations Resolution, 2007 
(Pub. L. 110-5; approved February 15, 2007) with approximately $217,190 
in additional carryover funds. An applicant can request up to $600,000 
for a three-year (36 months) grant performance period.

III. Eligibility Information

A. Eligible Applicants

    Tribal Colleges and Universities that meet the definition of a TCU 
established in Title III of the 1998 Amendments to the Higher Education 
Act of 1965 (Pub. L. 105-244, enacted October 7, 1998). Applicants must 
be two- or four-year, fully accredited, or provide a statement in their 
application that verifies the institution is a candidate for 
accreditation, by a regional institutional accrediting association 
recognized by the U.S. Department of Education. If an applicant is one 
of several campuses of the same institution, the applicant may apply 
separately from the other campuses as long as the campus has a separate 
DUNS number, administrative structure and budget, and meets the 
definition of a TCU outlined above.

B. Cost Sharing or Matching

    None Required.

C. Other

    1. Eligible Activities. Eligible activities include building, 
expanding, renovating, and equipping facilities owned by the 
institution (a long-term lease for five years or more in duration is 
considered an acceptable form of ownership under this program). 
Buildings for which TCUP funding is used that also serve the community 
are eligible; however, the facilities must be predominantly (at least 
51 percent of the time) for the use of the institution (e.g., students, 
faculty, and staff). In addition, public services and program delivery 
activities for the community such as health programs, job training and 
economic development are eligible activities. Examples of eligible 
activities include, but are not limited to:
    a. Building a new facility (e.g., classrooms, administrative 
offices, health and cultural centers, gymnasium, technology centers, 
etc.);
    b. Renovating an existing or acquired facility;
    c. Expanding an existing or acquired facility;

[[Page 11499]]

    d. Equipping university facilities (e.g., lab equipment, library 
books, furniture, etc.);
    e. Property acquisition;
    f. Health screening;
    g. Homeownership counseling/training;
    h. Technical assistance to establish, expand or stabilize micro-
enterprises;
    i. Crime, alcohol and/or drug-abuse prevention activities;
    j. Youth leadership development programs/activities;
    k. Tutoring/mentoring programs;
    l. Child care/development programs;
    m. Cultural activities/programs; and
    n. Up to 20 percent of the grant may be used for payments of 
reasonable grant administrative costs related to planning and execution 
of the project (e.g., preparation/submission of HUD reports, etc.). A 
detailed explanation of these costs is provided in the OMB circulars 
that can be accessed at the White House Web site at: http://www.whitehouse.gov/omb/circulars/index.html.
    Each activity proposed for funding must meet at least one of the 
Community Development Block Grant (CDBG) Program national objectives as 
described in Rating Factor 3 in Section V.A.3 of this NOFA.
    Criteria for determining whether an activity addresses one or more 
objectives are provided at 24 CFR 570.208. The CDBG publication 
entitled ``Community Development Block Grant Program Guide to National 
Objectives and Eligible Activities for Entitlement Communities'' 
describes the CDBG regulations, and a copy can be obtained from HUD's 
NOFA Information Center at 800-HUD-8929. Individuals with hearing or 
speech impairments may access this number via the toll-free Federal 
Information Relay Service at 800-877-8339.
    2. Threshold Requirements Applicable to All Applicants. All 
applicants must comply with the threshold requirements as defined in 
the General Section and the requirements listed below. Applications 
that do not meet these requirements will be considered ineligible for 
funding and will be disqualified.
    a. The applicant must meet the eligibility requirements as defined 
in Section III.A.
    b. The applicant may request up to $600,000.
    c. An applicant must have a separate DUNS number to receive HUD 
grant funds (See General Section). Only one application can be 
submitted per campus. If multiple applications are submitted, all will 
be disqualified. However, different campuses of the same university 
system are eligible to apply as long as they have a separate DUNS 
number and an administrative and budgeting structure independent of the 
other campuses in the system.
    d. Institutions that received grants in FY2006 are not eligible to 
apply under this NOFA.
    e. Applicants must receive a minimum score of 75 points to be 
considered for funding.
    f. Electronic applications must be received and validated by 
Grants.gov no later than 11:59:59 p.m. eastern time on the application 
deadline date.
    3. Program Requirements. In addition to the standard requirements 
listed in Section III.C. of the General Section, applicants must meet 
the following program requirements:
    a. All funds awarded are for a three-year (36 months) grant 
performance period.
    b. While community-wide use of a facility (that is purchased, 
equipped, leased, renovated or built) is permissible under this 
program, the facility must be predominantly for the use of the 
institution (i.e., it must be used by the staff, faculty, and/or 
students at least 51 percent of the time).
    c. If a TCU is a part or instrumentality of a federally recognized 
tribe, the applicant must comply with the Indian Civil Rights Act (25 
U.S.C. 1301 et seq.) and all other applicable civil rights statutes and 
authorities as set forth in 24 CFR 1000.12. If the TCU is not a part or 
instrumentality of a federally recognized tribe the applicant must 
comply with the Fair Housing Act (42 U.S.C. 3601-19) and implementing 
regulations at 24 CFR part 100 et seq., Title VI of the Civil Rights 
Act of 1964 (42 U.S.C. 2000d-2000d-4) (Nondiscrimination in Federally 
Assisted Programs) and implementing regulations at 24 CFR part 1, 
Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 
794) and implementing regulation at 24 CFR Part 8, and Section 109 of 
Title One of the Housing and Community Development Act of 1974 (HCDA), 
as amended, with respect to nondiscrimination on the basis of age, sex, 
religion, or disability and implementing regulations at 24 CFR part 6.
    d. Labor Standards. Institutions and their subgrantees, contractors 
and subcontractors must comply with the labor standards (Davis-Bacon) 
requirements referenced in 24 CFR 570.603. However, in accordance with 
HCDA section 107(e)(2), the Secretary waives the provisions of HCDA 
section 110 with respect to the TCUP program for grants to a TCU that 
is part of a tribe, i.e., a TCU that is legally a department or other 
part of a tribal government, but not a TCU that is established under 
tribal law as an entity separate from the tribal government. If a TCU 
is not part of a tribe, the labor standards of HCDA section 110, as 
referenced in 24 CFR 570.603, apply to activities under the grant to 
the TCU.
    e. Environmental Requirements. Selection for award does not 
constitute approval of any proposed sites. Following selection for 
award, HUD will perform an environmental review of activities proposed 
for assistance in accordance with 24 CFR part 50. The results of the 
environmental review may require that proposed activities be modified 
or proposed sites be rejected. Applicants are particularly cautioned 
not to undertake or commit funds for acquisition or development of 
proposed properties prior to HUD approval of specific properties or 
areas. An application constitutes an assurance that the institution 
will assist HUD to comply with part 50; will supply HUD with all 
available and relevant information to perform an environmental review 
for each proposed property; will carry out mitigating measures required 
by HUD or select alternate property; and will not acquire, 
rehabilitate, convert, demolish, lease, repair, or construct property 
and not commit or expend HUD or local funds for these program 
activities with respect to any eligible property until HUD's written 
approval of the property is received. In supplying HUD with 
environmental information, applicants should use the same guidance as 
provided in the HUD Notice CPD-05-07 entitled, ``Field Environmental 
Review Processing for Rural Housing and Economic Development (RHED) 
grants'' issued August 30, 2005. The General Section provides further 
discussion of the environmental requirements. Further information and 
assistance on HUD's environmental requirements is available at: http://www.hud.gov/offices/cpd/environment/index.cfm.
    f. Site Control. Where grant funds will be used for acquisition, 
rehabilitation, or new construction, an applicant must demonstrate site 
control. Funds may be recaptured or deobligated from recipients that 
cannot demonstrate control of a suitable site within one year after the 
initial notification of award.
    g. Economic Opportunities for Low- and Very-Low Income Persons 
(Section 3). The provisions of Section 3 of the Housing and Urban 
Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of 
the purposes of the assistance is to give, to the greatest extent 
feasible, and consistent with existing federal, state, and local laws 
and regulations, job training,

[[Page 11500]]

employment, contracting and other economic opportunities to Section 3 
residents and Section 3 business concerns. Regulations are located at 
24 CFR part 135.

IV. Application and Submission Information

A. Address To Request Application Package

    Applicants may download the instructions to the application found 
on the Grants.gov Web site at http://www.Grants.gov./applicants/apply-- 
for--grants.jsp. If you have difficulty accessing the information you 
may call the Grants.gov Support Desk toll free 800-518-GRANTS or e-mail 
your questions to Grants.gov">Support@Grants.gov. See the General Section for 
information regarding the registration process or ask for registration 
information from the Grants.gov Support Desk.

B. Content and Form of Application Submission

    1. Forms. The following forms are required for submission. Copies 
of these forms are available on line at http://www.grants.gov/applicants/apply--for--grants.jsp.
    a. SF-424, Application for Federal Assistance.
    b. SF-424 Supplement, Survey on Ensuring Equal Opportunities for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
    c. HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed 
Budget Form'' on Grants.gov);
    d. SF-LLL, Disclosure of Lobbying Activities, if applicable;
    e. HUD-27300, Questionnaire for HUD's Removal of Regulatory 
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if 
applicable;
    f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov);
    g. HUD-2993, Acknowledgement of Applicant Receipt. Complete this 
form only if you have received a waiver to the electronic application 
submission requirement. Applicants submitting electronically are not 
required to include this form;
    h. HUD-2994-A, You Are Our Client Survey (Optional);
    i. HUD-96010, Program Logic Model;
    j. HUD-2990, Certification of Consistency with RC/EZ/EC-II 
Strategic Plan, if applicable;
    k. HUD-96011, Third Party Documentation Facsimile Transmittal 
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used 
as the cover page to transmit third party documents and other 
information. Applicants are advised to download the application 
package, complete the SF-424 first and it will pre-populate the 
Transmittal Cover page. The Transmittal Cover page will contain a 
unique identifier embedded in the page that will help HUD associate 
your faxed materials to your application. Please download the cover 
page and then make multiple copies to provide to any of the entities 
responsible for submitting faxed materials to HUD on your behalf. 
Please do not use your own fax cover sheet. HUD will not read any faxes 
that are sent without the HUD-96011 fax transmittal cover page; and
    2. Certifications and Assurances. Please read the General Section 
for detailed information on all the Certifications and Assurances. All 
applications submitted through Grants.gov constitute an acknowledgement 
and agreement to all required certifications and assurances. Please 
include in your application each item listed below. Applicants 
submitting paper copy applications should submit the application in the 
following order:
    a. SF-424, Application for Federal Assistance. Please remember the 
following:
    (1) The full grant amount requested from HUD (entire three-years) 
should be entered, not the amount for just one year;
    (2) Include the name, title, address, telephone number, facsimile 
number, and e-mail address of the designated contact. This person will 
receive all correspondence from HUD; therefore, please ensure the 
accuracy of the information;
    (3) The Employer Identification/Tax ID number;
    (4) The DUNS Number;
    (5) The Catalog of Federal Domestic Assistance Number for this 
program is 14.519;
    (6) The project's proposed start and completion dates. For the 
purpose of this application the program start date should be December 
1, 2007; and
    (7) The signature of the Authorized Organization Representative 
(AOR) who, by virtue of submitting an application via Grants.gov, has 
been authenticated by the credential provider to submit applications on 
behalf of the Institution and approved by the eBusiness Point of 
Contact to submit an application via Grants.gov. The AOR must be able 
to make a legally binding agreement with HUD.
    b. Application Checklist. Applicants should use the checklist to 
ensure that they have all the required components of their application. 
Applicants submitting an electronic application should not submit the 
checklist in their application. Applicants receiving a waiver of the 
electronic application submission requirement should include a copy of 
the checklist in their application submission. The checklist is located 
in Appendix A.
    c. Abstract. Applicants must include no more than a two-page 
summary of the proposed project. Please include the following:
    (1) A clear description of each proposed project activity, where it 
will take place (be located), the target population that will be 
assisted, and the impact this project is expected to have on the 
institution;
    (2) A statement that the institution is an eligible institution 
because it is a two- or four-year fully accredited institution, the 
name of the accrediting agency and an assurance that the accrediting 
agency is recognized by the U.S. Department of Education; or the 
applicant is a candidate for accreditation by a regional instructional 
accrediting association recognized by the U.S. Department of Education, 
including the name of the accrediting agency;
    (3) The designated contact person, including phone number, 
facsimile number, and e-mail address (This is the person who will 
receive all correspondence from HUD; therefore, please ensure the 
accuracy of the information);
    (4) The project director, if different from the designated contact 
person for the project, including phone number, facsimile number, and 
e-mail address.
    d. Narrative statement addressing the Rating Factors. HUD will use 
the narrative response to the ``Rating Factors'' to evaluate, rate, and 
rank applications. The narrative statement is the main source of 
information. Applicants are advised to review each factor carefully for 
program specific requirements. The response to each factor should be 
concise and contain only information relevant to the factor, yet 
detailed enough to address the factor fully. PLEASE DO NOT REPEAT 
MATERIAL IN RESPONSE TO THE FIVE FACTORS; INSTEAD, FOCUS ON HOW WELL 
THE PROPOSAL RESPONDS TO EACH OF THE FACTORS. Where there are 
subfactors, each subfactor must be presented separately, with the short 
title of the subfactor presented. Make sure to address each subfactor 
and provide sufficient information about every element of the 
subfactor. The narrative section of an application must not exceed 50 
pages in length (excluding forms, budget narrative, assurances, and

[[Page 11501]]

abstract) and must be submitted on 8\1/2\ by 11-inch paper, double-
spaced on one side of the paper, with one inch margins (from the top, 
bottom and left to right side of the document) and printed in standard 
Times New Roman 12-point font. Each page of the narrative must include 
the institution's name and should be numbered. Note that although 
submitting pages in excess of the page limit will not disqualify an 
applicant, HUD will not consider the information on any excess pages. 
This exclusion may result in a lower score or failure to meet a 
threshold requirement. All applicants submitting electronic 
applications must attach their narrative responses to Rating Factors 1-
5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR 
SEPARATELY. Please follow the instructions on file extension and file 
names in the General Section.
    e. Budget. The budget submission must include the following:
    (1) HUD-424-CB, ``HUD Detailed Budget.'' This form shows the total 
budget by year and by line item for the program activities to be 
carried out with the proposed HUD grant. Each year of the program 
should be presented separately. Applicants must also budget for travel 
cost (airfare, lodging and per diem) for two individuals to attend at 
least one HUD sponsored TCUP conference/workshop every year of the 
three-year grant performance period. To calculate travel expenses, 
applicants should use Washington, DC as the site of all conference/
workshop. Applicants must also submit this form to reflect the total 
cost for the entire grant performance period (Grand Total).
    Make sure that the amounts shown on the SF-424, HUD-424-CB, and all 
other required program forms are consistent and the budget totals are 
correct. Remember to check the addition in totaling the categories on 
all forms so that all items are included in the total. If there is any 
inconsistency between any of the required budget forms, the HUD-424-CB 
will be used. All budget forms must be fully completed. If an 
application is selected for award, the applicant may be required to 
provide greater specificity to the budget during grant agreement 
negotiations.
    (2) Budget Narrative. Applicants must submit a narrative that 
explains how the applicant arrived at the cost estimates for any line 
item over $5,000 cumulative. For example, an applicant proposes to 
construct an addition to an existing building, which will cost 
approximately $200,000. The following cost estimate reflects this 
total: Foundation cost $75,000, electrical work $40,000, plumbing work 
$40,000, interior finishing work $35,000 and landscaping $10,000. The 
proposed cost estimates should be reasonable for the work to be 
performed and consistent with rates established for the level of 
expertise required to perform the work proposed in the geographical 
area. When necessary, quotes from various vendors or historical data 
should be used (please make sure they are kept on file and are 
available for review by HUD at any time). All direct labor or salaries 
must be supported with mandated city/state pay scales, Davis-Bacon wage 
rates/tribally designated wage rate (as appropriate) or other 
documentation. When an applicant proposes to use a consultant, the 
applicant must indicate whether there is a formal written agreement. 
For each consultant, please provide the name, if known, hourly or daily 
fee, and the estimated time on the project. Applicants must use cost 
estimates based on historical data from the institution and/or from a 
qualified firm (e.g., Architectural or Engineering firm), vendor and/or 
qualified individual (e.g., independent architect or contractor) other 
than the institution for projects that involve rehabilitation of 
residential, commercial and/or industrial structures, and/or 
acquisition, construction, or installation of public facilities and 
improvements. Such an entity must be involved in the business of 
rehabilitation, construction, and/or management. Equipment and 
contracts cannot be presented as a total estimated figure. For 
equipment, applicants must provide a list by type and cost for each 
item. Applicants using contracts must provide an individual description 
and cost estimate for each contract. Construction costs must be broken 
down to indicate how funds will be utilized (e.g., demolition, 
foundation, exterior walls, roofing, electrical work, plumbing, 
finishing work, etc.).
    (3) Indirect costs. Indirect costs, if applicable, are allowable 
based on an established approved indirect cost rate. Applicants must 
have on file, and submit to HUD if selected for award, a copy of their 
indirect cost rate agreement. Applicants who are selected for funding 
that do not have an approved indirect cost rate agreement, established 
by the cognizant federal agency, will be required to establish a rate. 
In such cases, HUD will issue an award with a provisional rate and 
assist applicants with the process of establishing a final rate.
    f. Appendix. Applicants receiving a waiver of the electronic 
submission requirements and submitting a paper copy of the application 
must place all required forms in this section. The appendix section of 
an application must not exceed 15 pages in length (excluding forms, 
budget narrative and assurances). An applicant SHOULD NOT submit 
resumes, commitment letters, memoranda of understanding and/or 
agreements, or other back-up materials. If this information is 
included, it will not be considered during the review process. Each 
page must include the applicant's name and should be numbered. HUD will 
not consider the information on any excess pages. The additional items 
will also slow the transmission of your application.

C. Submission Dates and Times

    A complete application package must be received and validated 
electronically by the Grants.gov portal no later than 11:59:59 p.m. 
eastern time on or before the application deadline date. In an effort 
to address any issues with transmission of your application, applicants 
are strongly encouraged to submit their applications at least 48 to 72 
hours prior to the application deadline. This will allow an applicant 
enough time to make the necessary adjustments to meet the submission 
deadline in the event Grants.gov rejects the application. Please see 
the General Section for further instructions. Electronic faxes using 
the Facsimile Transmittal Cover Sheet (Form HUD-96011) contained in the 
electronic application must be received no later than 11:59:59 p.m. 
eastern time on the application deadline date.

D. Intergovernmental Review

    This program is excluded for an Intergovernmental Review.

E. Funding Restrictions

    Ineligible activities for funding under this program include, but 
are not limited to the following:
    1. Renovation of a facility in which the facility is not used at 
least 51 percent of the time by the institution;
    2. Rental space to another entity that operates a small business 
assistance center;
    3. Building of a new facility, where the activities are for non-
students or the activities are run primarily by an outside entity;
    4. Planning and administrative activities that would result in an 
applicant exceeding the 20 percent cost limitations (e.g., preparation/
submission of HUD reports); and
    5. Curriculum development and/or expansion on an institution's 
existing curriculum.

[[Page 11502]]

F. Other Submission Requirements

    1. Application Submission and Receipt Procedure. Please read the 
General Section carefully and completely for the electronic submission 
and receipt procedures for all applications because failure to comply 
may disqualify your application.
    2. Waiver of Electronic Submission Requirements. Applicants should 
submit their waiver requests in writing using e-mail or fax. Waiver 
requests must be submitted no later than 15 days prior to the 
application deadline date and should be submitted to:
    Susan Brunson, Office of University Partnerships. E-mail: [email protected]. FAX: (202) 708-0309.
    Paper applications will not be accepted from applicants that have 
not been granted a waiver. If an applicant is granted a waiver, the 
Office of University Partnerships will provide instructions for 
submission. All applicants submitting applications in paper format must 
have received a waiver to the electronic application submission 
requirement and the application must be received by HUD on or before 
the application deadline date.

V. Application Review Information

A. Criteria

    1. Rating Factor 1: Capacity of the Applicant and Relevant 
Experience (25 points). This factor addresses the extent to which the 
applicant has the resources necessary to successfully implement the 
proposed activities in a timely manner.
    a. Knowledge and Experience. For First Time Applicants (25 points), 
For Previously Funded Applicants (15 points). In rating this subfactor, 
HUD will consider the extent to which the applicant clearly addresses 
the following:
    (1) Describe the knowledge and experience of the proposed project 
director and staff, including the day-to-day program manager/
coordinator, consultants (including technical assistance providers), 
and contractors in planning and managing the type of project for which 
funding is being requested; and
    (2) Clearly identify the following: key project team members, 
titles (e.g., project manager/coordinator, etc.), respective roles for 
the project staff, and a brief description of their relevant 
experience.
    If key personnel have not been hired, applicants must identify the 
position title, provide a description of duties and responsibilities, 
and describe the qualifications to be considered in the selection of 
personnel, including subcontractors and consultants.
    Experience will be judged in terms of recent and relevant knowledge 
and skills of the staff to undertake eligible program activities. HUD 
will consider experience within the last five (5) years to be recent 
and experience pertaining to similar activities to be relevant.
    b. Past Performance (10 points) For Previously Funded Grant 
Applicants Only. This subfactor will evaluate how well an applicant has 
performed successfully under HUD/TCUP grants. Applicants must 
demonstrate this by addressing the following information for all 
previously completed and open HUD/TCUP grants:
    (1) A list of all HUD/TCUP grants received, including the dollar 
amount awarded and the amount expended and obligated as of the date of 
this application;
    (2) A description of the achievement of specific tasks, measurable 
objectives, and specific outcomes consistent with the approved project 
management plan;
    (3) A list detailing the date the project(s) was completed, was it 
completed in the original three-year grant performance period; if not 
completed, why (including when it was or will be completed);
    (4) A comparison of the amount of proposed leveraged funds and/or 
resources to the amount that was actually leveraged; and
    (5) A detailed description of compliance with all reporting 
requirements, including timeliness of submission, whether reports were 
complete and addressed all information (both narrative and financial) 
as required by the grant agreement.
    HUD will also review an applicant's past performance in managing 
funds, including, but not limited to: the ability to account for 
funding appropriately; timely use of funds received from HUD; meeting 
performance targets for completion of activities. In evaluating past 
performance, HUD reserves the right to deduct up to five (5) points 
from this rating score as a result of the information obtained from 
HUD's records (i.e., progress and financial reports, monitoring 
reports, Logic Model submission, and amendments).
    2. Rating Factor 2: Need/Extent of the Problem (10 points). This 
factor addresses the extent to which there is a need for funding the 
proposed project activities and an indication of the importance of 
meeting the need(s). The need(s) described must be relevant to 
activities for which funds are being requested. In addressing this 
factor, applicants should provide, at a minimum, the following and must 
cite statistics and/or analyses contained in at least one or more 
current data sources that are sound and reliable.
    (1) Describe the need(s); and
    (2) Describe the importance of meeting the proposed needs.
    In rating this factor, HUD will consider only current data that is 
specific to the area where the proposed project activities will be 
carried out. Reliable sources of data may include information that 
describes the need, such as a need to have a building renovated because 
it is 50 years old and is deteriorating; a new computer lab has been 
built, but the computers are obsolete; a library has been expanded, but 
the books are outdated, local/Tribal crime statistics, Indian Housing 
Plans, etc. When presenting data, include the source and date of the 
information.
    3. Rating Factor 3: Soundness of Approach (44 points). This factor 
addresses the quality and effectiveness of the proposed work plan and 
the commitment of the institution to sustain the proposed project 
activities.
    a. (40 Points) Quality of Work Plan. HUD will evaluate this 
subfactor based on the extent to which an applicant provides a clear 
detailed description of the proposed project activities, anticipated 
accomplishments and the impact they will have on the target population 
at the end of the project.
    (1) (35 points) Specific Activities. The work plan must describe 
all proposed project activities and major tasks required to 
successfully implement them. The work plan must also identify the 
anticipated accomplishments and impact these activities will have on 
the targeted population. In addressing this subfactor, applicants must 
provide a clear description of each proposed project activity and 
address the following:
    (a) Describe each proposed project activity in measurable terms 
(e.g., fifty or more students will be receiving computer literacy 
training, the number of new classes that will be taught as a result of 
building a new structure);
    (b) Identify the major tasks in sequential order necessary to 
successfully implement and complete each proposed project activity. 
Include the target completion dates for the tasks (6 month intervals, 
up to 36 months);
    (c) List and describe how each activity meets one of the following 
Community Development Block Grant (CDBG) Program national objectives:
     Benefit low- and moderate-income persons;
     Aid in the prevention or elimination of slums or blight; 
or
     Meet other community development needs having a particular

[[Page 11503]]

urgency because existing conditions pose a serious and immediate threat 
to the health and welfare of the community, and other financial 
resources are not available to meet such needs.
    Criteria for determining whether an activity addresses one or more 
objective are provided at 24 CFR 570.208;
    (d) Describe the measurable objectives/outcomes that will be 
realized as a result of implementing the proposed project; and
    (e) Identify the key staff, as described in Factor 1, who will be 
responsible for completing each task.
    (2) (5 points) Describe clearly how each proposed project activity 
will:
    (a) Address the needs identified in Factor 2; and
    (b) Relate to and not duplicate other activities in the target 
area.
    b. (2 points) Involvement of the Faculty and Students. The 
applicant must describe how it proposes to integrate the institution's 
students and faculty into the proposed project activities.
    c. (2 points) HUD Policy Priorities. As described in the General 
Section, to earn points under this subfactor, HUD requires applicants 
to undertake specific activities that will assist the Department in 
implementing its policy priorities and that help the Department achieve 
its goals and objectives in FY 2008, when the majority of grant 
recipients will be reporting programmatic results and achievement. In 
addressing this subfactor, HUD will evaluate the extent to which a 
program will further and support HUD priorities. The quality of the 
responses provided to one or more of HUD's priorities will determine 
the score an applicant can receive. Applicants must describe how each 
policy priority is addressed. Applicants that just list a priority will 
receive no points.
    The total number of points an applicant can receive under this 
subfactor is two . Each policy priority addressed has a point value of 
one point, with the exception of the policy priority related to removal 
of regulatory barriers to affordable housing, which has a value of up 
to two points. To receive these two (2) points, an applicant must: (1) 
Complete either Part A or Part B (not both), (2) include appropriate 
documentation, (3) identify a point of contact, (4) indicate how this 
priority will be addressed, and (5) submit the completed questionnaire, 
(HUD-27300) ``HUD's Initiative on Removal of Regulatory Barriers'' 
found in the General Section along with required documentation. It is 
up to the applicant to determine which of the policy priorities they 
elect to address to receive the available two (2) points.
    4. Rating Factor 4: Leveraging Resources (9 points). This factor 
addresses the ability of the applicant to secure resources that can be 
combined with HUD's grant funds to achieve the program's purpose.
    HUD will consider the extent to which the applicant established 
partnerships with other entities to secure additional resources to 
increase the effectiveness of the proposed program activities. 
Resources may include funding or in-kind contributions, such as 
services or equipment, allocated for the purpose(s) of the proposed 
project. Resources can be provided by governmental entities (e.g., 
Tribal, federal, and/or state governments), public or private nonprofit 
organizations, for-profit private organizations, or other entities. 
Overhead and other institutional costs (e.g., salaries, indirect costs) 
that the institution has waived can be counted. Examples of potential 
sources for outside assistance include:
     Tribal, federal, state, and local governments
     Tribally Designated Housing Entities
     Local or national nonprofit organizations
     Banks and/or private businesses
     Foundations
     Faith-based and other community-based organizations.
    To address this factor, an applicant must provide an outline in the 
application and have the original written commitment letters, memoranda 
of understanding and/or agreements that show the extent and firm 
commitment of all proposed leveraged resources (including any 
commitment of resources from the applicant's own institution) that 
address the following information for each leveraged resource/fund on 
file at the time of application submission:
    (1) The name of the organization and the executive officer 
authorizing the funds/goods and/or services (Only applicable to the 
narrative section)
    (2) The cash amount contributed or dollar value of the in-kind 
goods and/or services committed (If a dollar amount and its use is not 
shown, the value of the contribution will not be scored for award);
    (3) A specific description of how each contribution is to be used 
toward the proposed activities;
    (4) A description of the current and/or past working relationship 
that the institution has with the organization contributing the 
resources and the involvement it will have with this proposed project.
    (5) The date the contribution will be made available and a 
statement that describes the duration of the contribution;
    (6) Any terms or conditions affecting the commitment, other than 
receipt of a HUD Grant; and
    (7) The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services. (Only applicable to 
the written documentation) Please remember that only items eligible for 
funding under this program can be counted.
    DO NOT submit commitment letters, memoranda of understanding and/or 
agreements are not required at the time of application submission but 
have the originals on file at the time of submission. IF THIS 
INFORMATION IS INCLUDED, IT WILL NOT BE CONSIDERED DURING THE REVIEW 
PROCESS. Applicants chosen to proceed to the next step in the selection 
process will be required to submit the signed commitment letters, 
memoranda of understanding and/or agreements outlined in the 
application, within seven (7) calendar days after initial contact from 
the Office of University Partnerships (OUP). OUP will provide specific 
instructions on how these documents must be submitted at that time. 
Letters, memoranda of understanding, or agreements must be submitted on 
the provider's letterhead and should be addressed to Sherone Ivey, 
Associate Deputy Assistant Secretary for University Partnerships. The 
date of the letter, memorandum of understanding, or agreement from the 
CEO of the provider organization must be dated no earlier than nine 
months prior to this published NOFA. OUP will provide specific 
instructions on how these documents must be submitted when contact is 
made with the applicant. HUD will only request and consider the 
resources/organizations outlined in the application. If OUP does not 
receive those documents with the required information and within the 
allotted timeframe, an applicant will not receive points under this 
factor.
    In scoring this factor, HUD will award:
     Nine (9) points to an applicant that provides properly 
documented leveraging resources as listed in their application that are 
10 percent or more of the amount requested under this program;
     Seven (7) to eight (8) points to applicants that provide 
documentation that includes at least five of the seven required items 
outlined above and that represents 7 to 9 percent of the amount 
requested under this program;

[[Page 11504]]

     Five (5) to six (6) points to applicants that provide 
documentation that includes at least four of the seven required items 
outlined above and that represents 7 to 9 percent of the amount 
requested under this program;
     Three (3) to four (4) points to applicants that provide 
documentation that includes at least five of the seven required items 
outlined above and that represents 4 to 6 percent of the amount 
requested under this program;
     One (1) to two (2) points to applicants that provide 
documentation that includes at least three of the required seven items 
outlined above and that represents 4 to 6 percent of the amount 
requested under this program; and
     Zero (0) points to applicants that provide document 
leveraging resources as listed above that are less than 4 percent of 
the amount requested.
    5. Rating Factor 5: Achieving Results and Program Evaluation (12 
points). This factor reflects HUD's goal to embrace high standards of 
management and accountability. It measures the applicant's commitment 
to assess their performance to achieve the program's proposed 
objectives and goals. Applicants are required to develop an effective, 
quantifiable, outcome oriented evaluation plan for measuring 
performance and determining that objectives and goals have been 
achieved by using the Logic Model. The Logic Model is a summary of the 
narrative statements presented in Factors 1-4. Therefore, the 
information submitted on the Logic Model should be consistent with the 
information contained in the narrative statements.
    ``Outcomes'' are benefits accruing to institutions of higher 
education during or after participation in the TCUP program. Applicants 
must clearly identify the outcomes to be measured and achieved. 
Examples of outcomes include an increased number of campus facilities 
(e.g., newly built or renovated), an increased number of classroom 
spaces available, or an increased student enrollment and graduation 
rate.
    In addition, applicants must establish interim benchmarks and 
outputs that lead to the ultimate achievement of outcomes. ``Outputs'' 
are the direct products of the project 's activities. Examples of 
outputs are the number of new facilities renovated, or the number of 
new dormitories built. Outputs should produce outcomes for the project. 
At a minimum, an applicant must address the following activities in the 
evaluation plan:
    a. Short- and long-term objectives to be achieved;
    b. Measurable outcomes the grant will have on the university or the 
target population;
    This information must be included under this section on a HUD-
96010, Program Logic Model form. HUD has developed a new approach to 
completing this form. Please carefully read the General Section for 
instructions, training is available. (Form HUD-96010 will be excluded 
from the page count.) If an applicant utilizes ``other'' from the Logic 
Model categories, then the applicant should describe briefly this 
``other'' category within the Rating Factor 5 narrative. If a narrative 
is provided, those pages will be included in the page count.

B. Review and Selection Process

1. Application Selection Process
    Two types of reviews will be conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Rating Factors 
`` listed in Section V.A. above.
    Only those applications that pass the threshold review will receive 
a technical review and be rated and ranked.
    2. Rating Panels. To review and rate applications, HUD may 
establish panels that may include experts or consultants not currently 
employed by HUD to obtain certain expertise.
    3. Ranking. HUD will fund applications in rank order, until all 
available program funds are awarded. In order to be considered for 
funding, an applicant must receive a minimum score of 75 points out of 
a possible 100 points; plus up to two bonus points that may be awarded 
for activities conducted in the RC/EZ/EC-II communities, as described 
in the General Section. If two or more applications have the same 
number of points, the application with the most points for Factor 3 
shall be selected. If there is still a tie, the application with the 
most points for Factor 1shall be selected. If there is still a tie, the 
application with the most points for Factor 2, 4, and then 5 shall be 
selected in that order, until the tie is broken. HUD reserves the right 
to select out of rank order to provide for geographic distribution of 
grantees.
    HUD also reserves the right to reduce the amount of funding 
requested in order to fund as many highly ranked applications as 
possible. Additionally, if funds remain after funding the highest 
ranked applications, HUD may fund part of the next highest-ranking 
application. If an applicant turns down the award offer, HUD will make 
an award to the next highest-ranking application. If funds remain after 
all selections have been made, the remaining funds will be carried over 
to the next funding cycle's competition.
    4. Corrections to Deficient Applications. See the General Section.

C. Anticipated Announcement and Award Dates.

    Announcements of awards are anticipated on or before September 30, 
2007.

VI. Award Administration Information

A. Award Notice

    After all selections have been made, HUD will notify all winning 
applicants in writing. HUD may require winning applicants to 
participate in additional negotiations before receiving an official 
award. For further discussion on this matter, please refer to the 
General Section.

B. Administrative and National Policy Requirements

    Refer to the General Section.
    1. Debriefing. The General Section provides the procedures for 
requesting a debriefing. All requests for debriefings must be made in 
writing to: Sherone Ivey, Office of University Partnerships, Department 
of Housing and Urban Development, 451 Seventh Street, SW, Room 8106; 
Washington, DC 20410-6000. Applicants may also write to Ms. Ivey via e-
mail at [email protected].
    2. Administrative. Grants awarded under this NOFA will be governed 
by the provisions of 24 CFR part 84 (Grants and Agreements with 
Institutions of Higher Education, Hospitals and Other Non-Profit 
Organizations), A-21 (Cost Principles for Educational Institutions) and 
A-133 (Audits of States, Local Governments, and Non-Profit 
Organizations). Applicants can access the OMB circulars at the White 
House Web site at http://www.whitehouse.gov/omb/circulars/index.html.
    3. OMB Circulars and Governmentwide Regulations Applicable to 
Financial Assistance Programs. The General Section provides discussion 
of OMB circulars and governmentwide regulations.
    4. Code of Conduct. See the General Section for further discussion.
    5. Procurement of Recovered Materials. See the General Section for 
further discussion.
    6. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Toward

[[Page 11505]]

Government Contractors' Labor Relations on Federal and Federally Funded 
Construction Projects. See the General Section for further discussion 
if applicable.
    7. Executive Order 13166, Improving Access to Services For Persons 
With Limited English Proficiency (LEP). See the General Section for 
further discussion.

C. Reporting

    All grant recipients under this NOFA are required to submit 
quarterly progress reports. The progress reports shall consist of two 
components, a narrative that must reflect the activities undertaken 
during the reporting period and a financial report that reflects costs 
incurred by budget line item, as well as a cumulative summary report 
during the reporting period.
    For each reporting period, as part of the required report to HUD, 
grant recipients must include a completed Logic Model (HUD-96010), 
which identifies output and outcome achievements.
    For FY2007, HUD is considering a new concept for the Logic Model. 
The new concept is a Return on Investment (ROI) statement. HUD will be 
publishing a separate notice on the ROI concept.

VII. Agency Contacts

    Applicants may contact Sherone Ivey at (202) 708-3061, extension 
4200, or Susan Brunson at (202) 708-3061, extension 3852. Persons with 
speech or hearing impairments may call the Federal Information Relay 
Service TTY at (800) 877-8339. Except for the ``800'' number, these 
numbers are not toll-free. Applicants may also reach Ms. Ivey via e-
mail at [email protected], and Ms. Brunson at [email protected].

VIII. Other

Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2528-0215. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 68 hours per annum per respondent for the application and grant 
administration. This includes the time for collecting, reviewing, and 
reporting the data for the application, quarterly and final report. The 
information will be used for grantee selection and monitoring the 
administration of funds. Response to this request for information is 
required in order to receive the benefits to be derived.

Appendix A--Application Checklist--TCUP

    This checklist identifies application submission requirements. 
Applicants are requested to use this checklist when preparing an 
application to ensure submission of all required elements. Applicants 
submitting an electronic application do not have to submit the 
checklist. Applicants that receive a waiver of the electronic 
application submission requirement should include a copy of the 
checklist in their application.
    Check off to ensure these items have been included in the 
application:

----SF-424 ``Application For Federal Assistance''

----Application Checklist (Applicants that submit paper applications 
must include the checklist in their applications)

----Abstract (must include no more than a two-page summary of the 
proposed project)

    Indicate the page number where each of the Factors is located:
    Narrative Statement Addressing the Rating Factors. The narrative 
section of an application must not exceed 50 pages in length (excluding 
forms, budget narrative and abstract). This information must be 
submitted on 8\1/2\ by 11-inch paper, double-spaced on one side of the 
paper, with one-inch margins (from the top, bottom, and left and right 
sides of the documents) and printed in standard Times New-Roman 12-
point font. Applicants that submit applications via Grants.gov should 
review the General Section for information about file names and 
extensions. File names should not contain spaces or special characters.
----Factor-I

----Factor-II

----Factor-III

----Factor-IV

----Factor-V

----HUD-96010 Logic Model

    Check off to ensure these items have been included in the 
application:

----Appendix. The appendix section of an application must not exceed 15 
pages in length (excluding forms, budget narrative and assurances).

----Budget

----HUD 424-CB ``Grant Application Detailed Budget'' (``HUD Detailed 
Budget Form'' on Grants.gov).

----Budget Narrative (No form provided, but must be submitted for the 
total three-year grant period.

Appendix B--All Required Forms

    The following forms are required for submission. All required forms 
are contained in the electronic application package.

----Application for Federal Assistance (SF-424);

----Survey on Ensuring Equal Opportunity for Applicants (SF-424 
Supplement); (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov).

----Disclosure of Lobbying Activities (SF-LLL); if applicable

----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300) 
(``HUD Communities Initiative Form'' on Grants.gov), if applicable;

----Applicant/Recipient Disclosure Update Report (HUD-2880) (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov);

----Certification of Consistency with RC/EZ/EC-II Strategic Plan (HUD-
2990), if applicable;

----Acknowledgement of Applicant Receipt (Only applicants who submit 
paper applications (HUD-2993);

----Client Comments and Suggestions (HUD-2994);

----You Are Our Client Survey (HUD-2994-A); and

----Logic Model (HUD-96010).

----Third Party Documentation Facsimile Transmittal (HUD-96011) 
(``Facsimile Transmittal Form'' on Grants.gov) required as the cover 
page to third party documents transmitted by facsimile to HUD.

[[Page 11506]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.010


[[Page 11507]]



Fair Housing Initiatives Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Fair Housing and Equal Opportunity
    B. Funding Opportunity Title: Fair Housing Initiatives Program 
(FHIP)
    C. Announcement Type: Initial Announcement
    D. Funding Opportunity Number: The OMB Approval Number is 2529-
0033. The Federal Register number for this NOFA is FR-5100-N-24.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): Private 
Enforcement Initiative (PEI); Education and Outreach Initiative (EOI) 
14.408.
    F. Dates: The application deadline date shall be on or before May 
3, 2007. Applications must be received and validated by Grants.gov no 
later than 11:59:59 pm on the application deadline date. Please see the 
General Section of the SuperNOFA (the General Section) for information 
on electronic deadline and timeliness requirements.
    G. Optional, Additional Overview Content Information:
    1. Funding Breakdown. This year there are two initiatives, Private 
Enforcement and Education and Outreach Initiatives. The following is a 
breakdown of each Initiative:
    a. Private Enforcement Initiative (PEI)
    (1) General Component, and
    (2) Performance Based Funding Component
    b. Education and Outreach Initiative (EOI)
    (1) Regional/Local/Community-Based
    (a) General Component
    (b) Clinical Law School Component. This Component is being 
established to train and develop legal practitioners in the fair 
housing arena. Applicants are Minority Serving Institution agencies (as 
determined by the Department of Education's Web site) with an 
accredited American Bar Association law school and is geared to the 
development and implementation of a legal curriculum as it relates to 
fair housing.
    (2) National-Based Media Campaign Component.
    2. Electronic Applications. For FY2007, FHIP electronic 
applications will be available on http://www.Grants.gov//Fand_grant_opportunities.jsp and http://www.grants.gov//Apply_for_grants.jsp. 
For further instructions on electronic application submission 
requirements using Grants.gov, please read the General Section.
    3. Fair Housing Initiatives Program (FHIP) Funding. FHIP funds are 
used to increase compliance with the Fair Housing Act (the Act) and 
with substantially equivalent State and local fair housing laws. 
Approximately $18.1 million in FY 2007 funds and any potential 
recapture is allocated to two (2) initiatives as follows:
    a. Private Enforcement Initiative (PEI) $14 million;
    b. Education and Outreach Initiative (EOI) $4.1 million.
    4. Award Agreements. HUD expects to award a cost reimbursable 
cooperative agreement or grant agreement to each applicant selected for 
award. Upon completion of negotiations, HUD reserves the right to use 
the funding instrument it determines is most appropriate.
    5. Eligible Applicants. Eligible applicants are Qualified Fair 
Housing Enforcement Organizations (QFHOs) and Fair Housing Enforcement 
Organizations (FHOs), see 24 CFR 125.103; public or private, for-profit 
or not-for-profit organizations or institutions and other public or 
private entities that are formulating or carrying out programs to 
prevent or eliminate discriminatory housing practices (including 
entities that will be established as a result of receiving an award 
under this FHIP NOFA); agencies of State or local governments; and 
agencies that participate in the Fair Housing Assistance Program 
(FHAP).
    6. Private Enforcement Initiative--Performance-Based Funding 
Component. Applicants awarded funding under the PEI-(PBFC) for FY 2007 
will not be eligible to submit applications for additional FHIP funding 
for FY2008 and FY 2009. Applicants awarded funding under this component 
will be eligible to apply for additional PEI funding in FY2010. 
Applicants awarded PBFC funding in FY 2005 and 2006 are not eligible to 
submit applications for additional PEI funding for a three-year period. 
Should the grantee's performance for FY2007 be assessed by your HUD 
Government Technical Representative (GTR) as anything less than an 
``Excellent'' then the grantee will be ineligible to receive PBFC 
funding in the second year (FY2008). The same applies if the grantee 
receives less than an ``Excellent'' performance assessment in FY2008 
then they will be ineligible to receive PBFC funding in the third year 
(FY2009), but may apply for FHIP funds under another component as 
appropriate.
    7. Start Date. For planning purposes, assume a start date no later 
than October 19, 2007.

Full Text of Announcement

I. Funding Opportunity Description

    Authority. Section 561 of the Housing and Community Development Act 
of 1987, as amended, (42 U.S.C. 3616) established the FHIP. The 
implementing regulations are found at 24 CFR Part 125. If you are 
interested in applying for funding under the FHIP, please review 
carefully the General Section of the SuperNOFA (hereafter, the General 
Section), the FHIP Authorizing Statute (Sec. 561 of the Housing and 
Community Development Act of 1987, as amended), and the FHIP 
Regulations (24 CFR 125.103-501).

A. FHIP Initiatives and Components

    The FHIP assists fair housing activities that increase compliance 
with the Act and with substantially equivalent fair housing laws 
administered by State and local government agencies under the Fair 
Housing Assistance Program (FHAP).
    1. Private Enforcement Initiative (PEI). This Initiative assists 
private, tax-exempt fair housing enforcement organizations in the 
investigation and enforcement of alleged violations of the Act and 
substantially equivalent State and local fair housing laws. Under this 
Initiative, there are two Components, the General Component and the 
Performance-Based Funding Component.
    2. Education and Outreach Initiative (EOI). This Initiative assists 
organizations that inform the public about their rights and obligations 
under the Act and substantially equivalent State and local fair housing 
laws. Applications are solicited for this Initiative under the EOI-
Regional/Local/Community-Based Program (R/L/C-B) and the EOI--National-
Based Program in which activities are conducted on a nationwide basis.
    Applicants who apply under EOI R/L/C-B may apply under one or more 
of the following Components, as follows: EOI General Component and the 
EOI Clinical Law School Component. Applicants who apply under EOI-
National-Based Program may apply under the Media Campaign Component.
    All applications submitted under EOI are required to describe a 
referral process that will result in referrals of fair housing 
complaints to HUD or Fair Housing Assistance Program (FHAP) 
substantially equivalent agencies. If funded, you will be required to 
develop your complaint referral process.

[[Page 11508]]

B. Other

    1. Program Definitions. The definitions that apply to this FHIP 
section of the NOFA are as follows:
    a. Broad-based proposals are those that address more than one type 
of housing transaction covered under the Act. Examples of covered 
housing transactions include the: rental, sales, or financing of 
housing. (See also Full Service Projects below).
    b. Complainant means the person, including the Assistant Secretary 
for Fair Housing and Equal Opportunity at HUD, who files a complaint 
under Section 810 of the Fair Housing Act.
    c. Disability Advocacy Groups means organizations that 
traditionally have provided for the civil rights of persons with 
disabilities. This would include organizations such as Independent 
Living Centers and cross-disability legal services groups. Such 
organizations must be experienced in providing services to persons with 
a broad range of disabilities, including physical, cognitive, and 
psychiatric/mental disabilities. Such organizations must demonstrate 
actual involvement of persons with disabilities throughout their 
activities, including on staff and board levels.
    d. Enforcement proposals are potential complaints under the Act 
that are timely, jurisdictional, and well-developed, that could 
reasonably be expected to become enforcement actions if an impartial 
investigation found evidence supporting the allegations and the case 
proceeded to a resolution with HUD or FHAP agency involvement.
    e. Fair Housing Act means Title VIII of the Civil Rights Act of 
1968 as amended by the Fair Housing Amendments Act of 1988 (42 U.S.C. 
3600-3620).
    f. Fair Housing Assistance Program (FHAP) agencies mean State and 
local fair housing enforcement government agencies that receive FHAP 
funds because they administer laws deemed substantially equivalent to 
the Act, as described in 24 CFR 115.
    g. Fair Housing Enforcement Organization (FHO) means an 
organization engaged in fair housing activities as defined in 24 CFR 
125.103.
    h. Full-service projects must include the following enforcement-
related activities in the project application: interviewing potential 
victims of discrimination; taking complaints; testing; evaluating 
testing results; conducting preliminary investigations; conducting 
mediation; enforcing meritorious claims through litigation or referral 
to administrative enforcement agencies; and disseminating information 
about fair housing laws.
    i. Grassroots organizations (See General Section).
    j. Jurisdiction means that the complaint must be timely filed; the 
complainant must have standing; the respondent and the dwelling 
involved (where the complaint involves a provision or denial of a 
dwelling) must be covered by the Act; and the subject matter and the 
basis of the alleged discrimination, must constitute illegal practices 
as defined by the Act.
    k. Meritorious claims means enforcement activities by an 
organization that resulted in lawsuits, consent decrees, legal 
settlements, HUD or substantially equivalent agency (under 25 CFR 
115.6) conciliations and organization initiated settlements with the 
outcome of monetary awards for compensatory and/or punitive damages to 
plaintiffs or complaining parties, or other affirmative relief, 
including the provision of housing (24 CFR 125.103).
    l. Mortgages with unacceptable terms or conditions or resulting 
from unacceptable practices means a mortgage or a group or category of 
mortgages with one or more of the terms and conditions as specified 
under 24 CFR Part 81.2.
    m. Operating budget means an organization's total planned budget 
expenditures from all sources, including the value of in-kind and 
monetary contributions, in the period for which funding is requested.
    n. Qualified Fair Housing Enforcement Organization (QFHO) means an 
organization engaged in fair housing activities as defined in 24 CFR 
125.103.
    o. Regional/Local/Community-Based Activities are defined at 24 CFR 
125.301(a) and (d).
    p. Rural Areas means the following:
    (1) A non-urban place having fewer than 2,500 inhabitants (within 
or outside of the metropolitan areas).
    (2) A county or parish with an urban population of 20,000 
inhabitants or less.
    (3) Any place with a population not in excess of 20,000 and not 
located in a Metropolitan Statistical Area.
    q. Traditional Civil Rights Organizations mean non-profit 
organizations or institutions and/or private entities with a history 
and primary mission of securing Federal civil rights protection for 
groups and individuals protected under the Act or substantially 
equivalent State or local laws and that are engaged in programs to 
reduce discriminatory housing practices.
    r. Underserved Areas mean jurisdictions where there are no Fair 
Housing Initiatives Program or Fair Housing Assistance Program agencies 
and where either no public or private fair housing enforcement 
organizations exist or the jurisdiction is not sufficiently served by 
one or more public or private enforcement fair housing organizations 
and there is a need for service.
    s. Underserved Populations mean groups of individuals who fall 
within one or more of the categories protected under the Act and who 
are:
    (1) of an immigrant population (especially racial and ethnic 
minorities who are not English-speaking or limited English proficient);
    (2) in rural populations,
    (3) the homeless,
    (4) persons with disabilities (i.e., physical) who can be 
historically documented to have been subject to discriminatory 
practices not having been the focus of Federal, State or local fair 
housing enforcement efforts, or
    (5) areas that are heavily impacted with minorities and there is 
inadequate protection and ability to provide service from the State or 
local government or private fair housing organizations.

II. Award Information

    For Fiscal Year 2007, $20 million is appropriated for the Fair 
Housing Initiatives Program (FHIP). This appropriated amount may be 
supplemented by recaptured funds. Of this amount, approximately $18.1 
million is being made available on a competitive basis to eligible 
organizations responding to this FHIP NOFA. See the chart in Section 
III.A. for a breakdown by Initiative/Component.
    A. Award Instrument. The type of funding instrument HUD may offer a 
successful applicant which sets forth the relationship between HUD and 
the grantee will be a grant or cooperative agreement, where the 
principal purpose is the transfer of funds, property, services, or 
anything of value to the applicant to accomplish a public purpose. The 
agreement will identify the eligible activities to be undertaken, 
financial controls, and special conditions, including sanctions for 
violations of the agreement. HUD will determine the type of instrument 
under which the award will be made and monitor progress to ensure that 
the grantee has achieved the objectives set out in the agreement. 
Failure to meet such objectives may be the basis for HUD determining 
the agreement to be in default and exercising available sanctions, 
including suspension, termination, and/or the recapture of funds. Also, 
HUD may refer violations or suspected violations to enforcement offices 
within HUD, the Department of

[[Page 11509]]

Justice, or other enforcement authorities.
    If funds are awarded as a Cooperative Agreement, HUD will also 
exercise the right to have substantial involvement by: conducting 
quarterly reviews and approval of all proposed deliverables documented 
in the applicant's Work Plan or Statement of Work (SOW), and 
determining whether the agency meets all certification and assurance 
requirements. HUD will conduct this performance assessment, in part, by 
using the Logic Model (HUD-96010) submitted by the applicant and 
approved by HUD in the award agreement (rating Factor 5). If upon 
completion of this assessment by the Government Technical 
Representative (GTR) a determination is made that the quarterly 
requirements have not been met, the grantee will be obligated to 
provide additional information or make modifications to its work plan 
and activities, as necessary, in a timeframe to be established by the 
GTR.
    B. Project Starting Period. For planning purposes, assume a start 
date no later than October 19, 2007.

III. Eligibility Information

A. Eligible Applicants and Activities

    The following chart details each FHIP Initiative/Component and the 
approximate Funding Available along with Eligible Applicants and 
Activities:

----------------------------------------------------------------------------------------------------------------
                                Allocation                                                          Applicant
     Initiative/component         amount       Applicant      Project period      Award caps         eligible
                                available     eligibility                                           activities
----------------------------------------------------------------------------------------------------------------
Private Enforcement             $1,000,000  Fair Housing     12-18 months....  $275,000........  Eligible
 Initiative (PEI) General                    Enforcement                                          activities
 Component: Assists private,                 Organizations                                        include: (1)
 tax-exempt fair housing                     (FHOs) with at                                       Complaint
 enforcement organizations in                least one year                                       intake of
 the investigation and                       of experience                                        allegations of
 enforcement of alleged                      in complaint                                         housing
 violations of the Fair                      intake,                                              discrimination
 Housing Act and                             complaint                                            , testing
 substantially equivalent                    investigation,                                       evaluating
 State and local fair housing                testing for                                          testing
 laws.                                       fair housing                                         results, or
                                             violations,                                          providing
                                             and                                                  other
                                             meritorious                                          investigative
                                             claims in the                                        and complaint
                                             two years                                            support for
                                             prior to the                                         administrative
                                             filing of the                                        and judicial
                                             application                                          enforcement of
                                             (24 CFR                                              fair housing
                                             125.401(b)(2)                                        laws: (2)
                                             and Qualified                                        Investigation
                                             Fair Housing                                         of individual
                                             Enforcement                                          complaints and
                                             Organizations                                        systemic
                                             (QFHOs) with                                         housing
                                             at least two                                         discrimination
                                             years of                                             for further
                                             enforcement                                          enforcement
                                             related                                              processing by
                                             experience as                                        HUD through
                                             noted above,                                         testing and
                                             and                                                  other
                                             meritorious                                          investigative
                                             claims in the                                        methods; (3)
                                             three years                                          Mediation or
                                             prior to                                             other
                                             filing this                                          voluntary
                                             application                                          resolution of
                                             (24 CFR                                              allegations of
                                             125.103).                                            fair housing
                                                                                                  discrimination
                                                                                                  after a
                                                                                                  complaint has
                                                                                                  been filed;
                                                                                                  and (4)
                                                                                                  litigating
                                                                                                  fair housing
                                                                                                  cases
                                                                                                  including
                                                                                                  procuring
                                                                                                  expert
                                                                                                  witnesses.
Private Enforcement            $13,000,000  QFHOs and FHOs   36 months.......  $275,000 per      See PEI above.
 Initiative (PEI) Performance                (with at least                     year for a
 Based Funding Component                     one year of                        three-year
 Assists private, tax-exempt                 enforcement                        duration, based
 fair housing enforcement                    related                            upon
 organizations in the                        experience)                        appropriations.
 investigation and                           who have                          Eligible PBFC
 enforcement of alleged                      received                           applicants must
 violations of the Fair                      excellent                          receive a
 Housing Act and                             performance                        minimum score
 substantially equivalent                    reviews for                        of 95 from the
 State and local fair housing                FHIP PEI                           FY '07
 laws.                                       awards made in                     Technical
                                             any two FY's                       Evaluation
                                             (FY pertains                       Panel (TEP) to
                                             to the year                        be considered
                                             for which the                      for funding.
                                             funding was
                                             appropriated)
                                             beginning with
                                             FY 2003
                                             through FY
                                             2005; and have
                                             received a
                                             minimum score
                                             of 95 on the
                                             most recent of
                                             the 2
                                             performance
                                             reviews from
                                             their
                                             Government
                                             Technical
                                             Representative.

[[Page 11510]]

 
EOI General Component Open to   $2,600,000  QFHOs, FHOs,     12-18 months....  100,000.........  For a list of
 applicants for all other                    public or                                            Eligible
 fair housing education and                  private for                                          Activities See
 outreach activities. In                     profit or not                                        EOI above.
 addition to all other                       for profit
 education and outreach                      organizations
 activities, applicants may                  or
 also address the fair                       institutions,
 housing needs of persons                    or other
 with disabilities, the                      public or
 education of consumers about                private
 fair housing, financial                     entities that
 literacy, credit management,                carry out
 and how to avoid high cost                  programs to
 loans and abusive lending                   prevent or
 practices that violate the                  eliminate
 Fair Housing Act.                           discriminatory
                                             housing
                                             practices.
                                             This includes
                                             agencies of
                                             State or local
                                             governments
                                             and agencies
                                             that
                                             participate in
                                             the Fair
                                             Housing
                                             Assistance
                                             Program
                                             (FHAP). See
                                             FHIP NOFA-
                                             Eligibility
                                             Information.
EOI--Clinical Law School          $500,000  Same as EOI      12-18 months....  500,000.........  See above.
 Component Applications are                  above. In
 solicited for this component                addition,
 to organize and operate a                   applicant
 fair housing legal-clinical                 must: (1) Be
 education program that will                 recognized by
 benefit the public by                       the American
 producing well-trained                      Bar
 clinicians and lawyers who                  Association as
 are capable of educating and                having an
 informing the public on fair                accredited law
 housing rights and                          school; (2) Be
 obligations.                                legally
                                             authorized by
                                             the State in
                                             which it is
                                             located to
                                             provide a
                                             bachelor's
                                             degree program
                                             and a law
                                             degree
                                             program; and
                                             (3) Be
                                             designated by
                                             the Secretary
                                             of the U.S.
                                             Department of
                                             Education as a
                                             Minority
                                             Serving
                                             Institution
                                             College or
                                             University.
EOI--National-Based Program--    1,000,000  Same as EOI      12 months.......  $1,000,000......  See above.
 Media Campaign Component.                   above. In
 Applicants who submit                       addition,
 applications under the EOI                  applicants
 National-Based Media                        must have five
 Campaign must provide a                     years of
 centralized coordination                    experience as
 effort for the development,                 an
 implementation, and                         advertisement/
 distribution of a fair                      media
 housing media campaign                      organization,
 designed for the 40th                       and must
 Anniversary of the signing                  include in its
 of the Fair Housing Act as                  proposal a
 part of FY2008's Fair                       subcontract
 Housing Month Activities.                   with an
                                             established
                                             fair housing
                                             organization.
----------------------------------------------------------------------------------------------------------------

    Eligibility of Successor Organizations for PEI. HUD recognizes that 
QFHOs and FHOs may merge with each other or other organizations. The 
merger of a QFHO or an FHO with a new organization, that has a separate 
Employer Identification Number (EIN), does not confer QFHO or FHO 
status upon the successor. To determine whether the successor 
organization meets the eligibility requirements for this Initiative, 
HUD will look at the enforcement-related experience of the successor 
organization (based upon the successor organization's EIN). The 
successor organization is not eligible to apply under this Initiative 
unless it establishes in its application that it is a private, tax-
exempt organization with the requisite two years of enforcement related 
experience for a QFHO or one year experience for an FHO.
    B. Cost Sharing or Matching. No matching funds are required for the 
Education and Outreach or Private Enforcement Initiatives.

C. Other

1. Threshold Requirements
    Program Requirements for All Initiatives. In addition to the civil 
rights and other threshold requirements found in the General Section, 
FHIP program applications must also meet the following requirements:
    a. Protected Classes. All FHIP-funded projects must address housing 
discrimination based upon race, color, religion, sex, disability, 
familial status, or national origin. All services and activities must 
be available to the protected class members.
    b. Tax Exempt Status. Applicants for the PEI Initiative are 
ineligible for funding if they are not a 501(c)(3) tax-exempt 
organization as determined by the Internal Revenue Service (IRS) prior 
to the application deadline date.
    c. Name Check Review. See the General Section.
    d. Poor Performance. All applicants are ineligible for funding if 
they are a previous FHIP grantee that has received a ``Poor'' 
performance rating for its most recent performance rating from its 
Government Technical Representative (GTR). HUD will assess performance 
ratings for applicants who have received FHIP funding in FY 2003 
through FY 2005. If the applicant has received a ``poor'' performance 
rating for its most

[[Page 11511]]

recent performance rating from its GTR, its application is ineligible 
for the FY 2007 competition. An applicant that does not agree with its 
determination of ineligibility for the FY 2007 competition because of 
``poor'' performance must address to HUD's satisfaction the factors 
resulting in the ``poor'' performance rating before the FHIP 
application deadline date. If the ``poor'' performance rating is not 
resolved to the Department's satisfaction before the application 
deadline date, the application is ineligible for the FY 2007 FHIP NOFA 
competition. HUD is interested in improving the performance level of 
all grantees; therefore, applicants who are deemed ineligible because 
of a ``poor'' performance rating have the right and are encouraged to 
seek technical assistance from HUD to correct their performance in 
order to be eligible for future NOFA competition. Applicants who have 
received a ``poor'' performance prior to FY 2004 must provide written 
documentation that they have implemented remedies to address those 
issues and concerns that contributed to a ``poor'' performance rating. 
This written documentation should be an addendum to the abstract.
    e. Suits Against the United States. An application is ineligible 
for funding if, as a current or past recipient of FHIP funds, the 
organization used any funds provided by HUD for the payment of expenses 
in connection with litigation against the United States (24 CFR 
125.104(f)).
    f. Other Litigation. An application is ineligible for funding if 
the organization used funds provided by HUD under this Program to 
settle a claim, satisfy a judgment, or fulfill a court order in any 
defensive litigation (24 CFR 125.104).
    g. Maximum award. Applicants are ineligible for funding if they 
request funding in excess of the maximum allowed under the Initiative 
or Component for which they are applying. In addition, inconsistencies 
in the amount requested and/or miscalculations that result in amounts 
over the maximum award will be considered excessive; therefore the 
application will be considered ineligible.
    h. Dun and Bradstreet Numbering System (DUNS) Numbering 
Requirement. Refer to General Section for information regarding the 
DUNS requirement. You will need a DUNS number to complete your 
electronic application as it is a mandatory field on the electronic 
application. The Grants.gov registration also requires use of the DUNS 
number.
    i. Majority of Eligible Activities. Greater than 50 percent of the 
activities and costs within the Statement of Work (SOW) and budget are 
fair housing related activities.
    j. Fair Housing Assistance Program (FHAP). FHAP agencies who are 
under a suspension based on agency performance, as designated under 24 
CFR Part 115.211(b) at time of application are ineligible for funding.
    k. Minimum Technical Evaluation Panel (TEP) Score. Applicants must 
receive a minimum TEP score of 75 to be considered for funding.
    l. Application Preference. Applicants may submit multiple 
applications to the FHIP. For those applicants who submit multiple 
applications the following applies: EOI applicants may receive an EOI 
General, and a EOI Clinical Law School Component, or EOI National-Based 
Program Media Campaign Component award.
    m. Independence of Awards. The application submitted must be 
independent and capable of being implemented without reliance on the 
selection of other applications.
    n. Training funds. The proposed budget must set aside funds to 
participate in HUD mandatory sponsored or approved training in the 
amount of $7,000 for EOI and PEI components; and $7,000 annually for a 
36-month duration for PBFC.
    Do not include amounts over the $7,000 (as appropriate) for the 
training set-aside in this category. If applicants do not include these 
funds in the budget and are selected for an award, HUD will modify the 
budget, reallocating the appropriate amount for training.
    o. Accessibility Requirements. All activities, facilities, and 
materials funded by this program must be accessible and visitable to 
persons with disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54).
    p. Fair Housing Act. HUD expects applicants to address housing 
discrimination covered under the Act. HUD has determined there is a 
need to ensure equal opportunity and access to housing in communities 
across the nation.
    q. Research Activities. Applicants are ineligible for funding if 
between 90-100% of their project is aimed at research.
    r. Limited English Proficient (LEP). Applicants obtaining an award 
from HUD must provide access to program benefits and information to LEP 
individuals through translation and interpretive services in accordance 
with HUD's published LEP Guidance.
    s. OMB Circular. For-profit awardees are not allowed to earn a 
profit and must adhere to OMB Circular A-133.
    t. Single Audit Requirement. All applicants who have expended 
$500,000 or more in Federal financial assistance within a fiscal year 
single year (this can be a program or fiscal year) must be audited in 
accordance with the OMB-A133 requirements as established in 24 CFR 84 
and 85.
    u. Reimbursement Requirement. All PEI grantees are required to 
reimburse the Federal government for the amount of the grant from all 
settlements, conciliations, and agreements obtained as a result of the 
use of FHIP funds. As an alternative to returning these funds to HUD, 
grantees may choose to use the funds as program income to further fair 
housing activities. However, the use of funds for this purpose must be 
pre-approved in writing by the Government Technical Representative 
assigned to the grant.
    v. Clinical Law School Component. To qualify as an applicant under 
this Component, an institution must:
    (1) Be recognized by the American Bar Association as having an 
accredited law school;
    (2) Be legally authorized by the State in which it is located to 
provide a bachelor's degree program and a law degree program;
    (3) Be designated by the Secretary of the U.S. Department of 
Education as a Minority Serving Institution College or University, and
    (4) Have a high enrollment of needy students defined by 34 C.F.R 
607.3. Applicants must submit documentation from the U.S. Department of 
Education establishing eligibility (except for item (1) above).
    w. National Based Program--Media Campaign Component Applications. 
Applicants who submit applications under the Media Campaign Component 
must have as their primary responsibility advertisement and media and 
have at least five years of experience as an advertisement/media or 
public relations organization. In addition, applicants must include as 
part of its proposal a subcontract with an established fair housing 
organization. Applicants that fail to meet this requirement or include 
such subcontract arrangements in their proposals will be ineligible for 
funding.
    2. Other Program Requirements by Initiative. Under the PBFC, 
applicants must receive a minimum FY 2007 TEP score of 95 to be 
considered for funding.
    3. Performance Measures and Products. For all Initiatives and 
Components. Applicants must submit a Logic Model (Form HUD 96010), 
which provides outputs and outcomes in their application. Applicants 
are also to identify the tools they will use to

[[Page 11512]]

identify program progress against their proposed outputs and outcomes. 
See reporting requirements for reporting using the Logic Model and the 
frequency of the reporting. The form is located in the Instruction 
Download at http://www.grants.gov/applicants/apply---- for--grants.jsp 
for the FHIP program. An example of a completed Logic Model is included 
within this NOFA. The eLogic Model form is a Microsoft Excel 
TM form, which provides a drop down list from which you 
select the responses that best fit your proposed program of activities/
outputs and outcomes. The form, in HTML fillable format and a text 
Logic Model Master file, is available on the Web site at http://www.grants.gov/applicants/apply--for--grants.jsp for applicants that do 
not have access to Microsoft ExcelTM. Training will be 
provided by satellite broadcast and webcast. The training materials and 
schedule will be available at the above HUD Web site. Applicants should 
check the site for dates and times for HUD training on the Logic Model. 
For FY2007, HUD is considering a new concept for the Logic Model. The 
new concept is a Return on Investment (ROI) statement. HUD will be 
publishing a separate notice on the Return on Investment (ROI) concept.
    4. Testing Requirements for PEI applicants. All applicants that 
propose testing must review the FHIP Regulation at 24 CFR Part 125.
    a. Review and Approval of Testing Methodology. If your application 
proposes testing, other than rental housing testing, HUD may require 
copies of the following documents to be reviewed and approved by HUD 
prior to your carrying out the testing activities.
    (1) The testing methodology to be used;
    (2) The training materials to be provided for testing; and
    (3) Other forms, protocols, cover letters, etc., used in the 
conduct of testing and reporting of results.
    If HUD has approved your testing methodology for FY 2005 and FY 
2006, there is no need to submit your testing methodology, unless you 
are revising the methodology that was approved by HUD. If changes are 
being made, or you have not had your testing methodology previously 
approved by HUD, you must submit information in your application.
    b. Retainer Fees. FHIP recipients are under specific restrictions 
regarding establishment of retainer agreements and recovery of legal 
fees from HUD funded cases. Data on fees settlements and verdicts are 
public record and must be provided to HUD on an annual basis. Either 
the grantee or the individual(s) on whose behalf any action is filed 
cannot waive these provisions. For additional information on these 
provisions, please see http://www.hud.gov/offices/fheo/library/index.cfm.

IV. Application and Submission Information

A. Requesting an Application Package

    This section describes how you may obtain application forms and 
additional information about the FHIP program. Copies of the published 
General Section, FHIP NOFA and application forms may be downloaded from 
the Grants.gov Web site at http://www.grants.gov or if you have 
difficulty accessing the information you may receive customer support 
from Grants.gov by calling their help line at (800) 518-GRANTS or 
sending an e-mail to [email protected]. 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 access the Information Center by 
calling the Federal Information Relay Service at (800) 877-8339.

B. Content and Form of Application Submission

    All applicants must read and adhere to Initiative-specific 
information. Applicants are encouraged to review the chart titled 
``Summary of Initiatives/Components.'' To submit documents using the 
facsimile method, see the General Section for specific procedures 
governing facsimile submission.
    1. For All Applicants. The maximum narrative page requirement is 
ten (10) pages per factor. The narrative pages must be double-spaced. 
This includes all narrative text, titles and headings. (However, you 
may single-space footnotes, quotations, references, captions, charts, 
forms, tables, figures and graphs). You are required to use 12-point 
type size. You must respond fully to each factor to obtain maximum 
points. Failure to provide narrative responses to all factors other 
than factor five or omitting requested information will result in less 
than the maximum points available for the given rating factor or sub-
factor. Failure to provide double-spaced, 12-point type size narrative 
responses will result in five points being deducted from your overall 
score (one point per factor).
    2. The chart below gives a brief description of all items to be 
included within the application:

------------------------------------------------------------------------
Complete application package                          Required form or
          contains              Required content           format
------------------------------------------------------------------------
Application for Federal       (per required form).  Form SF-424.
 Assistance.
Survey for Ensuring Equal     (per required form).  SF-424 Supplement
 Opportunity for Applicants.                         (``Faith Based EEO
                                                     Survey (SF-424
                                                     SUPP)'' on
                                                     Grants.gov).
Budget information..........  (per required form).  Form SF-424CB and SF-
                                                     424CBW) (``HUD
                                                     Detailed Budget
                                                     Form and
                                                     Worksheet'' on
                                                     Grants.gov).
Disclosure of Lobbying        (per required form).  SF-LLL, if
 Activities.                                         applicable.
Applicant-Recipient           (per required form).  HUD-2880 (``HUD
 Disclosure Update Report.                           Applicant Recipient
                                                     Disclosure Report''
                                                     on Grants.gov).
Certification of Consistency  (per required form).  HUD-2990.
 with RC/EZ/EC-IIs Strategic
 Plan.
Acknowledgement of applicant  (per required form).  HUD-2993.
 receipt (required only if
 you are granted waiver to
 the electronic application
 requirement).
You are our client grant      (per required form).  HUD-2994-A).
 application survey
 (optional).
Program Outcome Logic Model.  (per required form).  HUD-96010.
Third Party Documentation     (per required form).  HUD-96010
 Facsimile Transmittal.                              (``Facsimile
                                                     Transmittal Form''
                                                     on Grants.gov).
Facsimile Transmittal Form..  (per required form).  HUD-96011.
Race and Ethnic Data          (per required form).  HUD-27061.
 Reporting Form.

[[Page 11513]]

 
America's Affordable          (per required form).  HUD-27300 (``HUD
 Communities Initiative.                             Communities
                                                     Initiative Form''
                                                     on Grants.gov).
Narrative...................  Described in Section  Format described in
                               IV.B. of this         Section IV.B of
                               announcement.         this announcement.
Letters from third parties    Third parties'        No specific form or
 contributing to cost          affirmations of       format.
 sharing.                      amounts of their
                               commitments.
Addendum to Abstract--        Written               No specific form or
 Correction of Poor            documentation that    format.
 Performance (as               performance issues
 appropriate).                 and concerns have
                               been cured.
Project Abstract............  Short summary of      No specific form or
                               project activities,   format.
                               areas of
                               concentration and
                               persons to be
                               served. Preference
                               for funding.
------------------------------------------------------------------------

    C. Submission Dates and Times. Applications must be received and 
validated by http://www.grants.gov/applicants/apply--for--grants.jsp no 
later than 11:59:59 p.m. eastern time on the application deadline date 
of May 3, 2007, to be considered timely filed. Validation may take up 
to 72 hours to complete. Grants.gov will reject applications that do 
not meet the deadline requirement. See the General Section for further 
details.
    D. Intergovernmental Review. Intergovernmental Review is not 
applicable to this program.

E. Funding Restrictions

    1. PEI Limitations for Education & Outreach--There is a 10% limit 
on the amount of education and outreach related activities that can be 
funded in an enforcement award. If you exceed the limit, points will be 
deducted in the rating process and if awarded, funds will be adjusted 
to maintain the required limitation.
    2. Administrative Costs. Eligible administrative costs include 
leases for office space, under the following conditions:
    (1) The lease must be for existing facilities not requiring 
rehabilitation or construction;
    (2) No repairs or renovations of the property may be undertaken 
with Federal funds; and
    (3) Properties in the Coastal Barrier Resource System designated 
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be 
leased with Federal funds.
    F. Other Submission Requirements. Electronic delivery via http://www.grants.gov/applicants/apply--for--grants.jsp is HUD's required 
method for application submission. Applicants interested in applying 
for FHIP funding must submit their applications electronically or 
request a waiver from the Assistant Secretary of FHEO. The request must 
state the basis for the waiver request. HUD's regulation on waivers, 
found in 24 CFR part 5, states that waivers can be granted for cause. 
Applicants must submit their waiver requests, in writing at least 15 
days prior to the application deadline, to Ms. Kim Kendrick, Assistant 
Secretary for Fair Housing and Equal Opportunity, 451 7th Street, SW., 
Room 5100, Washington, DC 20410. A copy of all waiver requests must 
simultaneously be submitted to Myron P. Newry, Director, FHEO-FHIP 
Support Division, (same address as above), Room 5226, or by e-mail to 
[email protected]. If granted a waiver, the notification will 
provide instructions on where to submit the application and how many 
copies are required. HUD will not accept a paper application without a 
waiver being granted. If you receive a waiver of the electronic 
application submission requirement, your application must be received 
by HUD no later than 11:59:59 p.m. on the application deadline date.

V. Application Review Information

A. Criteria for Regional/Local Community Based Applications

    1. Rating Factor 1: Capacity of Applicant and Relevant 
Organizational Experience (25 Points). You must describe staff 
expertise and your organization's ability to complete the proposed 
activities within the grant period.
    In General. You must describe your staffing plan and the extent to 
which you plan to add staff (employees) or contractors. If your 
application proposes using subcontractors and these subcontractor 
activities amount to more than 10 percent of your total activities, you 
must submit a separate budget for each subcontractor. Failure to 
include a separate budget will result in lower points being assessed to 
your application.
    a. Number and expertise of staff (this includes subcontractors and 
consultants). (5) Points for current FHIP grantees; (10) Points for New 
Applicants. You must complete a summary of staff expertise that will 
show sufficient, qualified staff who will be available to complete the 
proposed activities. This summary should include: Names of staff 
person(s), time each will spend on project, years of fair housing/civil 
rights experience for each person, titles of staff persons, and a brief 
paragraph on each staff member which outlines his or her experience. Do 
not include resumes or other documents. Those that submit resumes or 
other lengthy documents on staff experience will have points deducted 
from their application based on exceeding the ten-page submission 
requirement.
    To receive maximum points, your day-to-day program manager must 
devote a minimum of 75% of his/her time to the project. This individual 
must be stationed in the metropolitan area where the project will be 
carried out. This information must be included in the response to this 
factor. For day-to-day managers who do not have at least 75% of their 
time devoted to the project, no points will be awarded under this sub-
factor. For example, if the Executive Director is responsible for 
managing the overall program administrative activities, the application 
should reflect the Executive Director's time as 75%. You may not 
designate more than one person to fit this 75% criterion. Your 
application must also clearly identify those persons that are on staff 
at the time this application is submitted and those persons who will be 
assigned at a later date and indicate whether the staff person is 
assigned to work full-time or part-time (if part-time, indicate the 
percentage of time each person is assigned to the project).
    If you are applying for the EOI-Clinical Law School Component, you 
must:
    (1) Show that you will have sufficient, qualified staff or faculty 
who will be available to
    (2) Have experience in recruitment of law students (submit a 
projection of the number of students expected to participate in and 
complete the program), marketing (submit a plan to promote the fair 
housing curriculum and clinical law program), and fair housing.

[[Page 11514]]

    (3) Implement the curriculum design at a MSI (Minority Serving 
Institution) with an ABA-accredited law school.
    (a) You must also identify all of the administrators of the 
clinical program and describe their function, qualifications, and 
experience;
    (b) Identify persons who will constitute the faculty for the 
program and describe their functions, qualifications, and experience; 
and
    (c) Identify and describe the functions and qualifications of any 
other program staff.
    (4) You must describe the knowledge and experience of the proposed 
overall Faculty Administrator and day-to-day program manager (whose 
duties and responsibilities include managing all program and 
administrative activities as outlined in the SOW and ensuring that all 
timelines are met), in planning and managing a fair housing legal-
clinical program. Indicate the percentage of time that key personnel 
will devote to your project.
    b. Organizational experience. (10) Points for current FHIP 
grantees; (15) Points for new applicants. In responding to this sub-
factor, you, the applicant, must show that your organization has:
    (1) conducted a past project or projects similar in scope and 
complexity to the project proposed in this application (whether FHIP-
funded or not), or
    (2) engaged in activities that, although not similar, are readily 
transferable to the proposed project. You must provide a listing of all 
affiliate and/or subsidiary organizations, and identify which of these 
organizations will assist you in the development and/or implementation 
of any portion of your proposed FY2007 FHIP funded project. If you do 
not have any affiliates or subsidiaries, you should state this in your 
application.
    (3) If you are an existing FHIP grantee, you must provide details 
about the progress and outcomes of your previous grant.
    (a) EOI applicants must show that they have engaged in projects 
that are Regional/Local/Community based. Experience will be judged in 
terms of recent, relevant and successful experience of your staff to 
undertake eligible activities. In rating this factor, HUD will consider 
experience within the last three years to be recent, experience 
pertaining to the specific activities to be relevant, and experience 
producing measurable accomplishments to be successful. The more recent 
the experience and the more experience your own staff members who work 
on the project have in successfully conducting and completing similar 
activities, the greater the number of points you will receive for this 
rating factor.
    (b) If you are applying for funding under PEI, you must provide the 
following information when responding to this sub-factor:
    (i) If you propose to conduct testing (other than rental or 
accessibility testing), provide a brief narrative that documents that 
you have conducted successful testing in those areas.
    (ii) Discuss your compliance with the requirement to either 
reimburse the Federal government for compensation received from FHIP-
funded enforcement activities or use the compensation as program income 
to further fair housing activities. If you have not reimbursed the 
Federal government or used the funds as program income to further fair 
housing activities, explain why you have not. Also, state whether you 
reported to HUD any likely compensation that may result in such 
reimbursement or use for furthering fair housing. Two (2) points will 
be deducted for this sub-factor if you have not complied with the 
requirement.
    (c) If you are submitting an application under the EOI--Clinical 
Law School Component, you are responsible for the development of a 
comprehensive concept and design of an Action Plan for the Clinical Law 
School. The Action Plan must include a design concept and academic 
structural approach that will be used in assessing your capacity to 
develop and operate a Fair Housing Legal-Clinical Program.
    In order to assess your capacity to design and implement a fair 
housing course curriculum, please provide documented information that 
your organization has conducted a past clinical project or projects 
similar in scope and complexity to the clinical project being proposed. 
You must describe the knowledge and experience of the proposed overall 
faculty and staff and indicate whether this staff has had prior 
knowledge and experience in establishing and implementing a clinical 
law project similar to the one being proposed. Further, you must show 
that faculty and staff have expertise in implementing a newly designed 
clinical curriculum at a MSI with an ABA-accredited law school.
    c. Performance on past project(s). (10) Points for current FHIP 
grantees; (0) Points for new applicants. HUD will assess your 
organization's past performance in conducting activities relevant to 
your application. For current FHIPs, past performance will be assessed 
based on your most recent performance assessment received from your HUD 
Government Technical Representative (GTR) for the past two (2) complete 
fiscal years (FY 2004 through FY2005).
    This information will be provided to the Technical Evaluation Panel 
(TEP) by HUD staff. Based on past performance, the following points 
will be deducted from your score under this rating sub-factor:
    (1) 10 points out of 10 possible points will be deducted if you 
received a ``fair performance'' assessment;
    (2) 5 points out of 10 possible points will be deducted if you 
received a ``good performance'' assessment; and
    (3) 0 points will be deducted if you received an ``excellent 
performance'' assessment.
    2. Rating Factor 2: Need/Distress/Extent of the Problem (20 
Points).
    This factor addresses the extent to which there is a need for 
funding the proposed activities to address documented fair housing 
problems in target area(s). You will be evaluated on the information 
that you submit that describes the fair housing need in the geographic 
area you propose to serve, its urgency and how your project is 
responsive to that need. Applicants should document and use any 
relevant information from HUD's Housing Discrimination Study 2000 
(HDS2000) to respond to this factor.
    a. Documentation of Need. To justify the need for your project, PEI 
and EOI applicants must describe the following:
    (1) The fair housing need, including:
    (a) Geographic area to be served and your proximity and experience 
within the area;
    (b) Populations that will be served--your project may focus on a 
specific population and/or protected class; however, you must state 
that your project will serve all persons protected by the Act; and
    (c) The presence of housing discrimination, high segregation 
indices or other evidence of discrimination prohibited by the Act 
within the project area.
    (2) The urgency of the identified need. For example:
    (a) The potential consequences to persons if your application is 
not selected for funding;
    (b) The extent to which other organizations provide the services 
identified in your application;
    (c) Other sources that support the need and urgency for this 
project. (Do not include these sources within your application.) Please 
provide Web site information where these sources may be found. 
Applicants that provide detailed studies, including detailed 
consolidated plans for their referenced project area will have points 
deducted from this factor based upon the ten-page

[[Page 11515]]

submission requirement. For example, make reference to reports, 
statistics, or other data sources that you used that are sound and 
reliable, including but not limited to, HUD or other Federal, State or 
local government reports analyses, relevant economic and/or demographic 
data including those that show segregation, foundation reports and 
studies, news articles, and other information that relate to the 
identified need. Provide the Web site where these reports may be found 
for reference. Chapter V of the Fair Housing Planning Guide, Vol. 1, 
has other suggestions for supporting documentation. You may access the 
Guide from the HUD Web site at http://www.hud.gov./offices/adm/grants/
fundsavail.cfm.
    For all applicants: You must use sound data sources to identify the 
level of need and the urgency in meeting the need and provide Web site 
addresses for each data source (ex. Analysis of Impediments to Fair 
Housing Choice (AI), fair housing studies, etc.) For you to receive 
maximum points for this factor, there must be a direct relationship 
between your proposed activities, the outcomes to be accomplished, and 
the community or communities' fair housing needs, including your 
knowledge of and your proximity to the targeted area, and the purpose 
of the program funding.
    To the extent possible, the data you use should be specific to the 
area where the proposed activity will be carried out. For example, if 
you propose to test in areas impacted by Hurricane Katrina in the 
states of Louisiana, Mississippi, Alabama or Texas you should document 
the number of displaced persons relocated to those areas and the impact 
of the numbers of displaced persons upon existing fair housing 
services. You should document needs as they apply to the specific 
area(s) where activities will be targeted and your proximity to the 
target area, rather than the entire locality or State. If the data 
presented does not specifically represent your target area, you should 
discuss why the target area was proposed.
    (3) The link between the need and your proposed activities:
    (a) How the proposed activities augment or improve upon on-going 
efforts by public and private agencies, grass-roots faith-based and 
other community-based organizations and other organizations and 
institutions in the target area, and/or
    (b) Why, in light of other on-going efforts, the additional funding 
you are requesting is necessary.
    b. In addition, with respect to Documentation of Need, the 
following apply to specific FHIP Initiatives or Components:
    EOI-Clinical Law School Component. Your project must show that you 
have data, statistics, and community support to establish a clinical 
law project or projects similar in scope and complexity to the clinical 
project proposed in this NOFA.
3. Rating Factor 3: Soundness of Approach (35 Points)
    You must describe your project in detail and how it will support 
the goals and policy priorities outlined in the General Section. For 
each goal and policy priority that your project addresses, you must 
propose performance measures/outcomes in support of these goals, and 
establish numerical baselines and targets for those measures. Attach a 
Statement of Work (SOW) and budget.
    a. Support of Policy Priorities (8 Points). HUD encourages 
applicants to undertake specific activities that will assist the 
Department in implementing its policy priorities and which will help 
the Department achieve its goals and objectives in FY 2007. Describe 
how your proposed project will further and support HUD's policy 
priorities for FY 2007. The quality of the responses provided and the 
extent to which a program will further and support one or more of HUD's 
priorities will determine the score an applicant can receive. 
Applicants must describe how each policy priority selected will be 
addressed.
    Applicants that just list a priority will receive no points. It is 
up to the applicant to determine which of the policy priorities to 
address to receive the available 8 points. Each policy priority 
addressed must discuss the geographic area to be served in relation to 
the project's purpose, the persons to be served and the methodology for 
carrying out these activities. Each policy priority has a point value 
of one point, with the exception of the policy priority to remove 
regulatory barriers to affordable housing which has a point value of up 
to 2 points; and, for EOI applicants only, promoting participation by 
grassroots faith-based and other community-based organizations, or 
partnering with an organization promoting participation in grassroots 
faith-based and other community-based organizations, which has a point 
value of up to 4 points. To secure the possible 2 points for efforts to 
remove regulatory barriers to affordable housing, an applicant must 
submit the completed questionnaire (HUD 27300), and provide the 
required documentation and contact information. Please see the General 
Section for further information on Removal of Regulatory Barriers to 
Affordable Housing. The questionnaire is part of the electronic 
application package. For the full list of each policy priority, please 
refer to the General Section.
    b. Proposed Statement of Work (SOW) and Information Requirements 
(17 Points). The SOW and budget are attachments that will not count 
toward the ten (10)-page limit on the narrative response to this 
factor. However, points will be assigned based on the relevance of 
proposed activities to needs stated in Factor 2, the attention given to 
implementation steps, the consistency of proposed activities with 
organizational expertise and capacity, and the accuracy of the SOW and 
budget.
    Statement of Work--Submit a proposed SOW that comprehensively 
outlines in chronological order the administrative and program 
activities and tasks to be performed during the grant period. Your 
outline should identify all activities and tasks to be performed and by 
whom (e.g., you, a subcontractor, or partner), and the products that 
will be provided to HUD and when. You should also include a schedule of 
your activities and products (with interim implementation steps), staff 
allocation over the term of the project; staff acquisition and 
training; and activities of partners and/or subcontractors. Applicants 
should provide numbers on the projected clients to be served. Do not 
provide ranges or percentages, but a specific number of clients. These 
numbers should represent individuals to be served entirely with HUD 
FHIP funding. For the EOI General Component, HUD anticipates that 
products will be available in at least seven languages, including 
English. The languages will include French, Korean, Laotian, 
Vietnamese, Chinese, Arabic, and Spanish. Deliverables may include 
brochures, Public Service Announcements (PSAs) for radio in both 
majority and minority markets and posters and other graphic materials. 
Graphic materials may include but are not limited to enlarged 
reproductions of existing HUD printed PSAs and HUD materials. Provide 
information on media markets coverage with specific protected class 
focus, as well as those with Limited English Proficiency and a method 
for distribution of the finished product.
    c. The Budget Form and the Budget Information (10 Points). HUD will 
also assess the soundness of your approach by evaluating the quality, 
thoroughness, and reasonableness of the budget and

[[Page 11516]]

financial controls of your organization, including information on your 
proposed program cost categories. As part of your response, you must 
prepare a budget that is:
    (1) Reasonable in achieving the goals identified in your proposed 
SOW;
    (2) Relate tasks in the SOW to the proposed budget costs;
    (3) Cost-effective, and includes a brief discussion of the extent 
to which your proposed program is cost effective in achieving the 
anticipated results of the proposed activities in the targeted area. 
Applicants seeking funding to conduct activities in an area other than 
the applicant's State or locality must discuss the cost effectiveness 
of where the activities will be conducted in relation to the location 
of the organization. HUD will look at the cost effectiveness of your 
travel to and from your location to the targeted area(s), personnel 
expenses for out-stationed personnel, contracts and sub-grantees, and 
other direct costs, which may include relocation expenses, and 
telecommunications expenses and make a final determination of cost 
effectiveness based on the above listed items. Also, indicate how the 
proposed project is:
    (4) Quantifiable based on the need identified in Factor 2, and
    (5) justifiable for all cost categories in accordance with the cost 
categories indicated in the HUD-424 CB. If you are awarded a grant or 
cooperative agreement under FHIP, staff will request that you include 
your approved indirect cost rate as part of your negotiations with HUD. 
If you do not have a Federally approved indirect cost rate and HUD is 
the cognizant agency, HUD will submit a request within 30 days after 
award to establish a rate. For information on indirect cost rates, you 
can review HUD's training on http://www.hud.gov./offices/adm/grants/
fundsavail.cfm.
    (6) Financial Management Capacity. Describe your organization's 
financial management system and your Board's contribution to the 
organization. In addition, discuss your capabilities in handling 
financial resources, dissemination payments to subcontractors, and 
maintaining adequate accounting and internal control procedures.
    (7) Grant Application Detailed Budget Worksheet (HUD-424-CBW). The 
HUD-424-CBW must show the total cost of the project and indicate other 
sources of funds that will be used for the project. While the costs are 
based only on estimates, the budget narrative work plan may include 
information obtained from various vendors, or you may rely on 
historical data. Applicants must round all budget items to the nearest 
dollar.
    A written budget narrative work plan must accompany the proposed 
budget explaining each budget category listed and must explain each 
cost category. Failure to provide a written budget narrative work plan 
will result in 2 points being deducted from your application. It must 
explain each cost category you list. Where there are travel costs for 
subcontractors/consultants, you must show that the combined travel 
costs (per diem rates) are consistent with Federal Travel Regulations 
(41 CFR 301.11) and travel costs for the applicant's subcontractors 
and/or consultants do not exceed the rates and fees charged by local 
subcontractors and consultants. The narrative (which does not count 
toward the ten page limit) must address the Grant Application Detailed 
Budget.
4. Rating Factor 4: Leveraging Resources (5 Points)
    This factor addresses your ability to secure additional resources 
to support your project. Points will be awarded on the basis of the 
percentage of non-FHIP resources you have received at application 
submission, in the form of firm commitments, or planned collaborative 
efforts you have with Fair Housing Assistance Program agencies.
    a. Firm Commitment of Leveraging or Collaboration. HUD requires you 
to secure resources from sources other than what is requested under 
this FHIP NOFA. Leveraging of community resources may include funding 
or in-kind contributions, such as workspace or services or equipment, 
allocated to the purpose(s) of your proposal. Contributions from 
affiliates, subsidiaries, divisions, or employees of the applicant do 
not qualify as in-kind contributions. Funds from an applicant's 
previously established investment account(s) may qualify as in-kind 
resources; however, documentation must be provided. Resources may be 
provided by governmental entities (including other HUD programs if such 
costs are allowed by statute), public or private non-profit 
organizations, faith-based organizations, for-profit or civic private 
organizations, or other entities planning to work with you. In order to 
secure points you must establish leveraging of resources by identifying 
sources of contributors who have already provided to you letters of 
firm commitment from the organizations and/or individuals who will 
support your project. Collaboration will consist of activities you have 
or plan to have with Fair Housing Assistance Program agencies. You must 
provide a letter of firm commitment from that organization and/or 
individual, on their letterhead, stating their intent to work with you 
on your project. For PEI-PB applicants only, each letter must state the 
total dollar amount of in-kind funds and/or resources to be donated to 
the fair housing project, and specify the amount to be used each of the 
three years of this project. For all applicants, each letter of firm 
commitment must:
    (1) Identify the organization and/or individual committing 
resources to the project and state the timeline for use of these funds 
in relation to the project. Further, the letter must identify any 
affiliation with the applicant,
    (2) Identify the sources and amounts of the leveraged resources 
(the total FHIP and non-FHIP amounts must match those in your proposed 
budget submitted under Factor 3), and
    (3) Describe how these resources will be used under your SOW. The 
letter must be dated and signed by the individual or organization 
official legally able to make commitments for the organization. If the 
resources are in-kind or donated goods, the commitment letter must 
indicate the fair market value of those resources and describe how this 
fair market value was determined. (Do not include indirect costs within 
your in-kind resources). In-kind matching and leveraging contributions, 
as well as Program Income must comply with 24 CFR 84.23 and 84.24 
requirements. FHIP funds cannot be used for in-kind or donated services 
(for example, a current staff person on a FHIP-funded project).
    No points will be awarded for general letters of support endorsing 
the project from organizations, including elected officials on the 
local, State, or national levels, and/or individuals in your community. 
See General Section for instructions on how third party documents are 
to be submitted to HUD via the electronic submission process. For PEI 
and EOI, if your project will not be supported by non-FHIP resources, 
then you will not receive any points under this factor. Points will be 
assigned for each Initiative based on the following scale:
    One point will be awarded if less than 5% of the projects total 
costs come from non-FHIP resources.
    Two points will be awarded if between 5% and 10% of the project's 
total costs are from non-FHIP resources.
    Three points will be awarded if between 11% and 20% of the 
project's total costs are from non-FHIP resources.
    Four points will be awarded if between 21% and 30% of the project's 
total costs are from non-FHIP resources.

[[Page 11517]]

    Five points will be awarded if at least 31% of the project's total 
costs are from non-FHIP resources.
    Five points will be awarded if your application contains a firm 
letter of commitment from a Fair Housing Assistance Program agency 
stating their firm commitment to work with you on your project. Should 
the letter lack any of the required information listed in (1) through 
(3) above, `no' points will be awarded under this factor.
5. Rating Factor 5: Achieving Results and Program Evaluation (15 
Points)
    a. In evaluating this factor, HUD will assess the extent to which 
you demonstrate how you will measure the results of the work of your 
organization as set out in your budget. Applicants must select from the 
list of activities and outcomes detailed in the Logic Model for the 
Initiative applied for and should determine from these selections, 
their specific methods and measures to assess progress, evaluate 
program effectiveness, and identify program changes necessary to 
improve performance. This will ensure that performance measures are met 
and that grantees are establishing achievable realistic goals. 
Applicants who have identified outputs and outcome measurements and 
methods for assessing those against commitments made in the 
application, will receive higher points than those that do not. To meet 
this Factor requirement, you must submit HUD's Logic Model (HUD-96010).
    Instructions and a Microsoft ExcelTM form are provided 
in the forms appended to the Instruction Download on http://www.grants.gov/applicants/apply--for--grants.jsp. Applicants that do 
not have access to Microsoft ExcelTM may obtain a copy of 
the form in HTML fillable format along with a text format of the Master 
Logic Model listing, from HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
    A narrative response is not required for this factor as all 
applicants must use the Logic Model Form to respond to this factor. 
Applicants that submit narrative responses rather than use the Logic 
Model Form will receive no points under this subfactor. Applicants 
should also review the Logic Model training which can be found at 
http://www.hud.gov/offices/adm/grants/training/training.cfm.
    b. In evaluating this factor:
    (1) HUD will review the activities/outputs and outcomes units of 
measurement you selected and in relation to the needs of your intended 
audience or target populations;
    (2) Output. The direct products of the applicant's activities that 
lead to the ultimate achievement of outcomes. Examples of activities 
and outputs for PEI and EOI applicants can be found at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Applicants must select 
one or more activities from the listing of ``Fair Housing Services 
Provided'' that will be undertaken by your organization. Applicants who 
do not select from the list ``Fair Housing Services Provided'' or those 
who do not add additional services to the list will not receive any 
points under this factor.
    (3) Outcome. The Logic Model has a prepared list of activities, 
outcomes and indicators associated with Fair Housing. Applicants must 
choose from this list of ``Year 1, Year 2, or Year 3'' outcomes that 
are provided as part of the FHIP NOFA or applicants may choose others 
and provide a brief statement to describe other activities or outcomes. 
Applicants who do not select from the list ``Outcomes and Indicators'' 
or do not select others with a brief description will not receive any 
points under this factor. You should assess progress and track 
performance in meeting the goals and objectives outlined in the work 
plan.
    Accountability can be achieved using specific measurement tools to 
assess the impact of your activities. Examples include:
     Intake Instrument;
     Pre/Post Tests;
     Customer/Client Satisfaction Survey;
     Follow-up Survey;
     Observational Survey;
     Functioning scale; or
     Self-sufficiency scale.

Applicants must also reference policy priorities, as stated in your 
response to Factor 3, and relate them to your project's goals, as 
appropriate.

B. Criteria for National Based Program Applications

    Factors for Award Used to Evaluate and Rate Applications for the 
National Education and Outreach Initiative Program. The factors for 
rating and ranking applicants and the maximum points for each factor, 
are provided below. The maximum number of points awarded any 
application is 100. Bonus points are not available for this category of 
funding.
1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (25 Points)
    This factor addresses the extent to which the applicant has the 
organizational resources necessary to successfully implement the 
proposed activities in a timely manner, and the applicant's ability to 
develop and implement large information campaign projects as 
appropriate, on a national scale. The rating of the ``applicant'' or 
the ``applicant's organization and staff'' for technical merit or 
threshold compliance, unless otherwise specified, will include any 
subcontractors, consultants, and sub-recipients that are firmly 
committed to the project.
    You must describe staff expertise and your organization's ability 
to complete the proposed activities within the grant period.
    In General. HUD recognizes that, in carrying out the proposed 
activities, you may have persons already on staff, plan to hire 
additional staff, or rely on subcontractors or consultants to perform 
specific tasks. You must describe your staffing plan and the extent to 
which you plan to add staff (employees) or contractors. If your 
application proposes using subcontractors and these subcontractor 
activities amount to more than 10 percent of your total activities, you 
must submit a separate budget for each subcontractor. Failure to 
include a separate budget will result in lower points being assessed to 
your application.

(5) Points current FHIP grantees
(10) Points for new applicants

    a. Number and expertise of staff (this includes subcontractors and 
consultants). You must show that you will have sufficient, qualified 
staff that will be available to complete the proposed activities. 
Provide the following information for all staff assigned to or hired 
for this project, not just key personnel (those persons identified in 
attachments to Rating Factor 3: Soundness of Approach):
    Identify by name and/or title and hours, all persons that will be 
assigned to the project. You must describe the knowledge and experience 
of the proposed overall project director or day-to-day program manager 
(whose duties and responsibilities include managing all program and 
administrative activities as outlined in the SOW and ensuring that all 
timelines are met), in planning and managing national projects similar 
in scope and complex interdisciplinary programs. To receive maximum 
points, your day-to-day program manager must devote a minimum of 75% of 
his/her time to the project. For day-to-day managers who do not have at 
least 75% (based on full-time) of their time devoted to the project, no 
points will be awarded under this sub-factor. For example, if the 
Executive Director is responsible for managing the overall program 
administrative activities, the

[[Page 11518]]

application should reflect the Executive Director's time as 75%. 
However, if a staff person will be assigned this responsibility, the 
75% time should be reflected as such. You may demonstrate capacity by 
thoroughly describing your prior experience in conducting national and/
or regional/local media campaigns. You should indicate how this prior 
experience will be used in carrying out your proposed activities. Your 
application must clearly identify those persons that are on staff at 
the time this application is filed, and those persons who will be 
assigned at a later date; describe each person's duties and 
responsibilities and their expertise (including years of experience) to 
perform project tasks; indicate whether the staff person is assigned to 
work full-time or part-time (if part-time, indicate the percentage of 
time each person is assigned to the project).
    If the applicant has experienced staff or if the applicant proposes 
to use a contractor sub-grantee, the extent to which the applicant 
provides a rationale for how it will utilize its staff or a contractor 
or sub-grantee to incorporate its proposed activities, methods, and how 
these media techniques will most effectively deal with the national 
need described by the applicant in response to the need described in 
Rating Factor 2. To the extent possible, applicants should demonstrate 
effectiveness in terms of scope and cost.

(10) Points for current FHIP grantees
(15) Points for new applicants

    b. Organizational experience. In responding to this subfactor, you 
must show that your organization has the ability to effectively 
develop, implement, and manage a media campaign on a national scale. 
(Applicants must be an established media/advertisement organization and 
include as part of their proposal a subcontract with an established 
fair housing organization.) Applicants for FHIP program funding must 
specifically describe their experience in developing or carrying out 
programs to prevent or eliminate discriminatory housing practices. 
Applicants must discuss their ability to implement a coordinated 
national marketing awareness campaign, especially in the areas of fair 
housing, discrimination, public health, and housing. In responding to 
this subfactor, the applicant must describe the extent to which its 
past activities have resulted in successful national media campaigns as 
appropriate, especially with respect to developing and implementing 
innovative strategies resulting in positive public response. Experience 
will be judged in terms of recent, relevant and successful experience 
of your staff to undertake eligible activities.
    In rating this factor, HUD will consider experience within the last 
3 years to be recent, experience pertaining to the specific activities 
to be relevant, and experience producing measurable accomplishments to 
be successful. The more recent the experience and the more experience 
your own staff members who work on the project have in successfully 
conducting and completing similar activities, the greater the number of 
points you will receive for this rating factor.

(10) Points for current FHIP grantees
(0) Points for new applicants

    c. Performance on past project(s). HUD will assess your 
organization's past performance in conducting activities relevant to 
your application. For current FHIPs, past performance will be assessed 
based on your most recent performance assessment received from your HUD 
Government Technical Representative (GTR) for the past two (2) complete 
fiscal years (FY 2004 and FY 2005).
    This information will be provided to the Technical Evaluation Panel 
(TEP) by HUD staff. Based on past performance, the following points 
will be deducted from your score under this rating sub-factor:
    (1) 10 points out of 10 possible points will be deducted if you 
received a ``fair performance'' assessment;
    (2) 5 points out of 10 possible points will be deducted if you 
received a ``good performance'' assessment; and
    (3) 0 points will be deducted if you received an ``excellent 
performance'' assessment.
2. Rating Factor 2: Need/Approach to the Problem (10 Points)
    This factor addresses the extent to which the applicant documents 
and defines the national need that its proposed activities and methods 
are intended to address, and how its proposal offers the most effective 
approach for dealing with that national need. In responding to this 
factor, an applicant will be evaluated on the extent to which the 
applicant defines, describes, and documents the national need the 
application intends to address, which demonstrates a grasp of the 
elements of the problem, its pervasiveness at the national level, and 
an understanding of the necessary mass media vehicles. The applicant's 
description of the national need will be used to evaluate the depth of 
the applicant's understanding of the problem as an indication of 
ability to address the problem.
3. Rating Factor 3: Soundness of Approach (45 Points)
    This factor addresses the quality and cost-effectiveness of the 
applicant's proposed Statement of Work (SOW). You must describe your 
project in detail, and how it will support the goals and policy 
priorities outlined in the General Section. For each goal and policy 
priority that your project addresses, you must propose performance 
measures/outcomes in support of these goals, and establish numerical 
baselines and targets for those measures. The SOW must address the 
strategy, quality and time frames needed to carry out the project and 
all activities as proposed.
    a. (8 Points) Support of HUD Goals. HUD encourages applicants to 
undertake specific activities that will assist the Department in 
implementing its policy priorities and which will help the Department 
achieve its goals and objectives in FY 2007. Describe how your proposed 
project will further and support HUD's policy priorities for FY 2007. 
The quality of the responses provided and the extent to which a program 
will further and support one or more of HUD's priorities will determine 
the score an applicant can receive. Applicants must describe how each 
policy priority selected will be addressed.
    Applicants that just list a priority will receive no points. Each 
policy priority addressed if applicable, must discuss the national need 
in relation to the project's purpose, the persons to be served and the 
methodology for carrying out these activities. Each policy priority has 
a point value of one point, with the exception of the policy priority 
to remove regulatory barriers to affordable housing which has a point 
value of up to 2 points; and, promoting participation by grassroots 
faith-based and other community-based organizations, or partnering with 
an organization promoting participation in grassroots faith-based and 
other community-based organizations, which has a point value of up to 4 
points. It is up to the applicant to determine which of the policy 
priorities to address to receive the available 8 points. To secure the 
possible 2 points for efforts to remove regulatory barriers to 
affordable housing, an applicant must submit the completed 
questionnaire (HUD 27300), and provide the required documentation and 
contact information. Please see the General Section for further 
information on Removal of Regulatory Barriers to Affordable Housing. 
The questionnaire is part of the electronic application package. For

[[Page 11519]]

the full list of each policy priority, please refer to the General 
Section.
    b. (22 Points) Statement of Work.
    Submit a proposed SOW that comprehensively outlines in 
chronological order the administrative and program activities and tasks 
to be performed during the grant period. Your outline should also 
include a schedule of proposed activities and products (with interim 
implementation steps), staff allocation over the term of the project, 
staff acquisitions and training, and activities of partners and 
subcontractors. However, points will be assigned based on the relevance 
of proposed activities to national needs stated in Factor 2, the 
attention given to implementation steps, the consistency of proposed 
activities with organizational expertise and capacity, and the accuracy 
of the SOW and budget.
    For this Component, HUD anticipates that products will be available 
in at least 3 languages, including English. Deliverables may include 
Public Service Announcements (PSAs) for radio and television in both 
majority and minority markets, and posters and other graphic materials. 
Graphic materials may include, but are not limited to, enlarged 
reproductions of several print PSAs, separately produced and printed 
posters for national public dissemination, and the development of ad 
slicks to market in newspapers and magazines nationwide. The applicant 
should plan on using a clipping service or other appropriate means to 
collect information on frequency and scope of the placement of ads.
    Applicant's SOW should:
    (1) Clearly describe the specific activities and tasks to be 
performed, the sequence in which the tasks are to be performed, noting 
areas of work which must be performed simultaneously, estimated 
completion dates, and the work and program deliverables to be completed 
within the grant period, including specific numbers of quantifiable end 
products and program improvements the applicant aims to deliver by the 
end of the award agreement period as a result of the work performed;
    (2) Provide national media market coverage, specific protected 
class focus, as well as focus on the 40th Anniversary of the signing of 
the Fair Housing Act, and
    (3) Describe their methods for distribution of finished materials. 
Applicants must describe the methods they will use to distribute and 
gauge the effectiveness of their national marketing strategies. In 
addition, applicant must be prepared to present the Media Campaign in 
time for beginning of Fair Housing Month activities in April of 2008.
    c. (15 Points) Budget Form and Budget Information. A written budget 
narrative must accompany the proposed budget. HUD will also assess the 
soundness of your approach by evaluating the quality, thoroughness, and 
reasonableness of the budget and financial controls of your 
organization, including information on your proposed program cost 
categories. As part of your response, you must prepare a budget that 
is:
    (1) Reasonable in achieving the goals identified in your proposed 
SOW;
    (2) Relate tasks in the SOW to the proposed budget costs;
    (3) Cost-effective, and includes a brief discussion of the extent 
to which your proposed program is cost effective in achieving the 
anticipated results of the proposed activities in the targeted area. 
Also, indicate how the proposed project is quantifiable based on the 
needs identified in Rating Factor 2. Also indicate whether your 
proposed project is justifiable for all cost categories in accordance 
with the cost categories indicated in the HUD-424 CB. If you are 
awarded a grant or cooperative agreement under FHIP, staff will request 
that you include your approved indirect cost rate as part of your 
negotiations with HUD. If you do not have a Federally approved indirect 
cost rate and HUD is the cognizant agency, HUD will submit a request 
within 30 days after award to establish a rate. For information on 
indirect cost rates, you can review HUD's training on http://www.hud.gov./offices/adm/grants/fundsavail.cfm.
    (4) In addition, the proposed activities will be conducted in a 
manner (e.g., languages, formats, locations, distribution, use of 
majority and minority media) that will reach and benefit all members of 
the public, especially members of target groups identified in Factor 2;
    (5) How proposed activities will yield long-term results and 
innovative strategies or ``best practices'' that can be readily 
disseminated to other organizations and State and local governments; 
and
    (6) The proposed Media Campaign Component will make available 
activities, training and meeting sites, and information services and 
materials in places and formats that are accessible to all persons 
including persons with disabilities.
4. Rating Factor 4: Leveraging Resources (5 Points Maximum)
    This factor addresses your ability to secure additional resources 
to support your project. Points will be awarded on the basis of the 
percentage of non-FHIP resources you have received at application 
submission, in the form of firm commitments, or planned collaborative 
efforts you have with Fair Housing Assistance Program agencies.
    a. Firm Commitment of Leveraging or Collaboration. HUD requires you 
to secure resources from sources other than what is requested under 
this FHIP NOFA. Leveraging of community resources may include funding 
or in-kind contributions, such as workspace or services or equipment, 
allocated to the purpose(s) of your proposal. Contributions from 
affiliates, subsidiaries, divisions, or employees of the applicant do 
not qualify as in-kind contributions. These resources may be provided 
by governmental entities (including other HUD programs if such costs 
are allowed by statute), public or private non-profit organizations, 
faith-based organizations, for-profit or civic private organizations, 
or other entities willing to work with you. Applicants may also 
leverage resources from their organization's previously established 
savings and/or investment accounts; however, evidence of these 
resources must be provided. If leveraging community resources, in order 
to secure points you must establish leveraging of resources by 
identifying sources of contributors who have already provided to you 
letters of firm commitment from the organizations and/or individuals 
who will support your project. Leveraging through collaboration will 
require that you provide a list of activities you have or plan to have 
with Fair Housing Assistance Program (FHAP) agencies nationwide.
    Whether leveraging community or through collaboration, you must 
provide a letter of firm commitment from that agency, organization and/
or individual on their letterhead stating their intent to work with you 
on your project. Each letter of firm commitment must:
    (1) Identify the agency, organization and/or individual committing 
resources to the project, the timeframes and timelines for use of the 
funds, state that the funds will be used for fair housing to support 
the applicant should they be awarded, and identify any affiliation with 
the applicant,
    (2) Identify the sources and amounts of the leveraged resources 
(the total FHIP and non-FHIP amounts must match those in your proposed 
budget submitted under Factor 3), and

[[Page 11520]]

    (3) Describe how these resources will be used under your SOW. The 
letter must be dated and signed by the agency, individual and/or 
organization official legally able to make commitments for the 
organization. It must also be provided on the letterhead of the agency, 
organization and/or individual. If the resources are in-kind or donated 
goods, the commitment letter must indicate the fair market value of 
those resources and describe how this fair market value was determined. 
(Do not include indirect costs within your in-kind resources). In-kind 
matching and leveraging contributions, as well as Program Income must 
comply with 24 CFR 84.23 and 84.24 requirements. FHIP funds cannot be 
used for in-kind or donated services (for example, a current staff 
person on a FHIP-funded project). No points will be awarded for general 
letters of support endorsing the project from the agency or 
organizations, including elected officials on the local, State, or 
national levels, and/or individuals in your community. See General 
Section for instructions on how third party documents are to be 
submitted to HUD via the electronic submission process. If your project 
will not be supported by non-FHIP resources, then you will not receive 
any points under this factor. Points under the factor will be assigned 
based on the following scale:
    One point will be awarded if less than 5% of the projects total 
costs come from non-FHIP resources.
    Two points will be awarded if between 5% and 10% of the project's 
total costs are from non-FHIP resources.
    Three points will be awarded if between 11% and 20% of the 
project's total costs are from non-FHIP resources.
    Four points will be awarded if between 21% and 30% of the project's 
total costs are from non-FHIP resources.
    Five points will be awarded if at least 31% of the project's total 
costs are from non-FHIP resources.
    Five points will be awarded if your application contains a firm 
letter of commitment from a Fair Housing Assistance Program agency 
stating their firm commitment to work with you on your project. Should 
the letter lack any of the required information listed in (1) through 
(3) above, `no' points will be awarded under this factor.
5. Rating Factor 5: Achieving Results and Program Evaluation (15 
Points)
    a. In evaluating this factor, HUD will assess the extent to which 
you demonstrate how you will measure the results of the work of your 
organization as set out in your budget and Statement of Work. 
Applicants must select from the list of activities and outcomes 
detailed in the Logic Model and should determine from these selections, 
their specific methods and measures to assess progress, evaluate 
program effectiveness, and identify program changes necessary to 
improve performance. This will ensure that performance measures are met 
and that grantees are establishing achievable realistic goals. 
Applicants who have identified outputs and outcome measurements and 
methods for assessing those measurements against commitments made in 
the application, will receive higher points than those that do not. To 
meet this Factor requirement, you must submit a completed HUD's Logic 
Model (HUD-96010).
    Instructions and a Microsoft ExcelTM form are provided 
in the forms appended to the Instruction Download on www.Grants.gov/APPLY. Applicants that do not have access to Microsoft 
ExcelTM may obtain a copy of the form in HTML fillable 
format along with a text format of the Master Logic Model listing, from 
HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
    A narrative response is not required for this factor as all 
applicants must use the Logic Model Form to respond to this Factor. 
Applicants that submit narrative responses rather than use the Logic 
Model Form will receive no points under this subfactor. Applicants 
should also review the Logic Model training which can be found at 
http://www.hud.gov/offices/adm/grants/training/training.cfm.
    b. In evaluating this Factor:
    (1) HUD will review the activities/outputs and outcomes units of 
measurement you selected and in relation to the needs of your intended 
audience or target populations;
    (2) Output. The direct products of the applicant's activities that 
lead to the ultimate achievement of outcomes. Examples of activities 
and outputs for EOI applicants can be found at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Applicants must select one or more 
activities from the listing of ``Fair Housing Services Provided'' that 
will be undertaken by your organization. Applicants who do not select 
from the list ``Fair Housing Services Provided'' or who do not add 
additional services to the list will not receive any points under this 
Factor.
    (3) Outcome. The Logic Model has a prepared list of activities, 
outcomes and indicators associated with Fair Housing. Applicants must 
choose from this list of ``Year 1, Year 2, or Year 3'' outcomes that 
are provided as part of the FHIP NOFA or applicants may choose others 
and provide a brief statement to describe other activities or outcomes. 
Applicants who do not select from the list ``Outcomes and Indicators'' 
or do not select ``Other'' with a brief description will not receive 
any points under this Factor. You should assess progress and track 
performance in meeting the goals and objectives outlined in the work 
plan.
    Accountability can be achieved using specific measurement tools to 
assess the impact of your activities. Examples include:
     Intake Instrument;
     Pre/Post Tests;
     Customer/Client Satisfaction Survey;
     Follow-up Survey;
     Observational Survey;
     Functioning scale; or
     Self-sufficiency scale.

Applicants must also reference policy priorities, as stated in your 
response to Factor 3, and relate them to your project's goals, as 
appropriate.

C. Reviews and Selection Process

    1. Rating and Ranking. Although all rating factors are organized 
the same way for all FHIP initiatives, there are differences in 
application requirements and rating criteria, which are indicated 
throughout the Rating Factor instructions. Your application for funding 
will be evaluated competitively against all other applications 
submitted under one of the following Initiatives or Components:
    a. Private Enforcement Initiative (PEI)--
    (1) General Component (PEI-GC);
    (2) Performance Based Funding Component (PBFC);
    b. Education and Outreach Initiative (EOI)--
    (1) Regional/Local/Community Based Program
    (a) General Component (EOI-GC);
    (b) Clinical Law School Component (EOI-CLS)
    (2) National Based Program
    (a) Media Campaign Component
    c. For all initiatives, all eligible applications will be reviewed 
and points awarded based upon:
    (1) Narrative responses to the Factors for Award and accompanying 
materials, and
    (2) RC/EC/EZ-IIs bonus points, as applicable. Ineligible 
applications will not be ranked. The maximum number of points to be 
awarded for the Rating Factors is 100. See the General Section for 
information on Bonus Points.
    Only applications with a score of seventy-five (75) points or more 
will be considered of sufficient quality for

[[Page 11521]]

funding. Generally, applications of sufficient quality for funding will 
be selected in rank order under each Initiative or Component.
    PBFC applicants will be evaluated competitively against other PBFC 
applicants who apply and have received two years of excellent 
performance reviews for FHIP PEI awards made in any two consecutive 
years from FY 2003 through FY 2005, as well as scoring a 95 on their 
most current performance review. These applicants will then be rated by 
the Technical Evaluation Panel and ranked by score. Only those 
applicants who receive a minimum final score of 95 or above from the 
TEP will be considered for funding under this Component.
    2. Tie Breaking. When two or more applications have the same total 
overall score, the application with the higher score under Rating 
Factor 3 will be ranked higher. If applications still have the same 
score, the following factors will be selected sequentially until one 
applicant can be determined: higher score under Rating Factor 1, the 
higher score under Rating Factor 2, the lower amount of FHIP funding 
requested.
    3. Achieving Geographic Diversity of Awards.
    a. PEI and EOI: HUD reserves the right to apply geographic 
diversity, to ensure that, to the extent possible, applications from 
more States for each Initiative or Component are selected for funding. 
If the Selecting Official exercises this discretion, there will be two 
determinants used: (1) geography and (2) score. Geographic diversity 
shall be applied to all qualified applications (applications of 
sufficient quality for funding--applications that received a score of 
75 or more points) in each Initiative or Component in which the 
Selecting Official applies geographic diversity. The geographic 
diversity provision will be applied as follows: when there are two or 
more applications of sufficient quality from the same State, the 
application(s) with the lower score(s) will be moved to the end of the 
qualified queue. The applications moved to the end of the qualified 
queue will retain their geographic rank order. If sufficient funds 
remain, it is possible that applications moved to the end of the queue 
may be selected for award. For the Clinical Law Program Component, and 
the Media Campaign Component, the geographic diversity provision does 
not apply.
    4. Adjustments to Funding. As provided in the General Section, HUD 
may approve an application for an amount lower than the amount 
requested, fund only portions of the application, withhold funds after 
approval, reallocate funds among activities and/or require that special 
conditions be added to the grant agreement, in accordance with 24 CFR 
84.14, the requirements of the General Section, or where:
    a. HUD determines the amount requested for one or more eligible 
activities is unreasonable or unnecessary;
    b. An ineligible activity is proposed in an otherwise eligible 
project;
    c. Insufficient amounts remain to fund the full amount requested in 
the application, and HUD determines that partial funding is a viable 
option;
    d. The past record of key personnel warrants special conditions; or
    e. Training funds are not reserved for FHIP training.
    5. Reallocation of Funds. If after all applications within funding 
range have been selected or obligations are completed in an Initiative 
and funds remain available, the Selecting Official or designee will 
have the discretion to reallocate leftover funds in rank order among 
Initiatives as follows:
    a. For EOI, any remaining funds from any component will be 
reallocated first within the Initiative; if after reallocating funds 
within the Initiative left over funds remain, they shall be reallocated 
to PEI;
    b. For PEI, any remaining funds from any component will be 
reallocated first within the Initiative, if after reallocating funds 
within the Initiative left over funds remain, they shall be reallocated 
to EOI.
    D. Anticipated Announcement and Award Dates. For planning purposes, 
anticipate an announcement date of September 23, 2007 and an award date 
of September 29, 2007.

VI. Award Administration Information

A. Award Notices

    1. Applicant Notification and Award Procedures.
    a. Notification. No information about the review and award process 
will be available during the period of HUD evaluation, which begins on 
the application deadline date under this NOFA and lasts approximately 
90 days thereafter. However, you will be advised, in writing or by 
telephone, if HUD determines that your application is ineligible or has 
technical deficiencies which may be corrected as described in the 
General Section. HUD will communicate only with persons specifically 
identified in the application on the SF-424. HUD will not provide 
information about the application to third parties such as 
subcontractors.
    b. Negotiations. If you are selected, HUD will require you to 
participate in negotiations to determine the specific terms of your 
cooperative or grant agreement. HUD will follow the negotiation 
procedures described in the General Section. The selection is 
conditional and does not become final until the negotiations between 
the applicant and the Department are successfully concluded and the 
grant or cooperative agreement is signed and executed. HUD will 
negotiate only with the person identified in the application as the 
Director of the organization or if specifically identified in the 
application as the Project Director. HUD will not negotiate with any 
third party (i.e., a subcontractor, etc.). The Grant Officer and 
Government Technical Representative will determine on a case-by-case 
basis if technical assistance or special conditions are required.
    Performance Based Funding Component-Applicants selected for funding 
under the PBFC will be required to submit a SOW and a separate budget 
for each year that projects the agency's activities for a period of 
three years commensurate with the level of funding.
    c. Applicant Debriefing. After awards are announced, applicants may 
receive a debriefing on their application as described in the General 
Section. Materials provided during the debriefing will be the 
applicant's final scores for each rating factor and final evaluator 
comments for each rating factor. Applicants requesting a debriefing 
must send a written request to Annette Corley, Grant Officer, U.S. 
Department of Housing and Urban Development, FHIP/Support Division, 451 
Seventh Street, SW., Room 5224, Washington, DC 20410. HUD will not 
release the names of applicants or their scores to third parties.

B. Administrative and National Policy Requirements

    1. Accessibility Requirements. All activities, facilities, and 
materials funded by this Program must be accessible to persons with 
disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54).
    2. Protected Classes. All FHIP-funded projects must address housing 
discrimination based upon race, color, religion, sex, disability, 
familial status, or national origin.
    3. Environmental Requirements. In accordance with 24 CFR 
50.19(b)(3), (4), (9), (12), and (13) of HUD regulations, activities 
assisted under this program are categorically excluded from the 
requirements of the National Environmental Policy Act and are not 
subject to environmental review under related laws and authorities.

[[Page 11522]]

    4. Procurement of Recovered Materials. State agencies (FHAP 
agencies) and agencies of a political subdivision of a State that are 
using assistance under a HUD program NOFA for procurement, and any 
person contracting with such an agency with respect to work performed 
under an assisted contract, must comply with the requirements of 
Section 6002 of the Solid Waste Disposal Act, as amended by the 
Resource Conservation and Recovery Act. See General Section for 
details.
    5. Product Information. Press releases and any other product 
intended to be disseminated to the public must be submitted to the 
Government Technical Representative (GTR) two weeks before release for 
approval and acceptance.
    6. Ensuring the Participation of Small Businesses, Small 
Disadvantaged Businesses, and Women Owned Businesses. (See General 
Section).
    7. Payment Contingent on Completion. Payment of FHIP funds is made 
on a reimbursement basis. Payments are contingent on the satisfactory 
and timely completion of your project activities and products as 
reflected in your grant or cooperative agreement. Requests for funds 
must be accompanied by financial and progress reports.
    8. Copyright Materials. You may copyright any work that is eligible 
for copyright protection subject to HUD's right to reproduce, publish, 
or otherwise use your work for Federal purposes, and to authorize 
others to do so as required in 24 CFR 84.36.
    9. Complaints Against Awardees. Each FHIP award is overseen by a 
HUD Grant Officer (See www.hud.gov for list of Grant Officers per 
region). Complaints from the public against FHIP grantees should be 
forwarded to the Grant Officer. The Grant Officer's name and contact 
information is provided in the grant agreement. If, after notice and 
consideration of relevant information, the Grant Officer concludes that 
there has been inappropriate conduct, such as a violation of FHIP 
program requirements, terms or conditions of the grant, or any other 
applicable statute, regulation or other requirement, HUD will take 
appropriate action in accordance with 24 CFR 84.62. Such action may 
include: written reprimand; consideration of past performance in 
awarding future FHIP applications; repayment to HUD of funds received 
under the grant; or temporary or permanent denial of participation in 
the FHIP in accordance with 24 CFR part 24.
    10. Double Payments. If you are awarded funds under this NOFA, you 
(and any subcontractor or consultant) may not charge or claim credit 
for the activities performed under this project under any other 
Federally assisted project.
    11. Performance Sanctions. A grantee or subcontractor failing to 
comply with the requirements set forth in its grant agreement will be 
liable for such sanctions as may be authorized by law, including 
repayment of improperly used funds, termination of further 
participation in the FHIP, and denial of further participation in 
programs of HUD or any Federal agency.

C. Reporting

    1. HUD requires that funded recipients collect racial and ethnic 
beneficiary data. It has adopted the Office of Management and Budget's 
Standards for the Collection of Racial and Ethnic Data. In view of 
these requirements, you should use Form HUD-27061, Racial and Ethnic 
Data Reporting Form (and instructions for its use), found on 
www.HUDclips.org, a comparable program form, or a comparable electronic 
data system for this purpose. Quarterly and as your project ends, you 
must report meaningful data derived from client feedback on how they 
benefited from your project's activities.
    2. Listed below is a sample-reporting document of activities and 
tasks to be performed by a FHIP Grantee.

----------------------------------------------------------------------------------------------------------------
     Administrative activities
------------------------------------            Tasks                  Submitted by            Submitted to
             Activities
----------------------------------------------------------------------------------------------------------------
1. Complete HUD-22081 Race and       45 Days....................  GTR/GTM...............
 Ethnic Data Reporting Form.
2. Complete HUD-28807 Disclosure     Submit Disclosure            When changes occur....  GTR/GTM.
 Statements.                          Statement. If no changes
                                      occur, submit statement of
                                      no change with final
                                      report.
3. Complete SF-269A Financial        Submit SF-269A and Copy of   Quarterly.............  GTR/GTM.
 Status Report and Written            Written Report.
 Quarterly Status Reports on All
 Activities.
4. Voucher for Payment.............  Submit payment request to    Per Payment Schedule..  GTR/GTM.
                                      LOCCS.
5. Complete Listing of Current or    Submit listing for           45 Days and at end of   GTR/GTM.
 Pending Grants/Contracts/Other       recipient and any            Grant.
 Financial Agreements.                contractors.

[[Page 11523]]

 
6. Prepare and Submit Draft of       Submit Draft of Report.      One month before end    GTR/GTM.
 Final Report, including HUD 96010.   Report your eLogic Model     of grant term.
                                      Reporting your short- and
                                      intermediate-term outputs
                                      and outcomes as contained
                                      in the eLogic Model
                                      submitted and approved in
                                      your grant agreement. Your
                                      report and eLogic Model
                                      should identify results
                                      and benefits to date of
                                      the work accomplished
                                      under the FHIP award. In
                                      addition, the eLogic Model
                                      should include an
                                      attachment that addresses
                                      the management questions
                                      applicable to your work
                                      program. Complaint and
                                      testing activities should
                                      provide data on complaints
                                      received and tests
                                      conducted by basis,
                                      issues, and outcomes. This
                                      should include number of
                                      credible, legitimate
                                      complaints filed with HUD,
                                      a State or local Fair
                                      Housing Agency, Department
                                      of Justice or private
                                      litigator; and types of
                                      relief/results.
7. Complete Final Report and         Submit a copy of the Final   Within 90 days after    GTR/GTM.
 Provide Copies of All Final          Report, including a final    end of grant term.
 Products Not Previously Submitted.   Logic Model with all
                                      outputs and outcomes
                                      identified, and management
                                      questions responded to.
                                      Submit all Final Products
                                      not previously submitted
                                      to GTR and GTM.
8. Submit 2 copies of Final Report   Submit detailed description  Within 90 days after    GTR/GTM.
 and all final program products       of items submitted to GTR    end of grant term.
 produced under the Grant (with       and GTM.
 diskette, where feasible) to HUD.
----------------------------------------------------------------------------------------------------------------

VII. Agency Contacts

    You may contact Myron P. Newry or Denise L. Brooks, of the Office 
of Fair Housing and Equal Opportunity's FHIP Support Division, at 202-
708-0800, ext. 7095 or 7050, respectively (this is not a toll-free 
number). Persons with hearing or speech impairments may contact the 
Division by calling 1-800-290-1617 (this is a toll-free number).

VIII. Other Information

    1. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control approval number 2529-
0033. In accordance with the Paperwork Reduction Act, HUD may not 
conduct or sponsor, and a person is not required to respond to a 
collection of information unless the collection displays a currently 
valid OMB control number. Public reporting burdens for the collection 
of information is estimated to approximate 105 hours per annum per 
respondent for the application and grant administration. This includes 
the time for collecting, reviewing, and reporting the data for the 
application, semi-annual reports and final report. The information will 
be used for grantee selection and monitoring the administration of 
funds. Response to this request for information is required in order to 
receive the benefits to be derived.

[[Page 11524]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.011


[[Page 11525]]



Housing Counseling Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Single Family Housing.
    B. Funding Opportunity Title: Housing Counseling Program.
    C. Announcement Type: Initial Announcement.
    D. Funding Opportunity Number: FR-5100-N-09; OMB Approval number 
is: 2502-0261.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.169 
Housing Counseling Assistance Program.
    F. Dates: The application deadline date is May 17, 2007. 
Applications submitted through http://www.grants.gov must be received 
and validated by grants.gov no later than 11:59:59 p.m. eastern time on 
the application deadline date. See Section IV of the General Section, 
regarding application submission procedures and timely filing 
requirements.
    G. Available Funds: Approximately $41.08 million is made available 
for eligible applicants under this program NOFA.

Full Text of Announcement

I. Funding Opportunity Description

    A. Program Description. This program supports the delivery of a 
wide variety of housing counseling services to homebuyers, homeowners, 
low- to moderate-income renters, and the homeless. The primary 
objectives of the program are to expand homeownership opportunities, 
improve access to affordable housing and preserve homeownership. 
Counselors provide guidance and advice to help families and individuals 
improve their housing conditions and meet the responsibilities of 
tenancy and homeownership. Counselors also help borrowers avoid 
inflated appraisals, unreasonably high interest rates, unaffordable 
repayment terms, and other conditions that can result in a loss of 
equity, increased debt, default, and eventually foreclosure. Applicants 
funded through this program may also provide Home Equity Conversion 
Mortgage (HECM) counseling to elderly homeowners who seek to convert 
equity in their homes into income that can be used to pay for home 
improvements, medical costs, living expenses, or other expenses.
    B. Grant Applicant Categories. HUD will award a single 
comprehensive grant to qualified applicants through one of three 
categories:
    (1) Local Housing Counseling Agencies (LHCAs);
    (2) National and Regional Intermediaries (Intermediaries); and
    (3) State Housing Finance Agencies (SHFAs).
    Supplemental funding is available to qualified intermediaries for 
counseling and educational activities in conjunction with HUD's Home 
Equity Conversion Mortgage (HECM) Program.
    C. Authority. HUD's Housing Counseling Program is authorized by 
section 106 of the Housing and Urban Development Act of 1968 (12 U.S.C. 
1701x).
    The Home Equity Conversion Mortgage (HECM) Program is authorized by 
section 255 of the National Housing Act (12 U.S.C. 1715z-20).
    D. Definitions.
    1. Affiliate. An affiliate is a separately incorporated or 
organized housing counseling agency connected with an intermediary or 
SHFA for the purposes of its housing counseling program. To be eligible 
for a sub-grant an affiliate must be: (1) Duly organized and existing 
as a nonprofit, (2) in good standing under the laws of the state of its 
organization, and (3) authorized to do business in the states where it 
proposes to provide housing counseling services.
    2. Applicant. ``Applicant'' refers to a HUD-approved housing 
counseling agency or SHFA applying for a Housing Counseling grant from 
HUD through this NOFA. The term ``Applicant'' includes the agency's 
branch or branch offices identified in its application.
    3. Branch. ``Branch'' or ``Branch Office'' refers to an 
organizational and subordinate unit of an LHCA or Intermediary not 
separately incorporated or organized. A Branch or Branch Office must be 
in good standing under the laws of the state where it is authorized to 
do business and where it proposes to provide housing counseling 
services. A Branch or Branch Office cannot be an applicant, affiliate 
or sub-grantee.
    4. Grantee. ``Grantee'' refers to the HUD-approved housing 
counseling agencies or SHFAs that receive housing counseling funds from 
HUD through this NOFA. The term ``Grantee'' includes the agency's 
branch or branch offices identified in its application.
    5. HUD HECM Network Counselor. A ``HUD HECM Network Counselor'' is 
a housing counselor that has passed the HECM exam administered by HUD 
and/or its agent, and is approved by HUD to provide HECM counseling 
nationally by telephone.
    6. Intermediary. ``Intermediary'' refers to a HUD-approved national 
or regional organization that provides housing counseling services 
through its branches or affiliates.
    7. Local Housing Counseling Agency (LHCA). ``LHCA'' refers to a 
HUD-approved Local Housing Counseling Agency. LHCAs must be approved by 
one of HUD's four HOCs. Affiliates of HUD-approved Housing Counseling 
intermediaries are not HUD-approved LHCAs by virtue of their 
affiliation with the intermediary. They are, however, eligible to 
individually apply for HUD approval as an LHCA.
    8. State Housing Finance Agency (SHFA). For the purpose of this 
NOFA, a ``SHFA'' is the unique public body, agency, or instrumentality 
created by a specific act of a state legislature and empowered to 
finance activities designed to provide housing and related facilities 
and services, for example through land acquisition, construction or 
rehabilitation, throughout a state. The term state includes the fifty 
states, Puerto Rico, the District of Columbia, Guam, the Commonwealth 
of the Northern Mariana Islands, American Samoa, and the U.S. Virgin 
Islands.
    9. Sub-grantee. ``Sub-grantee'' refers to an organization to which 
the grantee awards a sub-grant, and which is accountable to the grantee 
for the use of the funds provided. A Sub-grantee may be separately 
incorporated or organized, but connected with an intermediary or SHFA 
for purposes of this NOFA.
    All Sub-grantees must be identified in the grantee's application. 
Under certain conditions, grantees may amend their Sub-grantee list 
after awards are made.

II. Award Information

    A. Amount Allocated. Of the approximately $41.5 million 
appropriated for housing counseling in FY2007 under the Revised 
Continuing Appropriations Resolution, 2007 (Pub. L. 110-5, approved 
February 15, 2007), approximately $41.08 million is available for 
eligible applicants under this NOFA. Approximately $38.08 million is 
available for comprehensive counseling. Approximately $3.0 million is 
available for HECM counseling.
    B. Specific Allocations. Comprehensive counseling funding is 
distributed over three applicant categories, as shown below.

[[Page 11526]]



------------------------------------------------------------------------
                                                           Total amount
       Applicant categories            Who is eligible       available
------------------------------------------------------------------------
Category 1--LHCAs.................  HUD-approved Local       $14,748,800
                                     Housing Counseling
                                     Agencies.
Category 2--Intermediaries........  HUD-approved              21,054,720
                                     National and
                                     Regional
                                     Intermediaries.
Category 3--SHFAs.................  State Housing              2,276,480
                                     Finance Agencies.
------------------------------------------------------------------------

    1. Category 1--Local Housing Counseling Agencies (LHCAs). For the 
grant period October 1, 2007 through September 30, 2008, approximately 
$14,748,800 is available from HUD to directly fund HUD-approved LHCAs. 
A LHCA can only request funding for its main office and branches 
located in the same state as the main office and/or located in one 
other contiguous state.
    2. Category 2--Intermediaries. For the grant period October 1, 2007 
through September 30, 2008, approximately $24,054,720 is available from 
HUD to directly fund HUD-approved Intermediaries, including $21,054,720 
for comprehensive counseling and $3.0 million for HECM counseling.
    3. Category 3--State Housing Finance Agencies (SHFAs). For the 
grant period October 1, 2007 through September 30, 2008, approximately 
$2,276,480 is available to fund SHFAs that provide housing counseling 
services directly or serve as intermediaries to Affiliates who offer 
housing counseling services.

C. Individual Awards

    1. Category 1. No individual LHCA may be awarded more than 
$150,000. HUD anticipates that the average total award for LHCAs will 
be approximately $36,000.
    2. Category 2. Awards for individual HUD-approved intermediaries 
may not exceed $5.5 million, which includes any HECM supplemental 
funding. The limit for Comprehensive Counseling is $2.5 million and the 
limit for HECM counseling is $3.0 million. HUD anticipates that the 
average total award for Intermediaries will be $1.2 million.
    3. Category 3. No individual SHFA may be awarded more than 
$450,000. HUD anticipates that the average total award for SHFAs will 
be approximately $135,000.
    D. Grant Period. Funds awarded shall be available for a period of 
12 calendar months.
    E. Award Instrument. HUD will use a Grant Agreement. All Housing 
Counseling Program awards will be made on a cost reimbursement basis.

III. Eligibility Information

    A. Eligible Applicants. Eligible applicants include: HUD-approved 
Local Housing Counseling Agencies (LHCAs); HUD-approved national and 
regional intermediaries (Intermediaries); and State Housing Finance 
Agencies (SHFAs).
    B. Cost Sharing or Matching. No specific ratio is required. 
However, in order to receive points under Rating Factor 4, applicants 
are required to demonstrate the commitment of other private and public 
sources of funding to supplement HUD funding for the applicant's 
counseling program. HUD does not intend for its Housing Counseling 
grant to cover all costs incurred by an applicant.
    C. Other. 1. Eligible Activities for Awards Under All Applicant 
Categories. Grantees and sub-grantees will only be reimbursed for the 
applicable activities outlined in this Section.
    a. Individual counseling or group education/classes regarding the 
following topics:
    (1) Pre-Purchase/Homebuying. This includes: evaluating mortgagor 
readiness; search assistance/mobility; fair housing, including whether 
or not the beneficiary belongs to a protected class, and how to 
recognize discrimination; budgeting for mortgage payments; money 
management (does not include administration of debt management plans 
whereby an organization pays bills on behalf of a client); selecting a 
real estate agent; and home inspection. This also may include guidance 
on: alternative sources of mortgage credit; how to apply for special 
programs available to potential homebuyers; how to identify and avoid 
predatory lending practices; locating housing that provides universal 
design and visitability; locating sources and methods to help pay for 
accessibility modifications; how to purchase a home using the Section 8 
Homeownership Voucher Program; and referrals to community services and 
regulatory agencies. Applicants that provide homebuyer education must 
also offer individual counseling that complements the group sessions.
    (2) Resolving or Preventing Mortgage Delinquency or Default. This 
includes: restructuring debt, obtaining re-certification for mortgage 
subsidy, establishing reinstatement plans, seeking loan forbearance, 
and managing household finances. This can also include helping clients 
affected by predatory lending, homeownership preservation and 
foreclosure prevention strategies, explaining the foreclosure process, 
providing referrals to other sources, and assisting clients with 
locating alternative housing, or pursuing loss mitigation strategies.
    (3) Non-Delinquency Post-Purchase, Including Improving Mortgage 
Terms and Home Improvement. This includes information and advice on 
finding favorable mortgage loan terms, personal money management, and 
relations with lenders. It also includes: home improvement and 
rehabilitation; property maintenance; loan and grant options; the loan 
or grant application processes; what housing codes and housing 
enforcement procedures apply for the intended activity; accessibility 
codes and how to design features to provide accessibility for persons 
with disabilities; non-discriminatory lending and funding for persons 
who modify their dwellings to accommodate disabilities; visitability 
and universal design; how to specify and bid construction work; how to 
enter into construction contracts; and how to manage construction 
contracts, including actions to address the non-performance of 
contractors. Agencies that provide post-purchase education classes must 
also offer individual counseling to complement group sessions.
    (4) Locating, Securing, or Maintaining Residence in Rental Housing. 
This refers to renter-related topics, including: helping clients obtain 
and utilize rent subsidies; pre-rental search assistance/mobility 
counseling; budgeting for rent payments; educating clients on 
landlords' and renters' rights; explaining the eviction process; 
ensuring clients understand their rights when faced with displacement; 
explaining the responsibility of the entity causing displacement; and 
providing assistance with locating alternate housing.
    (5) Shelter or Services for the Homeless. Includes referrals to 
social, community, and homeless services such as emergency shelter or 
transitional housing.
    b. HECM Counseling. This includes providing the statutorily-
required counseling to individuals/families that may be eligible for, 
or are interested in obtaining, an FHA-insured Home Equity Conversion 
Mortgage (HECM). This counseling assists elderly homeowners who seek to 
convert equity in their

[[Page 11527]]

homes into income that can be used to pay for home improvements, 
medical costs, living expenses, or other expenses.
    c. Marketing and Outreach Initiatives. This includes providing 
general information and materials about housing opportunities and 
issues, conducting informational campaigns, advocating with lenders for 
non-traditional lending standards, and raising awareness about critical 
housing topics, such as predatory lending or fair housing issues. 
(Note: affirmative fair housing outreach should be directed at those 
populations least likely to seek counseling services, including those 
of racial, religious or national groups not normally served by the 
sponsoring agency. To do so, it may be necessary to broaden the target 
areas or provide translation and interpretive services in languages 
other than English in order to reach a greater variety of racial and 
ethnic minorities. It may also require providing outreach and services 
in alternative formats for persons with disabilities).
    d. Training. Training to increase the capacity of housing 
counselors and program managers.
    e. Computer equipment/systems. Computer equipment/systems with the 
objective of improving the quality of counseling and education services 
available.
    f. Administrative Costs. For intermediaries and SHFAs, 
administrative costs associated with managing a network of housing 
counseling agencies and providing technical assistance.
    2. Threshold Requirements. Applications that do not meet all of the 
following Threshold Requirements are not eligible to receive an award 
from HUD.
    a. Applicants, and subgrantees, must meet the Threshold 
Requirements in the General Section.
    b. Minimum grant request. Applications must contain a request for 
comprehensive funds of not less than $20,000 from LHCAs, not less than 
$50,000 from SHFAs and not less than $200,000 from Intermediaries. 
Applications for lesser amounts will not be considered. Intermediaries 
must request a minimum of $500,000 for HECM supplemental funding. HUD 
will consider the amount of the comprehensive counseling grant being 
requested to be the value entered into box 18a on form SF-424. For 
intermediaries also requesting HECM supplemental funding, box 18a of 
form SF-424 should reflect the total of the comprehensive request and 
the HECM supplemental request. For these intermediaries requesting 
both, the narrative response to Factor 3 must make clear the exact 
comprehensive and supplemental amounts being requested.
    c. Only HUD-approved Housing Counseling Agencies and SHFAs may 
apply. Applicants must be currently approved by HUD as an LHCA or as a 
housing counseling intermediary, and have secured HUD approval as a 
housing counseling agency by the publication date of this Housing 
Counseling Program NOFA. SHFAs are not required to be HUD-approved, but 
must meet the eligibility requirements listed in this NOFA.
    d. Applicants Requesting Supplemental HECM Funding. No separate 
application is needed to apply for supplemental funding. However, 
applicants requesting supplemental HECM funding must meet the following 
requirements:
    (1) Request the supplemental funding by identifying in box 18a of 
form SF-424 the total of the comprehensive request and the HECM 
supplemental request, and making clear in the narrative response to 
Factor 3 the exact comprehensive and supplemental amounts being 
requested;
    (2) Identify HECM-related needs in the target community in its 
response to Rating Factor 2;
    (3) Respond to all HECM-related requests for information throughout 
the NOFA;
    (4) Include counseling and other related activities targeted at 
HECM clients over and above the proposed comprehensive counseling 
activities listed in response to the Rating Factors; and
    (5) Indicate in the Rating Factors how many individuals will be 
served specifically with the requested supplemental funding for HECM 
counseling in addition to those served under the comprehensive 
counseling award. Be sure to clearly identify the total number 
projected to be served, the activities to be provided, and the output 
and outcome goals to be achieved with the supplemental funding.
3. Other Program Requirements
    a. To receive a grant or subgrant under this Housing Counseling 
NOFA, all applicants and subgrantees (except SHFAs) must be:
    (1) In good standing under the laws of the state of their 
organization; and
    (2) Authorized to do business in the states where they propose to 
provide housing counseling services.
    (3) All grantees and sub-grantees must make counseling offices and 
services accessible to persons with a wide range of disabilities and 
help persons locate suitable housing in locations throughout the 
applicant's community, target area, or metropolitan area, as defined by 
the applicant.
b. Limits on Applications
    1. HUD-approved LHCAs. HUD-approved LHCAs may apply for and 
receive: one grant under Applicant Category 1; or one sub-grant from an 
intermediary or SHFA under Applicant Category 2 or 3, but not both. The 
only exceptions to this rule are: (a) HUD-approved LHCAs with one or 
more HUD HECM Network Counselors may receive a sub-grant or be 
reimbursed exclusively for HECM counseling activities from a HUD-
approved intermediary administering the HECM supplemental funds made 
available through this NOFA or by another entity designated by HUD; 
and/or (b) HUD-approved LHCAs may also receive a sub-grant or be 
reimbursed for default counseling activities by a HUD-approved 
intermediary that is dedicated to foreclosure prevention exclusively.
    Funded LHCAs may not make sub-grants to other HUD-approved LHCAs or 
non-HUD-approved entities.
    2. HUD-approved Intermediaries. HUD approved intermediaries may 
only apply for a grant under Applicant Category 2. HUD-approved 
intermediaries are also eligible for supplemental funding for HECM 
counseling.
    3. SHFAs. SHFAs may only apply for grants under Applicant Category 
3 for comprehensive counseling funds.
c. Sub-Grantees of Intermediaries and SHFAs
    (1) Sub-grantees of intermediaries and SHFAs are not required to be 
HUD-approved, although HUD-approved LHCAs may apply to an intermediary 
or SHFA as a sub-grantee.
    (2) Intermediaries and SHFAs that award sub-grants to counseling 
agencies that are not HUD-approved must assure that the sub-grantee 
organizations meet or exceed HUD's approval standards.
    (3) Sub-grantees must also be in compliance with all civil rights 
threshold requirements. Intermediaries that do not ensure their sub-
grantee's compliance with HUD standards may be prohibited from 
participating in the Housing Counseling Program. HUD will monitor sub-
grantees.
    (4) To be eligible for funding under Categories 2 or 3, proposed 
sub-grantees or branches must not have directly applied for or received 
a grant under Category 1 of this NOFA, or applied for or received a 
sub-grant or funding from another intermediary or SHFA under Category 2 
or 3 of this NOFA. Sub-

[[Page 11528]]

grantees or branches may apply for and receive funding from only one 
intermediary or SHFA under Category 2 or 3, but not both. The only 
exceptions to this rule are: (a) Sub-grantees or branches that have one 
or more HUD HECM Network Counselors that receive a sub-grant or funding 
from an intermediary or SHFA under Category 2 or 3 may also receive a 
sub-grant or funding or be reimbursed exclusively for HECM counseling 
activities, from a HUD-approved intermediary administering the HECM 
supplemental funds made available through this NOFA or by another 
entity designated by HUD; and/or (b) sub-grantees or branches may also 
receive a sub-grant or be reimbursed for default counseling activities 
by an intermediary that is dedicated to foreclosure prevention.
    (5) Intermediaries and SHFAs that make sub-grants must execute sub-
grant agreements with sub-grantees that clearly delineate the mutual 
responsibilities for program management, including appropriate time 
frames for reporting results to HUD. Intermediaries and SHFAs have wide 
discretion to decide how to allocate their HUD Housing Counseling 
funding among sub-grantees, with the understanding that a written 
record must be kept documenting and justifying funding decisions. This 
record must be made available to sub-grantees and to HUD.
    d. List of HUD-approved Housing Counseling Agencies. Pursuant to 
section 106 (c)(5)(D) of the Housing and Urban Development Act of 1968, 
HUD maintains a list of all HUD-approved and HUD-funded counseling 
agencies, including contact information that interested persons can 
access. All HUD-approved LHCAs and their branches, and all sub-grantees 
and branches that receive funding under Applicant Categories 2 and 3 of 
this NOFA may be placed on this list and must accept subsequent 
referrals, or when they do not provide the services sought, make a 
reasonable effort to refer the person to another organization in the 
area that can provide the services.
e. Non-Discrimination Requirement
    (1) Grant recipients and sub-grantees are prohibited from 
discriminating on behalf of or against any segment of the population in 
the provision of services or in outreach.
    (2) Organizations funded under this program may not engage in 
inherently religious activities, such as worship, religious 
instruction, or proselytization, as part of the programs or services 
funded under this program. If an organization conducts such activities, 
these activities must be offered separately, in time or location, from 
the programs or services funded under this part, and participation must 
be voluntary and not a condition of the HUD-funded programs or 
services.
    f. Indirect Cost Rate. Grantees that plan to use grant funds to 
cover direct costs only are not required to provide an indirect cost 
rate. However, Grantees that plan to use grant funds to cover any 
indirect costs must submit their approved indirect cost rate 
established by the cognizant federal agency. If the grantee does not 
have an established indirect cost rate, it will be required to develop 
and submit an indirect cost proposal to HUD, or the cognizant federal 
agency as applicable, for determination of an indirect cost rate that 
will govern the award. Applicants that do not have a previously 
established indirect cost rate with a federal agency shall submit an 
initial indirect cost rate proposal immediately after the applicant is 
advised that it will be offered a grant and, in no event, later than 
three months after the start date of the grant. OMB Circular A-122 
established the requirements to determine allowable direct and indirect 
costs and the preparation of indirect cost proposals, and can be found 
at www.whitehouse.gov/omb. Applicants can review Indirect Cost Training 
on www.hud.gov at: http://www.hud.gov/offices/adm/grants/training/training.cfm.
    g. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). Section 3 does not apply to Housing Counseling Grants.
    h. Ensuring the Participation of Small Businesses, Small 
Disadvantaged Businesses, and Woman-Owned Businesses. See the General 
Section for information on this topic.
    i. Subcontracting. Grantees and sub-grantees must deliver all of 
the counseling activities set forth in the applicant's work plan 
provided in Factor 3 of this NOFA. Subcontracting with other entities 
is permitted only in geographical areas where no HUD-approved housing 
counseling agency exists; however, the subcontractor must meet or 
exceed the standards for a HUD approved agency.
    j. Conflicts of Interest. See the General Section. In addition, a 
grantee or sub-grantee that is using grant funds to pay a subcontractor 
for housing counseling services pursuant to a housing counseling sub-
agreement is prohibited from having a controlling interest in that 
subcontractor or vice versa. In other words, a grantee or sub-grantee 
cannot use grant funds to pay for housing counseling services by a 
subcontractor, if the subcontractor is partially or fully-controlled by 
the grantee or sub-grantee, or affiliate or vice versa.
    k. Accessible Technology. See the General Section.
    l. Participation in HUD Sponsored Program Evaluation. See the 
General Section.

IV. Application and Submission Information

    A. Receiving an Application Package. Applicants may download the 
instructions to the application found on the Grants.gov Web site at 
www.Grants.gov. The instructions contain the General Section and 
Program Section of the published NOFA as well as forms that you must 
complete and attach as a zip file to your application submission. If 
you have difficulty accessing the information you may call the 
Grants.gov Support desk toll free 800-518-GRANTS or e-mail your 
questions to Grants.gov">Support@Grants.gov.
    B. Content and Form of Application Submission. Please be sure to 
read the General Section for application deadline and timely receipt 
requirements as HUD is using electronic application submission via 
www.Grants.gov. In addition to the instructions in the General Section 
follow the instructions below:
    1. Size Limitations and Format for Narrative Statements. Applicants 
must be as specific and direct as possible. For LHCAs, the narrative 
portion (responses to all factors) must be limited to 50 double-spaced, 
12-point font, single-sided pages. Intermediaries and SHFAs are limited 
to a total of 100 double-spaced, 12-point font, single-sided pages for 
the narrative portion. Pages in excess of the size limit will not be 
read. Number the pages of the narrative statements and include a header 
that includes the applicant's name and the Rating Factor number and 
title. Within each narrative, clearly identify each sub-factor 
immediately above the response for that sub-factor.
    2. Application Checklist. The Application Checklist indicates 
forms, information, certifications and assurances that apply to this 
NOFA.

Housing Counseling NOFA Application Checklist

    a. SF-424, Application for Federal Assistance
    b. SF-424 Supplement--Survey on Ensuring Equal Opportunity for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov) 
(optional)
    c. HUD 424 CB, Grant Application Detailed Budget (``HUD Detailed 
Budget Form'' on Grants.gov);

[[Page 11529]]

    d. SF-LLL, Disclosure of Lobbying Activities (if applicable)
    e. HUD-27300, Questionnaire for HUD's Initiative on Removal of 
Regulatory Barriers (``HUD Communities Initiative'' on Grants.gov) 
(optional regarding eligibility, but mandatory to receive credit in 
Factor 2 for the Regulatory Barriers policy priority)
    f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov)
    g. HUD-2990, Certification of Consistency with the RC/EZ/EC-II 
Strategic Plan (LHCAs only, if applicable)
    h. HUD-2991, Certification of Consistency with the Consolidated 
Plan (optional)
    i. HUD-2994, You Are Our Client Grant Applicant Survey (optional)
    j. HUD-96010, Program Outcome Logic Model
    k. HUD-96011 Third Party Documentation Facsimile Transmittal 
(``Facsimile Transmittal Form'' on Grants.gov) (to be used to transmit 
third party documents as part of your electronic application)
    l. HUD-9902, Housing Counseling Agency Fiscal Year Activity Report 
For the Period October 1, 2005 through September 30, 2006 (only 
required for Applicants who did not electronically submit to HUD a form 
HUD-9902 for the period October 1, 2005 through September 30, 2006, for 
example, applicants that received approval as a HUD housing counseling 
agency after September 30, 2006.) HUD will utilize the 9902 data in 
HUD's Housing Counseling System. However, HUD will consider a revised 
9902 submitted with this application if it is accompanied by an 
acceptable explanation regarding why the data was revised.
    m. SHFA Statutory Authority. SHFAs must submit evidence of their 
statutory authority to operate as a SHFA, as defined in this NOFA, and 
must submit evidence of their authority to apply for funds and 
subsequently use any funds awarded. Applicants should verify that their 
agency profile information is accurately represented in HUD's Housing 
Counseling System (HCS) and validate the information prior to 
submitting the grant application.
    n. Organization Description. Applicants must provide a brief 
description, no more than 225 words, of their organizational history 
and proposed grant activities, as they would like them to appear in the 
press release issued by HUD in the event that the applicant is funded 
through this NOFA.
    o. Narrative statements as required in this NOFA.
    C. Submission Dates and Times. A complete application package must 
be received and validated electronically by the Grants.gov portal no 
later than 11:59:59 p.m. eastern time on or before the applications 
deadline date. Applicants are advised to submit their applications at 
least 48 to 72 hours in advance of the deadline date and when the 
Grants.gov help desk is open so that any issues can be addressed prior 
to the deadline date and time. Please note that validation may take up 
to 72 hours. Please be sure to read the General Section for timely 
submission and receipt. Failure to follow the submission requirements 
and procedures may affect your ability to receive an award.
    D. Intergovernmental Review. The Housing Counseling Program is not 
subject to Intergovernmental Review.
    E. Funding Restrictions. 1. Funding is limited to the eligible 
activities described in Section III.C.1 of this NOFA.
    2. Pre-award Costs. Grantees may incur pre-award costs not more 
than 90 calendar days prior to the effective date of the grant 
agreement and only with prior approval from HUD. All pre-award costs 
are incurred at the applicant's risk and HUD has no obligation to 
reimburse such costs if the award is inadequate to cover such costs or 
the award offer is withdrawn because of the applicant's failure to 
satisfy the requirements of this NOFA, the grant agreement or program 
requirements.
    F. Other Submission Requirements. Applications must be submitted 
via the Grants.gov Web site at http://www.grants.gov/applicants/apply--
for--grants.jsp by no later than the established deadline date and 
time. See the General Section for further information. Applicants 
interested in applying for funding under this NOFA must submit their 
applications electronically or request a waiver from the electronic 
submission requirement. Applicants must submit their waiver requests in 
writing using e-mail. Waiver requests must be submitted no later than 
15 days prior to the application deadline date and should be submitted 
to [email protected]. If granted a waiver the notification will 
provide instructions on where to submit the application and how many 
copies are required. Paper copy applications must be received by the 
deadline date. HUD will not accept a paper application without a waiver 
being granted. See the General Section for detailed submission and 
timely receipt instructions.
    A. Criteria. The Factors for Award, and maximum points for each 
factor, are outlined below. These factors will be used to evaluate all 
applications. The maximum number of points for each applicant is 102 
for LHCAs and 100 for all other applicants.
    1. Bonus Points--``RC/EZ/EC-II.'' ONLY LHCAs are eligible for 2 
bonus points. See the General Section for information regarding ``RC/
EZ/EC-II'' bonus points. Form HUD-2990 must be signed by the 
organization head of the RC/EZ/EC7-II not the representative of the 
jurisdiction in which the RC/EZ/EC-II exists.
    2. Additional Information. HUD may rely on information from 
performance reports, financial status information, monitoring reports, 
audit reports, and other information available to HUD to make score 
determinations to any relevant Rating Factor.
    3. Responses to Factors for Award. Responses to the following 
rating factors should provide HUD with detailed quantitative and 
qualitative information and relevant examples regarding the housing 
counseling work of the organization. The Rating Factors contain 
requests for additional information from applicants interested in 
supplemental HECM funding.
    In responses to the various factors and sub-factors, intermediaries 
and SHFAs should not submit a separate response for each proposed sub-
grantee and branch, but should provide a brief profile of each and 
summary response for their entire network, highlighting individual 
activities, partnerships, needs and/or results when appropriate.
    a. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (30 Points). HUD uses responses to this Rating 
Factor to evaluate the readiness and ability of an applicant and 
proposed sub-grantee and branch staff, to immediately begin, and 
successfully implement, the proposed work plan detailed in Rating 
Factor 3. HUD will also evaluate how effectively the applicant managed 
work plan adjustments that may have been required if performance 
targets were not met within established timeframes and how often work 
plan adjustments were required.
    (1) Applicants must provide the following information to support 
evaluation of this Rating Factor. Information must be provided in a 
chart or table.
    (a) Number of full-time (35 hours + per week) housing counselors 
working for the applicant and, if applicable, proposed sub-grantees or 
branches;
    (b) Number of part-time housing counselors working for the 
applicant and, if applicable, proposed sub-grantees or branches;

[[Page 11530]]

    (c) Number of bilingual housing counselors working for the 
applicant and, if applicable, proposed sub-grantees or branches;
    (d) Average years of housing counseling experience for housing 
counselors working for the applicant and, if applicable, proposed sub-
grantees or branches;
    (e) Average years of housing counseling program management 
experience for the project director(s) for the applicant and, if 
applicable, proposed sub-grantees or branches;
    (f) Average years of related experience, such as experience in 
mortgage lending, for counselors and project managers;
    (g) Proposed average hourly labor-rate for housing counselors and 
project managers, including benefits.
    (2) Knowledge and Experience (11 points). Using the information 
provided above, demonstrate that the applicant, including proposed sub-
grantees and branches, has sufficient personnel with the relevant 
knowledge and experience to implement the proposed activities in a 
timely and effective manner, and bilingual language skills, if 
appropriate.
    Specifically, for LHCAs, scoring will be based on the number of 
years of recent and relevant experience of Housing Counseling Program 
project directors and recent housing counseling and relevant experience 
of housing counselors.
    For intermediaries and SHFAs, scoring will be based on:
     The number of years of recent and relevant experience of 
project directors of proposed sub-grantees and branches;
     The number of years of recent housing counseling and 
relevant experience of counselors in proposed sub-grantees and 
branches;
     The number of years, for key intermediary or SHFA 
personnel, of recent experience administering a housing counseling 
program consisting of a network of multiple housing counseling 
agencies. HUD will award higher scores to applicants with more 
experienced staff and management;
     Related experience, such as experience in mortgage 
lending, will also be considered, but will not be weighted as heavily 
in the scoring as direct housing counseling or housing counseling 
program management experience;
     HUD will also factor in other information that 
demonstrates the capacity of the applicant, such as relevant staff 
trainings and certifications.
    In scoring this section, HUD will evaluate whether the applicant 
has experience providing the proposed services. HUD will award higher 
scores to applicants with staff and management that have the greatest 
combination of experience, training and demonstrated competency.
    (a) LHCAs may provide individual descriptions of staff limited to 
one page. These descriptions do not count toward narrative page 
limitations. Intermediaries and SHFAs acting as intermediaries should 
summarize in a single chart, for each applicable employee, 
subcontractor, and consultant of proposed sub-grantees or branches, the 
number of years of direct counseling or counseling program management 
experience, and the number of years of relevant experience. Total each 
column. Do not submit individual resumes for sub-grantee staff. HUD 
staff will verify experience information submitted during monitoring 
reviews. The following must be included in each person's description:
     The names and titles of employees, including 
subcontractors and consultants who will perform the activities proposed 
in the applicant's work plan in Rating Factor 3. Clerical staff should 
not be listed.
     Individual current housing counseling duties and 
responsibilities;
     Experience in providing one-on-one and group counseling 
(describe each separately);
     Relevant professional background and experience, and;
     Bilingual language skills, if applicable.
     Experience is relevant if it corresponds directly to 
projects of a similar scale and purpose. Provide the number of years of 
experience for each position listed and indicate:
     Where and when each position was held;
     Whether the position was full-time or part-time;
     In the case of part-time positions, the number of hours 
per week.
    Applicants for HECM supplemental funding must specify the HECM 
experience of project directors, HUD HECM Network Counselors and the 
organization. They must also indicate the number of HUD HECM Network 
Counselors that are in the applicant's network at the time of 
application, and that the applicant proposes to fund with the requested 
award;
    (b) Also indicate in the chart for all housing counselors and 
project directors the specialized trainings received within the last 
two years relevant to the proposed activities, including specific 
trainings regarding FHA programs. Include when the training was 
received and who provided it. Do not include on-the-job training. 
Applicants that seek supplemental funds for HECM counseling must 
indicate what relevant training counselors received to prepare them as 
HECM counselors.
    (c) Indicate which housing counselors are certified housing or 
financial counselors. Describe what type of certification is held, who 
provided it, when the certification was received, and if applicable, 
the date certification expires.
    (d) Identify the Client Management System utilized by the 
applicant, affiliates, and branches, if applicable, during the grant 
period October 1, 2005, to September 30, 2006. Applicants that used a 
system during this period that interfaces or will interface with HUD's 
database will be awarded more points than applicants that did not 
utilize a web-based system.
    If the applicant does not currently use an on-line or web-based 
system but plans to in the coming grant period, October 1, 2007 through 
September 30, 2008, indicate which system will be used, and how its use 
will be implemented in terms of training employees to use it and its 
ability to improve client services and generate reports.
    (3) Grant and Program Requirement Compliance (14 points).
    In scoring this Section, HUD will evaluate how well the applicant 
met the Program requirements, including reporting and grant document 
execution, if applicable, for the period October 1, 2005, to September 
30, 2006, and its ability to spend all grant funds allotted.
    If the applicant did not receive an FY2005 HUD grant, it must 
provide a response, with sufficient detail for HUD to evaluate 
compliance, based on activities and requirements under other sources of 
funding, such as other federal, state, or local grant awards. Identify 
the source(s) and amount(s) of funds used for housing counseling. 
Provide relevant contact information for the agencies or organizations 
administering these programs so HUD can verify that the information you 
report is accurate.
    (a) Grantee Requirements. HUD will evaluate the applicant's 
performance with regard to the timeliness and completeness with which 
the applicant satisfied grant requirements, including grant document 
execution, grant reporting requirements including quarterly (if 
applicable), mid-term and final reports.
    (b) Form HUD-9902. HUD will deduct points if the applicant was 
required to submit a form HUD-9902 for the period October 1, 2005 
through September 30,

[[Page 11531]]

2006, but failed to do so in a timely manner.
    (c) Expending Grant Funds. If grant awards were not fully expended 
during the grant period October 1, 2005, to September 30, 2006, provide 
an explanation as to the reason why and the steps the applicant has 
taken to ensure that future funding will be expended according to the 
terms of the grant agreement.
    (d) Performance Reviews. Significant findings on performance 
reviews conducted by HUD staff will be taken into consideration when 
scoring this section. Significant findings may be findings that suggest 
an applicant has operated its agency in a manner inconsistent with the 
Housing Counseling program.
    (e) Housing Counseling System (HCS). HUD will evaluate applicant's 
timeliness and effectiveness in validating and updating agency 
information in HCS. Intermediaries and SHFAs must describe procedures 
and quality control measures used to verify sub-grantee, and if 
applicable branch or affiliate, information is validated in HCS on a 
regular basis.
    (4) Management--Goals and Results (5 points). In scoring this 
section, HUD will compare applicant output and outcome goals and actual 
results for the period October 1, 2005 through September 30, 2006, and 
evaluate subsequent changes in approach resulting from any differences, 
if applicable. HUD's primary concern is how the applicant managed 
change, when needed, within the organization as well as a clear and 
reasonable explanation as to why goals were not met, or why they were 
exceeded, and what steps were taken organizationally to accommodate 
either scenario.
    For applicants that received a FY2005 housing counseling grant 
covering the period October 1, 2005 to September 30, 2006, HUD will 
compare the projections made in the Program Outcome and Output Logic 
Model, Form HUD-96010 submitted with the FY2005 Housing Counseling 
NOFA, including any adjustments based on actual award amounts, to the 
corresponding actual results for that period reported by the applicant 
on the Form HUD-9902 submitted to HUD.
    Applicants who did not receive a FY2005 Housing Counseling Grant 
and therefore did not finalize outcome and output projections, or who 
are recently approved, or who were a sub-grantee of an intermediary or 
SHFA for the period of October 1, 2005 through September 30, 2006, and 
are now applying for funding under the LHCA category must indicate the 
detailed, quantifiable goals the organization set for itself for the 
period covering October 1, 2005 to September 30, 2006, or for the 12 
month period ending December 31, 2006 if more appropriate to the 
applicant's or other grant-requiring reporting schedule. Also provide 
the actual results corresponding to these goals and explain any 
differences in goals versus actual results and indicate what 
measurement reporting tools were used as well as describe the 
evaluation process. The Logic Model Instructions, which is tab 1 of 
Form HUD-96010, provides information regarding measurement reporting 
tools and the evaluation process. If describing goals corresponding to 
other grant programs or sources of funding, provide relevant contact 
information for the agencies or organizations administering those 
programs so HUD can verify that the goals and corresponding 
achievements you report are accurate.
b. Rating Factor 2: Need/Extent of the Problem (12 Points).
    This factor addresses the extent to which there is a need for 
funding the proposed activities described in the applicant's work plan, 
and the degree to which the applicant's work plan substantively 
addresses departmental policy priorities.
    (1) Needs Data (6 points). Provide current or recent economic and 
demographic data, and any other evidence that demonstrates housing 
counseling need relevant to the target area. All proposed activities in 
Factor 3 must have corresponding need-related data. Sources for all 
data provided must be clearly cited. Do not submit copies of reports or 
tables.
    To the extent that the community the applicant serves has 
documented need in its Consolidated Plan, Analysis of Impediments to 
Fair Housing Choice (AI), or other planning documents, provide these in 
the response. Economic and demographic data must include persons with 
disabilities located in the target area. The U.S. Census Bureau, for 
example, maintains disability data by state, county, and metropolitan 
statistical area (MSA) at the following Web site: http://www.census.gov/hhes/www/disability/disability.html. Additionally, the 
HUD USER Research Information Service and Clearinghouse, available at 
http://www.huduser.org/, allows users to search over 800 HUD 
publications by subjects and keywords.
    In scoring this Section, HUD will evaluate the degree to which the 
applicant provides current or recent economic and demographic data, and 
any other evidence that demonstrates housing counseling need relevant 
to the target area and the activities proposed in projected work plan 
activities detailed in Rating Factor 3. Applicants that fail to 
identify current or recent objective data will not receive full points 
for this factor.
    (2) Departmental Policy Priorities (6 points). The Departmental 
policy priorities are described in detail in the General Section. Of 
those listed, the following five apply to the Housing Counseling 
Program for the purpose of this NOFA. Indicate if and describe how the 
applicant's work plan substantively addresses each of these 
departmental policy priorities. Applicants are advised to review the 
policy priorities in the General Section, to assure they fully 
understand the meaning of each, prior to responding to this sub-factor.
    In scoring this section, the applicant will receive one point for 
each of the departmental policy priorities (a)--(d) that the projected 
work plan in Factor 3 substantively addresses. Up to 2 points are 
available for priority (e). The General Section and HUD's Notices 
identify how policy priority points will be awarded. Copies of HUD's 
notices published on this issue, can be found on HUD's Web site at 
http://www.hud.gov/grants/index.cfm.
    (a) Providing Increased Homeownership and Rental Opportunities for 
Low- and Moderate-Income Persons, Persons with Disabilities, the 
Elderly, Minorities, and Families with Limited English Proficiency.
    (b) Providing Full and Equal Access to Grassroots, Faith-Based and 
Other Community-Based Organizations in HUD Program Implementation.
    (c) Participation of Minority-Serving Institutions in HUD Programs. 
Identify partnerships with minority-serving institutions of higher 
learning such as colleges and trade schools.
    (d) Participation in Energy Star. Applicants must provide 
information on how they promote or plan to promote Energy Star 
materials and practices and buildings constructed to Energy Star 
standards to homebuyers, renters and other applicable counseling 
clients. Describe any outreach activities previously conducted and/or 
planned to promote Energy Star products.
    (e) Removal of Regulatory Barriers to Affordable Housing. Under 
this policy priority, higher rating points are available to (1) 
governmental applicants that are able to demonstrate successful efforts 
in removing regulatory barriers to affordable housing and (2) 
nongovernmental applicants that are associated with jurisdictions that 
have undertaken successful efforts in removing barriers. To obtain the 
policy

[[Page 11532]]

priority points for efforts to successfully remove regulatory barriers, 
applicants must complete form HUD-27300, ``Questionnaire for HUD's 
Initiative on Removal of Regulatory Barriers.'' A limited number of 
questions on form HUD-27300 expressly request the applicant to provide 
brief documentation with its response. Other questions require that, 
for each affirmative statement made, the applicant supply a reference, 
URL or brief statement indicating where the back-up information may be 
found, and a point of contact, including a telephone number or e-mail 
address. Applicants that do not provide the required URL references, 
points of contact (POC) or other back-up documentation will not be 
eligible for the points associated with this policy priority. When 
addressing this policy priority, Intermediaries and SHFAs should 
complete a HUD-27300 that identifies the jurisdiction in which the 
preponderance of services will be performed if an award is made.
    c. Rating Factor 3: Soundness of Approach/Scope of Housing 
Counseling Services (35 Points). This factor addresses the quality and 
effectiveness of the applicant's historical and proposed housing 
counseling activities.
    (1) Historical Performance-Quality and Complexity of Services (8 
Points).
    In scoring this section, HUD will evaluate the quality of, the 
variety of, and the level of effort and time associated with all the 
housing counseling services provided by the applicant from all funding 
sources during the period October 1, 2005 through September 30, 2006. 
Responses should contain ``Historical Performance'' as part of the 
heading for the response. Applicants must provide the following 
information:
    (a) Average hours of housing counseling per client, for the period 
October 1, 2005, through September 30, 2006, for each of the following 
service types, including follow-up, the applicant organization 
provides. Do not provide a range of hours.
    (i) Pre-purchase Counseling
    (ii) Homebuyer Education
    (iii) Delinquency/Default Counseling
    (iv) Non-Delinquency Post-Purchase Counseling
    (v) Home Equity Conversion Mortgage (HECM) Counseling
    (vi) Post-Purchase Education
    (vii) Rental Counseling
    (viii) Homeless/Displacement Counseling
    (ix) Predatory Lending Counseling
    (x) Homeownership Voucher Counseling and Education
    (xi) Fair Housing Issues.
    (xii) Other (describe)
    Describe the level of effort and time required to provide the 
housing counseling services described and to meet the needs of clients. 
Explain the average counseling time per client figures above. Scoring 
will be based on the degree to which the applicant demonstrates, as 
compared to other applicants, that sufficient time and resources were 
devoted to ensure that clients received quality counseling.
    (b) Types of Counseling and Services Offered: HUD will retrieve 
this information from the HUD-9902, ``All Counseling Activities'' 
column, through the Housing Counseling System (HCS). Verify that the 
information from this source is accurate. Scoring of the variety of 
housing counseling services offered is weighted to provide the most 
points for HECM and Post Purchase Default/Loss Mitigation counseling.
    (c) Group Education and One-On-One Counseling. For the period 
October 1, 2005, through September 30, 2006, HUD will retrieve from 
Section 6a-b of form HUD-9902, ``All Counseling Activities'' column, 
the number of clients that participated in Homebuyer Education 
Workshops or other types of classes offered as group sessions and will 
retrieve from Section 7a-e, the number of clients that participated in 
one-on-one counseling. Applicants should explain the figures provided 
in Form HUD-9902, ``All Counseling Activities'' column, regarding group 
session participation and one-on-one counseling. Describe how clients 
come to participate in one or the other, the relationship between the 
two, and the role that each plays in the applicant's overall service 
provision. Estimate the percentage of clients participating in both 
group education sessions and one-on-one counseling. Scorers will 
evaluate the extent to which an agency encouraged and provided one-on-
one counseling, which HUD considers the most effective form of housing 
counseling, instead of over-relying on homebuyer education workshops 
and other forms of group sessions.
    (d) For intermediaries and SHFAs, HUD will evaluate the number and 
location of sub-grantees and branches that received funding from the 
applicant through a FY2005 HUD housing counseling grant(s), if 
applicable, covering the period October 1, 2005-September 30, 2006.
    (2) Historical Performance--Impact/Outcomes (9 points). To score 
this Section, HUD will evaluate the applicant's performance for the 
period October 1, 2005, to September 30, 2006 as reported on the HUD 
9902, ``All Counseling Activities'' column. The quantity of clients the 
applicant served will be compared to similar applicants providing 
similar services. Clients served numbers will also be analyzed in the 
context of the applicant's total housing counseling budget for the same 
period, FY2005. HUD will also consider the degree to which the services 
provided were time and resource intensive. Additionally, for 
intermediaries and SHFAs, HUD will evaluate the geographic coverage and 
scope of the applicant's activities for the period October 1, 2005, 
through September 30, 2006, including the number of states served by 
affiliates or branches, if applicable, and the overall size of the 
housing counseling network during that period.
    (a) Cost per client. Clients served figures will be obtained from 
the Form HUD-9902, ``All Counseling Activities'' column, for the period 
October 1, 2005 through September 30, 2006, submitted to HUD by the 
applicant, which reflects activities funded both with HUD housing 
counseling grant funds, if applicable, and with other leveraged 
resources. Applicants that were not required to submit Form HUD-9902 
for the period October 1, 2005 through September 30, 2006 must complete 
one as part of this application. In addition, the applicant must 
provide the following information.
    (i) Total housing counseling budget for the period October 1, 2005-
September 30, 2006, including HUD housing counseling grant(s) or sub-
grants, if applicable, as well as other resources leveraged 
specifically for housing counseling. Do not include funds for down 
payment or closing cost assistance, Individual Development Accounts, 
emergency services, or other resources not used for the direct 
provision of housing counseling.
    (ii) If projections for outputs and/or outcomes were not met, 
indicate how location, type of counseling, client type, and expenses 
may have affected client volume. Justify expenses and explain why they 
were reasonable, strategic, and appropriate.
    (b) Percentage of Grant Funding Passed Through: Intermediaries and 
SHFAs that received one or more FY2005 HUD housing counseling grant, 
for the grant period October 1, 2005, to September 30, 2006, must also 
indicate what percentage of their grant(s) was passed through directly 
to sub-grantees or branches, and explain how funds not passed through 
were spent.
    LHCAs applying under Applicant Category 1 that received one or more 
FY2005 HUD housing counseling grants for the grant period October 1, 
2005, to September 30, 2006, must indicate what percentage of their 
grant(s) was spent on

[[Page 11533]]

the salaries and benefits of housing counselors and project directors. 
Explain how other funds were spent.
    All Applicants must indicate the sources and amounts spent on 
formal staff training during the grant period October 1, 2005, to 
September 30, 2006. Do not include on-the-job training.
    Applicants that did not receive a FY2005 HUD housing counseling 
grant must characterize their performance through other housing 
counseling funding sources, for example other federal, state or local 
government grants, providing as much detail, similar to that requested 
above, as possible.
    (c) Geographic Coverage: Intermediaries and SHFAs must identify the 
sub-grantees, affiliates and branches, and corresponding states, to 
which the applicant provided housing counseling funding, for the period 
October 1, 2005, through September 30, 2006, through:
    (i) FY2005 HUD housing counseling grant funds, if applicable.
    (ii) All housing counseling resources.
    (3) Projected Performance/Work Plan--Quality and Complexity of 
Services (9 points). This section involves information on the housing 
counseling services and other activities to be conducted during the 
period October 1, 2007, through September 30, 2008. In scoring this 
Section, HUD will consider the types and variety of housing counseling 
and education services being offered, and other activities occurring in 
support of the applicant's housing counseling program.
    HUD will also evaluate the quality of the applicant's proposed 
housing counseling services, and level of effort and time associated 
with providing the proposed counseling services to the number of 
clients it estimates it will serve. Scoring will be based on the degree 
to which the applicant demonstrates, as compared to other applicants, 
that for each type of counseling service delivered, average, greater 
than average or less than average time and resources will be devoted to 
ensure that clients receive quality counseling.
    Applicants must provide the following information, which will be 
used in conjunction with responses in Rating Factor 5, as a basis to 
support the scoring of the sub-factors below. There must be consistency 
between Rating Factor 3 and the projected outputs and outcomes in 
Rating Factor 5. Responses must contain ``Projected Performance'' as 
part of the heading for the response.
    (a) Describe the various types of housing counseling and education 
services, and if applicable intermediary activities, the applicant 
proposes to undertake, and identify the geographic area the services 
will cover. Also, describe planned follow-up activities, if applicable. 
Proposed services and activities must relate to the needs identified in 
Rating Factor 2. Scoring of the variety of housing counseling services 
offered is weighted to provide the most points for one-on-one 
counseling regarding HECM and Post Purchase Default/Loss Mitigation. To 
be eligible for the full points available for these service types, 
applicants proposing to provide HECM and/or Default/Loss Mitigation 
counseling must have prior HUD approval to provide these services.
    Intermediaries and SHFAs acting as intermediaries should describe 
in detail their plans to train proposed sub-grantees and branches, 
provide technical assistance, and evaluate compliance with program 
requirements, for example through site visits.
    (b) Average hours of housing counseling time the applicant 
estimates per client, for each of the activities listed in part (a), 
including follow-up. Do not provide a range of hours. If the projected 
average times are the same as those listed for the period covering 
October 1, 2005-September 30, 2006, the applicant may simply state so 
in lieu of listing them again here.
    (c) Indicate the names and titles of employees, including 
subcontractors and consultants, allocated to each proposed activity, as 
well as the corresponding staff hours for each task, and demonstrate 
that the applicant has the human resources to accomplish the proposed 
activities and serve the number of individuals the applicant proposes 
to serve. The staff information should include who from Rating Factor 1 
will be involved and any new staff, subcontractors or consultants that 
will be hired for the October 1, 2007-September 30, 2008 grant period.
    (d) Indicate proposed amount to be spent on formal staff training 
during the grant period October 1, 2007, to September 30, 2008 from all 
sources. Do not include on-the-job training.
    (e) Describe plans to effectively serve and/or communicate with 
persons with limited English proficiency (LEP) and persons with 
disabilities who require alternative formats, for example materials 
that are available in languages other than English.
    (f) Intermediaries and SHFAs must also:
    (i) Describe the housing counseling and education activities to be 
provided by proposed sub-grantees and branches, explicitly stating the 
types of services to be offered, preferably in a chart.
    (ii) Describe the applicant's legal relationship with sub-grantees 
(i.e. membership organization, field, or branch office, subsidiary 
organization, etc.)
    (iii) Explain the process that will be used to determine sub-
grantee funding levels and distribute funds. If applicable, indicate 
how sub-grantee funding levels are adjusted on an on-going basis based 
on performance.
    (4) Projected Performance/Work Plan--Coordination (5 points). HUD 
will consider the extent to which, as compared to similar applicants, 
the applicant can demonstrate it will coordinate proposed activities 
with other organizations, and if applicable, with other services and 
products offered by the applicant's organization in a manner that 
benefits their clients. Scoring will also be based on the degree to 
which the applicant takes steps to avoid conflicts of interest, and 
discloses to clients that they have a choice in matters such as the 
loan product they choose and the house that they purchase.
    (a) Identify and describe partnerships and efforts to coordinate 
proposed activities with other organizations, including, but not 
limited to, emergency and social services providers, lending 
organizations, homeowner insurance providers, down payment and closing 
cost assistance programs, nonprofit housing providers, and local or 
state government. For example, describe agreements with lenders 
regarding non-traditional lending standards or participation in the 
Consolidated Planning process or the Analysis of Impediments. Any 
written agreements or memoranda of understanding in place should be 
described. These agreements and memoranda of understanding will be 
reviewed by HUD staff as a part of the biennial reviews and on-site 
monitoring visits. Applicants should also highlight internal products 
and functions, if applicable, such as loan products available to 
clients, down payment and closing cost assistance programs, as well as 
internal affordable housing programs that can be a resource for 
clients. Applicants requesting HECM supplemental funding should 
highlight the partnerships or internal products that are relevant to 
HECM activities.
    (b) Describe plans to avoid conflicts of interest, such as methods 
for disclosing to participants that they are free to choose lenders, 
loan products, and homes, regardless of the recommendations made by 
counselors. To receive full credit in this Section, the applicant must 
submit the disclosure forms and materials used by the applicant to 
communicate to clients that, while affordable homes, lending

[[Page 11534]]

products and other forms of assistance might be available through the 
applicant, and partnerships in which the applicant has entered, the 
client is under no obligation to utilize these services. These plans 
and disclosures will also be reviewed by HUD staff as a part of the 
biennial reviews and on-site monitoring visits.
    (5) Projected Performance/Work Plan--Coverage/Efficient Use of 
Resources (4 points). In scoring this Section, HUD will evaluate the 
geographic coverage of the applicant's proposed activities, and 
spending decisions.
    (a) Percentage of Grant Funding To Be Passed Through: 
Intermediaries and SHFAs must indicate what percentage of their 
proposed award will be passed through directly to sub-grantees and 
branches, and explain how funds not passed through will be spent. LHCAs 
that apply under Applicant Category 1 must indicate what percentage of 
their proposed award will be spent on the salaries and benefits of 
housing counselors and project directors. Explain in detail how other 
proposed funds will be spent.
    (b) Geographic Coverage: Intermediaries and SHFAs must identify the 
sub-grantees and branches, and corresponding states, the applicant 
proposes will receive funding through this grant award. Indicate which, 
if any proposed sub-grantees and branches, serve Colonias. In the event 
that an intermediary is also applying for HECM supplemental funding, 
indicate the agencies and corresponding states in which the HUD HECM 
Network counselors you propose to fund are located. Applicants unable 
to precisely identify proposed sub-grantees and branches to receive 
funding through the proposed grant must identify the most likely sub-
grantees and branches, based on past experience, and explain what 
process will be used to select actual sub-grantees and branches. 
Pursuant to the applicable regulations at 24 CFR 84.82(d)(3)(iii) and 
85.30(d)(4), grantees must receive HUD's prior written approval for 
sub-grants.
    d. Rating Factor 4: Leveraging Resources (10 Points). HUD housing 
counseling grants are not intended to fully fund an applicant's housing 
counseling program, or that of its sub-grantees. All organizations that 
use housing counseling grant funds are expected to seek other private 
and public sources of funding for housing counseling to supplement HUD 
funding. Any agency that does not have other resources available will 
receive no points for this factor. Applicants will be evaluated based 
on their ability to show that they have obtained additional resources 
for their housing counseling activities, for the period October 1, 
2007--September 30, 2008, including: direct financial assistance; in-
kind contributions, such as services, equipment, office space, labor; 
etc. Resources may be provided by governmental entities, public or 
private nonprofit organizations, for-profit private organizations, or 
other entities committed to providing assistance. Grantees will be 
required to maintain evidence that leveraged funds were actually 
provided to the agency. These files will be reviewed by HUD staff as a 
part of the biennial reviews and on-site monitoring visits.
    (1) All Applicants must provide a comprehensive list of all 
leveraged funds and in-kind contributions being claimed. Include the 
amount and the source, and total it. Intermediaries and SHFAs must 
itemize the list of leveraged resources by each proposed sub-grantee 
and/or funded branch office. All leveraged resources claimed by an 
applicant, including cash and third party in-kind, must meet all of the 
criteria set forth in 24 CFR 84.23 and must be accounted for in the 
budget form 424CBW.
    (2) Additionally, for Category 1--Local Housing Counseling Agencies 
(LHCAs), in order to obtain points under this factor, the Applicant 
must demonstrate leveraging by providing letters and, if applicable, 
copies of relevant grant agreements, from entities or individuals, or 
both, committing resources to the project, that include:
    (a) The identity of the entity or individual committing resources 
to the project.
    (b) Dollar value of the resources to be committed. For in-kind 
resources with no clear total dollar value indicated, Applicants should 
estimate their value and describe in detail how the estimate was 
determined. Values for recipient contributions of services and property 
shall be established in accordance with the applicable cost principles.
    (c) The type of resources to be committed.
    (d) An indication that the resources will be available during the 
grant period pertaining to this NOFA, October 1, 2007-September 30, 
2008.
    (e) An indication that the award, or a specific portion of it, is 
intended for housing counseling.
    (f) The signature of an official of the entity legally able to make 
commitments on behalf of the entity.
    (g) No conditions that would nullify the commitment. (It is, 
however, acceptable for the commitment to be conditional on HUD 
funding.)
    (3) Additionally, resources provided by the applicant may count as 
leveraged resources. These amounts must include only funds that will 
directly result in the provision of housing counseling services, but 
not resources for activities such as down payment and closing cost 
assistance, IDA programs, and emergency services.
    (4) Intermediaries and SHFAs should include information on 
leveraged resources for only anticipated sub-grantees and branches that 
will be funded through this application.
    (5) Points for this factor will be awarded based on the amount of 
leveraging that meets the criteria in this section and the percentage 
of the applicant's total housing counseling budget that the requested 
HUD housing counseling funds would represent. The amount of grant funds 
requested will impact the ratio used to score this factor, as this 
factor evaluates the proposed HUD grant as a percentage of the total 
counseling budget. For example, a LHCA requesting the maximum 
comprehensive grant amount of $150,000 with leveraged funds equaling 
that grant will only receive 7 points. If that same LHCA requests only 
$100,000 with the same leveraged funds of $150,000, the score will be 
9. Depending on organization type, the following scales will be used to 
determine scores for this factor:

LHCAs and SHFAs

1-25%--10 points
26-40%--9 points
41-48%--8 points
49-55%--7 points
56-65%--6 points
66-75%--5 points
76-85%--4 points
86-91%--3 points
92-95%--2 points
96-99%--1 point

Intermediaries

1-15%--10 points
16-20%--9 points
21-26%--8 points
27-32%--7 points
33-41%--6 points
42-47%--5 points
48-53%--4 points
54-59%--3 points
60-65%--2 points
66-99%--1 point

    e. Rating Factor 5: Achieving Results and Program Evaluation (13 
points). This factor emphasizes HUD's determination to ensure that 
applicants meet commitments made in their applications and grant 
agreements and assess their performance in achieving agreed upon 
performance goals. This reflects HUD's Strategic goal to embrace

[[Page 11535]]

high standards of ethics, management and accountability.
    The purpose of this factor is for the applicant to identify 
projected outputs and outcomes corresponding to the proposed workplan 
in Factor 3. The developed logic model submitted with the application 
will serve as a reporting tool for applicants selected to receive an 
award, allowing HUD to compare proposed program outputs and outcomes 
with actual results. In scoring this Factor, HUD will consider the 
appropriateness of the goals given the award the applicant is applying 
for and evaluate the proposed outputs and outcomes for their 
effectiveness and efficiency in delivering housing counseling services 
to the population to be serviced. Additionally, scorers will evaluate 
the extent to which an applicant's proposal includes one-on-one 
counseling or encourages affiliates to undertake one-on-one counseling. 
HUD considers one-on-one counseling the most effective form of housing 
counseling, as compared to homebuyer education workshops and other 
forms of group sessions.
    (1) Program Outcome Logic Model (2 points). Applicants must select 
appropriate outputs and outcomes from a series of ``pick lists'' for 
the Housing Counseling Program. The pick list can be found in the form 
HUD-96010 in the Grants.gov Housing Counseling Program Instructions 
Download. Using the pick list, for each column of the logic model, 
applicants can select and insert their outputs and outcomes in the 
appropriate columns of the Logic Model.
    The pick lists also provide for an associate unit of measure for 
each output and outcome, and applicants must utilize the measure 
provided that is associated to the activity. Applicants must identify 
projected output and outcome values that correspond to the unit of 
measure. For example, insert whole numbers, not percentages, when the 
unit of measure is `Households'.
    These amounts should represent results to be achieved entirely as a 
result of the HUD housing counseling funding. If, in reality, various 
funding sources will contribute to the services provided each 
individual, the applicant must prorate their response to reflect a 
figure representing services provided with only funding from the 
proposed grant.
    Applicants should use the same methodology to complete the logic 
model as they do for form HUD-9902. For example, the logic model is not 
designed to record the exact number of clients projected or served, but 
rather the number of unique counseling or education services provided. 
So an individual or household that receives multiple, distinct types of 
counseling or education in a reporting period is recorded on the logic 
model multiple times. For example, if an individual comes in for one 
type of counseling (e.g. pre-purchase), they are recorded. If, later in 
the reporting period, the same individual comes in for another type of 
counseling, for example default counseling, record this new activity. 
By contrast, if multiple topics are covered in one counseling session, 
it is only recorded as one activity. Moreover, the form is designed to 
capture participation in each complete course on a unique education 
topic. For example: whether or not the course is completed in one 8-
hour session, or four 2-hour classes, it is counted as one course.
    In addition, HUD has provided a series of management questions, 
which awardees will be expected to respond to in reporting back to HUD. 
The management questions place a framework around the data you will be 
reporting to HUD. The management questions are included in the Logic 
Model and applicants should use them as a guide to understanding what 
HUD is interested in learning about the major element of your program. 
HUD will provide training on the Logic Model through webcasts and 
detailed step-by-step instructions for using the new form and format. 
The schedule for the webcasts and instructions can be found at http://www.hud.gov/offices/adm/grants/fundsavail. For FY2007, HUD is 
considering a new concept for the Logic Model. The new concept is a 
Return on Investment (ROI) statement. HUD will be publishing a separate 
notice on the ROI concept.
    Applicants must complete and submit Form HUD-96010 reflecting 
projected outputs and outcomes under the proposed HUD Housing 
Counseling grant. The Form HUD-96010 must identify:
    (a) Outputs. Outputs are the direct products of the applicant's 
activities that lead to the ultimate achievement of outcomes. Based on 
the proposed work plan in Factor 3 and the amount being requested 
through this NOFA, applicants should select the appropriate outputs and 
their associated units of measure from the choices provided in the pick 
list, and provide the corresponding number to be achieved for each 
proposed output.
    If requesting supplemental funding, indicate the specific number of 
households the applicant projects it, or if applicable, sub-grantees 
and branches, will serve under the comprehensive counseling portion of 
the requested award and with requested HECM supplemental funding.
    (b) Outcomes. Outcomes are benefits accruing to the households as a 
result of participation in the program. Outcomes are performance 
indicators the applicant expects to achieve or goals it hopes to meet 
over the term of the proposed grant. Using the pick lists provided, 
applicants should select each appropriate outcome and associated unit 
of measure related to the proposed work plan, and provide the 
corresponding number to be achieved for each proposed outcome. 
Projected outcomes should reflect the number you expect to report in 
the HUD Housing Counseling Grant Activities column on the Form HUD-
9902.
    The proposed outcomes the applicant provides will be compared to 
actual results in the measurement of grant performance and future grant 
application evaluations.
    (2) Projected Performance/Work Plan--Impact (6 points). In scoring 
this Section, HUD will evaluate the proposed outputs from the logic 
model, specifically the number of clients that the applicant estimates 
will be served under the proposed HUD grant, by the applicant and sub-
grantees, if applicable, for the grant period October 1, 2007, to 
September 30, 2008. Scoring will be based on the cost per client, 
compared to historical averages for similar services and similar 
applicants. Proposed clients served numbers will also be analyzed in 
the context of budget, costs, spending decisions, the types of services 
provided, level of effort expended, etc.
    (a) Provide a context for, or qualify the number of clients the 
applicant projects to serve with the proposed HUD grant. Indicate how 
location, counseling and client types, and expenses may affect client 
volume, and whether the impact will be short-term or long-term. Justify 
proposed expenses and explain why they are reasonable, strategic, and 
appropriate for the counseling activities identified above.
    (3) Projected Performance--Group Education and One-On-One 
Counseling. (3 points). HUD will utilize logic model output projections 
to evaluate what percentage of total clients the applicant estimates 
will participate in group education, what percentage will participate 
in one-on-one counseling, and what percentage will participate in both 
group sessions and one-on-one counseling. Applicants must complete each 
of these output projections. Describe how clients are selected for one 
or the other, the relationship between the two, and the role that each 
will play in the overall service

[[Page 11536]]

provision. Scorers will evaluate the extent to which an agency plans to 
encourage and provide one-on-one counseling, which HUD considers the 
most effective form of housing counseling, instead of over-relying on 
homebuyer education workshops and other forms of group sessions.
    (4) Evaluation Plan. (2 points). Applicants must also submit an 
evaluation plan for how they are going to track actual accomplishments 
against anticipated achievements and ensure that the program can 
provide the services projected to be delivered and outcomes projected 
to be achieved.
    (a) Information Collection. Describe the applicant's procedures for 
measuring outputs and outcomes. Describe follow-up activities with 
clients to collect outcome information.
    (b) Data Analysis and Work Plan Adjustments. Indicate how the 
information will be evaluated, and the steps the applicant has in place 
to make adjustments to the work plan if performance targets are not met 
within established timeframes. National and regional intermediaries and 
SHFAs should indicate if and how the performance of sub-grantees and 
branch offices affects current and future sub-grants and allocations.
    B. Review and Selection Process. Two types of reviews will be 
conducted.
    1. Technical Review. First, each application will be reviewed for 
technical sufficiency, in other words, whether the application meets 
the threshold requirements set out in this NOFA and the General Section 
and whether all required forms have been submitted. The General Section 
provides the procedures for corrections to deficient applications.
    2. General Review. The second review considers the responses to the 
rating factors outlined above and other relevant information. 
Applications will be evaluated competitively, and ranked against all 
other applicants that applied in the same funding category.
    3. Rating Panels. Detailed information on the rating review panels 
appears in the General Section.
    4. Minimum Score for Fundable Applications. The minimum score for 
fundable applications is 75 points.
    5. Funding Methodology.
    a. Comprehensive Counseling. Only applicants who receive a score of 
75 points or above will be considered eligible for funding. All 
eligible applicants will then be funded in proportion to the score they 
receive. Regarding the comprehensive counseling portion of an award, 
all grantees will receive the lower of either the comprehensive award 
amount determined with the formula, or the amount actually requested by 
the applicant. HUD will consider the amount of the comprehensive 
counseling grant being requested to be the value entered into box 18a 
on form SF-424. For intermediaries also requesting HECM supplemental 
funding, box 18a of Form SF-424 should reflect the total of the 
comprehensive request and the HECM supplemental request. For those 
intermediaries requesting both, the narrative response to Factor 3 must 
make clear the exact comprehensive and supplemental amounts being 
requested. The minimum award is $20,000 for LHCAs; $50,000 for SHFAs; 
and $200,000 for intermediaries.
    b. Supplemental Funding. The same methodology described above in 
section a will be used to distribute the available HECM supplemental 
funds. Regarding supplemental funding, all grantees will receive the 
lower of either the supplemental award amount determined with the 
formula, or the specific amount of supplemental funding actually 
requested by the applicant. Each applicant will only submit one 
application and receive a score based on the application for the 
comprehensive counseling grant. Comprehensive counseling funds will be 
allocated based on this score. Subsequently, for HECM supplemental 
funding, responses to each rating factor will be evaluated on a yes/no, 
adequate/inadequate basis. An adequate response will result in a score 
for the supplemental funding identical to the comprehensive score on 
each respective rating factor. An inadequate supplemental response will 
result in a 1-point deduction from the comprehensive score. After all 
five rating factors have been evaluated, the adjusted ratings will 
result in a distinct score for the HECM supplemental funds. This method 
will result in scores for supplemental funding that may be equal to the 
comprehensive score, or up to five points less than the comprehensive 
score. In no case can an applicant receive a higher score on an 
application for supplemental funding than it received on its 
comprehensive application. An applicant will receive a separate score 
for its application for comprehensive counseling, and for HECM 
supplemental funding. The base award for the HECM supplemental funding 
will be $40,000 for intermediaries. Only applicants scoring 75 points 
or above are eligible for supplemental funding. HUD may award one or 
more HECM supplemental grants to intermediaries. HECM supplemental 
grant funds are awarded based upon scores beginning with the highest 
until the funds are expended. Applications that receive 75 points or 
more will not necessarily receive supplemental funding.
    6. Reallocation of Unspent Funds. If funds designated for a 
specific grant Category, HOC, or for supplemental funding remain 
unspent after the formulas have been run and award recommendations are 
determined, HUD may, at its discretion, reallocate those funds to any 
other funding Category or supplemental funding area under this NOFA. 
Additionally, HUD may reallocate unspent funds to any HOC jurisdiction 
or to HUD Headquarters for awards under this NOFA. HUD may also 
reallocate unspent funds for housing counseling support activities. Any 
reallocation will be based on demand and unmet need.

VI. Award Administration Information

    A. Award Notices: Following selection, applicants will receive 
notification from HUD regarding their application.
    1. Publication of Recipients of HUD Funding. HUD's regulations at 
24 CFR part 4 provide that HUD will publish a notice in the Federal 
Register to notify the public of all decisions made by the Department. 
Please see the General Section for more information on this topic.
    2. Debriefing. Applicants may receive a debriefing on their 
application submission. Please see the General Section for a further 
discussion of the time frame in which the debriefing request may be 
submitted.

B. Administrative and National Policy Requirements

    1. Environmental Requirements. In accordance with 24 CFR 
50.19(b)(9) and (12) of the HUD regulations, activities assisted under 
this program are categorically excluded from the requirements of the 
National Environmental Policy Act and are not subject to environmental 
review under the related laws and authorities.
    2. Audit Requirements. Grantees that expend $500,000 or more in 
federal financial assistance in a single year (this can be program year 
or fiscal year) must be audited in accordance with the OMB requirements 
as established in 24 CFR part 84. Additional information regarding this 
requirement can be accessed at the following Web site: http://harvester.census.gov/sac.
    3. Other Matters.
    a. Relocation. See the General Section.
    b. OMB Circulars and Government-wide Regulations Applicable to

[[Page 11537]]

Financial Assistance Programs. See the General Section.
    c. Prohibition Against Lobbying Activities. See the General 
Section.
    d. Procurement of Recovered Materials. See the General Section.
    f. Executive Order 13279 Equal Protection of the Laws for Faith-
Based and Community Organizations. See the General Section.
    g. Salary Limitation for Consultants. See the General Section.
    h. Executive Order 13132, Federalism. See the General Section.

C. Reporting

    1. Fiscal Year Activity Report. Grantees are required to submit 
Form HUD-9902, Housing Counseling Activity Report, quarterly via HUD's 
web-based Housing Counseling System (HCS). The information compiled 
from this report provides HUD with its primary means of measuring 
program performance.
    2. Program Outcome Logic Model. If the actual award amount differs 
from the proposed award, Grantees are required to submit an updated 
Form HUD-96010, Program Outcome Logic Model, and a corresponding 
budget, before the grant agreement will be executed. Additionally, 
Grantees will be required to submit an updated Form HUD-96010, Program 
Outcome Logic Model, reflecting actual achievements, with each 
quarterly, midterm and final report, in accordance with the reporting 
requirements of the grant agreement. The information in this form 
provides the primary means through which HUD will monitor the ongoing 
performance of the grantee.

VII. Agency Contact(s)

    A. Technical Assistance. For technical assistance in downloading or 
submitting an application package using www.Grants.gov, contact the 
Grants.gov support desk at 800-518-Grants or by sending an e-mail to 
[email protected].
    B. Programmatic Information. For program related information, LHCAs 
and SHFAs should contact the HOC serving their area, as indicated 
below. Intermediaries should contact HUD Headquarters, Program Support 
Division at (202) 708-0317 (this is not a toll-free number).
    Hearing and speech challenged persons may access the telephone 
numbers listed below by calling the Federal Information Relay Service 
at 800-877-8339.

------------------------------------------------------------------------
          Homeownership center                        States
------------------------------------------------------------------------
Philadelphia Homeownership Center:
    Ms. Brenda Bellisario, Director,     Connecticut, Delaware, District
     Program Support Division,            of Columbia, Maine, Maryland,
     Wannamaker Building, 100 Penn        Massachusetts, Michigan, New
     Square East, 12th Floor,             Hampshire, New Jersey, New
     Philadelphia, PA 19107-3389. For     York, Ohio, Pennsylvania,
     programmatic information contact:    Rhode Island, Vermont,
     Robert Wright, Robert--              Virginia, West Virginia.
     [email protected], (215) 656-0527
     x3406.
Atlanta Homeownership Center:
    Ms. Gayle Knowlson, Director,        Alabama, Puerto Rico, Florida,
     Program Support Division, 40         Georgia, Illinois, Indiana,
     Marietta Street, 8th Floor,          Kentucky, Mississippi, North
     Atlanta, GA 30303-2806. For          Carolina, South Carolina,
     programmatic information contact:    Tennessee.
     E. Carolyn Hogans, [email protected], (404) 331-5001,
     x2129.
Denver Homeownership Center:
    Ms. Irma Devich, Director, Program   Arkansas, Colorado, Iowa,
     Support Division, 1670 Broadway,     Kansas, Louisiana, Minnesota,
     Denver, CO 80202-4801. For           Missouri, Montana, Nebraska,
     programmatic information contact:    New Mexico, North Dakota,
     Vic Karels, 303-675-1640, Victor--   Oklahoma, South Dakota, Texas,
     [email protected].                  Utah, Wisconsin, Wyoming.
Santa Ana Homeownership Center:
    Mr. Jerrold Mayer, Director,         Alaska, Arizona, California,
     Program Support Division, Santa      Hawaii, Oregon, Idaho, Nevada,
     Ana Federal Building, 34 Civic       Washington.
     Center Plaza, Room 7015, Santa
     Ana, CA 92701-4003. For
     programmatic information contact:
     Rhonda J. Rivera, [email protected], 1-888-827-5605
     x3210.
------------------------------------------------------------------------

VIII. Other Information

    A. Satellite Broadcast. HUD will hold an informational broadcast 
via satellite for potential applicants to learn more about the program, 
the FY2007 Logic Model requirements, and the application. For more 
information about the date and time of the broadcast, consult the HUD 
Web site at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
    B. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2502-0261. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 68 hours per annum per respondent 
for the application and grant administration. This includes the time 
for collecting, reviewing, and reporting the data for the application, 
semi-annual reports and final report. The information will be used for 
grantee selection and monitoring the administration of funds. Response 
to this request for information is required in order to receive the 
benefits to be derived.
BILLING CODE 4210-01-P

[[Page 11538]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.012


[[Page 11539]]



Lead-Based Paint Hazard Control Grant Program, Lead Hazard Reduction 
Demonstration Grant Program, and Operation Lead Elimination Action 
Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Healthy Homes and Lead Hazard Control.
    B. Funding Opportunity Title: Lead-Based Paint Hazard Control 
Program, Lead Hazard Reduction Demonstration Program, and Operation 
Lead Elimination Action Program).
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR-5100-N-20; OMB Approval Number 
2539-0015.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.900 
Lead-Based Paint Hazard Control in Privately Owned Housing and 14.905 
Lead Hazard Reduction Demonstration Program, and 14.903 Operation Lead 
Elimination Action Program.
    F. Dates: Applications must be received and validated by Grants.gov 
no later than 11:59:59 p.m. eastern time on May 18, 2007 for the Lead-
Based Paint Hazard Control and Operation Lead Elimination Action 
Programs, and the application deadline date for the Lead Hazard 
Reduction Demonstration is May 30, 2007. See the General Section for 
specific instructions regarding application submission.
    G. Additional Overview Content Information:
    1. Purpose of the Program.
    a. The purpose of the Lead-Based Paint Hazard Control Program is to 
assist states, Native American Tribes, and local governments in 
undertaking comprehensive programs to identify and control lead-based 
paint hazards in eligible privately owned housing for rental or owner-
occupants.
    b. The purpose of the Lead Hazard Reduction Demonstration Grant 
Program is the same as the Lead-Based Paint Hazard Control, but the 
Lead Hazard Reduction Demonstration Grant Program is targeted for urban 
jurisdictions with the highest lead-based paint hazard control needs.
    c. The purpose of the Operation Lead Elimination Action Program is 
to provide grants to private sector and non-profit organizations to 
leverage funds for addressing lead hazards in privately owned housing 
units and eliminating lead poisoning as a major public health threat to 
young children.
    2. Available Funds. Approximately $148.4 million (Lead-Based Paint 
Hazard Control Program, Lead Hazard Reduction Demonstration Program and 
Lead Elimination Action Program).
    3. Eligible Applicants.
    a. To be eligible to apply for funding under the Lead-Based Paint 
Hazard Control (LBPHC) Grant Program, the applicant must be a state, 
Native American Tribe, city, county, or other unit of local government. 
Multiple units of a local government (or multiple local governments) 
may apply as a consortium; however, you must identify a lead applicant 
that will be responsible for ensuring compliance with all requirements 
specified in this NOFA. State government and Native American tribal 
applicants must have an Environmental Protection Agency (EPA) 
authorized lead-based paint training and certification program.
    b. To be eligible to apply for the Lead Hazard Reduction 
Demonstration (LHRD) Grant Program, the applicant must be a city, 
county, Native American Tribe, or other unit of local government. The 
applicant must have at least 3,500 pre-1940 occupied rental housing 
units, as listed at the 2000 Census Web site identified in Form HUD 
96013, Need/Extent of the Problem. In addition, a State may apply on 
behalf of one or more of the eligible local jurisdictions if it has an 
EPA-authorized lead-based paint training and certification program. A 
list of eligible applicants can be downloaded with the application from 
www.grants.gov/Applicants/Apply_for_grants.jsp in Appendix A.
    c. To be eligible to apply for funding under the Operation Lead 
Elimination Action Program (LEAP), the applicant must be a non-profit 
or for-profit entity or firm. For-profit institutions are not allowed 
to earn a fee. Colleges and Universities are also eligible to apply. 
National and local groups are encouraged to apply. States, cities, 
counties and units of local government and their departments are not 
eligible.
    4. Match. See NOFA Criteria by Grant Program Chart in Section III, 
Eligibility Information.
    5. Information on application. The applications for this NOFA can 
be found at http://www.grants.gov. The General Section contains 
information about Grants.gov registration, submission requirements, and 
submission procedures.

Full Text of Announcement

I. Funding Opportunity Description

    A. Program Description. The Lead-Based Paint Hazard Control Program 
(LBPHC), the Lead Hazard Reduction Demonstration Grant Program (LHRD) 
and the Operation Lead Elimination Action Program (LEAP) are authorized 
by Section 1011 of the Residential Lead-Based Paint Hazard Reduction 
Act of 1992 (Title X of the Housing and Community Development Act of 
1992, Pub. L. 102-550). HUD's authority for making funding available 
under this NOFA for the Lead-Based Paint Hazard Control Program, the 
Operation Lead Elimination Action Program and the Lead Hazard Reduction 
Demonstration Program is the Revised Continuing Appropriations 
Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007). The Lead-
Based Paint Hazard Control Grant Program assists states, Native 
American Tribes and local governments, and the Lead Hazard Reduction 
Demonstration Program assists urban jurisdictions with the highest 
lead-based paint hazard control needs, in undertaking programs for the 
identification and control of lead-based paint hazards in eligible 
privately owned rental and owner-occupied housing units. Operation Lead 
Elimination Action Program (LEAP) provides grants to private sector and 
non-profit organizations to leverage funds for addressing lead hazards 
in privately owned housing units and eliminating lead poisoning as a 
major public health threat to young children. HUD is interested in 
promoting lead hazard control approaches that result in the reduction 
of elevated blood lead levels in children for the maximum number of 
low-income families with children under six years of age, for the 
longest period of time, and that demonstrate techniques which are cost-
effective, efficient, and replicable elsewhere. Refer to the HUD Web 
site http://www.hud.gov/offices/lead/regs/leadtitlex.pdf to obtain 
information on Title X. HUD's Lead Safe Housing Regulation is available 
at http://www.hud.gov/offices/lead/leadsaferule/LSHRFinal21June04.rtf, 
and the companion interpretive guidance publication at http://www.hud.gov/offices/lead/leadsaferule/LSHRGuidance21June04.rtf. If you 
cannot access the information you can call the NOFA Information Center 
at 800-HUD-8929. If you are a hearing- or speech-impaired person, you 
may request the information by telephone TTY by calling the toll-free 
Federal Information Relay Service at 800-877-8339.
    Because lead-based paint is a national problem, these funds will be 
awarded to programs that will fulfill the following objectives:
    1. Maximize the combination of children less than six years of age 
protected from lead poisoning and housing units where lead-hazards are 
controlled;

[[Page 11540]]

    2. Target the reduction of elevated blood lead levels in children 
for the maximum number of low-income families with children less than 
six years of age, for the longest period of time;
    3. Stimulate lower-cost and cost-effective methods and approaches 
to lead hazard control work that can be replicated;
    4. Build local capacity to safely and effectively address lead 
hazards during lead hazard control, renovation, remodeling, and 
maintenance activities by integrating lead safe work practices into 
housing maintenance, repair, weatherization, rehabilitation, and other 
programs that will continue beyond the grant period;
    5. Affirmatively further fair housing and environmental justice;
    6. Develop a comprehensive community approach to address lead 
hazards in housing by mobilizing public and private resources, 
involving cooperation among all levels of government, the private 
sector, and grassroots community-based non-profit organizations, 
including faith-based organizations, to develop cost-effective methods 
for identifying and controlling lead-based paint hazards;
    7. Establish a public registry (listing) of lead-safe housing or 
inclusion of the lead-safe status of properties in a publicly 
accessible address-based property information system to be 
affirmatively marketed to families with young children; and
    8. To the greatest extent feasible, promote job training, 
employment, and other economic opportunities for low-income and 
minority residents and businesses that are owned by and/or employ 
minorities and low-income persons as defined in 24 CFR 135.5 (see 59 FR 
33881, published June 30, 1994).

B. Changes in the FY 2007 NOFA

    1. A total of 150 pages for the entire application including 
narrative responses, attachments, tables, appendices, and other 
required forms.
    2. All contributions above the statutory match requirement should 
be reported as leveraged contributions.
    3. The Lead Hazard Reduction Demonstration Grant Program has a 10 
percent match requirement and an 80 percent direct Lead Hazard Control 
cost requirement.

II. Award Information

    A. Funding Available. From current and past years' funding, 
approximately $76.4 million will be available for the Lead-Based Paint 
Hazard Control Program, approximately $54.7 million will be available 
for the Lead-Based Paint Hazard Reduction Grant Program, and 
approximately $17.3 million will be available for Operation Lead 
Elimination Action Program.
    1. Approximately 26 to 40 grants will be awarded to applicants for 
the Lead-Based Paint Hazard Control Program. Approximately 14 to 22 
grants will be awarded to applicants for the Lead Hazard Reduction 
Demonstration Program, and approximately 9 to 12 grants will be awarded 
to applicants for Operation Lead Elimination Action Program. Grant 
award amounts for the entire period of performance for Lead-Based Paint 
Hazard Control Program grants shall be from approximately $1 million up 
to a maximum of $3 million per grant, for the Lead Hazard Reduction 
Demonstration Program grants, from approximately $1 million up to a 
maximum of $4 million per grant, and for Operation Lead Elimination 
Action Program (LEAP) grants a maximum of $2 million per grant. 
Applications for amounts larger than the applicable maximum amount for 
a program will be deemed ineligible and will not be reviewed.
    2. The start date for grants is expected to be no later than 
October 1, 2007. The period of performance shall not exceed 36 months. 
Period of performance extensions for delays due to conditions beyond 
the grantee's control will be considered by HUD in accordance with 24 
CFR 84.25(e)(2) or 85.30(d)(2), as applicable, and the OHHLHC Program 
Guide. Such extensions, when granted, are one time only, and for no 
longer than a period of one year from the original period of 
performance end date.
    B. Contracts or Other Formal Arrangements.
    1. If selected for funding, grantees are required to maintain a 
contract administration system to ensure sub-grantee and contractor 
conformance with the terms, conditions, and specifications of 
contracts. Grantees must enter into written contracts or agreements 
with sub-grantees and contractors, which identify specific services to 
be provided such as:
     Staffing requirements,
     Time periods for the performance of work,
     Project budget, and total amount of compensation to be 
provided,
     Methods and documentation requirements for obtaining 
reimbursement of expenses,
     Record keeping and reporting requirements,
     Requirements placed upon the sub-grantee or contractor to 
comply with applicable federal laws, regulations, circulars, and 
Executive Orders,
     Provisions for the grantee with access to financial and 
other documents and files for the purpose of monitoring sub-grantee or 
contractor performance and compliance with the local contract or 
agreement, and applicable Federal laws, regulations, circulars and 
Executive orders.
    2. All applicants are encouraged to enter into formal arrangements 
with grassroots community-based non-profit organizations, including 
faith-based organizations, or other community-based organizations, 
particularly if such organizations will be reimbursed for eligible 
activities under this NOFA. (This does not apply to Native American 
Tribes.) These formal arrangements could be a contract, a Memorandum of 
Understanding (MOU), a Memorandum of Agreement (MOA), or a letter of 
commitment. Such relationships should be established prior to the 
actual execution of an award or within 120 days of the effective start 
date of the grant agreement.

III. Eligibility Information

A. Eligible Applicants

    See the General Section for additional eligibility requirements 
applicable to HUD Programs. See chart below that describes eligible 
applicants, match percentage requirement, minimum percentage of federal 
funds for direct lead hazard control activities, and maximum 
administrative cost.

[[Page 11541]]



                                              Match Requirements and Administrative Costs by Grant Programs
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                    Percent of HUD award
                                                                  --------------------------------------------------------------------------------------
              Programs                    Eligible applicants                                    Direct lead hazard control
                                                                              Match                        costs                 Administrative cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Lead-Based Paint Hazard Control       State, Native American       10%........................  Minimum 65%................  Maximum 10%.
 Program (LBPHC).                      Tribe, city, county, or
                                       other unit of local
                                       government. Multiple units
                                       of a local government (or
                                       multiple local
                                       governments) may apply as
                                       a consortium; however, you
                                       must identify a lead
                                       applicant that will be
                                       responsible for ensuring
                                       compliance with all
                                       requirements specified in
                                       this NOFA. State
                                       government and Native
                                       American tribal applicants
                                       must have an Environmental
                                       Protection Agency (EPA)
                                       authorized lead-based
                                       paint training and
                                       certification program.
Lead hazard Reduction Demonstration   City, county, Native         10%........................  Minimum 80%................  Maximum 10%.
 (LHRD).                               American Tribe, or other
                                       unit of local government.
                                       The applicant must have at
                                       least 3,500 pre-1940
                                       occupied rental housing
                                       units, as listed at the
                                       2000 Census Web site
                                       identified in Form HUD
                                       96013, Need/Extent of the
                                       Problem. In addition, a
                                       State may apply on behalf
                                       of one or more of the
                                       eligible local
                                       jurisdictions if it has an
                                       EPA-authorized lead-based
                                       paint training and
                                       certification program. A
                                       list of eligible
                                       applicants can be
                                       downloaded with the
                                       application from
                                       www.grants.gov, in
                                       Appendix A.
Operation Lead Elimination Action     For-profit and non-profit    None.......................  Minimum 65%................  Maximum 10%.
 Program (LEAP).                       entities; colleges and
                                       universities; and national
                                       and local groups. For
                                       profit institutions are
                                       not allowed to earn a fee.
--------------------------------------------------------------------------------------------------------------------------------------------------------

B. Cost Sharing and Match

    This section applies to all three grant programs. See Chart above 
for statutory match requirements. Match and Leverage Guidance in 
Appendix B can be downloaded with the application from http://www.grants.gov/applicants/apply--for--grants.jsp. If an applicant does 
not meet the minimum requirements of 10 percent match for LBPHC it will 
be considered ineligible for an award.
    Under Rating Factor 4, Leveraging, HUD provides rating points to 
applicants that documenting additional resources to increase the scope 
or effectiveness of the proposed program activities. For the LBPHC and 
LHRD that have a required match, HUD will award points to applicants 
that provide additional resources over required match amount. For LEAP 
applicants, which has no matching requirement, HUD will award points 
based upon the amount of resources that are leveraged by the applicant. 
The larger the amount of funds or in-kind services that are secured by 
the applicant, the higher the number of points that will be awarded 
under Rating Factor 4. For all programs, match and/or leverage 
contributions may be in the form of cash including private sector 
funding, or in-kind (non-cash) contributions or a combination of these 
sources. With the exception of Community Development Block Grant (CDBG) 
funds, or other programs that allow their funds to be considered local 
funds and therefore eligible to be used as matching funds, federal 
funds may not be used to satisfy any statutorily required matching 
requirement, as applicable. Both CDBG and other local funds must be 
used for otherwise eligible grant-related lead hazard control 
activities to be eligible as match or leverage funds. For cash and in 
kind match and leveraged contributions, the applicant must submit a 
letter of commitment, signed by an official of the organization legally 
able to make commitments on behalf of the organization. The letter must 
indicate the amount and source, and detail how the contribution will 
support the proposed grant program. The signature of the authorized 
official on the Form SF-424 is deemed as official documentation of 
commitment of match or other contributed resources of the applicant 
organization. A separate letter from the applicant organization is not 
required. For LEAP applicants, a leveraged resource only from the 
private sector is considered eligible. All matching and leveraged 
contributions shall be used for the same purposes as allowed for by the 
federal funds.

C. Other

    1. Eligible Costs and Activities. This section applies to all three 
grant programs unless otherwise specified.
    All lead hazard control activities funded under the LBPHC, LHRD and 
LEAP must be conducted in compliance with the applicable requirements 
of HUD's Lead-Safe Housing Regulation, 24 CFR part 35, and the 
companion Interpretive Guidance publication. Activities must also 
comply with any additional requirements in effect under a state or 
Tribal Lead-Based Paint Training and Certification Program that has 
been authorized by the EPA pursuant to 40 CFR 745.320.
    There are, in general, four categories of eligible costs under each 
competitive grant program included in this NOFA: (1) Direct costs for 
lead-based paint hazard identification and control activities, (2) 
other direct costs, (3) indirect costs, and (4) administrative costs.
a. Definition of Direct Costs and Description of Lead-Based Paint 
Hazard Identification and Control Activities.
    Direct costs are defined as the allocable portion of allowable 
costs incurred directly for the purposes of the grant. Direct costs for 
lead hazard control activities consist of lead dust, soil and paint-
chip testing and associated laboratory costs, the purchase or lease of 
a maximum of two X-ray fluorescence analyzers (if not otherwise 
available), and XRF maintenance, lead paint inspection and risk 
assessments, interim controls, abatement of lead-based paint or lead-
based paint hazards (see section C.1(a)(4)(b) for abatement 
limitations), occupant protection and temporary relocation of occupants 
when lead hazard control work supported by this program is conducted in 
a unit, and clearance examinations. Direct costs for

[[Page 11542]]

lead-based paint hazard identification and control activities do not 
include universal blood lead testing, housing rehabilitation beyond 
what is specifically required to carry out effective lead hazard 
control, training, community education and outreach, applied research 
and purchase of supplies or equipment and administrative costs. 
Eligible activities to meet the minimum 65% (LBPHC and LEAP) or 80% 
(LHRD) direct lead hazard control costs, as applicable, are as follows:
    (1) Performing lead dust, soil and paint-chip testing, lead-based 
paint inspections, risk assessments, clearance examination, and 
engineering and architectural activities that are required for, and in 
direct support of, interim control and lead hazard abatement work, of 
eligible housing units constructed prior to 1978 to determine the 
presence of lead-based paint and/or lead hazards from paint, dust, or 
soil through the use of acceptable testing procedures.
    (2) All laboratory analysis in support of required testing and 
evaluation under this NOFA must be conducted by a laboratory recognized 
for the analysis by the EPA National Lead Laboratory Accreditation 
Program (NLLAP).
    (3) All lead-based paint testing results, summaries of lead-based 
paint hazard control treatments, and clearances must be provided to the 
owner of the unit, together with a notice describing the owner's legal 
duty to disclose the results to tenants and buyers. Grantee files must 
contain verifiable evidence of providing lead hazard control reports, 
such as a signed and dated receipt. Refer to 24 CFR 35.125 of the Lead 
Safe Housing Regulation.
    (4) All lead-based paint hazards identified in housing units and in 
common areas of multifamily housing enrolled in this grant program must 
be controlled or eliminated by either of the following strategies or a 
combination of the two;
    (a) Interim Controls. According to the HUD Guidelines, interim 
controls of lead-based paint hazards including lead-contaminated dust 
and soil in housing must include specialized cleaning techniques to 
address lead dust.
    (b) Lead-Based Paint Hazard Abatement. Abatement of all lead-based 
paint or lead-based paint hazards is generally authorized only in 
states or localities that require complete abatement by law. HUD does 
not consider abatement of all lead-based paint to be cost effective in 
most circumstances; therefore, a grantee must make a special request in 
writing prior to conducting complete abatement of lead-based paint or 
lead-based paint hazards. Abatement of lead-contaminated soil should be 
limited to areas with bare soil in the immediate vicinity of the 
structure (i.e., the drip line or foundation of the unit being treated, 
and children's play areas).
    (5) Undertaking minimal housing rehabilitation activities that are 
specifically required to carry out effective hazard control, and 
without which the hazard control could not be completed and maintained. 
These grant funds may be used for lead hazard control work done in 
conjunction with other housing rehabilitation programs, to the extent 
practicable. HUD encourages integration of this grant program with 
housing rehabilitation, maintenance, weatherization, and other energy 
conservation activities.
    (6) Carrying out temporary relocation of families and individuals 
while the remediation is conducted and until the time the affected unit 
receives clearance for re-occupancy. See Section III.C.4.e, Real 
Property Acquisition and Relocation of the General Section and Section 
VI.B.4 of this NOFA for discussion of regulations that apply when 
relocating families.
b. Description of Eligible Other Direct Costs.
    (1) Purchasing or leasing equipment having a per-unit cost under 
$5,000 (except for the purchase or lease of up to two X-ray florescence 
analyzers used by the grant program).
    (2) Performing blood lead testing and air sampling to protect the 
health of the hazard control workers, supervisors, and contractors.
    (3) Conducting pre-hazard control blood lead testing of children 
under six years of age residing in or frequently visiting units 
undergoing lead hazard control work.
    (4) Conducting targeted outreach, affirmative marketing, education 
or outreach programs on lead hazard control and lead poisoning 
prevention designed to increase the ability of the program to deliver 
lead hazard control services including educating owners of rental 
properties, tenants, and others on the Residential Lead-Based Paint 
Hazard Reduction Act, Lead-Safe Housing Rule, and applicable provisions 
of the Fair Housing Act especially as it pertains to familial status 
(e.g., families with children) and disability discrimination, offering 
educational materials in languages that are common in the community 
other than English, consistent with HUD's published Limited English 
Proficiency (LEP) Recipient Guidance, 68 FR 70968, and providing 
training on lead-safe maintenance and renovation practices and 
management. Upon request, this also would include making all materials 
available in alternative formats to persons with disabilities (e.g., 
Braille, audio, and large type).
    (5) Supporting data collection, analysis, and evaluation of grant 
program activities. This includes compiling and delivering such data as 
may be required by HUD.
    (6) Preparing a final report at the conclusion of grant activities.
    (7) Providing resources to build capacity for lead-safe housing and 
lead hazard control, including free delivery of HUD-approved lead-safe 
work practices training courses for housing rehabilitation contractors, 
rehabilitation workers, homeowners, renters, painters, remodelers, 
maintenance staff, and others conducting renovation, rehabilitation, 
maintenance or other work in private housing; free delivery of lead 
sampling technician training, lead-based paint worker or contractor 
certification training; and subsidies for licensing or certification 
fees to low-income persons seeking credentials as lead-based paint 
workers or contractors or lead sampling technicians.
    (8) Conducting planning, coordination, and training activities to 
comply with HUD's Lead-Safe Housing Regulation (24 CFR part 35, 
subparts B-R). These activities should support the expansion of a 
workforce properly trained in lead-safe work practices that is 
available to conduct interim controls on HUD-assisted housing covered 
by these regulations.
    (9) Conducting outreach and related activities that will result in 
increased lead hazard control activities in low-income privately owned 
or owner-occupied housing with lead-based paint hazards. For LEAP 
grants, outreach and/or related activities, must be tied to a 
leveraging strategy.
    (10) Participating in applied research, studies, or developing 
information systems to enhance the delivery, analysis, or conduct of 
lead hazard control activities, or to facilitate targeting and 
consolidating resources to further childhood lead poisoning prevention 
efforts.
    c. For reference to the Administrative Cost requirements, please 
see Appendix D, which can be downloaded with the application from 
http://www.grants.gov/applicants/apply--for--grants.jsp.
    d. For reference to the Indirect Cost requirements see Appendix C, 
which can be downloaded with the application from http://www.grants.gov/applicants/apply--for--grants.jsp.

[[Page 11543]]

    2. Eligibility of HUD-Assisted Housing. The Table 10, ``Eligibility 
of HUD Assisted Housing,'' that lists the housing units that may 
participate under each of the three competitive programs detailed in 
this NOFA can be downloaded with the application from http://www.grants.gov/applicants/apply--for--grants.jsp.
    3. Threshold Requirements. To be an eligible applicant, you must 
meet all of the threshold requirements in Section III.C of the General 
Section as well as any specific threshold requirements listed in this 
subsection. Applications will not be funded if they do not meet the 
threshold requirements.
    a. Applicants under the Lead-Based Paint Hazard Control and Lead 
Hazard Reduction Demonstration Programs are required to match 10 
percent of the funds requested with other funds or resources. There is 
no match requirement for LEAP.
    b. Applicants under the Lead Hazard Reduction Demonstration Program 
must be a city, county, Native American Tribe, or other unit of local 
government. The applicant must have at least 3,500 pre-1940 occupied 
rental housing units, as listed at the 2000 Census Web site identified 
in Form HUD 96013, Need/Extent of the Problem. A list of eligible 
applicants can be downloaded with the application from http://www.grants.gov/applicants/apply--for--grants.jsp. In addition, a State 
may apply on behalf of one or more of the eligible local jurisdictions 
if it has an EPA-authorized lead-based paint training and certification 
program. There is no minimum threshold requirement for the number of 
pre-1940 occupied units for LBPHC or LEAP.
    c. All applicants under the Lead Hazard Reduction Demonstration 
Program must provide the actual number of children with documented 
elevated blood levels residing within the jurisdiction(s) where the 
lead hazard control work will be conducted for the most recent twelve-
month period available since January 1, 2003 and identify the source of 
the data. Failure to provide these data will result in the application 
not being rated or ranked.
    d. EPA Authorization. If you are a state government or Native 
American Tribal government, you must have an EPA-authorized Lead-Based 
Paint Training and Certification Program in effect, on the application 
deadline date, to be eligible to apply for Lead Based Paint Hazard 
Control and Lead Hazard Control Reduction Demonstration Grant funds. 
The approval date in the Federal Register notice published by the EPA 
will be used in determining the Training and Certification status of 
the applicant state or Native American Tribal government. If you do not 
have an EPA authorized program on the application submission date, the 
application will not be rated or ranked. Further, if you do not have an 
EPA authorized program on the grant award date, you will not be awarded 
a grant under this NOFA.
    e. Consolidated Plans. (This requirement does not apply to Native 
American Tribes.) You must submit, as an appendix, the current lead-
based paint element from the approved Consolidated Plan of the 
jurisdiction(s) where the lead-based paint hazard control will be 
conducted. In lieu of submitting a hard copy of the lead-based paint 
element from the current consolidated plan(s), you may substitute a Web 
site address. The Web site must contain the lead-based paint element of 
the current Consolidated Plan(s). If the jurisdiction does not have a 
currently approved Consolidated Plan, but is otherwise eligible for 
LBPHC and LHRD grant programs, you must include the jurisdiction's 
abbreviated Consolidated Plan, which includes a lead-based paint hazard 
control strategy developed in accordance with 24 CFR 91.235. You should 
include the discussion of any lead-based paint issues in your 
jurisdiction's Analysis of Impediments, particularly as it addresses 
your target areas.
    f. An applicant requesting a grant amount greater than the maximum 
grant award amount will be deemed ineligible and not reviewed or rated.
    g. Applications that do not have either a narrative response to the 
rating factors or form HUD-424 CBW Budget worksheet will not be 
reviewed or rated.
    h. Fiscal Year 2006 awardees of LBPHC, LHRD, reopened LHRD, or LEAP 
grants, are not eligible to apply for any of these three programs 
during this competitive NOFA cycle.
    i. Applicants may submit up to one application for each of the 
competitive programs covered by this NOFA for which they are eligible.
4. Environmental Requirements
    a. Recipients of Lead-Based Paint Hazard Control Grants and Lead 
Hazard Reduction Demonstration grants must comply with 24 CFR part 58, 
Environmental Review Procedures for Entities Assuming HUD Environmental 
Responsibilities, and must carry out environmental review 
responsibilities as a responsible entity under part 58.
    b. Work on properties assisted with LEAP funds under this NOFA is 
covered by the provisions of section 305(c) of the Multifamily Housing 
Property Disposition Reform Act of 1994, which are implemented by HUD 
regulations at 24 CFR part 50. Under part 50, a responsible entity, 
usually a local government unit, must assume the environmental review 
responsibilities for activities funded under LEAP. Under 24 CFR 
50.3(h), if a responsible entity or the recipient objects to the 
responsible entity performing the environmental review for LEAP 
activities, HUD may designate another responsible entity to perform the 
review or may perform the environmental review itself under the 
provisions of 24 CFR part 50.
    c. For all grants under this NOFA, recipients and other 
participants in the project are prohibited from undertaking, or 
committing or expending HUD or non-HUD funds (including leveraged or 
match funds) on a project or activities under this NOFA (on activities 
other than listed in 24 CFR 58.34, 58.35(b) or 58.22(f)) until the 
responsible entity completes an environmental review and the applicant 
submits and HUD approves a Request for the Release of Funds and the 
responsible entity's environmental certification (both on form HUD 
7015.15). In the case of LEAP grants, the grantee must await HUD's 
completing the review and notifying the grantee of the approval of the 
environmental review before initiating work. The results of the 
environmental review may require that proposed activities be modified 
or proposed sites may be rejected. The results of the environmental 
reviews may require that proposed activities be modified or proposed 
sites rejected. For part 58 procedures, see http://www.hud.gov/offices/cpd/energyenviron/environment/index.cfm. For assistance, contact Edward 
Thomas, the Office of Healthy Homes and Lead Hazard Control 
Environmental Officer at (215) 861-7670 (this is not a toll-free 
number) or the HUD Environmental Review Officer in the HUD Field Office 
serving your area. If you are a hearing- or speech-impaired person, you 
may reach the telephone number via TTY by calling the toll-free Federal 
Information Relay Service at 1-800-877-8339. Recipients of a grant 
under these funded programs will be given additional guidance in these 
environmental responsibilities.
    5. Administrative and Other Requirements. If awarded a grant, you 
must comply with the requirements and maintain appropriate 
documentation to demonstrate compliance with the requirements specified 
below. The requirements apply to all grant programs unless otherwise 
specified.
    a. Lead-Based Paint Hazard Reduction Act of 1992 (Title X of the 
Housing and Community Development Act of 1992), Section 1011. Section 
217 of Public Law 104-134 (the Omnibus Consolidated

[[Page 11544]]

Rescissions and Appropriations Act of 1996, 110 Stat. 1321, approved 
April 26, 1996) amended Section 1011(a) of the Residential Lead-Based 
Paint Hazard Reduction Act of 1992 (Title X) to read as follows:

``Section 1011. Grants for Lead-Based Paint Hazard Reduction in Target 
Housing

    ``(a) General Authority. The Secretary is authorized to provide 
grants to eligible applicants to evaluate and reduce lead-based paint 
hazards in housing that is not federally assisted housing, federally 
owned housing, or public housing, in accordance with the provisions of 
this section. Grants shall only be made under this section to provide 
assistance for housing that meets the following criteria--
    ``(1) for grants made to assist rental housing, at least 50 percent 
of the units must be occupied by or made available to families with 
incomes at or below 50 percent of the area median income level and the 
remaining units shall be occupied or made available to families with 
incomes at or below 80 percent of the area median income level, and in 
all cases the landlord shall give priority in renting units assisted 
under this section, for not less than 3 years following the completion 
of lead abatement activities, to families with a child under the age of 
six years, except that buildings with five or more units may have 20 
percent of the units occupied by families with incomes above 80 percent 
of area median income level;
    ``(2) for grants made to assist housing owned by owner-occupants, 
all units assisted with grants under this section shall be the 
principal residence of families with income at or below 80 percent of 
the area median income level, and not less than 90 percent of the units 
assisted with grants under this section shall be occupied by a child 
under the age of six years or shall be units where a child under the 
age of six years spends a significant amount of time visiting.''

    (1) Trained and Certified Professionals. Funded activities must be 
conducted by persons qualified for the activities according to 24 CFR 
part 35, subparts B-R (possessing certification as abatement 
contractors, risk assessors, inspectors, abatement workers, or sampling 
technicians, or others having been trained in a HUD-approved course in 
lead-safe work practices).
    (2) Lead hazard evaluation and control work must be conducted in 
compliance with HUD's Lead Safe Housing Rule, 24 CFR part 35, the HUD 
Guidelines, and applicable federal, state and local regulations and 
guidance.
    (3) You must document the income and family composition of 
occupants of units assisted to meet Title X requirements. Identify the 
key staff who will certify as to the eligibility of each unit assisted 
under the grant based on the determination of income, and when 
required, the presence of a child under six years of age.
    6. Prohibited Practices. You must not engage in the following 
prohibited practices:
    a. Open flame burning or torching;
    b. Machine sanding or grinding without a high-efficiency 
particulate air (HEPA) exhaust control;
    c. Uncontained hydroblasting or high-pressure wash;
    d. Abrasive blasting or sandblasting without HEPA exhaust control;
    e. Heat guns operating above 1,100 degrees Fahrenheit;
    f. Chemical paint strippers containing methylene chloride or other 
volatile hazardous chemicals in a poorly ventilated space; and
    g. Dry scraping or dry sanding, except scraping in conjunction with 
heat guns or around electrical outlets or when treating no more than 
two square feet in any one interior room or space, or totaling no more 
than 20 square feet on exterior surfaces.
    7. Written Policies and Procedures. You must have clearly 
established, written policies and procedures for eligibility, program 
marketing, unit selection, expediting work on homes occupied by 
children with elevated blood lead levels, and all phases of lead hazard 
control, including risk assessment, inspection, development of 
specifications, pre-hazard control blood lead testing, financing, 
temporary relocation and clearance examination. Grantees, 
subcontractors, sub-grantees, sub-recipients, and their contractors 
must adhere to these policies and procedures.
    8. Continued Availability of Lead-Safe Housing to Low-Income 
Families. Units in which lead hazards have been controlled under this 
program shall be occupied by or continue to be available to low-income 
residents as required by Title X (Section 1011). You must maintain a 
publicly available registry (listing) of units in which lead hazards 
have been controlled and ensure that these units are affirmatively 
marketed to agencies and families as suitable housing for families with 
children less than six years of age. The grantee must also provide the 
owner with the lead hazard evaluation and control information generated 
by activities under this grant, so that the owner can comply with his/
her disclosure requirements under 24 CFR part 35, Subpart A.
    9. Testing. In developing your application budget, include costs 
for lead paint inspection, risk assessment, and clearance examination 
for each dwelling that will receive lead hazard control, as follows:
    a. General. All testing and sampling shall comply with the Lead 
Safe Housing Rule and conform to the current HUD Guidelines, the EPA 
lead hazard standards at 40 CFR part 745, and federal, state, or tribal 
regulations developed as part of the appropriate contractor 
certification program, whichever is most stringent.
    b. Lead-Based Paint and Lead-Based Paint Hazard Identification. A 
lead-based paint inspection and risk assessment is required.
    c. Clearance Testing. If rehabilitation is conducted in conjunction 
with lead hazard control, clearance may be conducted either after the 
lead hazard control work is completed, and again after any subsequent 
rehabilitation work is completed, or after all of the lead hazard 
control and rehabilitation work is completed. Clearance shall be 
successfully completed before re-occupancy.
    10. Blood lead testing. Each child under six years of age should be 
tested for lead poisoning within the six months preceding the lead 
hazard control work. Any child with an elevated blood lead level must 
be referred for appropriate medical follow-up. The standards for such 
testing are described in the Centers for Disease Control and Prevention 
(CDC) publications Preventing Lead Poisoning in Young Children (1991), 
and Screening Young Children for Lead Poisoning: Guidance for State and 
Local Public Health Officials (1997).
    11. Cooperation With Related Research and Evaluation. You shall 
cooperate fully with any research or evaluation sponsored by HUD, CDC, 
EPA or another government agency associated with this grant program, 
including preservation of project data and records and compiling 
requested information in formats provided by the researchers, 
evaluators or HUD. This also may include the compiling of certain 
relevant local demographic, dwelling unit, and participant data not 
contemplated in your original proposal. Participant data shall be 
subject to the Privacy Rule of the Health Insurance Portability and 
Accountability Act of 1996 (HIPAA). HIPAA and the Privacy Rule can be 
found at www.hhs.gov/ocr/hipaa.
    12. Data Collection. You shall collect, maintain, and provide to 
HUD the data

[[Page 11545]]

necessary to document and evaluate grant program outputs and outcomes.
    13. Financial Control. Financial control systems shall be 
established including methods and procedures to ensure that only grant 
eligible expenses are charged to the grant as reimbursable expenses or 
project match; that appropriate documentation of time worked on and 
charged to the grant is maintained; that no more than 10 percent of 
grant funds are used for administrative costs and that indirect cost 
allocation plans are updated annually.
    14. Section 3 Employment Opportunities. Please refer to Section 
III.C of the General Section. The requirements of Section 3 of the 
Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) are 
applicable to this program. This sub-factor will be evaluated on the 
extent to which an applicant describes how it proposes to:
    a. Provide opportunities to train and employ Section 3 residents; 
and
    b. Award contracts to Section 3 contractors, as each of those terms 
is defined in the regulations, 24 CFR Part 135. Applicants that 
demonstrate their responsiveness to the section 3 requirements may 
receive up to 2 points (see Rating Factor 3). Annual submission of Form 
HUD-60002 is required. Regulations regarding the provision of Section 3 
of the Housing and Urban Development Act of 1968 can be located at 24 
CFR Part 135.
    15. Replacing Existing Resources. Funds received under the grant 
programs covered under this NOFA shall not be used to replace existing 
community resources dedicated to any ongoing project.
    16. Certifications and Assurances. By signing the SF-424, you are 
agreeing to the certifications and assurances listed in the General 
Section and this NOFA.
    17. Code of Conduct. If awarded assistance, you will be required, 
prior to entering into a grant agreement with HUD, to submit a copy of 
your Code of Conduct and describe the methods you will use to ensure 
that all officers, employees, and agents of your organization are aware 
of your Code of Conduct. An applicant who submitted an application 
during FY2005 or FY2006 and included a copy of its code of conduct will 
not be required to submit another copy if the applicant is listed on 
HUD's Web site http://www.hud.gov/offices/adm/grants/codeofconduct/cconduct.cfm. An applicant must also include a copy of its code of 
conduct if the information listed on the above Web site 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.). Refer to the General 
Section for further information about the Code of Conduct requirements.
    18. Lead-Safe Work Practice Training Activities. Under the Lead-
Based Paint Hazard Control Grant Program, you are encouraged to provide 
resources to promote the expansion of a workforce that is:

--Properly trained in lead-safe work practices;
--Available to conduct interim controls and/or lead hazard abatement;
--Able to follow lead-safe work practices while performing work on HUD 
assisted housing units; and
--Able to safely repair, rehabilitate, and maintain other privately 
owned residential property.

    19. Coordination among Critical Agencies.
    a. Under the Lead-Based Paint Hazard Control or Lead Hazard 
Reduction Demonstration programs, you shall participate in the state-
wide or jurisdiction-wide strategic plan to eliminate childhood lead 
poisoning as a major public health problem by 2010, or assist in the 
development of a plan in states or localities that do not have such a 
plan. The CDC strategic elimination plans for state and local childhood 
lead poisoning prevention programs can be downloaded from http://www.cdc.gov/nceh/lead/StrategicElimPlans/strategicplans.htm. 
Additionally, if awarded lead hazard control or lead hazard 
demonstration funds, you shall enter into or extend existing 
collaborative arrangements with childhood lead poisoning prevention 
programs among health agencies, housing agencies, community development 
agencies, and code enforcement agencies (or equivalent) for their 
target area(s), local jurisdiction(s), and, for state or tribal 
applicants, with their state or tribal health agencies, housing 
agencies, development agencies, and code enforcement agencies (or 
equivalent). Arrangements must describe how the health department and 
the housing and/or development agency have or will consider enrolling 
housing units (or multifamily buildings) in which one or more children 
under age 6 years have elevated blood lead levels, with priority to 
housing where repeated and/or severe cases of childhood lead poisoning 
have occurred. HUD encourages LEAP applicants to enter into such 
agreements.
    20. Work Plan. Upon award, you shall develop a work plan including 
measurable quarterly performance goals and specific time-phased 
objectives for each of the major activities and tasks required to 
execute the project. These major activities and tasks are outlined in 
the Quarterly Progress Reporting System (Form HUD-96006) and include: 
Program Management and Capacity Building including data collection and 
program evaluation; Community Education, Outreach and Training; and 
Lead Hazard Activities including testing, interventions, and temporary 
relocation.
    a. Describe how lead hazard units, especially those known to house 
elevated blood lead level children under six years of age, will be 
identified, selected, prioritized, and considered for treatment under 
this grant and/or other programs of the grantee or grantee's team 
members. An elevated blood lead level is defined as an excessive 
absorption of lead that is a confirmed concentration of ten (10) 
micrograms of lead per deciliter of whole blood.
    You must demonstrate how you consider housing units identified by 
local health and child welfare agencies where incidences of childhood 
lead poisoning have occurred, particularly those where multiple 
poisonings have been reported, for enrollment into lead hazard control 
treatment programs, as well as demonstrate the use of other sources of 
information on high priority housing;
    b. Your work plan should address your jurisdiction's Consolidated 
Plan goals for pursuing community planning and development and housing 
programs relative to lead and other housing-related issues that affect 
the health of residents. The work plan must include a detailed strategy 
to:
    (1) Obtain data from state or local health departments or from 
families themselves (either directly, for example, through service 
organizations that families distribute their information) on the 
addresses of housing units in which children have been identified as 
lead poisoned, as required by 24 CFR 91.100(a)(2).
    (2) Continue or enter into collaborative agreements or arrangements 
with applicable state or local health and child welfare agencies, 
community development organizations, and housing agencies and/or other 
housing organizations to team with HUD Lead-Based Paint Hazard Control, 
Lead Hazard Reduction Demonstration, and LEAP grantees to identify and 
address childhood lead poisoning in the jurisdiction collaboratively, 
and describe the methods for coordinating among these agencies.

[[Page 11546]]

    (3) Demonstrate specific steps and/or actions that will be taken to 
ensure that other resources in the community are utilized to increase 
funding, provide training, and to link with other local programs 
engaged in lead hazard control activities.
    (4) Describe how the project will be managed, and the timeline for 
staffing the program, establishing a lead-based paint contractor pool, 
and obtaining HUD approval for the Request for the Release of Funds 
(HUD Form 7015.15).
    (5) Describe how assistance and funding will flow from you to the 
actual performers of the hazard reduction work.
    (6) Describe the selection process for sub-grantees, sub-
contractors, or sub-recipients.
    (7) Describe the financing mechanism used to support lead hazard 
control work in units (name of administering agency, eligibility 
requirements, type of financing, etc.), any owner matching requirement, 
and the terms, conditions, and amounts of assistance available, include 
affordability terms and provisions for forgiveness and recapture of 
funds.
    (8) Perform combined lead-based paint inspection and risk 
assessment procedures using the HUD Guidelines, applicable sections of 
the Lead Safe Housing Rule and use EPA standards to identify lead 
hazards and to conduct clearance testing.
    (9) Describe the process for developing work specifications and 
bids on properties selected for lead hazard control work.
    (10) The specific intervention methods and clearance procedures to 
be conducted for units enrolled and treated.
    (11) The number of rental-occupied, vacant, and owner-occupied 
units, including the number of single-family and multifamily units, 
proposed for interim controls and hazard abatement.
    (12) The occupant protection and relocation plan for residents 
required to be out of their homes during hazard control activities. The 
relocation should be in accordance with Section III.C.4.e.
    (13) The outputs and overall outcomes for community education, 
outreach, and training activities, including the nature and number of 
events and the number of individuals to receive education, outreach, 
and training.
    (14) The blood lead testing and other measures to be undertaken to 
protect children under six years of age and other occupants of units 
undergoing lead hazard control work.
    (15) The evaluation process used to measure program performance, 
with particular attention given to program performance in the five key 
areas evaluated by OHHLHC on a quarterly basis (NOFA Rating Factor 5 
response): number of units inspected and risk assessed; number of units 
cleared of lead hazards; the amount of grant funds disbursed through 
HUD's Line of Credit Control System (LOCCS); the number of persons 
reached through outreach and education efforts; and the number of 
persons trained in lead hazard control courses. For LEAP only, the 
quarterly assessment will include one additional performance measure, 
which is the amount of leverage.
    (16) The grantee's accounting, finance, and internal audit 
procedures;
    (a) Procedures for tracking funds obtained through government 
resources (including HUD, other federal agencies, and state and local 
governments), match and leverage; and
    (b) Procedures for the procurement process and the reimbursement 
process of vendors, contractors, and sub-grantees.
    (17) Quarterly performance benchmarks. The benchmarks identified in 
the work plan for a 36-month period of performance are on the Work Plan 
Development Worksheet with Minimum Benchmark Standards for 36 Months--
Form HUD-96008. (You can download Form HUD-96008 from http://www.grants.gov/applicants/apply--for--grants.jsp, in the application 
instructions download section.) All applicants are required to complete 
the Factor 3 Table--Soundness of Approach, and the Work Plan 
Development Worksheet with Minimum Benchmark Standards for 36 Months--
Form HUD-96008 for the purposes of developing your work plan. 
Applicants selected for award may be asked to modify the work plan to 
reflect agreed upon benchmarks determined during pre-award 
negotiations.
    21. Detailed Budget. Submit a detailed budget that identifies the 
total budget (federal share and matching and/or leverage contribution) 
on Form HUD-424 CBW and budget and cost justification narrative for all 
budget categories of your grant request. You must provide a separate 
estimate for the overall grant management element (Administrative 
Costs), which is more fully defined in Section IV.E of this NOFA. All 
applicants must provide a detailed budget for any subcontractors, sub-
grantees, or sub-recipients receiving greater than 10 percent of the 
federal budget request. In the event of a discrepancy between grant 
amounts requested in various sections of the application, the amount 
you indicate on the Form SF-424 will govern as the correct value.
    22. Institutional Review Board (IRB). Indicate if your program 
includes conducting research involving human subjects in a manner which 
requires IRB approval and periodic monitoring under 24 CFR part 60, 
which incorporates the Department of Health and Human Service's 
regulations, at 45 CFR part 46. For additional information on what 
constitutes human subjects' research or how to obtain an institutional 
assurance, see the Department of Health and Human Services, Office of 
Human Research Protection (OHRP) Web site at http://www.hhs.gov/ohrp/.

IV. Application and Submission Procedures

A. Address to Request Application Package

    See the General Section for specific procedures concerning the 
electronic application submission requirements. The application and 
Instructions are available at http://www.grants.gov/applicants/apply--
for--grants.jsp. If you have difficulty accessing the information, you 
may call the help desk help line at (800) 518-GRANTS or e-mailing 
[email protected].
    Guidebook and Further Information: HUD provides a Desktop User 
Guide to Find, Register and Apply for Grant Opportunities using 
Grants.gov. The Desktop User Guide is available on HUD's Web site at 
http://www.hud.gov/utilities/intercept.cfm?/offices/adm/grants/deskuserguide.pdf. If you have difficulty accessing the information, 
you may call HUD's NOFA Information Center at (800-HUD 8929. If you are 
a hearing-or speech-impaired person, you may request the information by 
telephone TTY by calling the toll-free Federal Information Relay 
Service at 800-877-8339.

B. Content and Form of Application Submission

    Applicants eligible to apply under this NOFA are to follow the 
submission requirements described below:
1. Applicant Information
a. Application Format.
    (1) Application including narrative responses, attachments, tables, 
appendices, and other required forms should be limited to a total of 
150 pages. Number all pages of the application sequentially from page 1 
to the end of the application, including charts, figures, tables and 
appendices. If the application exceeds the 150-page limit and has no 
page numbers, HUD will consider only the first 150 pages it

[[Page 11547]]

prints for review (forms will be counted first).
    (2) The application narrative response to the Rating Factors is 
limited to a maximum of 20 pages (excluding appendices and worksheets) 
of size 8\1/2\'' x 11'' using a 12-point (minimum) font with not less 
than 1'' margins on all sides.
    (3) Materials provided in the appendices should directly refer to 
the specific rating factor narrative. Applicants are strongly urged to 
not submit information that is not required and/or requested in the 
NOFA or relevant to a specific narrative response. The narrative rating 
responses should be submitted as a single Microsoft Word document file. 
All attachments must identify the related factor in the footer by 
providing the rating factor and the page number (e.g., Factor 1 
Attachment, pg. 1), and should be submitted as a single zip file 
attachment to the electronic application.
    b. Information contained in the abstract will not be considered in 
the evaluation and scoring of your application.
    c. Application Checklist (Voluntary). Your application must contain 
all of the required information requested in this NOFA and the General 
Section. These items include the standard forms, and the certifications 
and assurances listed in the General Section that are applicable to 
this NOFA. The forms required for application submission and 
instructions can be found in the application at http://www.grants.gov/applicants/apply--for--grants.jsp. The ``Checklist and Submission Table 
of Contents'' below includes a list of the required items needed for 
submitting a complete application and receiving consideration for 
funding.
Checklist and Submission Table of Contents (Counts Towards the 150 Page 
Limit)
     Application Checklist (paper copy applications only)
     Applicant Abstract (limited to a maximum of 2 pages)
     Rating Factors Response (limited to a maximum of 20 
narrative pages plus the following forms):
    1. Capacity of the Applicant and Relevant Organizational 
Experience--Form HUD-96012;
    2. Needs/Extent of the Problem--Form HUD-96013;
    3. Soundness of Approach (Work Plan/Budget)--Form HUD-96014;
    4. Leveraging and Matching Resources--Form HUD-96015; and
    5. Achieving Results and Program Evaluation--Logic Model--Form HUD-
96010.
Other Materials in Support of Rating Factors
Application for Federal Assistance--Form SF-424;
Survey on Ensuring Equal Opportunity for Applicants--Form SF-424 
Supplement (Faith Based EEO Survey (SF-424 SUPP) on Grants.gov);
Grant Application Detailed Budget (HUD Detailed Budget Form on 
Grants.gov) and Worksheet HUD-424 CBW, Total Budget (Federal Share and 
Matching) and Budget Justification Narrative;
Applicant/Recipient Disclosure/Update Report--Form HUD-2880 (HUD 
Applicant Recipient Disclosure Report on Grants.gov);
Certification of Consistency with the RC/EZ/EC-II Strategic Plan--Form 
HUD-2990;
Certification of Consistency with the Consolidated Plan--Form HUD-2991;
Disclosure of Lobbying Activities (if applicable)--Form SF-LLL;
Development Worksheet with Minimum Benchmark Standards (36 Months) Form 
HUD-96008;
Match and Leverage Documentation;
Third Party Documentation Facsimile Transmittal (Facsimile Transmittal 
Form on Grants.gov)(for electronic applications)--Form HUD-96011;
Questionnaire for HUD's Removal of Regulatory Barriers (HUD Communities 
Initiative Form on Grants.gov)--Form HUD-27300, including required 
documentation or URL references;
You Are Our Client Survey--Form HUD-2994-A (optional); and
Threshold Requirements (Refer to Section III.C of the General Section, 
and Section III.C.3, Threshold Requirements, of this NOFA).
    C. Submission Dates and Times. The application must be received and 
validated by Grants.gov no later than 11:59:59 p.m. eastern time on the 
deadline date. Please note that the validation process may take up to 
72 hours. Refer to the General Section for timely submission 
requirements.
    D. Intergovernmental Review: Not required.

E. Funding Restrictions

    1. Administrative Costs. There is a 10 percent maximum allowance 
for administrative costs. Additional information about allowable 
administrative costs is provided in Appendix D of this NOFA at http://www.grants.gov/applicants/apply--for--grants.jsp.
    2. Ineligible Activities. You may not use grant funds for any of 
the following activities:
    a. Purchase of real property.
    b. Purchase or lease of equipment having a per-unit cost in excess 
of $5,000, except for the purchase and lease of up to two X-ray 
fluorescence analyzers used by the grant program.
    c. Chelation or other medical treatment costs related to children 
with Elevated Blood Lead levels (EBLs). Non-federal funds used to cover 
these costs may be counted as part of the required matching 
contribution.
    d. Lead hazard evaluation or control activities in publicly-owned 
housing, or project-based Section 8 housing (this housing stock is not 
eligible under Section 1011 of the Lead-Based Paint Hazard Reduction 
Act).
    e. Lead hazard evaluation or control activities in housing covered 
by a settlement agreement, consent decree, court order or other similar 
action by HUD or EPA regarding the Lead Disclosure Rule (24 CFR part 
35, Subpart A, or the equivalent 40 CFR part 745, subpart F), or by HUD 
regarding its Lead Safe Housing Rule (24 CFR part 35, subparts B-R).
    f. Presumption of the presence of lead-based paint or lead-based 
paint hazards. A lead-based paint inspection and risk assessment are 
required.
    g. Activities that do not comply with the Coastal Barrier Resources 
Act (16 U.S.C. 3501).
    h. Lead-hazard control or rehabilitation of a building or 
manufactured home that is located in an area identified by the Federal 
Emergency Management Agency (FEMA) under the Flood Disaster Protection 
Act of 1973 (42 U.S.C. 4001-4128) as having special flood hazards 
unless:
    (1) The community in which the area is situated is participating in 
the National Flood Insurance Program in accordance with the applicable 
regulations (44 CFR parts 59-79), or less than a year has passed since 
FEMA notification regarding these hazards; and
    (2) Where the community is participating in the National Flood 
Insurance Program, flood insurance on the property is obtained in 
accordance with section 102(a) of the Flood Disaster Protection Act (42 
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance 
is obtained and maintained for the appropriate amount and term.
    F. Other Submission Requirements: Applicants are required to submit 
applications electronically via the Web site http://www.grants.gov. See 
the General Section for additional information on the electronic 
process and how to request a waiver from the requirement, if necessary. 
Applicants

[[Page 11548]]

should submit their waiver requests in writing by e-mail. Waiver 
requests must be submitted no later than 15 days prior to the 
application deadline date and should be submitted to Jonnette Hawkins, 
Director, Program Management and Assurance Division, Office of Healthy 
Homes and Lead Hazard Control, [email protected]. If you 
are granted a waiver of the electronic application submission 
requirement, the application must be received by HUD no later than 
11:59:59 p.m. on the application deadline date. The waiver approval 
notification will provide further information on where to send the 
application and the number of copies to be provided.

V. Application Review Information

    A. Criteria: The following section applies to all applicants unless 
otherwise specified.

1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 points maximum for all applicants)

    All applicants.
    a. Capacity of the Applicant (10 points). This rating factor 
addresses your capacity to successfully implement the proposed 
activities. The applicant must demonstrate that it has sufficient 
personnel or will actively retain qualified experts or professionals, 
and is prepared to perform lead-based paint hazard evaluation, lead-
based paint hazard control intervention work, and other proposed 
activities within 120 days of the effective date of the grant award. 
HUD reserves the right to terminate the grant if sufficient personnel 
or qualified experts are not retained to actively perform these program 
activities within this 120-day period. All applicants must respond to 
this Rating Factor, including completing the Factor 1 Table. The 
``applicant'' includes the applicant organization as a whole, and the 
applicant staff, including key personnel responsible for implementing 
the program.
    Applicants are to list by name and/or position title all key 
personnel, whether currently vacant or contingent upon an award, 
including the percentage of time to be dedicated to the proposed 
program. Key personnel should include, at a minimum, one Project 
Director and one Program Manager. The applicant must describe the 
relevant knowledge and experience of the Project Director and Program 
Manager, and any additional key personnel, who will carry out program 
activities, including the time commitment of each to the proposed 
program. The day-to-day Program Manager must be experienced in the 
management of housing rehabilitation or lead hazard control, childhood 
lead poisoning prevention, or similar work involving project 
management, and must be dedicated to the proposed program for a minimum 
of 75 percent of the time. The applicant must describe the roles and 
responsibilities of each key personnel, including any/all relevant 
current or previous experience in the planning and management of large, 
complex and interdisciplinary programs involving housing 
rehabilitation, lead hazard control, childhood lead poisoning 
prevention, or similar work. Resumes (maximum three pages each for up 
to three key personnel) or position descriptions for those key 
personnel to be hired, and organizational charts for the grant program 
must be submitted as an appendix. Similarly, applicants must list and 
describe sub-grantees, sub-contractor organizations, sub-recipients and 
consultants that will provide services and carry out critical 
activities for the proposed grant program. Provide the capacity of the 
above entities as demonstrated by experience in initiating and 
implementing related environmental, health, or housing projects. List 
key personnel from each sub-grantee or sub-contractor organization who 
will provide services, their respective roles and responsibilities on 
the proposed program and the time commitment to the proposed program.
    b. Relevant Organization Experience (10 points).
    (1) New Applicants. Your organizational capacity should be 
demonstrated by describing prior experience in initiating and 
implementing lead hazard control or related environmental, health or 
housing programs. Include a table that lists the relevant and most 
recent experience in initiating and implementing lead hazard control 
efforts and or related environmental, health or housing programs and/or 
grants awarded (which may also include philanthropic/foundation awards 
for LEAP applicants). Provide examples of relevant programs that you 
currently manage or have previously managed within the past three years 
(e.g., Lead Hazard Control, CDBG Housing Rehabilitation, Childhood Lead 
Poisoning Prevention Program, Healthy Homes Demonstration, 
Weatherization, LEAP, etc). Include the following details for each 
project:
     Title of the project
     Start and end date of the project
     Funding Agency
     Name of the Project Director and Program Manager
     Dollar amount of the project
     Project goals and deliverables
     Whether or not the project was completed on time and all 
goals achieved
     Discussion of significant obstacles and how they were 
resolved
     If grant's performance was rated, the final rating 
received HUD's evaluation process will consider an applicant's past 
performance record as reported to HUD in effectively organizing and 
managing its grant operations, in meeting performance and work plan 
benchmarks and goals, and in managing funds, including its ability to 
account for funds appropriately, the timely use of funds received 
either from HUD or other federal, state or local programs, and meeting 
performance milestones. HUD may also use other information relating to 
these items from sources at hand, including public sources such as 
newspapers, Inspector General or Government Accountability Office 
Reports or Findings, hotline complaints, or other sources of 
information that possess merit.
    (2) Current or previous grantees under any of this NOFA's programs: 
HUD will evaluate the applicant's quarterly performance reports for the 
most recent four (4) quarters, and award a maximum of 10 points based 
on the performance ratings.

2. Rating Factor 2: Need/Extent of the Problem (20 points maximum for 
Lead-Based Paint Hazard Control and Lead Hazard Reduction Demonstration 
Programs, and 10 points maximum for LEAP).

    This factor refers to whether or not the community where eligible 
lead hazard control activities will be conducted has significant lead-
based paint hazards to be addressed and an urgent need exists for HUD 
funding to address the problem in the identified target area(s). A 
target area is the area in which you will be performing lead hazard 
control activities; the area may be a whole jurisdiction, or, if a 
portion of a jurisdiction is being targeted, a specific set of Census 
tracts. Each applicant will be evaluated and scored in this rating 
factor based on documented need as evidenced by thorough, credible, and 
applicable data and information. For you to receive maximum points for 
this rating factor there must be a direct and substantial relationship 
between your proposed lead hazard control activities, the Consolidated 
Plan's lead element, and the documented community needs. Since an 
objective of the program is to

[[Page 11549]]

prevent at-risk children from being poisoned, specific attention must 
be paid to documenting the identified need as it applies to any 
selected targeted area(s). The applicant shall complete the Factor 2 
Table--Need/Extent of the Problem.
    Multiple tables (one per target area) are permissible. Provide the 
number of children less than 6 years of age in the target area(s). You 
must identify the Census 2000 tract numbers for each target area that 
is smaller than your jurisdiction. The data submitted to HUD may be 
verified using data available from the Census http://factfinder.census.gov, HUDuser http://www.huduser.org/datasets/il/fmr99rev/hud99revmd.txt, and other sources available to HUD. Points 
will be awarded in this rating factor based on the information 
documenting the number of children with an elevated blood lead level, 
the number of pre-1940 housing units, the number and percentage of 
families with incomes at or below 80% of the Area Medium Income as 
determined by HUD within your jurisdiction and/or target areas, and 
other socioeconomic or environmental factors in the applicants target 
area(s).
    a. Points will be awarded based on the documented number of 
children with an EBL entered in the Rating Factor 2 table. Documented 
Number of Children with an Elevated Blood Lead (EBL) (5 Points Maximum 
for LBPHC and LHRD Programs, and 3 Points Maximum for LEAP). See Rating 
Factor 2--Table 1 (LBPHC), Table 2 (LHRD) and Table 3 (LEAP) for 
``Points Awarded for the Number of Children Under 6 Years of Age with 
an Elevated Blood Lead Level in the Applicant's Target Area(s),'' that 
can be downloaded for each grant program from http://www.grants.gov/applicants/apply--for--grants.jsp. Provide the Census tract numbers for 
each target area that is smaller than your jurisdiction area(s). 
Provide the actual number of children documented as having an elevated 
blood lead (EBL) residing within the target area and within the 
jurisdiction where the lead hazard control work will be conducted for 
the most recent complete calendar year and identify the source of the 
data. HUD will accept data for the most recent 12-month period 
available since January 1, 2003. States must report the number in each 
target area and each city, county, or other area where funds will 
actually be used. (Data are needed just in the application, and are not 
required during or after grant completion.) Consortia of local 
governments must report the number in the cities or counties making up 
the consortium. For the purposes of this application, the ``documented 
number of children'' with an EBL is based on the CDC level of concern. 
Failure to provide this number in the application means that no points 
will be awarded for this sub-factor.
    b. Points will be awarded based on other socioeconomic or 
environmental factors in the applicants target area(s). (Maximum 5 
points for Lead-Based Paint Hazard Control and Lead Hazard Reduction 
Demonstration Programs, and 3 Points Maximum for LEAP). Describe the 
need and extent of the lead poisoning problem in children under six 
years of age in terms of other socioeconomic or environmental factors 
that demonstrate the need to establish or continue lead hazard control 
work in the jurisdiction and target area(s).
    c. Points will be awarded based on the documented housing market 
data relevant to the specified target area(s) entered in the Rating 
Factor 2 table. (5 Points maximum for LBPHC and LHRD Programs, and 2 
Points Maximum for LEAP). Points will be awarded under the LBPHC and 
LEAP Programs for the number of pre-1978 occupied housing units in the 
applicant's target area(s), see Rating Factor 2--Table 4 (LBPHC) and 
Table 5 (LEAP) for ``Points Awarded for Number of Pre-1978 Occupied 
Housing Units in Target Area(s),'' that can be downloaded as part of 
the program instructions from http://www.grants.gov/applicants/apply--
for--grants.jsp. Points will be awarded under the LHRD program for the 
number of pre-1940 occupied rental housing units in the applicant's 
target area(s), see Table 6 (LHRD) for ``Points Awarded for Number of 
Pre-1940 Occupied Rental Housing Units in Target Area,'' that can be 
downloaded as part of the program instructions from http://www.grants.gov/applicants/apply--for--grants.jsp.
    d. Points will be awarded based on the documented percentage of 
very-low income (less than 50 percent of the area median) and low-
income (less than 80 percent of the area median income) families, as 
determined by HUD and entered in the Rating Factor 2 table (5 Points 
Maximum for LBPHC and LHRD Grant Programs and 2 Points Maximum for 
LEAP). http:/// See Rating Factor 2--Table 7 (LBPHC), Table 8 (LHRD) 
and Table 9 (LEAP) for ``Points Awarded for Number of Very Low and Low-
Income Percentages of Families in Target Area(s),'' that can be 
downloaded from www.grants.gov, for each grant program.

3. Rating Factor 3: Soundness of Approach (40 points maximum for all 
applicants)

    Applicants shall complete the Rating Factor 3 Table Soundness of 
Approach. (All Applicants: Based on analysis of internal historical 
data, lead hazard control costs average approximately $8,000 per unit. 
It is, therefore, anticipated that average per unit cost for all 
programs under this NOFA will be no more than this value. If your per-
unit cost estimate exceeds the above dollar figure, you should justify 
the cost overrun).
    The work plan should include specific, measurable, and time-phased 
objectives for each major program activity and should reflect benchmark 
performance standards for unit evaluation, unit production, match/
leverage funds, community outreach and education, skills training, and 
other activities. Examples of benchmarks include number of units to be 
made lead-safe, number of children living in units to be made lead-
safe, number of persons to be trained to perform lead hazard control 
activities, number of educational programs to be presented and/or the 
number of persons to be served by such programs. The benchmark form 
(Form HUD--96008) and policy guidance on developing work plans are 
available at the HUD Web site: http://www.hud.gov/offices/lead/lhc/pgi/index.cfm.
     a. Lead Hazard Control Work Plan Strategy (10 Points all 
Applicants): Describe the overall work plan goals and time-phased 
strategy to complete work within the 36-month period of performance 
(Form HUD--96008). Describe the methods, including schedule and 
milestones, that will be used to identify and control lead-based paint 
hazards and how the desired project benchmarks will be achieved. 
Include information about the estimated numbers of families to be 
contacted, units enrolled, units to receive risk assessments and 
inspections, units to receive lead hazard control work, individuals/
groups to be reached through education and/or outreach activities and 
trained.
    Additionally, provide responses to the following:
    (1) Program Administration and Financial Management. Describe the 
approach and method to successfully administer the proposed program.
    (a) Include details about staff and project oversight/monitoring, 
contract administration (routine monitoring of all sub-grantees and 
contractors to ensure conformity to the terms, conditions and 
specifications of

[[Page 11550]]

contracts or other formal agreements), and how funding will flow from 
the grantee to those who will perform work under the proposed program.
    (b) Discuss the lead hazard control financing strategy, including 
verification of financing eligibility requirements, terms, conditions, 
dollar limits, amounts available for lead hazard control work in the 
various categories of housing (e.g., single-family, multi-family, 
vacant, owner or tenant-occupied), and who is responsible for 
establishing, administering and overseeing this aspect of the program. 
Describe how recapture of grants or loan funds to owners of assisted 
units will occur when recipients fail to comply with any terms and 
conditions of the financing arrangement (e.g., failure to comply with 
affordability, affirmatively marketing and providing priority to 
renting units to families with children under six years of age, sale of 
property, etc.). Explain the type of assistance (e.g. grants, deferred/
forgivable loans and the basis and schedule for forgiveness), and the 
role of other resources such as private sector financing and matching, 
if any, from rental property owners.
    (c) Describe your involvement in coordination among critical 
agencies, including participation in the CDC state-wide or 
jurisdiction-wide strategic plan to eliminate childhood lead poisoning 
by 2010.
    (2) Program Start-Up. Describe program start-up activities during 
the first 120 days of the grant (hiring/training staff, establishing 
qualified contractor pool, outreach/education and unit enrollment 
activities).
    Provide information about internal and external capacity-building 
steps necessary to ensure a smooth and timely start-up phase. Provide 
detailed information about other organizations that provide the 
knowledge and skills required to address lead hazard control, including 
establishment of a qualified contractor pool, and other lead poisoning 
prevention actions that are essential for successfully implementing 
your program (e.g., education, testing, housing interventions).
    (a) Describe the proposed involvement of grassroots community-based 
nonprofit organizations, including faith-based organizations, in the 
program activities. These activities may include outreach, community 
education, marketing, inspection, and housing evaluations and 
interventions.
    (b) Explain how you will implement the environmental review and 
Request for Release of Funds process, and who is responsible to obtain 
the required HUD approval for intended lead hazard control work on 
eligible, enrolled units. Include a description of the steps to be 
taken, and who will be responsible, to comply with applicable 
environmental reviews for individual projects.
    (3) Outreach, Recruitment and Unit Enrollment. Describe the methods 
and strategies, including the individuals and/or sub-grantees, sub-
recipients or contractors responsible for marketing and outreach to 
intended target area(s) and/or residents, including recruitment and 
enrollment activities to supply the program with sufficient numbers of 
eligible units within an established timeframe.
    (a) Describe how you will identify, select, prioritize and enroll 
eligible housing units in which you will undertake lead hazard control 
interventions, especially those known to house EBL children. Include 
the number of eligible privately-owned housing units, including the 
number of owner-occupied, rental, vacant, single and/or multi-family 
units to be enrolled.
    (b) Describe your planned approach to control lead hazards in 
vacant and/or occupied units before children are poisoned.
    (c) Describe measures you will take to sustain recruitment. 
Identify the staff responsible for both monitoring recruitment status 
and implementing the measures identified to sustain recruitment.
    (d) Explain how you will obtain data from state/local health 
departments, Childhood Lead Poisoning Prevention Programs (CLPPP) and 
other health care and housing agencies on the addresses of housing 
units in which children have been identified as lead poisoned, for 
purposes of recruiting and enrolling housing units.
    (e) Discuss how referrals from the Section 8, Housing Choice 
Voucher program and other agencies that provide housing assistance to 
low-income households with children, including CDBG, HOME Investment 
Partnerships Program-funded housing programs, weatherization or other 
sources, will be received and processed.
    (f) Describe how you will obtain information in order to document 
the occupants of units assisted and meet the Title X income and family 
composition requirements by identifying key staff who will certify as 
to the eligibility of each unit assisted, based on the determination of 
income, and when required, the presence of a child or children under 
six years of age.
    b. Technical Approach/Lead Hazard Control Intervention (10 Points 
for all Applicants). Describe the technical approach and associated 
costs for testing enrolled units, blood-lead testing of children in 
enrolled units, lead hazard control methods and strategies, occupant 
protection and temporary relocation.
    Describe the lead hazard control methods, and strategies, including 
the most cost-effective hazard control methods you will undertake and 
the number of single and multi-family units that you will treat based 
on the method selected (e.g., interim controls and/or hazard 
abatement). Explain your strategy to ensure that the units are 
maintained lead safe after treatment.
    If you maintain that approaches other than interim controls are 
necessary, a justification is necessary. For example, abatement might 
be justified in an area where significant amounts of low-income housing 
stock are highly distressed or where lead hazard control work is being 
combined with rehabilitation over $25,000 per housing unit. Where 
highly distressed housing stock exists, applicants should explain why 
options for households to move to lead-safe housing are not viable.
    Complete abatement of lead-based painted surfaces in units is 
generally not a cost effective strategy. In cases where only a few 
surfaces have identified lead-based paint hazards and if abatement is 
cost-effective, the applicant must provide a detailed rationale for 
selecting complete abatement as a strategy.
    (a) Management. Indicate the individual or entity responsible for, 
and describe the process for developing the work specifications and the 
lead hazard control contractor bid and selection process (i.e., the 
contracting) on properties selected for lead hazard control work. 
Explain the management process to ensure the cost-effectiveness of 
intended lead hazard control methods.
    (b) Coordination.
    (1) Explain the coordination of relevant activities among lead 
hazard control, rehabilitation, weatherization, and other contractors 
performing work other than lead hazard control.
    (2) Describe your testing methods, schedule, and costs for lead-
based paint inspections and risk assessments and clearance 
examinations. If you propose to use a more restrictive standard than 
the HUD/EPA thresholds, provide the standard(s) that will be used. All 
testing shall be performed in accordance with applicable regulations.
    (3) Describe how you will ensure that contractors, property owners 
and maintenance personnel performing interim controls and lead hazard 
abatement work are properly trained and/or certified, and how work will 
be monitored and supervised to ensure that contractors perform work of 
reasonable quality in compliance with work

[[Page 11551]]

specifications and applicable federal/state/local regulations.
    (4) Provide a realistic schedule for completing key program 
activities and outputs, by quarter, so that all activities and outputs 
can be completed before or within the grant period of performance. Key 
production activities include unit enrollment, lead-based paint 
inspection and risk assessments, hazard control and clearance of units. 
Describe the estimated timeframe for treating a typical unit from 
referral and intake to hazard control and clearance. Explain how the 
program will accommodate emergency referrals (e.g., units occupied by a 
child under six years of age with an EBL).
    (5) Provide guidelines and/or flowcharts that demonstrate the 
agency and team member responsibilities for each step in the unit 
production process (from intake and enrollment to completion and 
clearance of units). Describe how coordination and hand-offs from 
individuals or agencies to and from each step in the unit production 
process will be carried out. Discuss how the actual production status 
of units, from intake and enrollment to completion and clearance, will 
be monitored, and how and when impediments to production will be 
identified and remedied.
    (6) Relocation:
    (a) Describe your plan for the relocation of occupants of units 
selected for remediation, if temporary relocation is necessary (see 
Section VI B.4, below). If temporary relocation is necessary, address 
the use of safe houses and other housing arrangements, storage of 
household goods, stipends, incentives, etc., and the source of funding 
for relocation.
    (b) If relocation is necessary for occupants of rental units, 
describe your plan for ensuring right of return and/or first referral 
for occupants of units selected for remediation who have had to move 
for the remediations to be performed. Describe your plan and the 
individual(s) responsible for occupant protection and the temporary 
relocation of occupants of units selected to receive lead hazard 
control work. Describe strategies to avoid overnight relocation in 
small-scale projects consistent with applicable subsections of HUD's 
Lead Safe Housing Regulations.
    (7) Describe the methods, measures and cost for performing blood 
lead testing in children less than six years of age.
    (a) Describe strategies to increase blood lead testing of children 
within the target area(s).
    (b) Explain who will be responsible for ensuring and how you will 
ensure that all children less than six years of age who occupy units to 
be assisted with lead hazard control work receive blood lead testing 
within six months of commencement of work on the unit.
    (c) Identify the individual responsible to ensure that children 
identified with an elevated blood-lead level are referred to 
appropriate medical care and how patient confidentiality, privacy and 
the security of medical information is protected as required by the 
Health Insurance Portability and Accountability Act (HIPAA) of 1996.
    c. Economic Opportunity (7 points for all applicants).
    (1) Section 3 Requirement (2 of 7 points). Explain how you will 
provide appropriate economic opportunities to Section 3 residents and 
Section 3 businesses of the target area, in compliance with Section 3 
of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) and 
HUD's implementing rules at 24 CFR Part 135. Describe how you will 
accomplish Section 3 requirements by identifying the number of 
individuals to receive such training per discipline, the schedule for 
delivering said training for low and very low-income persons living 
within the applicant's jurisdiction, and how trained individuals will 
be linked to employment opportunities with Section 3 businesses owned 
by and/or employ low and very low-income persons living within the 
grantee's jurisdiction.
    (2) Lead Hazard Control Outreach (5 of 7 points).
    (a) Describe your involvement in collaborative agreements or 
arrangements with childhood lead poisoning prevention programs, 
housing, community development, and code enforcement agencies (or 
equivalent) for the target area(s), as applicable. If these 
collaborative agreements or arrangements are not yet made, address 
plans to develop these agreements.
    (b) Discuss the opportunity-to-learn approaches to educate 
children, parents, workers, business people, and other community 
members about lead poisoning prevention and lead hazard control. 
Include how the proposed educational program will continue to meet the 
needs of those children already living in units to receive lead hazard 
control work.
    (c) Community and Private Sector Involvement:
    (i) Describe the role of grassroots, community-based nonprofit 
organizations, including faith-based organizations, in specific program 
activities (e.g., hazard evaluation and control, monitoring, awareness, 
education and outreach within the community).
    (ii) Explain how the intended education program(s) will be 
culturally sensitive, targeted, and linguistically appropriate. 
Identify the means available to supply the educational materials in 
other languages (identify all that apply) common to the community.
    (iii) Include the estimated number of individuals to receive the 
intended education and the estimated number of events to be delivered.
    (d) Affirmatively Furthering Fair Housing:
    (i) Describe strategies and methodologies that affirmatively 
further fair housing and increase access to lead-safe housing for all 
segments of the population: homeowners, owners of rental properties, 
and tenants.
    (ii) Identify who will ensure and how the applicant will ensure 
that the program will continue to affirmatively market and match 
treated units with low-income families with children less than six 
years of age in the future.
    (iii) Explain how this outreach strategy will avoid housing 
discrimination against families with young children, and how families 
will have adequate, lead-safe housing choices in the future. The 
strategy could also include affirmatively marketing your services to 
those populations least likely to apply and who may not be served by 
any of the organizations working with you or the grantee team.
    d. HUD's Departmental Policy Priorities and Consolidated Plan (6 
points for all applicants; each policy priority is 1 point, except the 
policy priority addressing Removal of Regulatory Barriers (#4, which is 
2 points). Please note that HUD Form 27300 requires the submission of 
documentation and contact information to receive policy priority 
points. Indicate if, and describe how, you will address any of HUD's 
departmental policy priorities (see General Section for more detailed 
explanation of HUD's policy priorities). Applicants shall also provide 
evidence of the priority that the community's Consolidated Plan and 
Analysis of Impediments to Fair Housing Choice has placed on addressing 
the needs described.
    The policy priorities that are applicable to this NOFA, and which 
the applicant should address, are: (1) Improving our Nation's 
Communities (focus on distressed communities); (2) Providing Full and 
Equal Access to Grassroots Community-based Non-profit Organizations, 
including Faith-based Organizations in HUD Program Implementation; (3) 
Participation of Minority-Serving Institutions in HUD

[[Page 11552]]

Programs; (4) Removal of Regulatory Barriers to Affordable Housing; and 
(5) Promoting Energy Efficiency and Energy Star. HUD expects the 
applicants to implement Energy Star building techniques and utilize 
Energy Star appliances whenever activities of the grant afford the 
opportunity. (For information on Energy Star Programs and Appliances, 
see http://www.epa.gov/epahome/athome.htm and HUD's scheduled webcast.)
    Describe how the proposed program would contribute to satisfying 
the stated needs in the Consolidated Plan or Indian Housing Plan, and 
eliminate impediments identified in the Analysis of Impediments (AI).
    e. Data Collection and other Program Support Activities (2 Points 
for all Applicants).
    (1) Identify and discuss the specific methods you will use (in 
addition to HUD reporting requirements) to document activities, 
progress, and program effectiveness. Explain how you will make 
necessary changes to improve program performance.
    (2) Describe how databases, including web sites, computer, paper or 
other formats, will incorporate the provisions of the Privacy Act of 
1974, such that the addresses of enrolled, treated and/or cleared 
housing units shall not include personal information that could 
identify any child affected.
    f. Budget Proposal (5 points).
    (a) Your budget proposal should thoroughly estimate all applicable 
costs (administrative, direct, indirect, and other direct costs), and 
be presented in a clear and coherent format in accordance with the 
requirements listed in the General Section. HUD is not required to 
approve or fund all proposed activities. You must thoroughly document 
and justify all budget categories and costs (Form HUD-424-CBW) and all 
major tasks, for yourself, sub-recipients, major subcontractors, joint 
venture participants, or others contributing resources to the project. 
A separate budget must be provided for partners who are proposed to 
receive more than 10 percent of the federal budget request. Your 
application will be evaluated on the extent to which your resources are 
appropriate for the scope of your proposed project.
    (b) Your narrative justification associated with these budgeted 
costs should be submitted as part of the Total Budget (Federal Share, 
Matching and Leveraging), but is not included in the 20-page limit for 
this submission. Separate narrative justifications should be submitted 
for partners that are submitting separate budgets. Your proposed budget 
should clearly identify the funding or cash equivalent amounts being 
provided as matching funds and as leveraged funds. These funds should 
reflect the numbers and contributions provided in response to Rating 
Factor 4, Leverage.
    (c) The application will not be rated on the proposed cost; 
however, cost will be considered in addition to the rated factors to 
determine whether the proposal is most advantageous to the Federal 
Government. Cost will be the deciding factor when proposals ranked 
under the listed factors are considered acceptable and are 
substantially equal.
    4. Rating Factor 4: Leveraging Resources (10 points maximum for 
Lead-Based Paint Hazard Control and Lead Hazard Reduction Demonstration 
Program, and 20 points maximum for LEAP). This rating factor applies to 
all programs unless otherwise specified.
    LBPHC and LHRD applicants will be given higher points for leveraged 
contributions that the applicant commits over and above the 10 percent 
or 25 percent statutory match requirement. For LEAP applicants, 
leveraged contributions at or above 100 percent of the federal 
requested amount are eligible to receive higher points. See Section 
III.B, Cost Sharing and Match, regarding letters of commitment from 
organizations other than the applicant required for the leveraging to 
be eligible for points. Based on the documented match/leverage funding, 
points will be awarded in accordance with the charts below.

------------------------------------------------------------------------
 Lead-based paint hazard control and lead hazard reduction demonstration
-------------------------------------------------------------------------
  Documented leveraged contributions of the requested HUD      Points
                amount: at least (percent)                     awarded
------------------------------------------------------------------------
10........................................................          0
15........................................................          1
20........................................................          2
30........................................................          3
40........................................................          4
50........................................................          5
60........................................................          6
70........................................................          7
80........................................................          8
90........................................................          9
100.......................................................         10
------------------------------------------------------------------------
                                  LEAP
------------------------------------------------------------------------
0.........................................................          0
100.......................................................          1.00
110.......................................................          2.25
120.......................................................          3.50
130.......................................................          4.75
140.......................................................          6.00
150.......................................................          7.25
160.......................................................          8.50
170.......................................................          9.75
180.......................................................         11.00
190.......................................................         12.25
200.......................................................         13.50
210.......................................................         14.75
220.......................................................         16.00
230.......................................................         17.25
240.......................................................         18.50
250.......................................................         20.00
------------------------------------------------------------------------

    5. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points maximum for all applicants). This rating factor reflects HUD's 
goal to embrace high standards of ethics, management, and 
accountability.
    a. Description of program activities, outputs and short-term, 
intermediate-term and long-term outcomes (5 points).
    (1) State clearly the project goals (``benchmarks'') and activities 
to achieve these goals.
    (2) Describe how you will measure the results.
    (3) Explain how you will document and track your goals, program 
activities, and schedules.
    (4) Identify the procedures you will follow to make adjustments to 
your work plan to improve performance if benchmarks are not met within 
established timeframes.
    b. Logic Model (5 points).
    (1) Submit Form HUD-96010.
    HUD is using an electronic Logic Model with dropdown menus from 
which you can select needs, activities, and outcomes appropriate to 
your program. See the General Section for detailed information on the 
use of the Logic Model. HUD is requiring grantees to use program-
specific questions to self-evaluate the management and performance of 
their program. Training on HUD's logic model and the reporting 
requirements for addressing the Management questions will be provided 
via satellite broadcast.
    In evaluating Rating Factor 5, HUD will consider how you have 
described the benefits and outcome measures of your program. HUD will 
also consider the evaluation plan, to ensure the project is on schedule 
and within budget.
    (2) Performance indicators should be objectively quantifiable and 
should measure actual achievements against anticipated achievements. 
Step 1. The planning component of the logic model should identify the 
problem or need and develop a plan. Step 2. The intervention component 
of the logic model should identify the kinds of services, activities, 
and outputs projected. Step 3. The

[[Page 11553]]

impact component of the logic model should identify the projected 
outcomes. Step 4. The accountability (phase one) component of the logic 
model should include data sources, measurement, and reporting tools. 
Step 5. The accountability (phase two) component of the logic model 
should include the evaluation methodology or the evaluation process. As 
a planning tool, the logic model can provide the statement of need and 
also provide the rationale for the proposed service or activity. For 
goals or benchmarks, the logic model can provide a set of quantifiable 
goals including timeframes. These goals allow you, the applicant, and 
HUD to monitor and assess your progress in achieving your program work 
plan. The process for the achievement of outcome goals should include 
identifying the expected outcome and the estimated number needed to 
achieve the goal or the expected outcome in terms of the community 
impact or changes in economic and social status. Some examples of 
measurement-reporting tools are survey instruments; attendance logs; 
case report; pre-post tests; or waiting lists. Describe where/how data 
are maintained, for example, central databases; individual case 
records; specialized access databases, tax assessor databases; and 
local precinct. Also, identify the location where the database is 
maintained, updated, etc., for example, on-site, subcontractor, or 
specify (e.g., identify what the other is).

6. Bonus Points (2 Points for All Programs)

    Applicants are eligible for two bonus points for projects that the 
applicant proposes to conduct in federally designated Empowerment Zones 
(EZs), Renewal Communities (RCs), or Enterprise Communities designated 
by United States Department of Agriculture (USDA) in round II (EC-IIs) 
and that are certified to be consistent with the area's strategic plan 
or RC Tax Incentive Utilization Plan (TIUP). Applicants must submit a 
completed Certification of Consistency with the RC/EZ/EC-II Strategic 
Plan--Form HUD-2990 signed by the appropriate official of the RC/EZ/EC 
II and also meet the requirements listed in the General Section for a 
possible award of two bonus points.
    Discuss whether any of the proposed activities will occur in any of 
these areas and how they will benefit the residents of those zones or 
communities.

B. Reviews and Selection Process

    1. Rating and Ranking. Please refer to the General Section.
    a. Applicants that meet all of the threshold requirements will be 
eligible to be scored and ranked, based on the total number of points 
allocated for each of the rating factors described in Section V.A of 
this NOFA.
    b. Remaining Funds. Refer to the General Section for HUD's 
procedures if funds remain after all selections have been made within a 
category.
    c. The scoring criteria to be used to award the maximum points for 
this NOFA are based on how fully and thoroughly the applicant answers 
each item listed in each rating factor.
    2. Factors for Award Used to Rate and Rank Applications.
    a. Implementing HUD's Strategic Framework and Demonstrating 
Results. HUD is committed to ensuring that programs result in the 
achievement of HUD's strategic mission. To support this effort, grant 
applications submitted for HUD programs will be rated on how well they 
tie proposed outcomes to HUD's policy priorities and Annual Goals and 
Objectives, and the quality of proposed Evaluation and Monitoring 
Plans.
    b. The maximum number of points to be awarded is 100 plus two bonus 
points as described in the General Section and above.
    c. The factors for rating and ranking eligible applicants under all 
categories, and the maximum points for each factor are stated below:

------------------------------------------------------------------------
                                                         Maximum points
                                                       -----------------
                    Rating factors                      LBPHC &
                                                          LHRD     LEAP
------------------------------------------------------------------------
1. Capacity of the Applicant and Relevant                    20       20
 Organizational Experience............................
2. Need/Extent of the Problem.........................       20       10
3. Soundness of Approach..............................       40       40
4. Matching and Leveraging Resources..................       10       20
5. Achieving Results and Program Evaluation...........       10       10
Empowerment Zone, Renewal Zones and Enterprise                2        2
 Community (II) Bonus Points..........................
                                                       -----------------
    Total.............................................      102      102
------------------------------------------------------------------------

VI. Award Administration Information

A. Award Notices

    1. Applicants Selected for Award.
    a. Successful applicants will receive a letter from the Office of 
Healthy Homes and Lead Hazard Control Grant Officer providing details 
regarding the effective start date of the grant agreement and any 
additional data and information to be submitted to execute the grant. 
This letter is not an authorization to begin work or incur costs under 
the grant.
    b. HUD may require that a selected applicant participate in 
negotiations to determine the specific terms of the grant agreement, 
budget, and Logic Model. Should HUD not be able to successfully 
conclude negotiations with a selected applicant, an award will not be 
made. Applicants should note that, if they are selected for multiple 
awards, they must ensure that they have sufficient resources to provide 
the promised match and/or leveraging for the multiple awards. During 
negotiations, such applicants would be required to provide alternative 
match and/or leveraged resources, if necessary, before the grant can be 
awarded in order to avoid committing duplicate match and/or leveraged 
resources to more than one OHHLHC grant. If the applicant accepts the 
terms and conditions of the grant agreement, a signed grant agreement 
must be returned by the date specified. Instructions on how to have the 
grant agreement account entered into HUD's Line of Credit Control 
System (LOCCS) payment system will be provided. Other forms and program 
requirements will be provided. In accordance with OMB Circular A-133 
(Audits of States, Local Governments and Nonprofit Organizations), if 
an awardee expends $500,000 in federal funds in a single year, they 
follow the requirements of the Single Audit Act and must submit their 
completed audit-reporting package along with the Data Collection Form 
(SF-SAC) to the Single Audit Clearinghouse. The address can be

[[Page 11554]]

obtained from their Web site. The SF-SAC can be downloaded at: http://harvester.census.gov/sac/.
    2. Debriefing. The General Section provides the procedures for 
applicants to request a debriefing.
    3. Negotiation. Refer to the General Section for additional 
details.
    4. Adjustments to Funding. Refer to the General Section for 
additional details.
    B. Administrative and National Policy Requirements: Refer to the 
General Section for additional details regarding the Administrative and 
National Policy Requirements applicable to HUD Programs.
    1. National Historic Preservation Act. The National Historic 
Preservation Act of 1966 (16 U.S.C. 470) and the regulations at 36 CFR 
part 800 apply to the lead-hazard control or rehabilitation activities 
that are undertaken pursuant to this NOFA.
    2. Waste Disposal. You must handle waste disposal according to the 
requirements of the appropriate local, state, and federal regulatory 
agencies. You must handle disposal of wastes from hazard control 
activities that contain lead-based paint, but are not classified as 
hazardous in accordance with state or local law or the HUD Guidelines 
for the Evaluation and Control of Lead-Based Hazards in Housing (HUD 
Guidelines). The Guidelines are available from the HUD Web site at: 
http://www.hud.gov/offices/lead/guidelines/hudguidelines/index.cfm.
    3. Worker Protection Procedures. You must observe the procedures 
for worker protection established in the HUD Guidelines, as well as the 
requirements of the Occupational Health and Safety Administration 
(OSHA) (29 CFR 1926.62, Lead Exposure in Construction), or the state or 
local occupational safety and health regulations, whichever are most 
protective. If other applicable requirements contain more stringent 
requirements than the HUD Guidelines, the more rigorous standards shall 
be followed.
    4. Relocation. The relocation requirements of the Uniform 
Relocation Assistance and Real Property Acquisition Policies Act of 
1970 (URA), as amended, and the implementing government-wide regulation 
at 49 CFR part 24, that cover any person (including individuals, 
businesses, and farms) displaced as a direct result of the acquisition, 
rehabilitation, or demolition of real property, apply to this grant 
program. If such persons are required to temporarily relocate for a 
project, the requirements of the URA regulations at 49 CFR 24.2(a)(9) 
must be met. HUD recommends you review these regulations when preparing 
your proposal. (They can be downloaded from the Government Printing 
Office Web site at http://www.gpoaccess.gov/cfr/index.html by entering 
the regulatory citation in quotes without any spaces (e.g., 
``49CFR24.2'') in the Quick Search box.). See Section III.C.4.e of the 
General Section for additional information about relocation.
    5. Davis-Bacon wage rates. The Davis-Bacon wage rates are not 
applicable to these programs. However, if you use grant funds in 
conjunction with other federal programs, Davis-Bacon requirements will 
apply to the extent required under the other federal programs.
    6. Procurement of Recovered Materials. See the General Section for 
information concerning this requirement.
    7. Executive Order 13202. ``Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally-Funded Construction Projects.'' See General 
Section for information concerning this requirement.
    C. Reporting: Reports shall comply with section VI.C. of the 
General Section. In addition, successful applicants will be required to 
submit quarterly, annual and final program and financial reports 
according the requirements of the Office of Healthy Homes and Lead 
Hazard Control. Specific guidance and additional details will be 
provided to successful applicants. The following items are a part of 
OHHLHC reporting requirements.
    1. Final Work Plan and Budget are due within sixty days of signing 
the grant agreement.
    2. Progress reports are due on a quarterly basis. In quarterly 
reports, grantees provide information about accomplishments in the 
areas of program management; assessment and intervention activities; 
community education, outreach, training and capacity building; data 
collection and analysis; as well as a listing of completed units and 
financial report. Project benchmarks and milestones will be tracked 
using a benchmark spreadsheet that uses the benchmarks and milestones 
identified in the Logic Model form (HUD-96010) approved and 
incorporated into your award agreement. For specific reporting 
requirements, see policy guidance at http://www.hud.gov/offices/lead. 
For FY 2007, HUD is considering a new concept for the Logic Model. The 
new concept is a Return on Investment (ROI) statement. HUD will be 
publishing a separate notice on the ROI concept.
    3. Annual report shall be submitted at the end of each fiscal year. 
A final report is due at the end of the project period, which includes 
final project benchmarks and milestones achieved against the proposed 
benchmarks and milestones in the Logic Model (HUD-96010) approved and 
incorporated into your award agreement. Specific information on all 
reporting requirements will be provided to successful applicants.
    4. Racial and Ethnic Beneficiary Data. HUD does not require LBPHC, 
LHRD and LEAP awardees to report ethnic and racial beneficiary data as 
part of their initial application package. However, such data must be 
reported on an annual basis, at a minimum, during the implementation of 
your grant agreement. You must report the data as described in the 
General Section and use the Office of Management and Budget's Standards 
for the Collection of Racial and Ethnic Data, using Form HUD-27061, 
Race and Ethnic Data Reporting Form, if applicable (HUD Race Ethnic 
Form on Grants.gov), found on HUD's Web site at http://www.hudclips.org/cgi/index.cgi. Grantees can also use an online system 
to meet this requirement, provided the data elements and reports 
derived from the system are equivalent to the data collection in the 
form HUD-27061.
    5. All grant recipients must comply with reporting requirements of 
subpart E (Section 3 of the Housing and Urban Development Act of 1968, 
12 U.S.C. 1701u (Economic Opportunities for Low- and Very Low-Income 
Persons in Connection with Assisted Projects) and the HUD regulations 
at 24 CFR part 135).

VII. Agency Contact(s)

    For questions related to the application process, you may contact 
the Grants.gov help line at 800-518-GRANTS. For programmatic questions, 
you may contact: Ms. Jonnette G. Hawkins, Director, Program Management 
and Assurance Division, Office of Healthy Homes and Lead Hazard 
Control: Department of Housing and Urban Development; 451 Seventh 
Street, SW., Room 8236, Washington, DC 20410-3000; telephone (202) 755-
1785, extension 7593 (this is not a toll-free number); facsimile (202) 
755-1000; e-mail: [email protected]. For administrative 
questions, you may contact Curtissa L. Coleman, Grants Officer, at the 
address above or by telephone at: (202) 755-1785, extension 7580 (this 
is not a toll-free number); e-

[[Page 11555]]

mail at: [email protected]. If you are a hearing- or 
speech-impaired person, you may reach the above telephone numbers via 
TTY by calling the toll-free Federal Information Relay Service at 1-
800-877-8339.

VIII. Other Information

    A. General. For additional general, technical, and grant program 
information pertaining to the Office of Healthy Homes and Lead Hazard 
Control, visit: http://www.hud.gov/offices/lead.
    B. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2539-0015. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 80 hours to prepare the 
application, 16 hours to finalize the grant agreement, and 32 hours per 
annum for grant administration (progress reporting) per respondent. 
This includes the time for collecting, reviewing, and reporting the 
data for the application, quarterly reports, and final report. The 
information will be used for awardee selection and monitoring the 
administration of funds. Response to this request for information is 
required in order to receive the benefits to be derived.
    C. Appendices. Appendices A, B, C, D and E of this NOFA are 
available for downloading with the application at http://www.grants.gov/applicants/apply for grants.jsp. Appendix E lists HUD's 
comments on selected issues related to the Lead Hazard Reduction 
Demonstration Grant Program.

[[Page 11556]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.013


[[Page 11557]]



Lead Technical Studies and Healthy Homes Technical Studies Programs

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Healthy Homes and Lead Hazard Control.
    B. Funding Opportunity Title: Lead Technical Studies and Healthy 
Homes Technical Studies.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR-5100-N-25, OMB Paperwork Approval 
number is 2539-0015.
    E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.902, 
Lead Technical Studies Grant Program, and 14.906, Healthy Homes 
Technical Studies Grant Program.
    F. Dates: The application deadline date is May 18, 2007. 
Applications must be received and validated by Grants.gov no later than 
11:59:59 pm eastern time on the application deadline date. See Section 
IV of the General Section, regarding application submission procedures 
and timely filing requirements.
    G. Additional Information:
    1. Purpose: To fund technical studies to improve existing methods 
for detecting and controlling lead-based paint and other housing-
related health and safety hazards, to develop new methods to detect and 
control these hazards, and to improve our knowledge of lead-based paint 
and other housing-related health and safety hazards.
    2. Available funding: HUD anticipates that approximately $5.6 
million will be available. Of this, approximately $3.6 million is for 
Lead Technical Studies and approximately $2.0 million is for Healthy 
Homes Technical Studies.
    3. Anticipated awards: Approximately 4 to approximately 10 awards 
will be made for the Lead Technical Studies Program, ranging from 
approximately $200,000 to a maximum of $1 million each for the entire 
period of performance. The anticipated amounts and number of individual 
awards for the Healthy Homes Technical Studies Program will be 
approximately 2 to approximately 6 awards, ranging from approximately 
$200,000 to a maximum of $1million each for the entire period of 
performance.
    4. Type of awards: Cooperative agreements, with substantial 
involvement of the government, will be awarded (see Paragraph II.C for 
a description of substantial involvement).
    5. Eligible applicants: Academic, not-for-profit and for-profit 
institutions located in the U.S., state and units of general local 
government, and federally recognized Native American tribes are 
eligible to apply. For-profit firms are not allowed to earn a fee 
(i.e., make a profit from the project).
    6. Cost sharing or ``matching'' is not required; however, applicant 
``leveraging'' contributions are encouraged (see Section V.A.3.d).
    7. There is no limit on the number of applications that each 
applicant may submit.
    8. The applications for this NOFA can be found at www.grants.gov.: 
The General Section contains information on submission requirements and 
procedures. Please carefully review the General Section before reading 
the program section so that you understand the Grants.gov electronic 
application process.

Full Text of Announcement

I. Funding Opportunity Description

A. Purpose of the Programs

    The overall goal of both the Lead and the Healthy Homes Technical 
Studies programs is to gain knowledge to improve the efficacy and cost-
effectiveness of methods for evaluation and control of lead-based paint 
and other housing related health and safety hazards. This also supports 
HUD's Strategic Goal to Strengthen Communities and the associated 
policy priority to Improve Our Nation's Communities by improving the 
environmental health and safety of families living in public and 
privately owned housing.

B. Program Description

    HUD is funding studies to improve HUD's and the public's knowledge 
of lead-based paint hazards and other housing-related health and safety 
hazards, and to improve or develop new hazard assessment and control 
methods, with a focus on the key residential health and safety hazards. 
Key hazards are discussed in Appendix A of this NOFA. A list of 
references that serves as the basis for the information provided in 
this NOFA is provided as Appendix B to this NOFA. Both Appendix A and 
Appendix B of this NOFA can be found on HUD's Web site at http://www.grants.gov/applicants/apply--for--grants.jsp.
1. General Goals
a. Lead Technical Studies
    The overall goal of the Lead Technical Studies grant program is to 
gain knowledge to improve the efficacy and cost-effectiveness of 
methods for evaluation and control of residential lead-based paint 
hazards.
    Through the Lead Technical Studies Program, HUD is working to 
fulfill the requirements of sections 1051 and 1052 of the Residential 
Lead-Based Paint Hazard Reduction Act of 1992 (Title X) (42 U.S.C. 4854 
and 4854a) which directs HUD to conduct research on topics which 
include the development of ``improved methods for evaluating [and] 
reducing lead-based paint hazards in housing,'' among others.
    Brief descriptions of active and previously funded lead technical 
studies projects can be found on HUD's Web site at http://www.hud.gov/offices/lead/techstudies/index.cfm. Where appropriate, you are strongly 
encouraged to build your proposed study upon HUD-sponsored work that 
has been previously completed, in addition to other relevant research 
(i.e., that contained in government reports and in the published 
literature).
    The results of the technical studies will be used in part to update 
HUD's Guidelines for the Evaluation and Control of Lead-Based Paint 
Hazards in Housing (Guidelines). For supporting references, including 
where to find the Guidelines, see Appendix B on HUD's Web site at 
http://www.grants.gov/applicants/apply--for--grants.jsp.
b. Healthy Homes Technical Studies
    The overall goals and objectives of the Healthy Home Initiative 
(HHI), which includes the Healthy Homes Technical Studies Program and 
the Healthy Homes Demonstration Grant Program (see the Healthy Homes 
Demonstration Grant Program NOFA published in this SuperNOFA), are to:
    (1) Mobilize public and private resources, involving cooperation 
among all levels of government, the private sector, grassroots 
community-based organizations, including faith-based organizations, and 
other non-profit organizations, to develop the most promising, cost-
effective methods for identifying and controlling housing-related 
hazards; and
    (2) Build local capacity to operate sustainable programs that will 
continue to prevent, minimize, and control housing-related hazards in 
low- and very low-income residences when HUD funding is exhausted.
    The HHI departs from the more traditional approach of attempting to 
correct one hazard at a time. HUD is interested in promoting approaches 
that are cost-effective and efficient and result in the reduction of 
health threats for the maximum number of residents and, in particular, 
low-income children.
    In April 1999, HUD submitted a preliminary plan that described the 
HHI to Congress. The submission (Summary

[[Page 11558]]

and Full Report), and a description of the HHI are available on the HUD 
Web site at http://www.hud.gov/offices/lead/hhi/index.cfm.
    In addition to deficiencies in basic housing facilities that may 
impact health, changes in the U.S. housing stock and more sophisticated 
epidemiological methods and biomedical research have led to the 
identification of new and often more subtle health hazards in the 
residential environment (e.g., asthma triggers). While such hazards 
will tend to be found disproportionately in housing that is substandard 
(e.g., structural problems, lack of adequate heat, poor maintenance, 
etc.), such housing-related environmental hazards may also exist in 
housing that is otherwise of good quality. Appendix A of this NOFA 
briefly describes the key housing-associated health and injury hazards 
HUD considers targets for intervention. HUD has also developed resource 
papers on a number of topics of importance under the HHI, including 
mold, environmental aspects of asthma, carbon monoxide, and 
unintentional injuries. These resource papers can be downloaded at 
http://www.hud.gov/offices/lead/hhi/hhiresources.cfm.
    Brief descriptions of current and recently completed Healthy Homes 
Technical Studies projects and grantee contact information can be found 
on the HUD Web site at http://www.hud.gov/offices/lead/hhi/hhigranteeinfo.cfm.
2. Community Participation
    HUD believes that it is important for researchers to incorporate 
some aspect of meaningful community participation in the development 
and implementation of studies that are conducted in communities and/or 
involve significant interaction with community residents. Community 
participation can improve study effectiveness in various ways, 
including the development of more appropriate research objectives, 
improving recruitment and retention of study participants, improving 
participants' involvement in and understanding of a study, improving 
ongoing communication between researchers and the affected community, 
and more effectively disseminating study findings. HUD encourages 
applicants to consider using a ``community based participatory research 
(CBPR)'' approach, where applicable, in study design and 
implementation. (See, e.g., the report published by the National 
Institute of Environmental Health Sciences titled ``Successful Models 
of Community-Based Participatory Research'' at: http://www.niehs.nih.gov/translat/pubs.htm). CBPR is characterized by 
substantial community input in all phases of a study (i.e., design, 
implementation, data interpretation, conclusions, and communication of 
results).

C. Authority

    The Lead Technical Studies program is authorized under sections 
1011(g)(1), 1011(o), and 1051-1053 of the Residential Lead-Based Paint 
Hazard Reduction Act of 1992 (Title X of the Housing and Community 
Development Act of 1992, 42 U.S.C. 4851 et seq.). The Healthy Homes 
Technical Studies program is authorized under sections 501 and 502 of 
the Housing and Urban Development Act of 1970 (12 U.S.C. 1701z-1 and 
1701z-2). Fiscal Year 2007 funds for both programs are authorized under 
the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5, 
approved February 15, 2007).

II. Award Information

A. Funding Available

    Approximately $3.6 million in fiscal year 2007 funds are available 
for Lead Technical Studies. Approximately $2.0 million is available for 
Healthy Homes Technical Studies. Cooperative agreements will be awarded 
on a competitive basis following evaluation of all eligible proposals 
according to the rating factors described in Section V.A.3 of this 
NOFA. HUD anticipates that approximately 4 to 10 awards will be made 
for the Lead Technical Studies Program, and that approximately 2 to 6 
awards will be made for the Healthy Homes Technical Studies Program 
with awards ranging from approximately $200,000 to no more than $1 
million per award for each program. Applications for additional work 
related to existing HUD-funded technical studies (i.e., for work 
outside of the scope of the original agreement) are eligible to compete 
with applications for awards on new subjects. These applications will 
be evaluated in the same manner as new applicants.

B. Anticipated Start Date and Period of Performance for New Grants

    The start date for new awards is expected to be not later than 
October 1, 2007. The period of performance cannot exceed 36 months from 
the time of award. The proposed performance period should include 
adequate time for such project components as the Institutional Review 
Board process, if required, the recruitment of new staff and/or study 
participants, and the development of new instrumentation or methods 
(e.g., analytical methods), all of which have been found to delay 
projects in the past. Period of performance extensions for delays due 
to exceptional conditions beyond the grantee's control will be 
considered for approval by HUD in accordance with 24 CFR 84.25(e)(2) or 
85.30(d)(2), as applicable, and the OHHLHC Program Guide. If approved, 
grantees will be eligible to receive a single extension of up to 12 
months in length. Applicants are encouraged to plan studies with 
shorter performance periods than 36 months; however, when developing 
your schedule, you should consider the possibility that issues may 
arise that could cause delays.

C. Type of Award Instrument

    Awards will be made as cooperative agreements. Anticipated 
substantial involvement by HUD staff for cooperative agreements may 
include, but will not be limited to:
    1. Review and suggestion of amendments to the study design, 
including: study objectives; field sampling plan; data collection 
methods; sample handling and preparation; and sample and data analysis.
    2. Review and provision of technical recommendations in response to 
quarterly progress reports (e.g., amendments to study design based on 
preliminary results).
    3. Review and provision of technical recommendations on the journal 
article(s) and final study report.
    4. Requirements for peer review of scientific data in accordance 
with the Office of Management and Budget Information Quality 
Guidelines. All HUD-sponsored research is subject to the OMB Final 
Information Quality Bulletin for Peer Review (70 FR 2664-2677, January 
14, 2005) prior to its public dissemination. In accordance with 
paragraph II.2 of the Bulletin, HUD will not need further peer review 
conducted on information that has already been subjected to adequate 
peer review. Therefore grantees must provide enough information on 
their peer review process for HUD to determine whether additional 
review is needed.

III. Eligibility Information

A. Eligible Applicants

    Academic and non-profit institutions located in the United States, 
state and units of general local government, and federally recognized 
Native American tribes are eligible under all existing authorizations. 
For-profit firms also are eligible; however, they are not allowed to 
earn a profit from the project. Applications to supplement existing 
projects are eligible to compete with applications for new awards. 
Federal agencies are not eligible to submit

[[Page 11559]]

applications. The General Section identifies threshold requirements 
that must be met for an organization to receive an award.

B. Cost Sharing or Matching

    Cost sharing or matching is not required. In rating your 
application, however, you will receive a higher score under Rating 
Factor 4 if you provide evidence of significant resource leveraging.

C. Other

1. Eligible Activities
a. Lead Technical Studies.
    HUD is particularly interested in the following topics:
    (1) Development of alternative or improved clearance methods. The 
clearance of a dwelling following lead hazard control activities is 
achieved by collecting dust-wipe samples following a standard protocol, 
with subsequent analysis of the samples by a laboratory recognized 
under the National Lead Laboratory Accreditation Program (NLLAP). Lead 
hazard control costs could be reduced if immediate clearance results 
could be obtained in the field. Existing techniques that can be used to 
analyze dust samples in the field include the use of portable X-ray 
fluorescence (XRF) analyzers and anodic stripping voltammetry (ASV) 
instruments. It is theoretically possible to also employ colorimetric 
methods to analyze clearance samples. These techniques can be used in a 
screening context in which a ``failure'' would indicate the need for 
additional cleaning before definitive clearance wipe samples are 
collected for analysis by an appropriate laboratory. It is possible for 
an organization using a field-based technology to achieve recognition 
as a portable laboratory under NLLAP; however, it is HUD's 
understanding that, to date, this has not been done. HUD is interested 
in funding research that improves the performance of portable 
analytical technologies for lead dust-wipe analysis with the ultimate 
goal of improving the feasibility for such technologies to be used to 
conduct definitive analyses in the field.
    HUD has funded research for the on-site use of X-Ray Fluorescence 
(XRF) for dust wipe lead analysis and does not intend to fund 
additional work on this topic through this NOFA.
    (2) Reducing exterior soil as a cause of dust-lead hazards. Studies 
have shown that lead in exterior dust and soil can be an important 
source of lead exposure to young children, both through direct contact 
and indirectly when tracked or blown into the home. HUD has funded 
several studies that have assessed approaches to reducing the risk 
posed by this large environmental lead reservoir. These previous 
studies have focused on the following topics: reducing the 
bioavailability (as determined using in vitro testing) of lead in soil 
through the addition of composted biosolids or other additives; 
reducing soil hazards in urban yards through targeted landscaping 
(e.g., raised beds, improving ground cover); reducing exterior dust-
lead levels through exterior building treatments and street and 
sidewalk cleaning; development of new sampling method for surface 
soils, and reducing surface soil-lead hazards by overlaying with clean 
soil and grass cover (see, e.g.: Binns et al., 2004, and Farfel et al., 
2005, in Appendix B).
    Additional study is needed to assess the long-term effectiveness of 
interim controls to reduce soil and exterior dust-lead hazards. 
Research is also needed to develop interim controls and strategies for 
exterior dust and soil that are reasonable in cost, feasible to 
implement, and which do not require frequent maintenance to retain 
their effectiveness. Also, the relationship between control of soil 
lead hazards and interior dust lead levels has not been adequately 
described.
    (3) Effectiveness of Ongoing Maintenance Activities in Controlling 
Lead-Based Paint Hazards. There are few studies directly assessing the 
effectiveness of ongoing lead-based paint maintenance programs. HUD is 
interested in evaluating the effectiveness and feasibility of ongoing 
lead-based paint maintenance programs, identifying program components 
for which particular implementation difficulties exist, and evaluating 
proposed measures for overcoming those difficulties. Such an evaluation 
of program components could address whether and how technically-
acceptable and cost-effective work practices are selected and 
implemented, how effectively supervisors monitor work activities to 
ensure that lead-based paint hazards are controlled and that dust and 
debris are contained and cleaned up during and after work, and how well 
clearance procedures (including necessary re-cleaning) are integrated 
into the maintenance program, among other factors.
    (4) Use of Available Databases to Evaluate the Efficacy of Lead 
Hazard Control Activities. Public databases can be used to help target 
and assess the effectiveness of lead hazard control activities. 
Examples of this include the use of census data to identify 
neighborhoods that are at high risk for lead poisoning (e.g., age and 
value of housing used in combination with indicators of socioeconomic 
status) and the use of blood-lead screening data to target dwellings 
that have been associated with repeated identification of resident 
children with elevated blood-lead levels. Geographic Information 
Systems (GIS) have also been successfully used as a tool to help target 
high-risk housing. At a broader level, serial blood-lead screening data 
could be used to assess the effectiveness of lead hazard control 
activities or laws that require lead hazard control treatments in high 
risk housing (e.g., by comparing community screening results before and 
after laws were enacted while accounting for the overall downward trend 
in blood lead levels and the performance of Lead Hazard Control 
grantees and other activities). HUD is interested in studies that 
assess effective and creative uses of public databases to improve the 
efficacy of lead hazard control programs (e.g., targeting 
neighborhoods), assess the effectiveness of enforcement and lead hazard 
control activities and regulations, and other uses of these data that 
further the goal of improving methods for the identification and 
control of residential lead-based paint hazards. Applicants proposing 
projects under this topic area should focus primarily on the use of 
existing data as opposed to the collection of new data through field 
activities. An applicant must demonstrate why the collection of any new 
data is important in the context of a proposed study (e.g., to validate 
a model developed using publicly available data) and that there is a 
limited amount of new data being collected.
    (5) Other Focus Areas that are Consistent with the Overall Goals of 
HUD's Lead Technical Studies Program. HUD will consider funding 
applications for technical studies on other topics that are consistent 
with the overall goals and objectives of the Lead Technical Studies 
program, as described above. In such instances, for an applicant to 
receive an award, it is necessary that the applicant describe in 
sufficient detail how the proposed study is consistent with the overall 
lead technical studies program goals and objectives.


    Note: A limited amount of lead hazard control activities, which 
involve construction rather than research, may be conducted as part 
of a project (see Section IV.E.9 of this NOFA).

b. Healthy Homes Technical Studies
    (1) HUD expects to advance the recognition and control of 
residential

[[Page 11560]]

health and safety hazards and more closely examine the link between 
housing and health. The overall objectives of the Healthy Homes 
Technical Studies projects to be funded through this NOFA include, but 
are not limited to:
    (a) Development and evaluation of low-cost test methods and 
protocols for identification and assessment of housing-related hazards;
    (b) Development and assessment of cost-effective methods for 
reducing or eliminating housing-related hazards;
    (c) Evaluation of the effectiveness of housing interventions and 
public education campaigns, and barriers and incentives affecting 
future use of the most cost-effective strategies;
    (d) Investigation of the epidemiology of housing-related hazards 
and illness and injuries associated with these hazards, with an 
emphasis on children's health;
    (e) Evaluation of residential health and safety hazard assessment 
and control methodologies and approaches (including both existing 
methods and the evaluation of novel approaches);
    (f) Analysis of existing data or generation of limited new data to 
improve knowledge regarding the prevalence and severity of specific 
hazards in various classes of housing, with a focus on low-income 
housing. Specific examples include:
    (i) The prevalence of carbon monoxide and other indoor air quality 
hazards;
    (ii) The prevalence and patterns of moisture problems and 
biological contaminants associated with excess moisture (e.g., fungi, 
mold, bacteria, dust mites);
    (iii) The prevalence of specific childhood injury hazards in 
housing; and
    (iv) Improved understanding of the relationship between a 
residential exposure and childhood illness or injury.
    Applicants that propose this type of study should discuss how the 
knowledge that is gained from the study could be used in a program to 
reduce these hazards in target communities.
    (g) Low-cost analytical techniques and instruments for the rapid, 
on- and off-site determination of environmental contaminants of concern 
(e.g., bioaerosols, pesticides, allergens). HUD's primary interest is 
in the improvement of existing instruments or methods, and not in the 
development of new technologies or instruments. The OHHLHC has noted 
that these types of studies pose a high risk of experiencing 
significant delays. Applicants seeking to develop new technologies/
instruments should discuss why, if funded, their proposed project would 
be unlikely to experience significant delays in its completion.
    (2) HUD is particularly interested in the following topics:
    (a) Improving or assessing the efficacy of current methods for 
residential Integrated Pest Management (IPM). IPM approaches focus on 
the use of economical means for managing pests, which incorporate 
information on the life cycles of pests and their interaction with the 
environment, while minimizing hazards to people, property, and the 
environment. HUD is particularly interested in IPM methods for reducing 
cockroach and/or rodent populations in multifamily housing, with an 
emphasis on low-income housing.
    (b) Controlling excess moisture by reducing migration through the 
building envelope and condensation of water vapor on interior surfaces, 
with an emphasis on low-cost interventions for low-income housing;
    (c) Improving indoor air quality, such as through cost-effective 
approaches to upgrading residential ventilation or improving control/
management of combustion appliances. Applicants should discuss how 
proposed approaches might affect residential energy costs (e.g., 
increasing air exchange rates resulting in an increase in heating 
costs);
    (d) Dust control measures (e.g., preventing track-in of exterior 
dust and soil, improved methods for interior dust cleaning) have been 
identified as key areas in the HHI Preliminary Plan;
    (e) Evaluating the effectiveness of education and outreach methods 
designed to provide at-risk families with the knowledge to adopt self-
protective behaviors with respect to housing-related health hazards. If 
you propose a study in this focus area you should cite and discuss the 
theoretical basis for the education/outreach approach that you are 
proposing.
    (f) Other Focus Areas that are Consistent with the Overall Goals of 
HUD's Healthy Homes Technical Studies Program. HUD will consider 
funding applications for technical studies on other topics that are 
consistent with the overall goals and objectives of the Healthy Homes 
Technical Studies program, as described above. In such instances, for 
an applicant to receive an award, it is necessary that the applicant 
describe in sufficient detail how the proposed study is consistent with 
the overall program goals and objectives.
    (3) General Information. In proposing to conduct a study on a 
particular topic, applicants should consider:
    (a) The ``fit'' of the proposed hazard assessment and/or control 
methods within the overall goal of addressing ``priority'' health and 
safety hazards in a cost-effective manner;
    (b) The efficacy of the proposed methods for hazard control and 
risk reduction (e.g., how long is effective hazard reduction 
maintained);
    (c) Where and how these methods would be applied and tested, and/or 
perform demonstration activities; and
    (d) The degree to which the study will help develop practical, 
widely applicable methods and protocols or improve our understanding of 
a residential health hazard.
    Applications for a study for which the sole or primary focus is on 
lead-based paint hazards are ineligible for funding under the Healthy 
Homes Technical Studies program. Such studies should be submitted for 
funding under the Lead Technical Studies Program.
    Applicants should consider the efficiencies that might be gained by 
working cooperatively with one or more recipients of HUD's Healthy 
Homes Demonstration and/or Lead Hazard Control grants, which are widely 
distributed throughout the United States. Information on current 
grantees is available at http://www.hud.gov/offices/lead.
    You may address one or more than one of the above technical studies 
topic areas within your proposal, or submit separate applications for 
different topic areas.


    Note: A limited amount of hazard control activities, which 
involve construction rather than research, may be conducted as part 
of a Healthy Homes Technical Studies project (see Section IV.E.9 of 
this NOFA).


    2. Threshold Requirements Applicable to all Applicants.
    To receive an award of funds from HUD, you must meet all the 
threshold requirements in the General Section.
    3. Program Requirements.
    The following requirements are applicable to both the Healthy Homes 
Technical Studies and Lead Technical Studies Programs:
    a. Program Performance. Grantees shall take all reasonable steps to 
accomplish all activities within the approved period of performance. 
HUD reserves the right to terminate the cooperative agreement prior to 
the expiration of the period of performance if the grantee fails to 
make reasonable progress in implementing the approved program of 
activities or fails to comply with the terms of the cooperative 
agreement.

[[Page 11561]]

    b. Regulatory Compliance. Grantees must comply with all relevant 
federal, state, and local regulations regarding exposure to and proper 
disposal of hazardous materials.
    c. Blood Lead Testing. Any blood lead testing, blood lead level 
test results, medical referral, or follow-up for children under 6 years 
of age will be conducted according to the recommendations of the 
Centers for Disease Control and Prevention (CDC), Preventing Lead 
Poisoning in Young Children (see Appendix B of this NOFA).
    d. Restricted Use of Funds. HUD technical studies grant funds will 
not replace existing resources dedicated to any ongoing project.
    e. Laboratory Analysis for Lead. Laboratory analysis covered by the 
NLLAP will be conducted by a laboratory recognized under the program.
    f. Laboratory Analysis for Mold. Samples to be analyzed for mold 
(fungi) must be submitted to a laboratory accredited through the 
Environmental Microbiological Laboratory Accreditation Program (EMLAP), 
administered by the American Industrial Hygiene Association (AIHA).
    g. Human Research. Human research subjects will be protected from 
research risks in conformance with Federal Policy for the Protection of 
Human Subjects, required by HUD at 24 CFR 60.101, which incorporates 
the Department of Health and Human Services (DHHS) Protection of Human 
Subjects regulation at 45 CFR part 46.
    h. OSHA Compliance. The requirements of the Occupational Safety and 
Health Administration (OSHA) (e.g., 29 CFR part 1910 and/or 1926, as 
applicable) or the state or local occupational safety and health 
regulations, whichever are most stringent, will be met.
    i. Civil Rights. The institution administering the grant must meet 
the civil rights threshold set forth in the General Section.
    j. Disclosure. All test results and other information in pre-1978 
housing related to lead-based paint or lead-based paint hazards must be 
provided to the owner of the unit, together with a statement describing 
the owner's legal duty to disclose the knowledge of lead-based paint 
and its hazards to tenants (before initial leasing, or before lease 
renewal with changes) and buyers (before sale) (24 CFR Part 35, subpart 
A). Disclosure of other identified housing-related health or safety 
hazards to the owner of the unit, for purposes of remediation, is 
encouraged but not required.
     k. Privacy. Submission of any information on the properties to 
databases (whether Web site, computer, paper, or other format) of 
addresses of identified, treated or cleared housing units is subject to 
the protections of the Privacy Act of 1974, and shall not include any 
personal information that could identify any child affected. You should 
also check to ensure you meet state privacy regulations.
    l. Applicants must incorporate meaningful community involvement 
into any study that requires a significant level of interaction with a 
community during implementation (e.g., projects being conducted within 
occupied dwellings or which involve surveys of community residents). 
The term community refers to a variety of populations comprised of 
persons who have commonalities that can be identified (e.g., based on 
geographic location, ethnicity, health condition, common interests). 
Applicants should identify the community that is most relevant to their 
particular project. There are many different approaches to involving 
the community in the conception, design, and implementation of a study 
and the subsequent dissemination of findings. Examples include but are 
not limited to: Establishing a structured approach to obtain community 
input and feedback (e.g., through a community advisory board); 
including one or more community-based organizations as study partners; 
employing community residents to recruit study participants and collect 
data; and enlisting the community in the dissemination of findings and 
translation of results into improved policies and/or practices. A 
discussion of community involvement in research involving housing-
related health hazards can be found in Chapter 5 of the Institute of 
Medicine publication titled ``Ethical Considerations for Research on 
Housing-Related Health Hazards Involving Children'' (see Appendix B for 
more information on this report).
    m. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). This program is subject to the requirements of section 3 
of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u). 
Section 3 requires recipients to ensure that, to the greatest extent 
feasible, training, employment, and other economic opportunities will 
be directed to low- and very low-income persons, particularly those who 
are recipients of government assistance for housing, and to businesses 
which provide economic opportunities to low- and very low-income 
persons. The regulations may be found at 24 CFR part 135.
    n. Standardized Dust Sampling Protocol and Quality Control 
Requirements. Grantees collecting samples of settled dust from 
participant homes for environmental allergen analyses (e.g., cockroach, 
dust mite) will be required to use a standard dust sampling protocol, 
unless there is a strong justification to use an alternate protocol 
(e.g., the study involves the development of an alternative sampling 
method). The HUD protocol can be found on the OHHLHC Web site at: 
http://www.hud.gov/offices/lead/hhi/hhiresources.cfm. Grantees 
conducting these analyses will also be required to include quality 
control dust samples, provided by OHHLHC at no cost to the grantee, 
with the samples that are submitted for laboratory analyses. For the 
purpose of budgeting laboratory costs, you should assume that 5 percent 
of your total allergen dust samples will consist of Quality Control 
samples.
    4. DUNS Requirement.
    Refer to the General Section for information regarding the DUNS 
requirement. A DUNS number must be provided for the institution that is 
submitting an application. Your DUNS number must be included in your 
electronic application submission. Be sure to use the DUNS number that 
you have registered as an Authorized Organization Representative (AOR) 
with Grants.gov and that your eBusiness Point of Contact has authorized 
you to submit an application on behalf of the applicant organization 
(see the General Section for details about the Grants.gov registration 
process).

IV. Application and Submission Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section and the following 
additional information.

A. Addresses to Request Application Package

    All applications must be submitted electronically. The information 
required to submit an application is contained in the program section 
of this NOFA and the General Section. Applications can be downloaded 
from the web at: http://www.grants.gov/applicants/apply--for--
grants.jsp. If you have difficulty accessing the information you may 
call the Grants.gov help line toll-free at (800) 518-GRANTS (4726) from 
Monday to Friday from 7 a.m. to 9 p.m. eastern time, or send an e-mail 
to [email protected].

[[Page 11562]]

B. Content and Form of Application Submission

    1. Applicant Data. Your application must contain the items listed 
in this section. These items include the standard forms contained in 
the General Section that are applicable to this funding announcement 
(collectively referred to as the ``standard forms''). Copies of these 
forms are available on line at http://www.grants.gov/applicants/apply--
for--grants.jsp. The required items are:
    a. Application Abstract. An abstract with the project title, the 
names and affiliations of all investigators, and a summary of the 
objectives, expected results, and study design (two-page maximum) must 
be included in the proposal. Information contained in the abstract will 
not be considered in the evaluation and scoring of your application. 
Any information you wish to be considered should be provided under the 
appropriate rating factor response.
    b. All forms as required by the General Section. However, forms 
HUD-2991 (Certification of Consistency with the Consolidated Plan) and 
HUD-27061 (Race and Ethnicity Data) are not required with the 
application for these programs.
    c. Materials Submitted. A project description/narrative statement 
addressing the rating factors for award under the program (Lead 
Technical Studies or Healthy Homes Technical Studies) for which you are 
applying. The narrative statement must be identified in accordance with 
each factor for award (Rating Factors 1 through 5). Number the pages of 
your narrative statement. The project description or narrative must be 
included in the responses to the rating factors. The response to the 
rating factors should not exceed a total of 25 pages, single-sided, 
with a minimum 12-point font and a minimum margin width of 1-inch. Any 
pages in excess of this limit will not be read. The points you receive 
for each rating factor will be based on the portion of your narrative 
statement that you submit in response to that particular factor, 
supplemented by any appendices that are referenced in your narrative 
response to the rating factor. Supporting materials that are not 
referenced or discussed in your responses to the individual rating 
factors will not be considered. Additional materials (e.g., appendices) 
must be submitted with your application according to the directions in 
the General Section. The footer on the pages of these materials should 
identify the rating factor that they are supporting.
    d. Supporting Materials. Include the resumes of the principal 
investigator and other key personnel and other materials that are 
needed in your response to the rating factors (e.g., organizational 
chart, letters of commitment, a list of references cited in your 
responses to the rating factors). Each resume shall not exceed three 
pages, and is limited to information that is relevant in assessing the 
qualifications and experience of key personnel to conduct and/or manage 
the proposed technical studies. This information will not be counted 
towards the Rating Factors narrative 25-page limit.
     e. Additional Information. Submit other optional information 
provided in support of your application following the directions in the 
General Section. These additional optional materials must not exceed 20 
pages. Any pages in excess of this limit will not be read. Do not 
include additional narrative information that is an extension of or 
expands upon any of your rating factor responses. Such narrative will 
not be considered.
    f. Budget. Include a total budget with supporting cost 
justification up to four pages, which will cover all budget categories 
of the federal grant request. This information will not be counted 
towards the Rating Factors narrative 25-page limit. Use the budget 
format discussed in Rating Factor 3, Section V.A.3.c, below. In 
completing the budget forms and justification, you should address the 
following elements:
    (1) Direct Labor costs, including all full- and part-time staff 
required for the planning and implementation phases of the project. 
These costs should be based on full time equivalent (FTE) or hours per 
year (hours/year) (i.e., one FTE equals 2,080 hours/year);
    (2) Allowance for one trip to HUD Headquarters in Washington, DC, 
for each year of your grant, planning each trip for two people. The 
first trip will occur shortly after grant award for a stay of two or 
three days, depending on your location, and the remaining trips will 
have a stay of one or two days, depending on your location;
    (3) A separate budget proposal for each subrecipient receiving more 
than 10 percent of the total federal budget request;
    (4) Supporting documentation for salaries and prices of materials 
and equipment, upon request; and
    (5) Indirect Cost Rates. Organizations that have a federally 
negotiated indirect cost rate should use that rate and the appropriate 
base. The documentation will be verified during award negotiations. 
Organizations that do not have a federally negotiated rate schedule 
must obtain a rate from their cognizant federal agency, otherwise the 
organization will be required to obtain a negotiated rate through HUD.
    g. Checklist for Technical Studies Program Applicants.
    (1) Applicant Abstract (limited to 2 pages).
    (2) Rating Factor Responses (Total narrative response limited to 25 
pages.)
    (a) Capacity of the Applicant and Relevant Organizational 
Experience (21 points).
    (b) Need/Extent of the Problem (15 points).
    (c) Soundness of Approach (50 points).
    (d) Leveraging Resources (6 points).
    (e) Achieving Results and Program Evaluation (8 points).
    (f) Bonus Points (RC/EZ/EC-II) (2 points).
    (3) Required materials in response to rating factors (does not 
count towards 25-page limit).
    (a) Resumes of Key Personnel (limited to 3 pages per resume).
    (b) Organizational Chart.
    (c) Letters of Commitment (if applicable)--Letters of commitment 
should include language defining the activities to be performed, the 
contributions to be made, and the monetary value of each.

    Note: HUD recommends against including letters of support that 
do not commit services, materials, or funds; they will not add to 
the consideration of your application.

    (4) Optional material in support of the Rating Factors (20 page 
limit).
    (5) Required Forms and Budget Material.
    (a) Form SF 424 (Application for Federal Assistance).
    (b) Form HUD-424-CBW (Budget Worksheet).
    (c) Form HUD-96010 (Logic Model Form).
    (d) Form SF-424 Supplement, ``Survey on Ensuring Equal 
Opportunities for Applicants'' (``Faith Based EEO Survey (SF-424 
SUPP)'' on Grants.gov) (to be completed by private nonprofit 
organizations only).
    (e) Form SF LLL (Disclosure of Lobbying Activities, if applicable).
    (f) Form HUD-2880, ``Applicant/Recipient Disclosure/Update Report'' 
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov).
    (g) Form HUD-2990 (Certification of Consistency with the RC/EZ/EC-
II Strategic Plan, required only for applicants who are seeking these 2 
bonus points).

[[Page 11563]]

    (h) Form HUD-2994-A (You Are Our Client Grant Applicant Survey, 
Optional).
    (i) Form HUD-27300, ``Questionnaire for HUD's Removal of Regulatory 
Barriers'' (``HUD Communities Initiative Form'' on Grants.gov) 
including the required information, if applicable.
    (j) Form HUD-96011, ``Third Party Documentation Facsimile 
Transmittal'' (`` Facsimile Transmittal Form'' on Grants.gov) (Used as 
the cover page to transmit third party documents and other information 
designed for each specific application for tracking purposes. HUD will 
not read faxes that do not use the HUD-96011 as the cover page to the 
fax).

C. Submission Dates and Times

    Electronic applications must be received and validated by 
Grants.gov on or before 11:59:59 PM eastern time on the application 
deadline date. Refer to the General Section for submission 
requirements.

D. Intergovernmental Review

    This NOFA is excluded from the requirement of an Intergovernmental 
Review.

E. Funding Restrictions

    1. Administrative Costs. There is a 10 percent maximum allowance 
for administrative costs. Additional information about allowable 
administrative costs is provided in Appendix C of this NOFA, which can 
be downloaded from Grants.gov.
    2. Indirect Costs. Please see http://www.hud.gov/offices/adm/grants/fundsavail.cfm for reference to the Indirect Cost requirements.
    3. Purchase of Real Property. The purchase of real property is not 
an allowable cost under this program.
    4. Purchase or Lease of Equipment. The purchase or lease of 
equipment having a per unit cost in excess of $5,000 is not an 
allowable cost, unless prior written approval is obtained from HUD.
    5. Medical Treatment. Medical treatment costs are not allowable 
under this program.
    6. Profit. For profit institutions are not allowed to earn a 
profit.
    7. You must comply with the Coastal Barrier Resources Act (16 
U.S.C. 3501).
    8. You may not conduct lead-based paint or healthy home hazard 
control activities or related work that constitutes construction, 
reconstruction, repair or improvement (as referenced in Section 3(a)(4) 
of the Flood Disaster Protection Act of 1973 (42 U.S.C. 4001-4128)) of 
a building or mobile home which is located in an area identified by the 
Federal Emergency Management Agency (FEMA) as having special flood 
hazards unless:
    a. The community in which the area is situated is participating in 
the National Flood Insurance Program in accordance with the applicable 
regulations (44 CFR parts 59-79), or less than a year has passed since 
FEMA notification regarding these hazards; and
    b. Where the community is participating in the National Flood 
Insurance Program, flood insurance on the property is obtained in 
accordance with section 102(a) of the Flood Disaster Protection Act (42 
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance 
is obtained and maintained for the appropriate amount and term.
    9. Construction Activities. The amount of HUD Lead Technical 
Studies grant funds used for lead-based paint hazard control activities 
may not exceed 20% of the total HUD funds awarded. The amount of HUD 
Healthy Homes Technical Studies grant funds used for construction 
activities may not exceed 40% of the total HUD funds awarded. 
Furthermore, the majority of any funds dedicated to Healthy Homes 
construction activities shall be spent for interventions not intended 
for lead hazard control.

F. Other Submission Requirements

    Applicants are required to submit applications electronically via 
the Web site http://www.grants.gov/applicants/apply--for--grants.jsp. 
See sections IV.B and F of the General Section for additional 
information on the electronic process and how to request a waiver from 
the requirement if necessary. Applicants should submit their waiver 
requests in writing using e-mail. Waiver requests must be submitted no 
later than 15 days prior to the application deadline date and should be 
submitted to Ms. Jonnette Hawkins at: [email protected].

V. Application Review Information

A. Criteria

    1. Threshold Requirements. Applications that meet all of the 
threshold requirements will be eligible to be scored and ranked, based 
on the total number of points allocated for each of the rating factors 
described in Section V.A.3 of this NOFA. Your application must receive 
a total score of at least 75 points to be considered for funding.
    2. Award Factors. Each of the five factors is weighted as indicated 
by the number of points that are assigned to it. The maximum score that 
can be attained is 100 points plus a possible 2 bonus points. 
Applicants should be certain that each of these factors is adequately 
addressed in the project description and accompanying materials.
    3. Rating Factors.
    a. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (21 Points). This factor addresses the extent 
to which you have the ability and organizational resources necessary to 
successfully implement your proposed activities in a timely manner. The 
rating of your application will include any sub-grantees, consultants, 
sub-recipients, and members of consortia that are firmly committed to 
the project (generally, ``subordinate organizations''). In rating this 
factor, HUD will consider the extent to which your application 
demonstrates:
    (1) The capability and qualifications of key and supporting 
personnel (14 points). HUD will assess the qualifications of key 
personnel to carry out the proposed study as evidenced by relevant 
academic background, publications, and recent (within the past 10 
years) research experience. Publications and/or research experience are 
considered relevant if they required the acquisition and use of 
knowledge and skills that can be applied in the planning and execution 
of the technical study that is proposed under this NOFA. HUD will also 
evaluate the qualifications of supporting personnel such as 
statisticians and research assistants. Partner organizations will also 
be evaluated with respect to their qualifications and capabilities to 
successfully implement their proposed project roles.
    (2) Past performance of the study team in managing similar projects 
(7 points). HUD will evaluate your demonstrated ability to successfully 
manage various aspects (e.g., personnel management, data management, 
quality control, reporting) of a complex technical study, as well as 
your overall success in completing projects on time and within budget. 
If applicable, provide the number and title of current and past OHHLHC 
grants as well as past performance of the organization (applicant and/
or partners) on other grant(s) or project(s) related to residential 
environmental health and safety research, or other relevant experience. 
Provide details about the nature of the project, the funding agency, 
and your performance (e.g., timely completion, achievement of desired 
outcomes). You should also discuss the degree to which the results from 
past research have been used to develop new or improved methods or 
tools for residential hazard assessment or control. If your 
organization has an

[[Page 11564]]

active OHHLHC grant or cooperative agreement, provide a description of 
the progress and outcomes achieved under that award.
    If you completed one or more HUD-funded Technical Studies grants, 
your performance will be evaluated in terms of achievements made under 
the previous grant(s). If you have completed a previous HUD-funded 
Technical Studies grant but you have not published the study results in 
a peer-reviewed scientific journal, you should explain why the results 
have not been published.
    b. Rating Factor 2: Need/Extent of the Problem (15 Points). This 
factor addresses the extent to which there is a need for your proposed 
technical study. In responding to this factor, you should document in 
detail how your project will make a significant contribution towards 
achieving some or all of HUD's stated goals and objectives for one or 
more of the topic areas described in Section I.B.1.a (Lead Technical 
Studies) or I.B.1.b (Healthy Homes Technical Studies), as appropriate 
for the program to which you are applying. For example, you should 
demonstrate how your proposed study addresses a need with respect to 
the development of improved methods for the assessment and control of 
residential lead-based paint hazards or addresses a need associated 
with an important housing-related health hazard, with an emphasis on 
children's health. This is especially important for applicants that are 
proposing to study a lead or healthy homes topic that is not 
highlighted as a priority area by HUD in section III.C of this NOFA; 
such applicants that do not provide supporting language to demonstrate 
this will not receive points under this rating factor. Specific topics 
to be addressed for this factor include (five points for each item):
    (1) A concise review of the research need that is addressed in your 
study and why it is high priority with respect to the program. For 
Healthy Homes Technical Studies applicants, include available 
documented rates of illness or injury associated with the hazard or 
hazards that you are addressing, including local, regional, and 
national data, as applicable.
    (2) A discussion of how your proposed project would significantly 
advance the current state of knowledge for your focus area, especially 
with respect to the development of practical, cost-effective solutions.
    (3) A discussion on how you anticipate your study findings will be 
used to improve current methods for assessing or mitigating the hazards 
under study. Indicate why the method/protocol that would be improved 
through your study would likely be widely adopted (e.g., low cost, 
easily replicated, lack of other options).
    c. Rating Factor 3: Soundness of Approach (50 Points). This factor 
addresses the quality of your proposed technical study plan. Specific 
components include:
    (1) Soundness of the study design (26 points). Clearly and 
thoroughly describe the design of your proposed study and identify the 
major objectives. If possible, your study should be designed to address 
testable hypotheses that are clearly stated. The study should be 
presented as a logical sequence of steps or phases with individual 
tasks described for each phase. Your narrative should reflect the 
relevant scientific literature, which should be thoroughly cited in 
your application. Describe the statistical basis for your study design 
and demonstrate that you would have adequate statistical power to test 
your stated hypotheses and achieve your study objectives. You should 
identify any important ``decision points'' in your study plan and you 
should discuss your plans for data management, analysis and archiving. 
You should demonstrate that it is clearly feasible to complete the 
study within the proposed period of performance and successfully 
achieve your objectives. HUD has observed that studies can miss 
targeted performance timelines because of delays in the IRB approval 
process or unexpected difficulties with recruiting study participants, 
and delays in developing new laboratory methods or instruments. If 
applicable, describe actions that you will take to minimize the 
possibility that your study would experience delays in these areas 
(e.g., understanding likely IRB requirements in advance, planning on 
additional avenues for recruitment of participants, initiating the 
development of new methods/instruments).
    If you are proposing to conduct a study that includes a significant 
level of community interaction (e.g., studies involving participant 
recruitment, survey research, environmental sampling on private 
property), describe your plan for meaningful involvement of the 
affected community in your proposed study. You should define the 
community of interest with respect to your proposed study and discuss 
why and how your proposed approach to community involvement will make a 
meaningful contribution to your study and to the community.
    (2) Policy Priorities (5 points). Indicate if your proposed study 
will address any of the FY 2007 policy priorities that are applicable 
to this NOFA (see the General Section for additional details regarding 
these policy priorities). You will receive one point under Rating 
Factor 3(2) for each of the applicable FY 2007 policy priorities that 
are found in the General Section and applicable to the Technical 
Studies NOFA that are adequately addressed in your application, with 
the exception of ``Removal of Barriers to Affordable Housing,'' for 
which you can receive up to two points (see the General Section). 
Policy priorities that are applicable to the Technical Studies NOFA 
are: (1) Improving our Nation's Communities (focus on distressed 
communities); (2) Providing Full and Equal Access to Grass-Roots Faith-
based and other Community-based Organizations in HUD Program 
Implementation; (3) Participation of Minority-Serving Institutions in 
HUD Programs, and (4) Removal of Barriers to Affordable Housing.
    Each policy priority is worth one point, except for policy priority 
(4), Removal of Regulatory Barriers to Affordable Housing, which is 
worth up to 2 points provided the applicant includes a narrative 
response and submits the required documentation as described in Form 
HUD 27300 to this policy priority. Applicants may also provide a Web 
site address where the documentation can be readily found.
    (3) Quality assurance mechanisms (8 points). You must describe the 
quality assurance mechanisms that will be integrated into your project 
design to ensure the validity and quality of the results. Applicants 
that receive awards will be required to submit a Quality Assurance Plan 
to HUD. You should plan for this and include Quality Assurance 
activities in your study work plan. The Office of Management and Budget 
paperwork approval for the Quality Assurance Plan template for this 
program is currently pending.
    (a) Discuss the major quality assurance mechanisms that are 
relevant for your proposed study. Examples of quality assurance 
mechanisms include, but are not limited to: procedures for selection of 
samples/sample sites, sample handling, use of quality control samples, 
validating the accuracy of instrumentation, measures to ensure accuracy 
during data management, staff training, and final validation of your 
dataset. Documents (e.g., government reports, peer-reviewed academic 
literature) that provide the basis for your quality assurance 
mechanisms should be cited. Also, identify members of the study team 
who will have primary responsibility for drafting and ensuring 
compliance with the Quality Assurance Plan. Your application will be 
rated on

[[Page 11565]]

the thoroughness, clarity, and validity of your proposed quality 
assurance activities, and their appropriateness for ensuring the 
validity and quality of the data.
    (b) For the collection of data using instruments, such as surveys 
and visual assessment tools, describe the procedures that you will 
follow to ensure accurate data capture and transfer (e.g., transfer of 
data from the field to a database). Also, describe any research done 
(or planned) to validate the instrument.
    (c) Institutional Review Boards. In conformance with the Common 
Rule (Federal Policy for the Protection of Human Subjects, codified by 
HUD at 24 CFR 60.101, which incorporates the DHHS regulation at 45 CFR 
part 46), if your research involves human subjects, your organization 
must provide proof (e.g., a letter signed by an appropriate official) 
that the research has been reviewed and approved by an Institutional 
Review Board (IRB) before you can initiate activities that require IRB 
approval. Before initiating such activities you must also provide the 
number for your organization's assurance (i.e., an ``institutional 
assurance'') that has been approved by the DHHS's Office for Human 
Research Protections (OHRP).
    You do not have to provide proof of IRB approval with your 
application. If you do not have IRB approval yet, you should address 
how you will obtain such approval. Describe how you will obtain 
informed consent (e.g., from the subjects, their parents or their 
guardians, as applicable) and discuss the steps you will take to help 
ensure participants' understanding of the elements of informed consent, 
such as the purposes, benefits and risks of the research. Describe how 
this information will be provided and how the consent will be 
collected. For example, describe your use of ``plain language'' forms, 
flyers and verbal scripts, and how you plan to work with families with 
limited English proficiency or primary languages other than English, 
and with families including persons with disabilities. For additional 
information on what constitutes human subject research or how to obtain 
an institutional assurance see the OHRP Web site at http://www.hhs.gov/ohrp/.
    (4) Project management plan (5 points). The proposal should include 
a management plan that provides a schedule for the clear and 
expeditious completion of major tasks, with associated benchmarks and 
major study milestones, and major deliverables. If your application 
includes multiple organizations, you should identify the organization/
person that has primary responsibility for completion of each of the 
major study tasks. The major tasks and benchmarks/deliverables 
identified in the management plan should be consistent with those 
identified in the Logic Model (see description under Rating Factor 5). 
You should include plans for preparation of one or more articles for 
publication in peer-reviewed academic journals and submission of the 
draft(s) to the journal(s) after HUD acceptance. The final deliverable 
can be submitted to HUD during the agreed upon period of performance or 
during the 90-day closeout period following award expiration.
    (5) Budget Proposal (6 points).
    (a) Your budget proposal should thoroughly estimate all applicable 
direct and indirect costs, and be presented in a clear and coherent 
format in accordance with the requirements listed in the General 
Section. HUD is not required to approve or fund all proposed 
activities. You must thoroughly document and justify all budget 
categories and costs (Form HUD-424-CBW) and all major tasks, for 
yourself, sub-recipients, major subcontractors, joint venture 
participants, or others contributing resources to the project. A 
separate budget must be provided for partners who are proposed to 
receive more than 10 percent of the federal budget request. Your 
application will be evaluated on the extent to which your resources are 
appropriate for the scope of your proposed study.
    (b) Your narrative justification associated with these budgeted 
costs should be submitted as part of the Total Budget (Federal Share 
and Matching), but is not included in the 25-page limit for this 
submission. Separate narrative justifications should be submitted for 
partners that are submitting separate budgets.
    (c) The application will not be rated on the proposed cost; 
however, cost will be considered in addition to the rated factors to 
determine the proposal most advantageous to the Federal Government. 
Cost will be the deciding factor when proposals ranked under the listed 
factors are considered acceptable and are substantially equal.
    d. Rating Factor 4: Leveraging Resources (6 Points). Your proposal 
should demonstrate that the effectiveness of HUD's Technical Studies 
grant funds is being increased by securing other public and/or private 
resources or by structuring the project in a cost-effective manner, 
such as integrating the project into an existing study (either funded 
by HUD or another source) that will be concurrent with your proposed 
study. Resources may include funding or in-kind contributions (such as 
services, facilities or equipment) allocated to the purpose(s) of your 
project. Staff and in-kind contributions should be assigned a monetary 
value.
    You should provide evidence of leveraging/partnerships by 
submitting: letters of firm commitment, memoranda of understanding, 
and/or agreements to participate from those entities identified as 
partners in the project efforts. Each document must include the 
organization's name, proposed level of commitment (with monetary value) 
and responsibilities as they relate to specific activities or tasks of 
your proposed program. The commitment must also be signed by an 
official of the organization legally able to make commitments on behalf 
of the organization. Simple letters that only indicate support of the 
proposed study are not sufficient. Leveraging is discussed in Appendix 
D, ``Matching and Leveraging Contribution Guidance,'' of this NOFA.
    e. Rating Factor 5: Achieving Results and Program Evaluation (8 
Points). This factor emphasizes HUD's commitment to ensuring that 
applicants keep promises made in their applications and assess their 
performance to ensure performance goals are met. Achieving results 
means you, the applicant, have clearly identified the benefits or 
outcomes of your program. Outcomes are ultimate goals. Benchmarks or 
outputs are interim activities or products that lead to the ultimate 
achievement of your goals.
    Program evaluation requires that you, the applicant, identify 
program outcomes, interim products or benchmarks, and indicators that 
will allow you to measure your performance. Performance indicators 
should be objectively quantifiable and measure actual achievements 
against anticipated goals. Your evaluation plan should identify what 
you are going to measure, how you are going to measure it, and the 
steps you have in place to make adjustments to your work plan if 
performance targets are not met within established timeframes.
    This rating factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability. In evaluating this factor, HUD 
will consider how you have described the procedures you will follow to 
have reliable outcome measures and performance, so that the project 
will be recognized as being of high quality that provides benefits to 
the community.
    In your response to this Rating Factor, discuss the performance 
goals for your project and identify specific outcome

[[Page 11566]]

measures. Describe how the outcome information will be obtained, 
documented, and reported. You must complete and return the eLogic 
ModelTM Form HUD-96010 included in the download instructions 
found as part of the application at http://www.grants.gov. You must 
show your proposed project short-term, intermediate, long-term and 
final results. Instructions on the Logic model are contained in the 
General Section and are also contained in Tab 1 of the electronic form. 
The form features drop down menus from which to select and construct 
the Logic Model response relevant to your proposal. The electronic 
logic model with dropdown menus is in the instruction download at 
http://www.grants.gov/applicants/apply--for--grants.jsp under the 
program NOFA.
    Also, in responding to this factor, you should:
    (1) Identify benchmarks that you will use to track the progress of 
your study;
    (2) Identify important study milestones (e.g., the end of specific 
phases in a multiphase study, recruitment of study participants, 
developing a new analytical protocol), which should also be clearly 
indicated in your study timeline. Also identify potential obstacles in 
meeting these objectives, and discuss how you would respond to these 
obstacles;
    f. Bonus Points (2 points). Applicants are eligible to receive up 
to two bonus points for projects located within federally designated 
Renewable Communities (RCs), Empowerment Zones (EZs), or Enterprise 
Communities (ECs) designated by USDA in round II (EC-IIs) (collectively 
referred to as RC/EZ/EC-IIs), and which will serve the residents of 
these communities (see the General Section). In order to be eligible 
for these bonus points, applicants must meet the requirements of the 
General Section and submit a completed form HUD-2990, with descriptive 
language in the budget discussion describing the actual work that is to 
be done in these communities.

B. Review and Selection Process

    1. Corrections To Deficient Applications. The General Section 
provides the procedures for correcting deficient applications.
    2. Rating and Ranking. Awards will be made in rank order for each 
type of Technical Studies Program applications (Lead or Healthy Homes), 
within the limits of funding availability for the program.
    a. Partial Funding. In the selection process, HUD reserves the 
right to offer partial funding to any or all applicants. If you are 
offered a reduced grant amount, you will have a maximum of 14 calendar 
days to accept such a reduced award. If you fail to respond within the 
14-day limit, you shall be considered to have declined the award.
    b. Remaining Funds. See the General Section for HUD's procedures if 
funds remain after all selections have been made within either type of 
Technical Studies Program.

VI. Award Administration Information

A. Award Notices

    1. Notice of Award. Applicants who have been selected for award 
will be notified by letter from the Office of Healthy Homes and Lead 
Hazard Control Grant Officer. The letter will state the program for 
which the application has been selected, the amount the applicant is 
eligible to receive, and the name of the Government Technical 
Representative (GTR). This letter is not an authorization to begin work 
or incur costs under the award. An executed cooperative agreement is 
the authorizing document.
    HUD may require that all the selected applicants participate in 
negotiations to determine the specific terms of the cooperative 
agreement, budget, and Logic Model. If you accept the terms and 
conditions of the cooperative agreement, you must return your signed 
cooperative agreement by the date specified during negotiation. In 
cases where HUD cannot successfully conclude negotiations with a 
selected applicant or a selected applicant fails to provide HUD with 
requested information, an award will not be made to that applicant. In 
this instance, HUD may offer an award, and proceed with negotiations 
with the next highest-ranking applicant. Applicants should note that, 
if they are selected for multiple OHHLHC awards, they must ensure that 
they have sufficient resources to provide the promised match and/or 
leveraging for the multiple awards. During negotiations, applicants 
selected for multiple awards will be required to provide alternative 
match and/or leveraged resources, if necessary, before the grant can be 
awarded. This is required in order to avoid committing duplicate match 
and/or leveraged resources to more than one OHHLHC grant.
    Awardees will receive additional instructions on how to have the 
grant account entered into HUD's Line of Credit Control System (LOCCS) 
payment system or its successor will be provided. Other forms and 
program requirements will also be provided.
    In accordance with OMB Circular A-133 (Audits of States, Local 
Governments and Non-Profit Organizations), grantees expending $500,000 
in Federal funds within a program or fiscal year must submit their 
completed audit-reporting package along with the Data Collection Form 
(SF-SAC) to the Single Audit Clearinghouse, the address can be obtained 
from their Web site. The SF-SAC can be downloaded at http://harvester.census.gov/sac/.
    2. Debriefing. The General Section provides the procedures 
applicants should follow for requesting a debriefing.

B. Administrative and National Policy Requirements

    1. Environmental Requirements.
    a. Eligible Construction and Rehabilitation Activities.
    (1) A Technical Studies award does not constitute approval of 
specific sites where activities that are subject to environmental 
review may be carried out. Recipients conducting eligible construction 
and rehabilitation activities must comply with 24 CFR part 58, 
``Environmental Review Procedures for Entities Assuming HUD 
Environmental Responsibilities''. Recipients that are States, units of 
general local government or Indian tribes must carry out environmental 
review responsibilities as a responsible entity under part 58. Where 
the recipient is not a State, unit of general local government or 
Indian tribe, a responsible entity, usually the unit of general local 
government or Indian tribe, must assume the environmental review 
responsibilities for construction or rehabilitation activities funded 
under this NOFA. Under 24 CFR 58.11, where the recipient is not a 
State, unit of general local government or Indian tribe, if a 
responsible entity objects to performing the environmental review, or 
the recipient objects to the responsible entity performing the 
environmental review, HUD may designate another responsible entity to 
perform the review or may perform the environmental review itself under 
the provisions of 24 CFR part 50. In such cases, following grant award 
execution, HUD will be responsible for ensuring that any necessary 
environmental reviews are completed. See paragraph (2) below for 
additional assistance.
    (2) For all grants under this NOFA, recipients and other 
participants in the project are prohibited from undertaking, or 
committing or expending HUD or non-HUD funds (including HUD leveraged 
or match funds) on, a project or activities under this NOFA (other

[[Page 11567]]

than activities listed in 24 CFR 58.34, 58.35(b) or 58.22(f)) until the 
responsible entity completes an environmental review and the applicant 
submits and HUD approves a Request for the Release of Funds and the 
responsible entity's environmental certification (both on form HUD 
7015.15) or, in the case where the recipient is not a State, unit of 
general local government or Indian tribe and HUD has determined to 
perform the environmental review under part 50, HUD has completed the 
review and notified the grantee of its approval. The results of the 
environmental reviews may require that proposed activities be modified 
or proposed sites rejected. For Part 58 procedures, see http://www.hud.gov/offices/cpd/environment/index.cfm. For assistance, contact 
Edward Thomas, the Office of Healthy Homes and Lead Hazard Control 
Environmental Officer at (215) 861-7670 (this is not a toll free-
number) or the HUD Environmental Review Officer in the HUD Field Office 
serving your area. If you are a hearing- or speech-impaired person, you 
may reach the telephone number via TTY by calling 1-800-877-8339. 
Recipients of a grant under these funded programs will be given 
additional guidance in these environmental responsibilities.
    b. All other activities not related to construction and 
rehabilitation activities are categorically excluded under 24 CFR 
50.19(b)(1), (3), and (9) from the requirements of the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321) and are not subject 
to environmental review under the related laws and authorities.
    2. Conducting Business in Accordance with HUD Core Values and 
Ethical Standards. If awarded assistance under this NOFA, prior to 
entering into a cooperative agreement with HUD, you will be required to 
submit a copy of your code of conduct and describe the methods you will 
use to ensure that all officers, employees, and agents of your 
organization are aware of your code of conduct. See the General Section 
for information about conducting business in accordance with HUD's core 
values and ethical standards.
    3. Participation in HUD-Sponsored Program Evaluation. See the 
General Section.
    4. Removal of Barriers to Affordable Housing. See the General 
Section.
    5. HUD Reform Act of 1989. The provisions of the HUD Reform Act of 
1989 that apply to this NOFA are explained in the General Section.
    6. Executive Order 13202. Compliance with HUD regulations at 24 CFR 
5.108 that implement Executive Order 13202, ``Preservation of Open 
Competition and Government Neutrality Towards Government Contractors' 
Labor Relations on Federal and Federally-Funded Construction 
Projects'', is a condition of receipt of assistance under this NOFA.

    Note: This Order only applies to construction work.

    7. Procurement of Recovered Materials. See the General Section for 
information concerning this requirement.
    8. Davis-Bacon Wage Rates. The Davis-Bacon prevailing wage rates do 
not apply to this program. However, if program funds are used in 
conjunction with other federal programs in which Davis-Bacon prevailing 
wage rates apply, then Davis-Bacon provisions would apply to the extent 
required under the other federal programs.

C. Reporting

    1. Post Award Reporting Requirements. Final budget and work plans 
are due 60 days after the start date.
    2. Progress Reporting. Progress reporting is required on a 
quarterly basis. Project benchmarks and milestones will be tracked 
using a benchmark spreadsheet that uses the benchmarks and milestones 
identified in the Logic Model form (HUD-96010) approved and 
incorporated into your award agreement. For specific reporting 
requirements, see policy guidance at: http://www.hud.gov/offices/lead. 
For FY 2007, HUD is considering a new concept for the Logic Model. The 
new concept is a Return on Investment (ROI) statement. HUD will be 
publishing a separate notice on the ROI concept.
    3. Racial and Ethnic Beneficiary Data. HUD does not require 
grantees to collect racial and ethnic beneficiary data for this 
program. Grantees conducting studies that do not involve people, such 
as those confined to the laboratory or certain types of environmental 
sampling, will not be required to submit Form-27061 to HUD. If, 
however, racial and ethnic data are collected and reported as part of a 
study funded under this program NOFA, you must use the Office of 
Management and Budget's Standards for the Collection of Racial and 
Ethnic Data as presented on Form HUD-27061, Racial and Ethnic Data 
Reporting Form (and instructions for its use), found on http://www.hudclips.org/sub_nonhud/html/forms.htm.
    4. Final Report. The cooperative agreement will specify the 
requirements for final reporting (e.g., final technical report and 
final project benchmarks and milestones achieved against the proposed 
benchmarks and milestones in the Logic Model which was approved and 
incorporated into your cooperative agreement).
    5. Draft Scientific Manuscript(s). Grantees will be required to 
complete a minimum of one draft manuscript for publication in a peer-
reviewed journal.

VII. Agency Contact(s)

    For technical help in downloading an application from Grants.gov or 
submitting an application via Grants.gov, call the Grants.gov help desk 
at 800-518-GRANTS. For programmatic questions on the Lead Technical 
Studies program, you may contact Dr. Robert Weisberg, Office of Healthy 
Homes and Lead Hazard Control, at (202) 755-1785, extension 7687 (this 
is not a toll-free number) or via e-mail at [email protected]. For programmatic questions on the Healthy Homes 
Technical Studies program, you may contact Dr. Peter Ashley, Office of 
Healthy Homes and Lead Hazard Control, at (202) 755-1785, extension 
7595 (this is not a toll-free number) or via e-mail at [email protected]. For grants administrative questions, you may contact 
Ms. Curtissa L. Coleman, Office of Healthy Homes and Lead Hazard 
Control, at telephone (202) 755-1785, extension 7580 (this is not a 
toll-free number) or via e-mail at [email protected]. If 
you are a hearing- or speech-impaired person, you may reach the above 
telephone numbers through TTY by calling the toll-free Federal 
Information Relay Service at 1-800-877-8339.

VIII. Other Information

    A. Other Office of Healthy Homes and Lead Hazard Control 
Information. For additional general, technical, and grant program 
information pertaining to the Office of Healthy Homes and Lead Hazard 
Control, visit http://www.hud.gov/offices/lead.
    B. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2539-0015. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 80 hours per respondent for the 
application and 16 hours to finalize the cooperative agreement. This 
includes

[[Page 11568]]

the time for collecting, reviewing, and reporting the data for the 
application. This information will be used for grantee selection. The 
reporting burden for completion of the Quality Assurance Plan by 
applicants who are awarded a grant is estimated at 24 hours per grantee 
(OMB approval is pending). Response to this request for information is 
required in order to receive the benefits to be derived.
    C. Appendices. Appendices A, B, C and D to this NOFA are available 
for downloading with the application at http://www.grants.gov/applicants/apply--for--grants.jsp.
[GRAPHIC] [TIFF OMITTED] TN13MR07.014


[[Page 11569]]



Lead Outreach Grant Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Healthy Homes and Lead Hazard Control (OHHLHC).
    B. Funding Opportunity Title: Lead Outreach Grant Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number is: FR-
5100-N-26. The OMB approval number is 2539-0015.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.904, 
Lead Outreach Grant Program.
    F. Dates: The application deadline date is May 18, 2007. 
Applications must be received and validated by grants.gov no later than 
11:59:59 pm eastern time on the application deadline date. See Section 
IV of the General Section, regarding application submission procedures 
and timely filing requirements.
    G. Additional Important Information:
    1. Overall Purpose. This funding opportunity is to provide funding 
for information dissemination about lead poisoning prevention through 
outreach.
    2. Available Funds. Approximately $2 million is available under 
this program.
    3. Number of Awards. Approximately 5 to 8 cooperative agreements 
will be awarded.
    4. Type of Awards. The awards will be made as cooperative 
agreements.
    5. Eligible Applicants. Academic and non-profit institutions 
located in the U.S., state and local governments, and federally 
recognized Native American tribes are eligible under all existing 
authorizations. For-profit firms are also eligible; however, they are 
not allowed to earn a fee (i.e., no profit can be made from the 
project).
    6. Matching Requirements and Leveraging. Ten percent match or cost 
sharing from applicant and partners is required. All contributions, 
regardless of source, above the 10 percent match are considered 
leverage. Leveraging is encouraged. Applications will receive a higher 
score under Rating Factor 4 if you provide evidence of significant cost 
sharing and leveraging. Leveraging means increasing the amount or 
number of eligible activities that can be performed under this award 
through cash or in-kind contributions of resources. Applicants must 
provide evidence that proposed matching resources are not from Federal 
funds, and provide a statement of commitment that proposed matching or 
leveraging resources are not previously committed as match or leverage 
to support other applications or existing awards. Match and leveraged 
resources may be used only for eligible activities. See Section III.B 
and Section V, Rating Factor 4.
    7. Limitations on Applications. Each applicant, partner, sub-
contractor and sub-recipient may participate in only one application to 
the Lead Outreach program. Outreach applicants are not prohibited from 
receiving other OHHLHC grant awards if those grant programs' selecting 
official selects them for such awards.

Full Text of Announcement

    I. Funding Opportunity Description. Background information about 
lead, lead-based paint hazards and other information applicable to this 
NOFA can be found at: http://www.grants.gov/applicants/apply--for--
grants.jsp.
    A. Purpose of the Program. The purpose of this program is to raise 
public awareness and deliver HUD-approved training about lead-based 
paint as a source of lead poisoning, childhood lead poisoning 
prevention, and proper lead hazard identification, control and lead 
safe rehabilitation and maintenance methods for at-risk communities and 
children, primarily to underserved populations. Only entities, states 
or local governments that are not current Lead-Based Paint Hazard 
Control, Lead Hazard Reduction Demonstration, or Operation Lead 
Elimination Action Program (LEAP) grantees, or sub-grantees, 
contractors or sub-contractors receiving 10 percent or greater of the 
award may apply to this program. If an applicant has received previous 
OHHLHC funding, the application must clearly explain why there remains 
a need for lead outreach in that jurisdiction.
    B. Authority. The authority for this program is Sections 1011(e)(8) 
and (g)(1) of the Residential Lead-Based Paint Hazard Reduction Act of 
1992 (Title X of the Housing and Community Development Act of 1992), 
and the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 
110-5, approved February 15, 2007).
    C. Changes in the FY 2007 Competitive NOFA. Listed below are major 
changes from the FY 2006 Lead Outreach NOFA:
    1. The outreach and education categories have been merged and the 
technical assistance category of activity has been eliminated.
    2. Eligible outreach and educational activities are clearly 
identified and described.
    3. For this round of funding, higher points will be awarded to 
communities having confirmed elevated blood level (EBL) rates for 
children under 6 years of age equal to or greater than 2.5 percent and 
that track and report lead poisoning data.

II. Terms of Award

A. Available Funding

    Approximately $2 million from fiscal year 2007 and prior year funds 
is available under this program. HUD anticipates that approximately 
five to approximately eight cooperative agreements will be awarded, for 
a minimum of $200,000 and a maximum of $400,000 each for the entire 
period of performance.

B. Type of Award and Period of Performance

    1. Awards will be made as cooperative agreements.
    2. The anticipated start dates for new awards is expected to be no 
later than October 1, 2007. The period of performance for awards will 
be 24 months from the date of award.
    3. Period of performance extensions for delays due to exceptional 
conditions beyond the grantee's control will be considered for approval 
by HUD in accordance with 24 CFR 84.25(e)(2) or 85.30(d)(2), as 
applicable, and the OHHLHC Program Guide. If approved, grantees will be 
eligible to receive a single extension of up to 12 months in length. 
Although applicants are encouraged to plan projects with shorter 
performance periods than 24 months, you should consider the possibility 
that issues may arise that could cause delays when developing your 
schedule.

III. Eligibility Information

A. Eligible Applicants

    1. Academic, not-for-profit and for-profit institutions located in 
the United States, states and units of general local government, and 
federally recognized Native American tribes are eligible to apply. For-
profit firms are not allowed to earn a fee (i.e., make a profit from 
the project).
    2. Current Lead-Based Paint Hazard Control, Lead Hazard Reduction 
Demonstration, or Operation Lead Elimination Action Program (LEAP) 
grantees, sub-grantees, entities, states or local governments receiving 
10 percent or greater of the grant award are not eligible to apply to 
this program as applicants, sub-grantees, team members, contractors or 
sub-contractors in any capacity receiving 10 percent or greater of 
grant funds. Conversely, an entity may not apply under this NOFA or be 
a sub-grantee, sub-contractor, participant, or partner receiving 10 
percent or greater of grant funds. An entity that is an existing 
grantee, sub-

[[Page 11570]]

grantee, sub-contractor or partner receiving 10 percent or greater of 
grant funds on another application or grant may not apply under this 
program in any role. Organizations that are ``doing business as'' a 
different organization are considered to be the same entity. 
Organizations may not qualify for eligibility by applying under a 
different name.
    B. Cost Sharing or Matching Requirements. A 10 percent match is 
required. Leveraging is encouraged. Applicants must provide a matching 
contribution of at least 10 percent of the requested cooperative 
agreement sum. If an applicant does not include proper documentation of 
the minimum 10 percent match requirements in the application, it will 
be considered ineligible for an award and will not be reviewed. 
Matching contributions may be in the form of cash or in-kind (non-cash) 
contributions or a combination of these sources. Matched resources must 
be used only for eligible activities. With the exception of Community 
Development Block Grant (CDBG) funds, or other programs that only allow 
their funds to be considered local funds and therefore eligible to be 
used as matching funds, federal funds may not be used to satisfy any 
statutorily required matching requirement, as applicable. Federal funds 
may be used, however, for contributions above the 10 percent match 
requirement, provided that these funds are used only for eligible 
activities under the Lead Outreach program. The applicant must submit a 
letter of commitment for the match or leverage from each organization 
other than itself that is providing match or leverage, whether cash 
and/or in-kind. The letter must indicate the amount and source of the 
match, and detail how the matching funds will be specifically dedicated 
to and integrated into supporting the proposed cooperative agreement 
program. The signature of the authorized official on the Form SF-424 
commits proposed matching or other contributed resources of the 
applicant organization. A separate letter from the applicant 
organization is not required.

C. Other

    1. Threshold Requirements. Applicants must also meet the threshold 
requirements of the General Section, including the Civil Rights 
threshold.
    2. Policies applicable to all activities in this NOFA.
    a. Each awardee will be assigned a GTR (Government Technical 
Representative) who will provide oversight and approve grantees' 
activities and deliverables.
    b. Awardees must use existing outreach, training and technical 
assistance documents unless they can adequately justify in their 
application that a great need exists in their community to 
substantively modify existing documents or create new ones. Before 
creating a new product (such as a brochure, curriculum or technical 
document), grantees must investigate if a similar item already exists 
and can be used or revised with a level of effort lower than would be 
spent creating a new equivalent product. Applicants must ensure that 
materials are appropriate for the target populations, including persons 
with Limited English Proficiency (LEP), and for visually impaired or 
other disabled persons (see Eligible Activities, below). All new 
products and adaptations/translations must be submitted to HUD as 
deliverables, in electronic format suitable for web posting.
    c. For use under this program, all documents in languages other 
than English must be culturally neutral (understandable by speakers of 
all dialects of the target language). For a new translation to be 
acceptable, grantees must provide evidence that translators are 
certified by the American Translators Association. Awardees are 
responsible for first determining if a translation already exists. 
Quality reviews are required for all translations. Reimbursements will 
not be allowed for translations of federal documents that have 
previously been translated into the target language.
    d. HUD has noted that during prior funding rounds, some applicants 
to this program have not met all requirements for application content 
and submission. HUD recommends that applicants use and follow the 
application checklist in this NOFA to help them identify any missing 
elements and complete the application before it is submitted. No 
information may be submitted after the deadline date except under the 
threshold review process. Although applications with curable 
deficiencies are offered an opportunity at threshold review to submit 
certain information to cure these deficiencies, non-curable 
deficiencies are not correctable and may disqualify an application. 
(See General Section.)
    3. Eligible Activities. Consideration will only be given to 
proposed activities that are specifically listed as eligible in this 
NOFA. Other work activities are ineligible. All activities must address 
childhood lead poisoning prevention (primarily from lead-based paint in 
housing) and/or control at the national, regional, and/or local levels. 
If an activity or training curriculum is not specifically listed below, 
it may not be used. The following section lists specific eligible 
activities.
    a. Door-to-door canvasses, small-group meetings, community meeting 
visits, health fairs, conducting presentations or speaking engagements 
to inform the public and owners of housing, including owners receiving 
rehabilitation or other tax credits, about programs that can assist in 
control of the identified lead hazards, and other activities to 
publicize or conduct events that highlight lead hazards in the home 
environment;
    b. Earned media (no-cost public service announcements), news 
stories in radio, print, or TV to raise public awareness and promote 
name recognition for treatment programs;
    c. Advertising (paid ads on buses, billboards, etc.);
    d. Use of collateral materials and campaign props and incentives. 
These materials include outreach brochures and printed materials, 
visual presentations, giveaways with outreach providers' phone numbers/
contact information, mascots, cleaning kits, meals not to exceed $10 in 
value per meal per person, etc. The use of appropriate training 
materials is also eligible, but training materials are not considered 
to be collateral materials, props or incentives. (See paragraph 
III.C.3.o., Eligible Activities, below.) Outreach materials and props 
can support general lead outreach and education efforts. However, the 
budget must include details of the items including cost per item. All 
expenditures made by a grantee must be linked to specific outreach 
activities and listed in the approved budget;
    e. Development and maintenance of infrastructure and support such 
as telephone hotlines and Web sites;
    f. Entering into working arrangements with regional/local non-
profit organizations, including grassroots community-based 
organizations, faith-based organizations; chambers of commerce; public 
and private social service agencies; corporations, retailers, 
construction organizations, or unions for the purpose of coordinating 
or conducting joint outreach activities;
    g. Other outreach activities designed to disseminate information to 
targeted populations identified as being at-risk of lead poisoning;
    h. Making materials available in alternative formats for persons 
with disabilities (e.g., Braille, audio, large type) upon request, and 
providing materials in languages other than English that are common in 
the community, consistent with HUD's published Limited English 
Proficiency

[[Page 11571]]

(LEP) Recipient Guidance, 68 FR 70968 (see above);
    i. Program administration in accordance with the guidelines 
established under funding restrictions;
    j. Program evaluation and assessment activities to improve the 
effectiveness of present and future outreach efforts and to measure 
whether efforts have successfully been targeted to at risk populations;
    k. Innovative use of funds to outreach and education to regional/
local community groups, residents, and other appropriate community 
stakeholders to resolve regional/local lead poisoning problems, as 
approved by the GTR;
    l. Delivery of HUD-approved (or state-approved, as applicable) Lead 
Safe Work Practices (Interim Controls), EPA-or state-approved lead 
training, Lead Awareness training curricula, or visual assessment 
training, for the target audience(s);
    m. Training regional/local residents and businesses, including 
retail paint sales associates and managers, on identifying and 
preventing lead-based paint hazards, and lead safe maintenance and 
renovation work practices, etc.;
    n. Educating tenants, owners, housing inspectors, and others about 
HUD's lead safety regulations, including the Lead Disclosure Rule and 
Lead Safe Housing Rule (24 CFR part 35), regional/local building codes, 
and HUD's Housing Quality Standards (HQS) and Uniform Physical 
Condition Standards (UPCS), as applicable;
    o. Training curriculum design, development, maintenance and 
evaluation; preparing, distributing appropriate training materials, 
including photographs, other graphics and visual presentations 
(compliance with copyright and trademark laws is the responsibility of 
the grantee);
    p. Applying for or maintaining EPA, State or HUD approval of 
training program (as applicable);
    q. Promoting or marketing training courses directly or through 
partnerships with organizations conducting outreach;
    r. Delivery of formal or one-on-one or group educational or 
training sessions in classrooms, homes or other locations;
    s. Delivery of informal one-on-one or group educational sessions, 
workshops or demonstrations in homes or other locations (cleaning 
techniques, etc.);
    t. Participation in training-related partnerships and task forces; 
and,
    u. Auditing course delivery, training, mentoring and evaluating 
trainers to increase lead safety training capacity.

IV. Application and Submission Information

    A. Address to Request Application Package. All the information 
required to submit an application can be downloaded from the web at 
http://www.grants.gov/applicants/apply--for--grants.jsp. Consult the 
General Section for more information. If you have difficulty accessing 
the information, you may call the Grants.gov helpline toll-free at 
(800) 518-GRANTS or e-mail [email protected].

B. Content and Form of Application Submission

    1. Application Format. Because of the electronic submission 
process, proposals must conform to the formatting requirements below to 
be eligible. All material submitted must be required or be in support 
of the narrative response to the rating factors. Any material, whether 
required or supplemental, that is not properly located in the 
application, and referenced and discussed within the narrative 
statement as described below, will not be rated. The narrative response 
to all rating factors (see below) must be submitted within a single 
electronic file within the zip file attached to the application. The 
narrative response to the five rating factors may not exceed 25 pages 
(excluding required additional materials and worksheets, see below) 
equivalent to one-side only on 8\1/2\ x 11 inch paper using a standard 
12-point font with not less than \3/4\-inch margins on all sides. Each 
attachment or appendix must be an individual electronic file. All pages 
must be numbered in order starting with the cover page and continuing 
through the appendices. HUD is not responsible for electronic 
transmission errors or omissions. Applicants are responsible for 
verifying the successful transmission of all documents submitted with 
their applications.
    2. Prohibition on Materials Not Required. Submission of materials 
other than those specified as allowable by this NOFA are prohibited. 
Reviewers will not consider resumes (other than those called for in 
response to the rating factors), reports, charts, letters, or any other 
documents attached to the application.
    3. Required Application Contents. Applications must contain all of 
the information required by this NOFA, including the following items:
    a. Application Abstract. An abstract is required. It may not exceed 
2 pages of 8\1/2\ x 11 inch paper using a standard 12-point font with 
not less than \3/4\inch margins on all sides in length, and must 
summarize the proposed project, including the objectives, proposed 
activities and expected results, the dollar amount requested, and 
contact information for the applicant and project partners. Information 
contained in the abstract will not be considered in the evaluation and 
scoring of your application. Any information you wish considered should 
be provided under the appropriate rating factor. The 2-page abstract 
will not be included in the 25-page limit of the application.
    The abstract will be used for developing the news release to the 
public if the application is funded.
    b. Narrative Response. A narrative statement with supporting 
required forms and other documents addressing the five rating factors 
for award is required. This portion of the application consists of a 
narrative response to each of the five rating factors (total 25-page 
limit), specific HUD-required forms documents (which do not count 
toward the page limit), and optional supplemental material (20-page 
limit). Pages in excess of these limits will not be read. Each of 
Rating Factors 1-5 has an associated required form (HUD-96012, HUD-
96013, HUD-96014, HUD-96015, and HUD-96010, respectively) that does not 
count toward the page limits, and must be located immediately after the 
response to that rating factor (see list of forms, below). You are 
advised to review each factor carefully for program specific 
requirements. The response to each factor should be concise and contain 
only information relevant to the factor, but detailed enough to address 
each factor fully. Please do not repeat material in response to the 
five factors; instead, focus on how well the proposal responds to each 
of the factors. In factors where there are sub-factors, each sub-factor 
must be presented separately.
    All information relative to a given rating factor MUST be contained 
in the narrative for that rating factor. If it is found in a different 
rating factor, IT WILL NOT BE CONSIDERED. In addition, supplemental 
material that is not referenced and discussed within that portion of 
the narrative will not be considered.
    c. In addition to the abstract and narrative response described 
above, the following materials (which do not count toward the page 
limits) must be included in the locations specified: resumes, process 
flow diagram for the project (not the employer's organizational chart), 
budget, and other required forms. The standard forms can be found in 
the application package on Grants.gov.

[[Page 11572]]

    (1) Resumes and a process flow diagram for your project must be 
placed immediately following the narrative response to Rating Factor 1. 
Resumes for project director, day-to-day program manager and up to 3 
key personnel (limited to 3 pages per resume) are required. (See Rating 
Factor 1.)
    (2) Include a detailed budget for any sub-contractors, sub-
grantees, or sub-recipients receiving greater than 10 percent of the 
federal budget request. Use the budget format discussed in Rating 
Factor 3.
    (3) Form HUD-96010, Logic Model (See Rating Factor 5).
    (4) General letters of support will not be considered and are 
discouraged.
    d. Applicants are encouraged to use the following checklist to 
ensure that all required materials have been prepared and submitted. Do 
not submit the checklist (see below) with the application.

Checklist for Applicants

Abstract (Limited to 2 Pages)

Required Information Supporting Rating Factors

    1. Capacity of the Applicant and Relevant Organizational 
Experience, plus Form HUD-96012; Resumes of Proposed Project Director, 
Day-to-day Program Manager and up to 3 Key Personnel; Project 
Organization Chart.
    2. Need/Extent of the Problem, plus Form HUD-96013.
    3. Soundness of Approach, plus Form HUD-96014; budget forms and 
narrative budget justification.
    4. Matching and Leveraging Resources plus Form HUD-96015, 
Leveraging Resources, Letters of Commitment attached immediately after 
Rating Factor 4.
    5. Achieving Results and Program Evaluation plus Form HUD-96010 
Logic Model.

Additional Material Supporting the Rating Factors (attachments, 
appendices, etc.: 20-page limit)

Complete Checklist of Required Forms and Budget Material

    1. Form SF-424 (Application for Federal Assistance).
    2. Form HUD-CBW (Detailed Budget Worksheet).
    3. Form SF-424 SUPP (Faith Based EEO Survey) (to be completed by 
private nonprofit organizations only).
    4. Form SF-LLL (if applicable) (Disclosure of Lobbying Activities).
    5. Form HUD-2880 (Applicant Recipient Disclosure Report).
    6. Form-2990 Certification of Consistency with the RC/EZ/EC/II 
Strategic Plan (required only for applicants who are seeking these 
bonus points).
    7. Form HUD-2994A You Are Our Client Grant Applicant Survey 
(Optional).
    8. Form HUD-27300 HUD Communities Initiative (if applicable) (up to 
2 points can be awarded).
    9. Form HUD-96011 Facsimile Transmittal, for electronic 
applications (used as the cover page to transmit third-party documents 
and other documentation designed for each specific application for 
tracking purposes. HUD will not read faxes that do not use the HUD-
96011 as the cover page to the fax).

C. Submission Dates and Times

    Application Submission Dates: Applications must be received and 
validated by Grants.gov by 11:59:59 p.m. eastern time on the deadline 
date. Refer to the General Section for additional requirements 
including registration requirements, deadline dates, Grants.gov 
validation, proof of delivery, and other information regarding 
electronic application submission via http://www.grants.gov.
    D. Intergovernmental Review. Not applicable to this program. See 24 
CFR Part 52.

E. Funding Restrictions.

    1. Administrative Costs. There is a 10 percent maximum allowance 
for administrative costs. Additional information about allowable 
administrative costs is provided in Appendix A and can be downloaded 
with this application from http://www.grants.gov/applicants/apply--
for--grants.jsp. Eligible administrative costs include leases for 
office space, under the following conditions:
    a. The lease must be for existing facilities not requiring 
rehabilitation or construction;
    b. No repairs or renovations of the property may be undertaken with 
federal funds:
    c. Properties in the Coastal Barrier Resources System designated 
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be 
leased with federal funds.
    2. Indirect Costs. You must comply with Indirect Cost requirements. 
Guidelines for indirect cost requirements are provided in Appendix B 
and may be downloaded as part of your application package from http://www.grants.gov/applicants/apply--for--grants.jsp.
    3. HUD will not fund the following ineligible activities:
    a. Purchase of real property.
    b. Purchase or lease of equipment having a per-unit cost in excess 
of $5,000, unless prior written approval is obtained from HUD.
    c. Identification of lead-based paint or lead-based paint hazards, 
hazard reduction (including, interim controls or abatement), 
rehabilitation, remodeling, maintenance, repair, or any other 
construction work, blood lead testing of adults or children, laboratory 
analysis, medical treatment, clearance examinations and visual 
assessment.
    d. Renovations or construction work on office space leased for the 
program.
    e. Activities required in order to fulfill court orders or consent 
decrees, settlements, conciliation agreements, or other compliance 
agreements.

F. Other Submission Requirements

    1. Applications are required to be received and validated 
electronically via the Web site http://www.grants.gov. See Section IV 
of the General Section for additional information on the electronic 
process. Waivers may only be granted for cause. See General Section for 
further discussion.
    2. Waiver of Electronic Submission Requirements. Applicants should 
submit their waiver requests in writing by e-mail. Waiver requests must 
be submitted no later than 15 days prior to the application deadline 
date and should be submitted to Jonnette Hawkins, Director, Program 
Management and Assurance Division, Office of Healthy Homes and Lead 
Hazard Control, [email protected].

V. Application Review Information

A. Criteria

    1. Threshold Requirements. Applications that meet all of the 
threshold requirements will be eligible to be scored and ranked, based 
on the total number of points allocated for each of the rating factors 
described in Section V.A.3 of this NOFA. Your application must receive 
a total score of at least 75 points to be considered for funding.
    2. Award Factors. Each of the five factors is weighted as indicated 
by the number of points that are assigned to it. The maximum score that 
can be attained is 100 plus 2 possible bonus points. Applicants should 
be certain that each of these factors is adequately addressed in the 
project description and accompanying materials.
    3. Rating Factors for All Categories.
    a. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 points). This factor includes information 
about the organization, its individual employees

[[Page 11573]]

and partners, and past performance. Higher points will be given for 
more recent, relevant experience of high quality. The following areas 
will be evaluated: organizational capacity, experience and past 
performance, individual staff and participants' qualifications 
including education and experience, and specific qualifications related 
to the categories of activities under this NOFA. Applicants should not 
explain their work plans in this rating factor response, but should 
demonstrate the ability and commitment of its organization as a whole 
and the individuals proposed to serve on this project.
    (1) Organizational Experience. This sub-factor addresses the extent 
to which the applicant's organization has the organizational experience 
necessary to successfully implement the proposed activities in a timely 
manner. HUD will evaluate the organization's experience in initiating, 
implementing, and evaluating related outreach, health education and 
training and recruitment projects, or solving community problems 
directly related to this program. In rating this sub-factor, HUD will 
consider the extent to which the proposal demonstrates organizational 
experience that is recent and relevant. HUD will consider 
organizational experience within the last 5 years to be recent and 
experience pertaining to activities of similar scope to be relevant.
    (a) Describe whether you have sufficient personnel, or will be able 
to quickly hire qualified experts or professionals to begin your 
proposed project within 30 days of award, if funded.
    (b) Describe how the principal components of your project 
organization will participate in, or support, your project, and how you 
propose to coordinate with your partners. Include a project-specific 
organizational chart indicating the organizational capacities of and 
interrelationships among the various entities involved in the project. 
Do not provide an organization chart of your employer unless it meets 
the project-specific criteria described above.
    (c) Past performance in previous projects with an emphasis on 
health education, outreach and recruitment, training and education, or 
technical assistance. This sub-factor evaluates the extent to which an 
applicant has performed previous work successfully. Provide details 
about the nature of projects performed through grants or contracts. 
Applicants failing to disclose previous grants or contracts with OHHLHC 
or HUD may be deemed ineligible for award. To receive maximum points 
for this factor, applicants must provide the following specific 
information:
    (i) A detailed list outlining the period of performance, 
achievement of specific tasks, measurable objectives (benchmarks) and 
outcomes consistent with the approved timeline/work plan and budget;
    (ii) If any applicant, proposed partner, contractor, sub-contractor 
or sub-recipient intending to receive 10 percent or greater of the 
award funding has had previous OHHLHC grant funding, the application 
must provide details about the level of performance on that grant, 
clear justification as to why additional funds are requested at this 
time and explanation regarding the local lead poisoning surveillance 
and a tracking system. If the jurisdiction has no local system for 
tracking and reporting blood lead data, do not enter any EBL data on 
HUD-Form 96013 (see Rating Factor 2, Need/Extent of the Problem).
    (iii) Comparison of previous awards' proposed match or leveraged 
resources compared to what was actually matched; and,
    (iv) A detailed list outlining the timeliness and completeness of 
complying with all reporting requirements. In addressing timeliness, 
compare when reports were due with when they were actually submitted.
    (2) Individual Qualifications:
    (a) Project Director and Day-to-Day Project Manager. OHHLHC 
considers these to be among the most important individuals working on 
its grants. Programs that do not experience vacancies or high turnover 
in these important positions typically have levels of performance and 
success that are higher than those of programs having vacancies or high 
turnover. Identify by name the individuals proposed to serve as the 
overall project director and day-to-day project manager. The terms 
``Project Director'' and ``Day-to-Day Project Manager'' must be used 
consistently in the application to earn points for individuals having 
these responsibilities, regardless of their current employer-assigned 
position titles. Describe their individual qualifications that will 
enable them to function effectively in their assigned roles, including 
knowledge, work experience, management experience, education, training, 
and publications. Include specific projects they have performed 
involving planning and managing large and complex interdisciplinary 
outreach or educational programs, especially those involving housing, 
public health, or environmental initiatives.
    (b) Other Key Personnel. Identify by name and position up to three 
additional key personnel. In this rating factor response, provide the 
individual qualifications, experience, percentage commitment to the 
project, salary costs to be paid by funds from this program, and role 
in the proposed project for each key personnel. You must provide 
resumes (or position descriptions and copies of job announcements 
including salary range, for vacant positions) for the project director, 
day-to-day project manager, and up to three additional key personnel to 
receive maximum points for this rating sub-factor.
    (c) Sub-recipients (sub-grantees, sub-contractors and consultants). 
Include descriptions of their experience and qualifications. Detail 
their grant and financial management experience. You may find it useful 
to include a table indicating the name, position and percentage 
contribution of participating individuals, specifying organizational 
affiliation. Describe who is responsible for quality control of 
processes and materials produced by sub-recipients.
    (3) In addition to other eligibility criteria and knowledge of 
OHHLHC's grant programs, applicants must also demonstrate specific 
capacity as follows:
    (a) Outreach Providers: Specific capacity to provide outreach 
services, such as holding community meetings, health fairs, adapting 
printed materials, writing public service announcements, etc. 
Applications that include development and distribution of media 
products in languages other than English must include a discussion of 
the applicant's (or sub-grantee's/contractor's) expertise in those 
languages and in meeting the informational needs of non-English-
speaking, underserved populations. Outreach grantees involving face-to-
face interaction with the community should have staff that are well-
trained, motivated, committed to the program, and reflect the 
characteristics of the target community.
    b. Rating Factor 2: Need/Extent of the Problem (10 Points). This 
factor addresses the extent to which there is a need for funding the 
proposed program activities and an indication of the importance of 
meeting the need(s) in the target area. In this round of funding, HUD 
is targeting those communities with significant numbers of lead 
poisoned children. All applicants are encouraged to target minority 
populations and utilize minority media in an effort to achieve 
diversity in outreach and educational efforts. The proposal will be 
evaluated on the extent to which the level of need for the proposed 
activities and the importance of meeting the need(s) are documented.

[[Page 11574]]

To earn any points for this factor, the data used must be specific to 
the area where the proposed activities will be carried out (for 
projects with specific regional/local target areas, do not apply the 
data to the entire regional/locality or state). To receive maximum 
points for this factor, proposals must demonstrate that the target 
area(s) has a rate of elevated blood lead levels in children up to age 
six of 2.5 percent or greater. Lead poisoned children are children up 
to age 6 (72 months) who are tested and have confirmed blood lead 
levels of at least 10 micrograms per deciliter ([mu]g/dL). For this 
program, the confirmed EBL rate is the total number of confirmed cases 
expressed as a percentage of the total number of children tested.
    In order to receive maximum points, proposals addressing one or a 
few communities must explain how the targeted community's(ies') Five 
Year Consolidated Plan(s) and Analysis(es) of Impediments to Fair 
Housing Choice (AI) identify the level of the problem and the urgency 
in meeting the need. Only communities whose Consolidated Plans identify 
lead-based paint hazards in housing as a serious problem and have a 
clear implementation strategy for meeting this need will receive 
maximum points for this rating factor. Communities having Consolidated 
Plans that indicate the most serious needs and present the clearest 
strategies will receive higher points for this rating factor.
    To demonstrate these needs, applicants must use surveys or other 
analyses contained in at least one or more current and reliable data 
sources. In rating this factor, HUD will consider data collected within 
the last five (5) years and published by government agencies or peer-
reviewed journals to be current and reliable. Sources for regional/
localized data can be found at: http://www.ffiec.gov. Other reliable 
sources of data include, but are not limited to, Census reports, HUD 
Continuum of Care gap analysis and its E-Map (to find additional 
information, go to HUD's Web site: http://www.hud.gov/emaps), 
Comprehensive Plans, community needs analyses such as provided by the 
United Way, and other sound, reliable, and appropriate sources.
    c. Rating Factor 3: Soundness of Approach (40 Points). This factor 
contains three sub-factors:
    (1) your goals and objectives;
    (2) the quality and cost-effectiveness of your proposed work plan; 
and,
    (3) proposed budget.
    Before developing a work plan, applicants should review the 
activities that are not eligible under this program, as described in 
Section IV.E.3, above. No points will be awarded for ineligible 
activities. Higher points will be given to applications that contain 
approaches with clearly articulated goals, activities and sub-
activities, and demonstrate a logical progression of implementation 
steps.
    (1) Project Goals (10 Points). Describe:
    (a) The goals and objectives for your project based on the need 
described under Rating Factor 2, and
    (b) How proposed activities would address your goals and HUD's 
policy priorities.
    See the General Section for information on HUD's policy priorities. 
The policy priorities that are applicable to the Lead Outreach NOFA and 
that are eligible for one point each are: (1) Improving our Nation's 
Communities (focus on distressed communities); and (2) Providing full 
and equal access to grass-roots, faith-based and other community-based 
organizations in HUD program implementation. Removal of regulatory 
barriers to affordable housing is eligible for up to 2 points provided 
the required documentation, as specified in form HUD 27300 (HUD 
Communities Initiative), is part of the application submission to HUD. 
Applicants may also provide a Point of Contact Name and phone or email 
address and the required documentation as noted in the form HUD 27300. 
You may provide a URL for a Web site where the required documentation 
is readily accessible for use.
    (2) Work Plan (20 Points). HUD will award maximum points for this 
sub-factor to applications that demonstrate a high probability of 
success of the program, convey the significance of the tasks 
identified, and propose realistic time frames. This portion of the 
response will be evaluated based on the extent to which the proposed 
work plan demonstrates the following:
    (a) The general approach and overall strategy;
    (b) Specific, measurable and time-phased objectives for each major 
program activity, accompanied by a complementary schedule indicating 
proposed date(s) of completion (in three-month intervals);
    (c) Specific services and/or activities. The work plan must 
identify all major tasks and list all proposed activities in sequential 
order. For maximum points, the activities must correlate to the needs 
explained in the narrative response to Rating Factor 2. All activities 
under this program must assist the regional/local area to develop or 
implement a strategy to eliminate lead poisoning, target at-risk 
populations or areas, and implement programs to meet those populations' 
information needs. In addition, grantees' regular, routine activities 
must provide information to owners and low-income occupants about 
regional/local resources for housing rehabilitation and lead hazard 
control programs.
    Describe in detail how you will identify and serve participants 
receiving services, especially participants in high-risk groups and 
communities, vulnerable populations and persons traditionally 
underserved. Include a brief, concise outreach strategy or marketing 
plan, as applicable, in the work plan and list on the Logic Model 
(submitted under Rating Factor 5). To receive maximum points, you must:
    (i) Identify your approaches to overcoming poor response, 
attendance or participation difficulties and explain how you will 
ensure that proposed activities do not duplicate activities by others 
for the target area previously completed or currently underway;
    (ii) Identify the personnel responsible for major tasks;
    (iii) Describe your products or outputs and expected outcomes or 
impacts;
    (iv) Describe your proposed methods to research existing materials 
or develop new ones, and print and disseminate materials for outreach 
or training. (Note: All products to be distributed to the public, 
whether in hard copy or electronic format, must be submitted to HUD for 
review and in final form as deliverables in electronic format suitable 
for web posting.)
    (v) Describe how you will ensure that materials will be of 
consistently high quality and technically sound;
    (vi) Describe the plan to manage the project. Include details about 
the management and financial systems, and how you will track and ensure 
the cost-effectiveness of expenditures and will link them to specific 
activities;
    (vii) Describe how you propose to coordinate with HUD field offices 
and HUD program personnel, as applicable, in your application; and
    (viii) Describe how you will make materials available in 
alternative formats for persons with disabilities (e.g., Braille, 
audio, large type) upon request, and provide materials in languages 
other than English that are common in the community, consistent with 
HUD's published Limited English Proficiency (LEP) Recipient Guidance, 
68 FR 70968.
    (d) Outreach providers must follow these specific program 
requirements:
    (i) Increase lead awareness among the general public;
    (ii) Provide information to owners and low-income occupants about 
regional/

[[Page 11575]]

local resources for housing rehabilitation and lead hazard control 
programs; and
    (iii) Create a detailed outreach strategy as part of their work 
plan.
    (e) Training providers must follow these specific program 
requirements:
    (i) Meet a documented regional/local need to develop a sustainable 
capacity of lead safety trained workers and/or EPA-or state-certified 
lead professionals;
    (ii) Have underserved and minority populations as the primary 
target audience;
    (iii) Provide information to owners and low-income occupants about 
regional/local resources for housing rehabilitation and lead hazard 
control programs;
    (iv) Perform structured education of other groups about lead 
poisoning prevention and control;
    (v) Target a specific, appropriate audience;
    (vi) Use a HUD-approved curriculum for all interim controls 
training and specify in the application all training materials to be 
used;
    (vii) Provide plans for sustainability including train-the-trainer 
programs;
    (viii) Design the course materials as ''step-in'' packages so that 
HUD or other training providers may independently conduct the course on 
their own;
    (ix) Make the course materials available to the GTR in sufficient 
time for review (minimum of three weeks), for you to provide revision, 
and for the GTR to provide concurrence on the content and quality prior 
to delivery;
    (x) Provide all course materials in an electronic format that will 
permit wide distribution among field offices, and HUD grantees (see the 
General Section for information on formats acceptable to HUD);
    (xi) Arrange for delivery of the training with HUD participation 
when requested by the GTR;
    (xii) Establish minimum enrollments for deliveries of training 
courses; implement and disseminate fair course cancellation policies;
    (xiii) Deliver HUD-approved training courses that have been 
designed and developed by others on a ''step-in'' basis when requested; 
and
    (xiv) For Interim Controls (Lead Safe Work Practices), training 
providers must comply with HUD's Interim Criteria to Evaluate Training 
Courses in Lead Safe Work Practices (http://www.hud.gov/offices/lead). 
The costs associated with attending these required sessions are 
eligible under the grant.
    (f) Institutionalization (applies to all applicants). All 
applicants must provide a detailed description of how the applicant 
plans to mainstream or continue integrating lead poisoning prevention 
into its regular, permanent programs. To evaluate institutionalization, 
HUD will evaluate the extent to which the applicant (and partners) 
demonstrate:
    (i) Other lead poisoning prevention projects that are locally 
funded;
    (ii) Specific examples of and the degree of implementation of the 
Lead Safe Housing Rule in the jurisdiction's publicly-funded housing 
programs, as applicable;
    (iii) Commitment to undertake project activities in the future;
    (iv) Support and involvement of the applicant's organizational 
leadership; and
    (v) Commitment to include lead-related work in decisions affecting 
policy and program development.
    (3) Budget Justification (10 Points). HUD is not required to 
approve or fund all proposed activities. Your budget will be evaluated 
for its reasonableness, clear justification, and consistency with the 
work plan. Submit a narrative justification associated with the budget 
that explains all budget categories and costs for each major task of 
the work plan and that does not simply repeat the budget numbers in the 
narrative. Identify the source of funds as HUD, applicant match, or 
third-party (partner) leverage. Each budget page should identify the 
entity and project year to which it applies. Higher points will be 
awarded for greater percentages of sub-contracting and substantive work 
performed by bona fide and legitimate grassroots organizations, 
including faith-based and other community-based non-profit 
organizations, Fair Housing Organizations, advocates for various 
minority and ethnic groups, and persons with disabilities. Applicants 
should note that national-level organizations are not considered by HUD 
to be grassroots organizations, which are generally small, local groups 
with social services budgets less than $300,000. In completing the 
budget forms and justification, you should address the following 
specific elements:
    (a) Direct Labor. Direct Labor costs should include all full- and 
part-time staff required for the planning and implementation phases of 
the project. These costs should be based on full-time equivalent (FTE) 
or hours per year (hours/year) (i.e., one FTE equals 2,080 hours/year);
    (b) Travel to HUD Meetings. You should budget for one trip annually 
to HUD Headquarters in Washington, DC, planning each trip for two 
people for 2 or 3 days, depending on your location;
    (c) Sub-grantee and Sub-recipient Budgets. Without exception, a 
separate budget proposal must be provided for any sub-recipient(s) 
receiving greater than 10 percent of the total federal budget request;
    (d) Provide supporting documentation for salaries and cost of 
materials and equipment; and
    (e) Federally Negotiated Indirect Cost Rate, without exception. 
Organizations that have a federally negotiated indirect cost rate 
should provide documentation of that rate. Organizations not having a 
federally negotiated rate schedule must obtain a rate from their 
cognizant federal agency. Applicant and sub-grantee budgets should 
reference only their own indirect cost rates.
    d. Rating Factor 4: Leveraging Resources (15 points). This factor 
evaluates the ability to:
    (1) Contribute allowable resources from your organization; (2) 
leverage (secure) other allowable public and/or private sector 
resources (such as financing, supplies, or services) that can be added 
to HUD's funds to perform eligible activities; and, (3) sustain your 
proposed project from sources other than HUD at the end of the period 
of performance. This program has a 10 percent match requirement. Higher 
points will be awarded for percentages of leveraged resources, compared 
to the amount of HUD funds requested. To receive points for leveraged 
resources above the 10 percent required match, all contributions 
committed for the period of performance, whether cash or in-kind, must 
be expressed in dollar values and documented in a commitment letter (or 
memorandum of understanding, or agreement to participate) on official 
letterhead submitted with the application signed and dated by a 
responsible official legally able to make commitments on behalf of the 
organization, from each contributing organization (except that 
leveraging from the applicant's own resources does not require a letter 
of commitment). The letter must describe the contributed resource(s) 
that will be used in your project, and roles and responsibilities as 
they relate to the proposed project. Letters must be submitted with 
your application.
    For more information on matching and leveraging resources, see 
Appendix C, which can be downloaded from http://www.grants.gov/applicants/apply--for--grants.jsp.
    e. Rating Factor 5: Achieving Results and Program Evaluation (15 
points). This rating factor reflects HUD's goal to embrace high 
standards of ethics, management, and accountability. Describe in detail 
your Year 1, Year 2 and Total goals. State clearly the project 
activities including specific goals

[[Page 11576]]

(outputs) of each activity and how you will achieve those goals. 
Describe how you will measure the results. Provide your goals, 
activities (outputs), outcomes and projected performance results 
(goals) for the entire grant period. In the narrative, explain how you 
will document and track your goals, program activities, and schedules. 
Identify the procedures you will follow to make adjustments to your 
work plan to improve performance if projected outputs and outcomes are 
not met within established timeframes. To receive maximum points for 
this rating factor, you must explain your plan to actively manage, not 
solely implement, the proposed program. All awardees will be required 
to use HUD's Logic Model to report results. Grantees may also use a 
project management tool, to manage and evaluate the programs' 
effectiveness and modify strategies as needed to achieve the greatest 
return on HUD's investment. HUD has found that modest additional 
actions to gather information about results would enable grantees to 
better measure the impact of their outreach and education efforts. 
Outcomes that are vague or not measurable will not receive points.
    Applicants must complete and return the Logic Model Form HUD-90610. 
HUD is using a standardized ``Master'' Logic Model from which you can 
select needs, activities (outputs), and outcomes appropriate to your 
program. See the General Section for detailed information on use of the 
``Master'' Logic Model. HUD is requiring grantees to use program-
specific questions to self-evaluate the management and performance of 
their program. Training on HUD's Logic Model and reporting requirements 
will be provided via satellite broadcast. In evaluating Rating Factor 
5, HUD will consider how you have described the management and 
evaluation mechanisms, benefits, and outcome measures of your program. 
HUD will also consider the proposed objectives and performance 
objectives relative to cost and achieving the purpose of the program, 
as well as evaluation plan, to ensure the project is on schedule and 
within budget. Instructions for completing the Logic model are found in 
Tab 1 of the form HUD 96010. Training on the Logic Model is available 
via satellite broadcast and webcast. The training schedule can be found 
on http://www.hud.gov/offices/admin/grants/fundsavail.cfm.
    f. Bonus Points for Federally Designated Zones and Communities (2 
points). HUD will award two bonus points to each application that 
includes a valid Form HUD-2990 certifying that the proposed activities/
projects in the application are consistent with the strategic plan for 
an empowerment zone (EZ) designated by HUD or the United States 
Department of Agriculture (USDA), the tax incentive utilization plan 
for an urban or rural renewal community designated by HUD (RC), or the 
strategic plan for an enterprise community designated in round II by 
USDA (EC-II) and that the proposed activities/projects will be located 
within the RC/EZ/EC-II identified above and are intended to serve the 
residents. A listing of the RC/EZ/EC-IIs is available on the Internet 
at http://www.hud.gov/cr.

B. Reviews and Selection Process.

    1. The review and selection process is provided in the General 
Section. The General Section also provides the procedures for 
correcting deficient applications.
    2. Partial Funding. In the selection process, HUD reserves the 
right to offer partial funding to any or all applicants. If you are 
offered a reduced grant amount, you will have a maximum of 14 calendar 
days to accept such a reduced award. If you fail to respond within the 
14-day limit, you shall be considered to have declined the award. 
Please see the General Section for a discussion of adjustments to 
funding that may be made by HUD during the selection process.
    3. Remaining Funds. See the General Section for HUD's procedures if 
funds remain after all selections have been made.
    4. Minimum Points for Award. Your application must receive a total 
score of at least 75 points to be considered for funding.
    C. Anticipated Announcement and Award Dates. HUD anticipates 
announcing awards under this program no later than October 1, 2007.

VI. Award Administration Information

A. Award Notices

    1. Notice of Award. Applicants that have been selected for award 
will be notified by letter from the Office of Healthy Homes and Lead 
Hazard Control Grant Officer. The letter will state the program for 
which the application has been selected, the amount the grantee is 
eligible to receive, and the name of the Government Technical 
Representative (GTR). This letter is not an authorization to begin work 
or incur costs under the cooperative agreement.
    2. Negotiations. HUD may require that selected applicants 
participate in negotiations to determine the specific terms of the 
cooperative agreement, budget, and Logic Model. In cases where HUD 
cannot successfully conclude negotiations with a selected applicant or 
a selected applicant fails to provide HUD with requested information, 
an award will not be made to that applicant. In this instance, HUD may 
offer an award, and proceed with negotiations with the next highest-
ranking applicant. If you accept the terms and conditions of the 
cooperative agreement, you must return your signed cooperative 
agreement by the date specified during negotiation.
    3. Award Adjustments. If funds remain after all selections have 
been made, the remaining funds may be redistributed or made available 
for other competitions.
    4. LOCCS Payment System. After receiving the letter, additional 
instructions on how to have the grant account entered into HUD's Line 
of Credit Control System (LOCCS) payment system will be provided. Other 
forms and program requirements will also be provided.
    5. Start of Work. All awardees are expected to commence activity 
immediately upon completion of negotiations, and execution of the 
cooperative agreement.
    6. Applicant Debriefing. See the General Section for information 
regarding unsuccessful applicant debriefing.

B. Administrative and National Policy Requirements

    1. Environmental Review. In accordance with 24 CFR 50.19(b)(2), 
(b)(3) and (b)(9), activities assisted under this program are 
categorically excluded from the requirements of the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321) and are not subject 
to environmental review under the related laws and authorities.
    2. HUD Reform Act of 1989. Applicants must comply with the 
requirements for funding competitions established by the HUD Reform Act 
of 1989 (42 U.S.C. 3531 et seq.) as defined in the General Section.
    3. Audit Requirements. Any grant recipient that expends $500,000 or 
more in federal financial assistance in a single year must meet the 
audit requirements established in 24 CFR Parts 84 and 85 in accordance 
with OMB Circular A-133. In accordance with OMB Circular A-133 (Audits 
of States, Regional/local Governments and Non-Profit Organizations), 
grantees will have to submit their completed audit-reporting package 
along with the Data Collection Form (SF-SAC) to the Single Audit 
Clearinghouse, at the address obtained from their Web site. The SF-SAC 
can be

[[Page 11577]]

downloaded at: http://harvester.census.gov/sac/.
    4. Timely Hiring of Staff. HUD reserves the right to terminate 
awards made to recipients that fail to timely hire (within 30 days of 
award) staff to fill key positions identified in the applicant's 
proposal as vacant.
    5. Executive Order 13202. Compliance with HUD regulations at 24 CFR 
5.108 that implement Executive Order 13202, ``Preservation of Open 
Competition and Government Neutrality Towards Government Contractors' 
Labor Relations on Federal and Federally Funded Construction 
Projects'', is a condition of receipt of assistance under this NOFA.
    6. Procurement of Recovered Materials. See the General Section for 
further information.
    7. Conducting Business in Accordance with HUD Core Values and 
Ethical Standards. Refer to the General Section for information about 
conducting business in accordance with HUD's core values and ethical 
standards.

C. Reporting

    The following items are Post-Award Reporting Requirements:
    1. Final Budget and Work Plan. Final budget and work plans are due 
60 days after the effective date of the cooperative agreement.
    2. Racial and Ethnic Data. HUD does not require Lead Outreach 
applicants to report ethnic and racial beneficiary data as part of 
their initial application package. However, such data must be reported 
on an annual basis, at a minimum, during the implementation of your 
grant agreement. You must report the data as described in the General 
Section and use the Office of Management and Budget's Standards for the 
Collection of Racial and Ethnic Data, using Form HUD-27061, Racial and 
Ethnic Data Reporting Form, found on http://www.hudclips.org/sub_nonhud/html/forms.htm along with instructions for its use.
    3. Progress reporting. Progress reporting is done on a quarterly 
and annual basis. For specific reporting requirements, see policy 
guidance at: http://www.hud.gov/offices/lead. OHHLHC awardees will 
submit quarterly reports via an on-line reporting system and will use 
the their Logic Model approved as part of the grant agreement to 
measure and report performance for each quarter. The quarterly report 
must reflect all benchmarks (output goals) and proposed outcomes 
(results) that are indicated on the Logic Model with an associated cost 
estimate. For FY 2007, HUD is considering a new concept for the Logic 
Model. The new concept is a Return on Investment (ROI) statement. HUD 
will be publishing a separate notice on the ROI concept. Deviations 
from projected outputs and outcomes, either positive or negative, 
should be reported in the Logic Model under the reporting Tab. The 
completed Logic Model showing output and outcome status must be 
submitted as part of the quarterly progress report.
    4. Final Report. An overall final cooperative agreement report, due 
at the completion of the cooperative agreement, will detail activities 
(e.g., the number of low-income housing units enrolled in lead hazard 
treatment programs as a result of activities performed under the 
cooperative agreement, number and type of materials produced, 
activities conducted, evaluation of the various outreach and 
educational methods used, findings, and recommended future actions at 
the conclusion of cooperative agreement activities). The final report 
shall include cumulative achievements, final project outputs, outcomes 
and results reported against the project's Logic Model (Form HUD-96010) 
as approved and incorporated into your award agreement, including 
explanations of any deviations from projected levels of performance.

VII. Agency Contacts

    For programmatic questions, you may contact Jonnette Hawkins, 
Office of Healthy Homes and Lead Hazard Control; telephone (202) 755-
1785, extension 7593 (this is not a toll-free number) or via e-mail at 
[email protected]. For grants administrative questions, you 
may contact Mr. Royal Rucker, Office of Healthy Homes and Lead Hazard 
Control; telephone (202) 755-1785 extension 7584 (this is not a toll-
free number) or via e-mail at Royal--A.-- [email protected]. If neither of 
these individuals is available, you may contact the Office's general 
Lead Regulations hotline, at (202) 755-1785, extension 7698. Your call 
will be forwarded in one business day for subsequent response by the 
appropriate staff. Hearing- or speech-challenged individuals may access 
these numbers through TTY by calling the toll-free Federal Information 
Relay Service at 800-877-8339.

VIII. Other Information

    A. For additional information about this NOFA, program, or for 
general, technical, and grant program information pertaining to the 
Office of Healthy Homes and Lead Hazard Control, visit: http://www.hud.gov/offices/lead.

B. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2539-0015. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 80 hours to prepare the application, 16 hours to finalize the 
cooperative agreement, and 32 hours per annum for grant administration 
(progress reporting) per respondent. This includes the time for 
collecting, reviewing, and reporting the data for the application, 
semi-annual reports, and final report. The information will be used for 
grantee selection and monitoring the administration of funds. Response 
to this request for information is required in order to receive the 
benefits to be derived.

C. Appendices

    Appendices A, B, and C of this NOFA are available for downloading 
with the application at http://www.grants.gov/applicants/apply--for--
grants.jsp.

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[[Page 11579]]



Healthy Homes Demonstration Program

Overview Informattion

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Healthy Homes and Lead Hazard Control (OHHLHC).
    B. Funding Opportunity Title: Healthy Homes Demonstration Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR-5100-N-19, OMB Paperwork approval 
number 2539-0015.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.901, 
Healthy Homes Demonstration Program.
    F. Dates: The application deadline date is May 18, 2007. 
Applications must be received and validated by Grants.gov no later than 
11:59:59 pm eastern time on the application deadline date. See the 
General Section IV, regarding application submission procedures and 
timely filing requirements.

G. Additional Information

    1. Purpose of the Program. The purpose of the Healthy Homes 
Demonstration Program is to develop, demonstrate, and promote cost-
effective, preventive measures to correct multiple safety and health 
hazards in the home environment that produce serious diseases and 
injuries in children in low- and very low-income families. The Healthy 
Homes Demonstration program is committed to supporting the Departmental 
Strategic Goal of strengthening communities by addressing housing 
conditions that threaten health. As a part of this commitment, the 
Healthy Homes Initiative strives to reduce allergen levels in 5,000 
units by 2011, and correspondingly, reduce asthmatic episodes for 3,000 
children living in those units.
    2. Available Funds. HUD anticipates that approximately $5,000,000 
in fiscal year 2007 and prior year funds will be available.
    3. Anticipated Awards. Approximately five to seven cooperative 
agreements will be awarded for a maximum of $1,000,000 each for the 
entire period of performance.
    4. Eligible Applicants. Not-for-profit institutions and for-profit 
firms state and local governments, federally recognized Indian Tribes, 
and colleges and universities located in the United States. For-profit 
firms are not allowed to make a profit from the project.
    5. Type of award. Cooperative Agreements, with substantial 
involvement of the Government, will be awarded (see Paragraph II.C for 
a description of substantial involvement).
    6. Match. None required, but leveraging strongly encouraged.
    7. Limitations. There are no limitations on the number of 
applications that each applicant may submit.
    8. Information on application. The applications for this NOFA can 
be found at http://www.grants.gov/applicants/apply--for--grants.jsp. 
The General Section contains information about Grants.gov registration, 
submission requirements, and submission procedures.

Full Text of Announcement

I. Funding Opportunity Description

A. Background

    The Healthy Homes Demonstration Program is a part of HUD's Healthy 
Homes Initiative (HHI). In April 1999, HUD submitted to Congress a 
Healthy Homes Initiative: Preliminary Plan containing a full 
description of the HHI. This description (Summary and Full Report) is 
available on the HUD Web site at: http://www.hud.gov/offices/lead/hhi/index.cfm. This site also contains additional information on the HHI.
    HUD believes that it is important for grantees to incorporate 
meaningful community participation, to the greatest extent possible, in 
the development and implementation of programs that are conducted in 
communities and/or involve significant interaction with community 
residents. Community participation can improve program effectiveness in 
various ways, including the development of more salient program 
objectives, recruitment and retention of study participants, 
participants' understanding of the program, ongoing communication, and 
more effectively disseminating study findings.
    HUD encourages applicants to consider using a ``community-based 
participatory research (CBPR)'' approach, where applicable, in study 
design and implementation. For example, see the report published by the 
National Institute of Environmental Health Sciences titled ``Successful 
Models of Community-Based Participatory Research'' at: http://www.niehs.nih.gov/translat/pubs.htm. CBPR is characterized by 
substantial community input in all phases of a study, including the 
design, implementation, data interpretation, conclusions, and 
communication of results. The HHI seeks proposals that provide a 
coordinated approach to address multiple hazards caused by a limited 
number of building deficiencies. The HHI approach is anticipated to 
reduce labor and travel costs and provide substantial savings, since 
separate visits to a home by an inspector, public health nurse, or 
outreach worker can add significant costs to project activities. OHHLHC 
is in the process of evaluating the effectiveness of the Healthy Homes 
Initiative, and, as a result of this evaluation, will be examining the 
efficiencies (as measured by per-unit costs and benefits) of a 
coordinated approach to assess and remediate multiple housing-related 
hazards.
    In addition to deficiencies in basic housing facilities that may 
impact health and safety, changes in the U.S. housing stock and more 
sophisticated epidemiological methods and biomedical research have led 
to the identification of new, and often more subtle, health and safety 
hazards in the residential environment. While such health hazards will 
tend to be found disproportionately in housing that is substandard, 
these environmental health and safety hazards also exist in housing 
that is otherwise of good quality. ``Housing-Related Health and Injury 
Hazards,'' Appendix A, a brief description of the housing-associated 
health and injury hazards HUD considers key targets for remediation, 
can be downloaded with your application package at http://www.grants.gov/applicants/apply--for--grants.jsp. The Web site http://www.hud.gov/offices/lead/hhi/index.cfm also lists some of the 
references that serve as the basis for information provided in the 
Healthy Homes Demonstration Program NOFA.
    HUD's authority for making funding available under this NOFA is the 
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5, 
approved February 15, 2007).

B. Healthy Homes Initiative Goals

    1. Develop and implement demonstration projects that address 
multiple housing-related problems affecting the health of children;
    2. Achieve the Healthy Homes Initiative's Departmental Strategic 
Goal objective of reducing allergen levels in 5,000 units by 2011, and 
correspondingly, reducing asthmatic episodes for 3,000 children living 
in those units;
    3. Mobilize public and private resources, involving cooperation 
among all levels of government, the private sector, and grassroots 
community-based, nonprofit organizations, including faith-based 
organizations, to develop the most promising, cost-effective methods 
for identifying and controlling housing-related environmental health 
and safety hazards;

[[Page 11580]]

    4. Build local capacity to operate sustainable programs that will 
prevent and control housing-related environmental health and safety 
hazards in low- and very low-income residences when HUD funding is 
exhausted; and
    5. Affirmatively further fair housing and environmental justice.
    HUD also encourages applicants to undertake specific activities 
that will assist the Department in implementing its Policy Priorities. 
HUD's fiscal year 2007 Policy Priorities are discussed in the General 
Section.

C. Healthy Homes Demonstration Program Objectives

    The objectives of the Healthy Homes Demonstration Program include 
direct remediations, including assessment of housing-related hazards, 
education and outreach and capacity building. HUD recognizes that, in 
many cases, activities may meet multiple objectives. Because the 
development and evaluation of effective methods for assessing and 
remediating housing-related hazards is the principal focus of the 
Healthy Homes Demonstration Program, awardees must expend at least 65 
percent of grant funds on direct remediations in the home. Additional 
expenditures may include capacity building (training) and information 
dissemination.
    1. Direct remediations in homes of children where environmental 
triggers may contribute to a child's illness, including the following 
kinds of activities:
    a. Development of cost-effective protocols for identifying homes 
that are candidates for remediations, identifying environmental health 
and safety hazards in these homes, and screening out homes where 
structural or other factors, including cost issues, make remediations 
impractical;
    b. Development of appropriately scaled, flexible, cost-effective 
and efficient assessment and intervention strategies that take into 
account the range of unhealthy conditions encountered in housing, that 
maximize the number of housing units that receive remediations and the 
number of positive or negative health outcomes as a result. HUD 
believes health outcomes, particularly the reduction in asthmatic 
episodes or injuries, are an important component of this NOFA and wants 
to assess how Healthy Homes remediations affect the health of the 
population being served relative to the population at large. Therefore, 
any health outcome should be documented.
    c. Development of methodologies for evaluating the effectiveness of 
remediations and assessing the effect of the remediation on the health 
of the resident or program participant.
    2. Education and outreach that furthers the goal of protecting 
children from environmentally induced illnesses, including:
    a. Targeting, through education and outreach, specific high-risk 
communities and other identified audiences such as homeowners, 
landlords, health care providers, pregnant women, children, residential 
construction contractors, maintenance personnel, housing inspectors, 
real estate professionals, home buyers, and low- or very low-income 
minority families;
    b. Developing and delivering public outreach programs that provide 
information about effective methods for preventing housing-related 
childhood diseases and injuries, and promoting the use of these 
methods, especially in low- and very low-income residences; and
    c. Increasing public awareness of housing-related environmental 
health and safety hazards that threaten the health of children, through 
the use of media strategies using print, radio and television, 
including the use of minority media and provision of materials in 
alternative formats and materials for populations with Limited English 
Proficiency (LEP).
    3. Building capacity in the target community to assure that Healthy 
Homes programs are sustained beyond the life of the award period, 
including the development of local capacity in target areas for target 
groups to operate sustainable programs to prevent and control housing-
related environmental health and safety hazards.

II. Award Information

A. Funding Available

    Approximately $5,000,000 in fiscal year 2007 and prior year funds 
are available for Healthy Homes Demonstration cooperative agreements. 
HUD anticipates that approximately five to seven cooperative agreements 
will be awarded, for a maximum of $1,000,000 each for the entire period 
of performance.
    Applicants may wish to review currently funded grants on the 
Healthy Homes Web site at: http://www.hud.gov/offices/lead/hhi/index.cfm.

B. Anticipated Start Date and Period of Performance for New Cooperative 
Agreements

    1. The start date for new cooperative agreements is expected to be 
no later than October 1, 2007, with a period of performance not to 
exceed 36 months. For planning purposes, applicants need to include 
adequate time for start up activities such as the Institutional Review 
Board approval process, recruitment of study participants, fulfillment 
of environmental requirements, and development of new methods (e.g., 
survey forms, database, etc.) within this period of performance.
    2. Period of performance extensions for delays due to exceptional 
conditions beyond the grantee's control will be considered for approval 
by HUD in accordance with 24 CFR 85.24(e)(2) or 85.30(d)(2), as 
applicable, and the OHHLHC Program Guide. Because delays have been 
associated with recruitment and Institutional Review Board approval 
issues, HUD encourages applicants to involve all partners in pre-
planning processes. If approved, grantees will be eligible to receive a 
single extension of up to 12 months in length. Although applicants are 
encouraged to plan projects with shorter performance periods than 36 
months, you should consider the possibility that issues may arise that 
could cause delays when developing your schedule.

C. Type of Award Instrument

    Awards will be made as cooperative agreements. Anticipated 
substantial involvement by HUD staff for cooperative agreements may 
include, but will not be limited to:
    1. Review and suggestion of amendments to the study design, 
including: study objectives; field sampling plan; data collection 
methods; sample handling and preparation; and sample and data analysis.
    2. Review and provision of technical recommendations in response to 
quarterly progress reports (e.g., amendments to study design based on 
preliminary results).
    3. Review and provision of technical recommendations on journal 
article(s) and the final report for the project.
    4. Collaboration on peer review of scientific data in accord with 
the Office of Management and Budget (OMB) Information Quality 
Guidelines. All HUD-sponsored research is subject to the OMB Final 
Information Quality Bulletin for Peer Review (70 FR 2664-2677, 
published on January 14, 2005) prior to its public dissemination. In 
accordance with paragraph II.2 of the Bulletin, HUD will not need 
further peer review conducted on information that has already been 
subjected to adequate peer review. Therefore, grantees must provide 
enough information on their peer review process for HUD to determine 
whether additional review is needed.

[[Page 11581]]

III. Eligibility Information

A. Eligible Applicants

    Eligible applicants include not-for-profit institutions and for-
profit firms, state and local governments, federally recognized Indian 
Tribes, and colleges and universities located in the United States. 
For-profit firms are not allowed to make a profit from the project.

B. Cost Sharing or Matching

    Cost sharing or matching is not required. In rating your 
application, however, HUD will award a higher score under Rating Factor 
4 if you provide documentation of commitments for significant 
leveraging.

C. Other

    1. Threshold Requirements Applicable to all Applicants Under the 
SuperNOFA. As an applicant, you must meet all the threshold 
requirements described in the General Section. Applications that do not 
address the threshold items will not be funded. Cooperative agreements 
will be awarded on a competitive basis following evaluation of all 
proposals according to the rating factors described in this NOFA. A 
minimum score of 75 points is required for consideration for award. The 
maximum score that can be attained is 100 points for the narrative 
responses and an additional 2 bonus points for activities proposed to 
be located in RC/EZ/EC-II communities.
2. Eligible Activities
    The following activities and support tasks are eligible under the 
Healthy Homes Demonstration Program. a. Assessing (evaluating) housing 
to determine the presence of environmental health and safety hazards 
(e.g., moisture intrusion, mold growth, pests and allergens, unvented 
appliances, exposed steam pipes or radiators, deteriorated lead-based 
paint) through the use of accepted assessment procedures.
    b. Remediating existing housing-based environmental health and 
safety hazards and addressing conditions that could recur.
    c. Undertaking rehabilitation activities to effectively control 
housing deficiencies that are required for remediating environmental 
health and safety hazards in the unit. Funds under this program may 
only be used to address lead-based hazards at the de minimis level (see 
24 CFR 35.1350(d)). These lead hazard evaluation and/or control 
activities may not be a principal focus of the cooperative agreement. 
(Lead hazard evaluation and control activities are carried out under 
HUD's Lead-Based Paint Hazard Control Grant Program, Lead Hazard 
Reduction Demonstration Grant Program, and Operation Lead Elimination 
Action Program.) For information about conducting remediation of de 
minimis amounts of lead-based paint hazards, refer to the HUD 
Guidelines for the Evaluation and Control of Lead-Based Paint Hazards 
in Housing (HUD Guidelines). The HUD Guidelines and/or applicable 
regulations may be downloaded from HUD's Web site at http://www.hud.gov/offices/lead/guidelines/index.cfm.
    d. Carrying out temporary relocation of families and individuals 
while the remediation is conducted and until the time the affected unit 
receives clearance for re-occupancy. See III.C.4.e, Real Property 
Acquisition and Relocation, of the General Section, and Section VI.B.4 
of this NOFA for a discussion of regulations that apply when relocating 
families.
    e. Environmental sampling and medical testing to protect the health 
of the remediation workers, supervisors, and contractors, unless 
reimbursable from another source.
    f. Conducting testing, analysis, and mitigation for lead, mold, 
carbon monoxide and/or other housing-related environmental health and 
safety hazards as appropriate, following generally accepted standards 
or criteria. A laboratory recognized by the U.S. Environmental 
Protection Agency's (EPA's) National Lead Laboratory Accreditation 
Program (NLLAP) must analyze paint, soil or dust samples related to 
lead-based paint. Samples to be analyzed for fungi should be submitted 
to a laboratory accredited in the Environmental Microbiological 
Laboratory Accreditation Program (EMLAP), administered by the American 
Industrial Hygiene Association (AIHA).
    g. Carrying out necessary architectural, engineering and work 
specification development and other construction management services.
    h. Providing training on Healthy Homes practices to homeowners, 
renters, landlords, painters, remodelers, and housing maintenance staff 
working in low- or very low-income housing.
    i. Providing cleaning supplies for hazard remediation to grassroots 
community-based nonprofit organizations, including faith-based 
organizations, for use by homeowners and tenants in low-income housing, 
or providing these supplies to homeowners and tenants directly. (See 
the General Section for more information about grassroots community-
based nonprofit organizations, including faith-based organizations.)
    j. Providing incentives (financial or other incentives, including 
coupons for a video rental, coupons for groceries, stipends for 
completion of surveys, child care, cleaning kits, etc.) with a value up 
to $10 for recruitment, through up to $250 for the most significant or 
lengthy participation. These incentives are subject to approval by HUD. 
Their purpose is to encourage recruitment and retention in the healthy 
homes program, and participation in educational and training activities 
and other program-related functions.
    k. Conducting community education programs on housing-related 
environmental health and safety hazards. Materials should be available 
in alternative formats for persons with disabilities including Braille, 
audio, large type), upon request, and in languages other than English 
that are common in the community, consistent with HUD's published 
``Limited English Proficiency (LEP) Recipient Guidance'' (see http://www.hud.gov/offices/fheo/library/lepFRguidance.html).
    l. Securing liability insurance for housing-related environmental 
health and safety hazard evaluation and control activities. This is not 
considered an administrative cost.
    m. Supporting data collection, analysis, and evaluation of project 
activities. (As a condition of the receipt of financial assistance 
under this NOFA, all successful applicants will be required to 
cooperate with HUD staff and contractors who are performing HUD-funded 
research and evaluation studies.)
    3. Program Requirements. In addition to the program requirements in 
the General Section, applicants must also meet the following program 
requirements.
    a. Institutional Review Board (IRB) Approval. In conformance with 
the Common Rule (Federal Policy for the Protection of Human Subjects, 
45 CFR 46, codified by HUD at 24 CFR 60.101), if your grant activities 
include research involving human subjects, your organization must 
provide an assurance (e.g., a letter signed by an appropriate official) 
that the research has been reviewed and approved by an IRB before you 
can initiate activities that require IRB approval. You must also 
provide the number for your organization's assurance (institutional 
assurance) that has been approved by the Department of Health and Human 
Service's Office of Human Research Protections (OHRP). For additional 
information on elements of human subject research or obtaining

[[Page 11582]]

an institutional assurance, see the OHRP Web site at: http://www.hhs.gov/ohrp.
    b. HIPAA Authorization. The Privacy Rule of the Health Insurance 
Portability and Accountability Act of 1996 requires covered entities 
that transmit health information electronically (health care providers, 
health plans, etc.) to protect that information. This may be 
accomplished by obtaining authorization from the patient or parent, 
obtaining a waiver of authorization from an IRB or HIPAA Privacy Board 
or de-identifying data. You should identify whether your proposal is 
subject to requirements of the HIPAA Privacy Rule and, if so, how you 
plan to address these requirements. Additional information on HIPAA and 
the Privacy Rule can be found at http://www.hhs.gov/ocr/hipaa and 
http://privacyruleandresearch.nih.gov/authorization.asp.
    c. Community Involvement. Applicants must incorporate meaningful 
community involvement in any programmatic study that requires a 
significant level of interaction with a community (including, projects 
being conducted within occupied dwellings or which involve surveys of 
community residents). A community is made up of various groups of 
persons who have commonalities that can be identified on the basis of 
geographic location, ethnicity, health condition, and common interests. 
Applicants should identify the community that is most relevant to their 
particular project. There are many different approaches for involving 
the community in the conception, design, and implementation of a 
project and the subsequent dissemination of findings. Examples include, 
but are not limited to: establishing a structured approach to obtain 
community input and feedback (such as involving a community advisory 
board); including one or more community-based organizations as study 
partners; employing community residents to recruit study participants 
and collect data; and enlisting the community in the dissemination of 
findings and translation of results into improved policies and/or 
practices. A discussion of community involvement in research involving 
housing-related health hazards can be found in Chapter 5 of the 
Institute of Medicine publication titled ``Ethical Considerations for 
Research on Housing-Related Health Hazards Involving Children,'' at 
http://www.iom.edu/cms/12552/26004/29871.aspx.
    d. Program Performance. Awardees shall take all reasonable steps to 
accomplish all healthy homes activities within the approved period of 
performance. HUD will closely monitor the awardee's performance with 
particular attention to completion of specified activities, 
deliverables and milestones, and number of units proposed to be 
assessed or to receive remediation. Any previous requests for no-cost 
extensions will be considered in the evaluation of the capacity of the 
applicant under Rating Factor 1.
    e. Lead Hazard Control Activities. All lead hazard control 
activities must be conducted in compliance with HUD's Lead-Safe Housing 
Rule, 24 CFR Part 35. Grantees must also comply with any additional 
requirements in effect under a state or Native American Tribal Lead-
Based Paint Training and Certification Program that has been authorized 
by the EPA pursuant to 40 CFR 745.320. See Section III.C.2.c regarding 
lead activity limitations.
    f. Compliance with Lead Disclosure Rule. All lead-based paint and 
lead-based paint hazard test and hazard reduction results must be 
provided to the owner of the unit, with a statement describing the 
owner's legal duty to disclose the results to tenants (before initial 
leasing, or before lease renewal with changes) and buyers (before sale) 
if the housing was constructed before 1978 (24 CFR Part 35, subpart A). 
This information may only be used for purposes of remediation of 
hazards in the unit and not for retribution/eviction. Disclosure of 
other identified housing-related environmental health and safety 
hazards to the owner of the unit, for purposes of remediation, is 
encouraged but not required unless disclosure is required by Federal, 
state or local regulations.
    g. Integrated Pest Management. All pest control activities shall 
incorporate the principles and methods of integrated pest management 
(IPM). In technical terms, IPM is the coordinated use of pest and 
environmental information with available pest control methods to 
prevent unacceptable levels of pest damage by the most economical means 
and with the least possible hazard to people, property, and the 
environment. The IPM approach emphasizes a targeted use of pesticides 
that limits the possibility of human exposure (e.g., as opposed to 
wide-spread applications) and includes interventions based on the 
behavior of the target pest (e.g., preventing access to food or water). 
One source for information on IPM is Environmental Health Watch; you 
can download information from its Web site: http://www.ehw.org/Asthma/ASTH_Cockroach_Control.htm.
    h. Dust Sampling Protocol. Collection of settled dust samples for 
environmental allergen analysis (e.g., cockroach, dust mite) must 
follow a standard dust sampling protocol, such as the protocol posted 
on the OHHLHC website, http://www.hud.gov/offices/lead/hhi/hhiresources.cfm. If an applicant chooses to use a different protocol, 
such as a protocol from the Occupational Safety and Health 
Administration (OSHA), the U.S. Environmental Protection Agency (EPA), 
the National Institute of Environmental Health Sciences (NIEHS) or the 
American Society of Testing and Materials (ASTM), the applicant must 
provide a justification to HUD. The awardee is also required to submit 
quality control (QC) samples of allergens in household dust, provided 
at no cost, as blind samples in the train of samples submitted for 
laboratory analysis. For the purpose of budgeting laboratory costs, 
assume that 5 percent of your total allergen dust samples will consist 
of HUD-provided QC samples.
    i. Hazardous Waste Disposal. Awardees must follow procedures for 
hazardous waste disposal as required by the EPA (e.g., 40 CFR parts 61, 
260-282, 300-374, and/or 700-799, as applicable), the Department of 
Transportation (e.g., 49 CFR parts 171-177), and/or appropriate state 
or local regulatory agencies.
    j. Worker Protection Procedures. Awardees must comply with the 
procedures for worker protection established in the HUD Guidelines as 
well as the requirements of OHSA, e.g., 29 CFR part 1910 and/or 1926, 
as applicable, or the state or local occupational safety and health 
regulations, whichever are more stringent.
    k. Written Policies and Procedures. You must have written policies 
and procedures for all phases of interventions, including recruitment, 
enrollment, participant prioritization, unit assessment, development of 
specifications, remediations, training, financing, occupant relocation, 
independent project inspection, and clearance testing (e.g., for mold, 
lead, carbon monoxide or other hazards, as applicable). You and all 
your subcontractors, sub-recipients, and their contractors must comply 
with these policies and procedures.
    l. Data Collection and Provision. You must collect, maintain, and 
provide to HUD the data necessary to document the various approaches 
used to evaluate and control housing-related environmental health and 
safety hazards, including evaluation and remediation methods, building 
conditions, medical and familial information (with confidentiality of

[[Page 11583]]

individually-identifiable information ensured) in order to determine 
the effectiveness and relative cost of these methods.
    m. Section 3 Employment Opportunities. Recipients of assistance in 
the Healthy Homes Demonstration Program must comply with Section 3 of 
the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u 
(Economic Opportunities for Low- and Very-Low-Income Persons in 
Connection with Assisted Projects) and the HUD regulations at 24 CFR 
part 135, including the reporting requirements of subpart E. See 
Section V, Rating Factor 3, for recommendations for implementing 
Section 3 Employment Opportunities.
    n. Conducting Business in Accordance with HUD Core Values and 
Ethical Standards. If selected for an award under the Healthy Homes 
Demonstration Program NOFA, you will be required to submit a copy of 
your Code of Conduct and describe the methods you will use to ensure 
that all officers, employees, and agents of your organization are aware 
of your Code of Conduct. If you previously submitted your Code of 
Conduct to HUD and it appears in the listing on HUD's Web site at 
http://www.hud.gov/offices/adm/grants/codeofconduct/cconduct.cfm, you 
do not have to resubmit the information unless there has been a change 
in the legal name, address or authorizing official for your 
organization. See the General Section for information about conducting 
business in accordance with HUD's core values and ethical standards.
    4. DUNS Requirement. Refer to the General Section for information 
regarding the DUNS requirement.

IV. Application and Submission Information

A. Web Address To Access an Application Package

    Copies of this published NOFA and application forms for this 
program may be downloaded from the Grants.gov Web site at http://www.grants.gov/applicants/apply--for--grants.jsp. If you have 
difficulty accessing the information you may call the Grants.gov 
helpline toll-free at (800) 518-GRANTS or e-mail [email protected]. 
Helpline customer representatives will assist you in accessing the 
information.

B. Content and Form of Application Submission

    The following section provides instructions on the items to be 
submitted as part of the application. See the General Section for 
instructions for submitting third party documents and electronic files.
    1. An abstract describing the goals and objectives of your proposed 
program (2 page limit, single-spaced, 12 point standard font, at least 
\3/4\-inch margins) must be included in the proposal. The abstract 
should include the title of your proposed project, amount of funding 
requested from HUD, amount of funding leveraged or matched, period of 
performance, a short summary of the proposed project and the name, 
mailing address, e-mail address and telephone number of the principal 
contact person for the primary entity. Information contained in the 
abstract will not be considered in the evaluation and scoring of your 
application. Any information you wish considered should be provided 
under the appropriate rating factor. The 2-page abstract will not be 
included in the 25 page limit of the application.
    2. A narrative statement addressing the rating factors for award. 
Number the pages of your narrative statement and include a header and a 
footer that provides the name of the applicant and the name of the 
program to which you are applying. Narrative statements provided as 
part of the application should be individually labeled to identify the 
rating factor to which the narrative is responding (for example, Factor 
1, Capacity of the Applicant, etc.). You are strongly advised to use 
the format of the NOFA as an outline for discussion of your rating 
factors. The overall response to the rating factors must not exceed a 
total of 25 pages including all rating factors (single-sided, single-
spaced, 12 point standard font, at least \3/4\-inch margins). Any pages 
in excess of this limit will not be read. Application packages without 
narrative statements addressing the rating factors will not be reviewed 
or considered for funding. Applicants should carefully review each 
narrative attached to the electronic application to make sure that you 
have attached the correct file and not an incomplete one, as this is 
not a curable deficiency.
    3. The score for each rating factor will be based on the content of 
the narrative submitted for each rating factor, supplemented by 
materials referenced and discussed in that portion of your narrative 
statement. Information relative to a given rating factor must be 
contained in the narrative for that rating factor. If it is found in 
another rating factor, it will not be considered. In addition, 
supplemental material that is not referenced and discussed within the 
narrative statements will not be rated.
    4. The position descriptions and resumes, if available, of your 
project director and project manager and up to three additional key 
personnel (in accordance with Rating Factor 1), not to exceed 2 pages 
each (single-spaced, 12-point font, with at least \3/4\ inch margins). 
This information will not be counted toward the page limit.
    5. Any attachments, materials, references, or other relevant 
information that directly support the narrative must not exceed 20 
pages for your entire application. Any pages in excess of this limit 
will not be read. See the General Section for instructions for 
submitting third party documents or material not readily available in 
electronic format.
    6. A detailed budget narrative (maximum 4 pages) with supporting 
justification for all budget categories of your funding request, in 
accordance with Rating Factor 3, Section V.A.2.c(3). This budget 
narrative will not be counted towards the 25-page limit of the 
application. In completing the budget forms and justification, you 
should address the following elements:
    a. Direct Labor costs should include all full- and part-time staff 
required for the planning and implementation phases of the project. 
These costs should be based on full-time equivalent (FTE) or hours per 
year (hours/year). (One FTE equals 2,080 hours/year.)
    b. You should budget for one trip annually for two people for 
meetings at HUD Headquarters in Washington, DC, assuming a 2-3 day stay 
per trip depending upon your location.
    c. A separate budget proposal should be provided for any sub-
recipients receiving more than 10 percent of the total federal budget 
request.
    d. You should be prepared to provide supporting documentation for 
salaries and prices of materials and equipment, upon request.
    e. Organizations that have a federally negotiated indirect cost 
rate should use that rate and the appropriate base. Other organizations 
should submit their proposal with their suggested indirect rate. If 
they are funded and HUD is the cognizant agency, it will set a rate; 
otherwise HUD will request the cognizant federal agency to set the 
rate.
    f. You should submit a copy of the negotiated rate agreements for 
fringe benefits and indirect costs, if applicable, as an attachment to 
the budget sheets.
    7. Applicants are encouraged to use the following checklist to 
ensure that all required materials have been prepared and submitted. 
You are not required to submit this checklist with your application.

[[Page 11584]]

Checklist for Healthy Homes Demonstration Program Applicants

Applicant Abstract (Limited to 2 Pages)

     Rating Factor Responses (Total narrative response limited 
to 25 pages. Rating Factor tables (Forms HUD-96012, 96016, 96015 and 
96010) do not count toward the 25-page limit.)
    1. Capacity of the Applicant and Relevant Organizational 
Experience--Form HUD 96012.
    2. Need/Extent of the Problem--Form HUD-96016.
    3. Soundness of Approach.
    4. Leveraging Resources--Form HUD-96015.
    5. Achieving Results and Program Evaluation--Form HUD-96010 (Logic 
Model).
     Required materials in response to rating factors (does not 
count towards 25-page limit)
    Form SF 424, Application for Federal Assistance.
    Form HUD-424-CB, ``Grant Application Detailed Budget'' (HUD 
Detailed Budget Form on Grants.gov).
    Form SF-424 Supplement, ``Survey on Ensuring Equal Opportunities 
for Applicants'' (Faith-Based EEO Survey on Grants.gov).
    Faith-Based EEO Survey (to be completed by private nonprofit 
organizations only).
    Form SF-LLL, Disclosure of Lobbying Activities
    Form HUD-2880, ``Applicant/Recipient Disclosure/Update Report'' 
(HUD Applicant Recipient Disclosure Report on Grants.gov).
    Form HUD-2990, Certification of Consistency with the RC/EZ/EC-II 
Strategic Plan (if applicable).
    Form HUD-27300, ``Questionnaire for HUD's Removal of Regulatory 
Barriers'' (HUD Communities Initiative Form on Grants.gov).
    Form HUD-96011, ``Third Party Documentation Facsimile Transmittal'' 
(Facsimile Transmittal Form on Grants.gov). This is to be used as the 
cover page for faxing third party information for electronic 
applications only. See the General Section.
    Resumes of Project Director, Project Manager and up to 3 Key 
Personnel (limited to 2 pages per resume).
    Position Descriptions for Key Personnel to be hired (limited to 2 
pages per description).
    Organizational Chart.
    Letters of Commitment (if applicable).
    Form HUD-2994A--You are Our Client! Grant Applicant Survey 
(Optional).
     Optional material in support of the Rating Factors (20-
page limit)
    C. Submission Dates and Times. Electronic applications must be 
received and validated by Grants.gov on or before 11:59:59 p.m. eastern 
time on the application submission date. Refer to the General Section 
for submission requirements. Materials associated to your electronic 
application submitted by facsimile transmission must also be received 
by 11:59:59 p.m. eastern time on the application submission date. See 
sections IV.B and IV.F of the General Section for additional 
information on the electronic process and how to request a waiver from 
this requirement, if necessary.
    D. Intergovernmental Review. Not required for this submission.

E. Funding Restrictions

    1. Administrative Costs. There is a 10 percent maximum allowance 
for administrative costs. Additional information about allowable 
administrative costs is provided in Appendix B and can be downloaded 
with this application at http://www.grants.gov/applicants/apply--for--
grants.jsp.
    2. Indirect Costs. You must comply with Indirect Cost requirements. 
Guidelines for indirect cost requirements, presented in Appendix C, may 
be downloaded as part of your application package at http://www.grants.gov/applicants/apply--for--grants.jsp.
    3. Purchase of Real Property is not permitted.
    4. Purchase or lease of equipment having a per-unit cost in excess 
of $5,000 is not permitted, unless prior written approval is obtained 
from HUD.
    5. Medical costs are not permitted (except for medical testing to 
protect the health of the intervention workers, supervisors, and 
contractors, unless reimbursable from another source).
    6. For-profit organizations cannot receive a fee or profit.
    7. Applicants must comply with the Coastal Barrier Resources Act 
(16 U.S.C. 3501).
    8. You may not use grant funds for hazard control of a building or 
manufactured home that is located in an area identified by the Federal 
Emergency Management Agency (FEMA) under the Flood Disaster Protection 
Act of 1973 (42 U.S.C. 4001-4128) as having special flood hazards 
unless:
    a. The community in which the area is situated is participating in 
the National Flood Insurance Program in accordance with the applicable 
regulations (44 CFR parts 59-79), or less than a year has passed since 
FEMA notification regarding these hazards; and
    b. Where the community is participating in the National Flood 
Insurance Program, flood insurance on the property is obtained in 
accordance with section 102(a) of the Flood Disaster Protection Act (42 
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance 
is obtained and maintained for the appropriate amount and term.
    F. Other Submission Requirements. HUD requires applicants to submit 
applications electronically through http://www.grants.gov unless you 
request and are granted a waiver to the electronic submission 
requirements. See the General Section. Applicants should submit their 
waiver requests in writing by e-mail. Waiver requests must be submitted 
no later than 15 days prior to the application deadline date and should 
be submitted to Jonnette Hawkins, Director, Program Management and 
Assurance Division, Office of Healthy Homes and Lead Hazard Control, 
[email protected].

V. Application Review Information

A. Criteria

    1. Rating and Ranking. Applications that meet all of the threshold 
requirements will be eligible to be scored and ranked, based on the 
total number of points allocated for each of the rating factors 
described in Section V.A.2 of this NOFA. Your application must receive 
a total score of at least 75 points to be considered for funding.
    Each of the five factors is weighted as indicated by the number of 
points that are assigned to it. The maximum score that can be attained 
is 100 points for the narrative responses, and 2 bonus points for 
activities carried out in a RC/EZ/EC-II. Applicants should be certain 
that each of these factors is clearly and comprehensively addressed in 
the project description and accompanying materials.
    HUD will not review any applications with a request for federal 
funding that exceeds the maximum amount specified in this NOFA.
    2. Rating Factors. The factors for rating and ranking applicants, 
and maximum points for each factor, are provided below. Applicants 
should be certain that these factors are adequately addressed in the 
narrative relevant to the rating factors and the accompanying 
materials.
a. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (15 Points)
    This factor addresses your organizational capacity (including the 
capacity of your own organization, as

[[Page 11585]]

well as partner organizations) necessary to successfully implement your 
proposed activities in a timely manner. The rating of your program 
includes any grassroots community-based nonprofit organizations firmly 
committed to your project, including faith-based organizations, sub-
contractors, consultants, sub-recipients, and members of consortia. HUD 
strongly encourages the formation and development of consortia in 
implementing your project goals. Applicants are encouraged to partner, 
fund, or sub-contract with grassroots, community-based nonprofit 
organizations, including faith-based organizations to carry out program 
activities. If these partnerships are proposed, applicants will receive 
higher rating points as specified in the General Section. Applicants 
should note in their Rating Factor 1 narrative whether they are 
submitting multiple applications to OHHLHC, and, if so, the percentage 
commitment of staff for each application.
    In rating this factor, HUD will consider the three items listed 
below.
    (1) Capacity and Qualifications of Principal Investigator and Key 
Personnel. (6 points). Describe your recent, relevant, and successful 
demonstrated experience in undertaking eligible program activities. 
Describe the knowledge and experience of the proposed overall project 
director and day-to-day project manager in planning and managing large 
and complex interdisciplinary programs, especially those involving 
housing, public health, or environmental programs. Include information 
on your project staff, their experience with housing and health 
programs, percentage commitment to the project, and position titles. 
Project directors should commit at least 20 percent and the project 
manager's time commitment should be at least 50 percent. Resumes of up 
to 2 pages each for up to three key personnel, in addition to the 
project director and project manager, and a clearly delineated 
organizational chart for the Healthy Homes project (including all 
partner organizations) , must be included in your application 
submission. Position descriptions or job announcements (including 
salary range, percent of time commitment, percentage of time covered by 
cooperative agreement funds) for unfilled positions should be included 
for any key positions that are currently vacant or contingent upon an 
award.
    Document that you have sufficient personnel, or will be able to 
quickly retain qualified personnel to begin your project immediately, 
and to perform activities in a timely and effective fashion. Successful 
applicants must hire all key staff positions identified in the proposal 
as vacant or required in the award agreement within 120 days of award. 
Describe how principal components of your organization will participate 
in, or support, your project.
    (2) Qualifications of Applicant and Partner Organizations (4 
points). Include names, descriptions of the experience and 
qualifications of subcontractors. Document how you propose to 
coordinate with and monitor sub-contractors, including frequency of 
meetings, on-site inspections and submission of formal monthly or 
quarterly reports. Discuss your communication and coordination with 
partners, including partner responsibilities, meeting frequency, etc. 
If partners are community-based grassroots, non-profit organizations, 
including faith-based organizations, include documentation 
demonstrating their community-based grassroots status, such as 
organizational profile, 501(c)(3) status or Social Services budget. 
(Lengthy documents are not required; face pages or extracted relevant 
text is adequate.)
    (3) Past Performance of the Organization (5 points). This section 
refers to applicants who have any prior experience in another Healthy 
Homes or Lead Hazard Control grant, another grant related to 
environmental health and safety issues, or other experience in a 
similar program. Provide details about the nature of the project, the 
funding agency, and your performance, relative to performance measures 
and the achievement of desired housing- and health-related outcomes. If 
your organization is an existing Healthy Homes grantee, provide a 
description of the progress and outcomes achieved in that grant. 
Current grantees that are on, or ahead of their benchmarks, may earn 
one point based on their demonstrated ability to date. If you received 
previous Healthy Homes Demonstration Program funding, you will be 
evaluated in terms of your performance and timeliness under the 
previous grant.
    You must complete and submit the Factor 1, Table 1, Form HUD-96012, 
which can be downloaded with your application at http://www.grants.gov/applicants/apply--for--grants.jsp to support narrative information.
b. Rating Factor 2: Need/Extent of the Problem (15 Points)
    This factor addresses the extent for your proposed activities to 
document housing-related environmental health and safety hazards 
(including, but not limited to, mold, allergens, lead-based paint 
hazards, carbon monoxide, pesticides, home safety hazards) in your 
target area(s) that impact your targeted group(s).
    (1) Target Area for Proposed Activities (5 points). Specifically 
identify a target area for your proposed activities. Document the 
critical level of need for your proposed activities in this target area 
by providing data documenting targeted groups that are traditionally 
underserved or have special needs. For a maximum score, data provided 
should represent the target area, rather than general statistics or 
information pertinent to a larger geographic area. If specific 
statistics are not available, discuss why this is the case.
    (2) Link to Housing-related Health and Safety Hazards (10 points). 
Your documentation should summarize available data linking housing-
based environmental health and safety hazards to disease or injuries to 
children, especially in low- and very low-income families, in your 
target area. Examples of data that might be used to demonstrate need 
include:
    (a) Economic and demographic data (3 points), including poverty and 
unemployment rates and the number and percentage of low- and very-low-
income families with incomes less than 50 percent and 80 percent of the 
median income, respectively, as determined by HUD, for the area. 
Statistics that describe low- and very-low-income families are 
available at http://factfinder.census.gov/home/saff/main.html?_lang=en. Applicants should also consult local data sources, such as 
city government Web sites, for target area data.
    (b) Statistics for your target area that present rates of childhood 
illnesses (4 points) (including asthma, elevated blood lead levels) or 
injuries (falls, burns) among children residing in your target areas 
that could be caused or exacerbated by exposure to conditions in the 
home environment; and
    (c) The age and condition of housing (3 points). In responding, 
provide data available in your jurisdiction's currently approved 
Consolidated Plan and the Analysis of Impediments to Fair Housing 
Choice (AI) or Indian Housing Plan or derived from current census data 
or from other sources of comparable quality.
    You must complete and submit the Factor 2 Table, Form HUD-96016, 
posted at http://www.grants.gov/applicants/apply--for--grants.jsp.
c. Rating Factor 3: Soundness of Approach (50 Points)
    (1) Approach for Implementing the Project (36 points). HUD is 
interested in

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comparability among the Healthy Homes Demonstration Programs, in order 
to further standardize outcomes and performance measures. Therefore, 
applicants are encouraged to be explicit in describing proposed project 
activities and provide details about designing and implementing their 
work plan.
    (a) Project Approach (5 points) Describe your approach to implement 
your proposed project. In particular describe the methods, schedule and 
milestones that will be used to identify and control housing-related 
environmental health and safety hazards and to achieve the desired 
improvements in the health of the families you serve. Include summary 
information about the estimated numbers of clients to be contacted, 
clients enrolled, units to be assessed, units to receive remediations, 
individuals to be trained, and individuals or groups that will be 
reached through education or outreach activities. You are expected to 
document environmental outputs (reduction in allergen levels) and 
health outcome measures, such as reduction in asthmatic episodes, 
pediatric asthma hospitalizations, emergency room visits for asthma, 
falls, burns, etc. These outputs and outcomes are critical to achieving 
the Healthy Homes Initiative Departmental Goal of reducing allergen 
levels in 5,000 units, and correspondingly reducing asthmatic episodes 
for 3,000 children living in these units by 2011. The use of tables to 
describe schedule, milestones and summary data is encouraged.
(b) Start up (3 Points)
    (i) Institutional Review Boards. In conformance with the Common 
Rule (Federal Policy for the Protection of Human Subjects, codified by 
HUD at 24 CFR 60.101, which incorporates the DHHS regulation at 45 CFR 
part 46), if your research involves human subjects, your organization 
must provide proof (e.g., a letter signed by an appropriate official) 
that the research has been reviewed and approved by an Institutional 
Review Board (IRB) before you can initiate activities that require IRB 
approval. Before initiating such activities you must also provide the 
number for your organization's assurance (i.e., an ``institutional 
assurance'') that has been approved by the Department of Health and 
Human Service's Office for Human Research Protections (OHRP).
    Although you do not have to provide proof of IRB approval with your 
application, you should address how you will obtain such approval. 
Describe how you will obtain informed consent (e.g., from the subjects, 
their parents or their guardians, as applicable) and discuss the steps 
you will take to help ensure participants' understanding of the 
elements of informed consent, such as the purposes, benefits and risks 
of the research. Describe how this information will be provided and how 
the consent will be collected. For example, describe your use of 
``plain language'' forms, flyers and verbal scripts, and how you plan 
to work with families with limited English proficiency or primary 
languages other than English, and with families including persons with 
disabilities. For additional information on what constitutes human 
subject research or how to obtain an institutional assurance see the 
OHRP Web site at http://www.hhs.gov/ohrp/.
    (ii) Staff and Partner Training and Capacity Building. Provide 
detailed information regarding how program staff and, where applicable, 
partnering organizations will be trained in the disciplines needed to 
successfully implement your project (e.g., resident education, 
assessments and remediations). Include an outline of training 
curricula, a description of qualifications of trainers, and describe 
how individuals or groups to be trained will be selected.
    (iii) Quality Assurance (QA) Activities. Successful Healthy Homes 
Demonstration Program applicants that are collecting housing, 
demographic, medical or environmental data must ensure the quality and 
integrity of the data. Describe the elements of your project that will 
integrate QA activities into the project design and applicable 
activities such as visual assessments, environmental assessments and 
questionnaires. Elements you may want to describe include the use of 
quality control samples, validated questionnaires and assessment tools, 
data collection, data management, statistical analysis, staff training 
and monitoring. Your description will be evaluated relative to its 
thoroughness, level of detail, and appropriateness for ensuring the 
validity and quality of the data. If awarded, you will be asked to 
develop a Quality Assurance Plan that describes these elements.
    (iv) If you are proposing to conduct a project that includes a 
significant level of community interaction (e.g., resident recruitment, 
home-based remediations, data collection, environmental sampling in 
residences) describe your plan for meaningful involvement of the 
affected community in your proposed project. You should define the 
community of interest with respect to your proposed project and discuss 
why your proposed approach to community involvement will make a 
meaningful contribution to your project and to the community.
    (v) Describe any proposed involvement of grassroots community-
based, nonprofit organizations, including faith-based organizations, in 
the proposed activities including the development of consortia. These 
activities may include outreach, community education, marketing, 
inspection, and housing evaluations and remediations.
(c) Recruitment and Enrollment (6 Points)
    (i) Describe how you will identify, select, prioritize, and enroll 
units of housing in which you will undertake housing-based health 
hazard and safety remediations, targeting low- and very low-income 
families with young children under the age of six (72 months) to the 
extent feasible.
    (ii) Discuss possible recruitment problems, and the probability of 
dropouts, and describe measures you will perform to sustain recruitment 
and enrollment, including over-recruitment and incentives for 
sustainability of participants throughout the period of performance of 
the cooperative agreement.
    (iii) Describe how you will monitor enrollment and recruitment 
status and implement measures identified to sustain enrollment and 
recruitment.
    (iv) Discuss how you will comply with the Health Insurance 
Portability and Accountability Act (HIPAA). See Section III.C.3 for 
more information about HIPAA requirements.
    (v) Along with HIPAA compliance, describe how you will provide 
appropriate program information and gain informed consent from the 
subjects, their parents and guardians, as applicable. Describe how you 
will ensure that participants understand and consent to the elements of 
the program such as the purposes, benefits and risks of the research 
activities.
    (vi) Describe your proposed methods to reach high-risk groups and 
communities, vulnerable populations and traditionally underserved 
populations.
    (vii) Describe how you will affirmatively further fair housing, 
which would include, but not be limited to: (1) Affirmative marketing 
of the program to those least likely to apply based on race, color, 
sex, familial status, national origin, religion, or disability 
(especially when persons in these demographic groups are generally not 
served by the grassroots community-based, nonprofit organizations, 
including faith-based organizations or other partner organizations); 
(2) providing materials

[[Page 11587]]

in alternative formats for persons with disabilities; providing 
materials in languages other than English for individuals with limited 
English proficiency and their families; (3) assuring long-term 
residency by families currently living in the community; and (4) 
assuring that priority for treated units go to those who need the 
features (treatment) of the unit.
(d) Unit Assessments, Occupant Surveys and Medical Referrals (3 Points)
    (i) Describe the assessment tools your project will employ to 
establish baseline data for unit condition, knowledge of program 
participant and/or the health of the occupant(s). These tools include 
questionnaires, visual assessment protocols and environmental sampling 
and analysis.
    (ii) Describe your process for evaluating units of housing in which 
you will undertake housing-related environmental health and safety 
hazard remediations. Provide an estimate of the total number of owner-
occupied and/or rental units in which you will perform assessments and 
conduct remediations.
    (iii) Describe the process to be followed for referring children 
for medical case management, if applicable. Describe the organizations 
that will be involved in this process and their prior experience 
providing case management to the target population(s).
(e) Remediations (7 Points)
    (i) Describe your process for the development of work 
specifications for the selected physical remediations and identify 
individuals (or organizations) who will develop the work 
specifications. Include specifics about the individual's position or 
the organizational role in your project.
    (ii) Discuss your process to select and obtain contractors for 
conducting remediations in selected units and provide details about the 
competitive bidding process.
    (iii) Discuss efforts to incorporate cost-effective methods to 
address multiple housing-related environmental health and safety 
hazards, and describe the specific remediations you will employ to 
control these hazards before children are affected; and/or to control 
these hazards in units where children have already been treated for 
illnesses or injuries associated with these hazards (e.g., burns, lead 
poisoning, asthma). Although program partners have shown that low-cost 
housing remediations can be effective in reducing illness and hazardous 
conditions, HUD is interested in data that evaluate the cost-
effectiveness over time of carrying out assessments and remediations 
for multiple hazards compared to the conventional approach of 
identifying and remediating one hazard at a time. The data should be 
stratified by the type, size and other housing characteristics, and the 
type and extent of assessment and remediation, in order to provide 
meaningful and comparable unit costs. Therefore, in your budget 
submission, provide an estimate of the cost of each remediation 
(material costs and labor costs associated with installation) and an 
estimate of costs projected per unit. Describe how you will track the 
costs of remediations and provide information about the efficiency of 
these remediations. For example, provide information about the cost-
effectiveness, technical effectiveness and sustainability of the 
remediations. Include any remediation plans to achieve the Healthy 
Homes Initiative's Departmental Strategic Goal of reducing allergen 
levels in 5,000 units by 2011, and correspondingly, reducing asthmatic 
episodes in 3,000 children.
    (iv) Discuss how you will assure that the contractor will comply 
with all applicable Federal, state and local regulations.
    (v) Describe the financing strategy, including eligibility 
requirements, terms, conditions, and amounts available, to be employed 
for conducting housing remediations. You must discuss the way funds 
will be administered (e.g., use of grants, deferred loans, forgivable 
loans, other resources, private sector financing, etc.) as well as the 
agency that will administer the process.
    (vi) Describe your plan for the relocation of occupants of units 
selected for remediation, if temporary relocation is necessary (see 
Section VI B.4, below). If temporary relocation is necessary, address 
the use of safe houses and other housing arrangements, storage of 
household goods, stipends, incentives, etc., and the source of funding 
for relocation.
    (vii) If relocation is necessary for occupants of rental units, 
describe your plan for ensuring right of return and/or first referral 
for occupants of units selected for remediation who have had to move 
for the remediations to be performed. (see Section VI B.4, below).
    (f) Community Education, Outreach and Capacity Building/Training (3 
Points)
    (i) Describe your proposed methods for community and/or targeted 
education and training. These should include community awareness, 
education, training, and outreach programs that support your work plan 
and are culturally sensitive and targeted appropriately. Provide 
information about specific educational/outreach activities with 
quantitative data (number of individuals to be reached, etc.) and a 
description of the intended audience (include plans for both program 
participants and the community at large).
    (ii) Discuss whether Healthy Homes training programs will be 
expanded to include non sub-grantee organizations, such as public 
housing agencies, Tribally Designated Housing Entities, grassroots 
community-based or nonprofit organizations, including faith-based 
organizations. If so, describe your plan for doing this.
    (g) HUD's Departmental Policy Priorities (6 Points). Indicate if, 
and describe how, you will address any of HUD's Departmental policy 
priorities (see General Section). You will receive points for each of 
the applicable FY 2007 policy priorities that are adequately addressed 
in your application and incorporated into work plan activities showing 
outputs and outcomes to a maximum of six points. Policy priorities that 
are applicable to the Healthy Homes Demonstration NOFA are: (1) 
Improving our Nation's Communities (focus on distressed communities); 
(2) Providing Full and Equal Access to Grassroots Community-based, 
Nonprofit Organizations, including Faith-based Organizations in HUD 
Program Implementation; (3) Participation of Minority-Serving 
Institutions in HUD Programs; (4) Removal of Regulatory Barriers to 
Affordable Housing; and (5) Promoting Energy Efficiency and Energy 
Star. HUD expects the applicant to implement Energy Star building 
techniques and utilize Energy Star appliances whenever activities of 
the grant afford the opportunity. For information on Energy Star 
programs and appliances, see http://www.energystar.gov.
    Each policy priority is worth one point, except for policy priority 
(4), Removal of Regulatory Barriers to Affordable Housing, which is 
worth up to 2 points, provided the applicant includes an appropriate 
narrative response demonstrating what they have accomplished to date 
and submits the required documentation as described in Form HUD 27300. 
Applicants may instead provide a Web site address where the 
documentation can be readily found.
    (h) Economic Opportunity (3 points). To the greatest extent 
feasible, your project should promote job training, employment, and 
other economic opportunities for low-income and minority residents and 
businesses that are owned by, and/or employ, low-income and minority 
residents as

[[Page 11588]]

defined in 24 CFR 135.5. Describe how you or your partners will comply 
with Section 3 of the Housing and Urban Development Act of 1968 (12 
U.S.C. 1701u) and HUD's implementing rules at 24 CFR part 135 by:
     Providing training and employment opportunities for low- 
and very low-income persons living within the awardee's jurisdiction;
     Purchasing goods and supplies, or contracting for services 
from businesses that are owned by, and/or employ, low- and very low-
income persons living within the targeted jurisdiction; information 
about Section 3 requirements is available at: http://www.hud.gov/offices/fheo/section3/section3.cfm; and
     Describing how your proposed project will provide 
opportunities for self-sufficiency, particularly for persons enrolled 
in welfare-to-work programs, or provide educational and job training 
opportunities.
    (2) Approach for Managing the Project (9 points). Considering your 
project goals and objectives, describe how you will manage the project. 
Provide information on the general management approach including a 
management plan that:
    (a) Incorporates appropriate project objectives, major tasks/
activities, responsible entities, performance goals, and the process 
that you will utilize to assign, track and monitor the performance of 
major tasks and activities. All specific activities necessary to 
complete the proposed project, such as recruitment, enrollment, 
training, education and outreach, unit identification, assessment and 
remediation, must be included.
    (b) Provides a schedule of milestones and deliverables for the 
completion of major tasks and activities, and the delivery of interim 
and final products.
    (c) Discusses coordination with sub-recipients, partners and staff.
    (d) Describes quality assurance activities, including the 
collection of data (questionnaires and environmental sampling and 
analysis), case management, data entry and report preparation, and 
associated corrective actions.
    (3) Budget Justification (5 points). Your proposed budget will be 
evaluated for the extent to which it is reasonable, clearly justified, 
and consistent with the project management plan and intended use of 
program funds. HUD is not required to approve or fund all proposed 
activities. Your detailed budget should be submitted using Form HUD-
424-CBW. An electronic copy is available at: http://www.grants.gov/applicants/apply--for--grants.jsp. You must thoroughly document and 
justify all budget categories and costs and all major tasks for 
yourself, sub-recipients, partners, major subcontractors, joint venture 
participants, or others contributing resources to the project. Include 
a 4-page (maximum) narrative that describes clearly and in detail your 
budgeted costs for each required program element (major task) included 
in your overall plan (at least 65 percent of the budget must be 
expended for direct remediation). Include a separate, detailed budget 
for any sub-grantee proposed to receive more than 10 percent of the 
total federal budget request.
    d. Rating Factor 4: Leveraging Resources (5 Points)
    This factor addresses your ability to secure other community 
resources (e.g., financing, supplies, and/or services) that can be 
combined with HUD's resources to achieve project purposes. These 
community resources may be contributions from organizations such as the 
applicant, partners, or other organizations not directly involved in 
the project. Resources may also be provided by state and local 
governmental entities. While cost sharing or matching is not required, 
HUD will award a higher score under this rating factor if you provide 
documentation of commitments for significant leveraging. HUD's Matching 
and Leveraging Contribution Guidance, Appendix D, may be downloaded 
with your application at http://www.grants.gov/applicants/apply--for--
grants.jsp. Applicants should note that, if they are submitting 
multiple proposals to OHHLHC and are selected for multiple awards, they 
may not use the same resources for match and/or leveraging. During 
cooperative agreement negotiations, awardees will be required to 
provide alternative match and/or leveraged resources than were proposed 
in the original applications. In other words, awardees may not commit 
duplicate matching and/or leveraged resources to multiple OHHLHC 
programs.
    (1) HUD will consider the extent to which you have developed 
partnerships or consortia to secure additional resources to increase 
the effectiveness of your proposed project. Describe how other 
organizations will participate in or support your project. Resources 
may include funding or in-kind contributions (e.g., labor, fringe 
benefits, services, supplies, or equipment) budgeted for your proposed 
project. Include in the narrative the details of the commitment, the 
amount being leveraged, or if the commitment is in-kind, the specific 
names, percent of time, supplies and other resources, and value of each 
commitment.
    (2) The signature of the authorized official on the Form SF-424 
commits matching or other contributed resources of the applicant 
organization. The applicant must obtain a letter of commitment from 
each organization (other than itself) that is providing a match, 
whether cash or in-kind. The letter must describe the contributed 
resource(s) that will be used in your project and the dollar value of 
each contribution. Staff and in-kind contributions should be given a 
market-based monetary value. Each letter of commitment, memorandum of 
understanding, or agreement to participate shall include the 
organization's name and the proposed level of commitment and roles and 
responsibilities as they relate to the proposed project. The commitment 
must be on official letterhead and signed by an official legally able 
to make commitments on behalf of the organization and dated. Letters 
must be submitted with your application.
    (3) Include information to address the following elements.
    (i) The extent to which you have coordinated your activities with 
other known organizations that are not directly participating in your 
proposed work activities (organizations other than sub-grantees and 
program partners), but with which you share common goals and 
objectives.
    (A) Describe your plan for integrating and coordinating housing-
related environmental health and safety hazard remediations with other 
housing-related activities (e.g., rehabilitation, weatherization, 
correction of code violations, and other similar work).
    (B) Describe your plans to generate and use public subsidies or 
other resources, such as loan funds, to finance future remediations to 
prevent and control housing-related environmental health and safety 
hazards, particularly in low-or very low-income families with children 
under the age of six years.
    (ii) The extent to which your project exhibits the potential to be 
financially self-sustaining by decreasing dependence on federal funding 
and relying more on state, local and private funding to continue 
healthy homes activities after the funding period is completed.
    Applicants are to complete the Factor 4 table, Form HUD-96015, 
Leveraging Resources that is posted at http://www.grants.gov/applicants/apply--for--grants.jsp.
    e. Rating Factor 5: Achieving Results and Program Evaluation (15 
points)

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    This rating factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability. HUD is committed to ensuring 
that applicants keep promises made in their applications and assess 
their performance to ensure that performance goals are met. In your 
response to this rating factor, you are to discuss the performance 
goals for your project and specific outcome measure results. Discuss 
the specific methods you will use to measure progress towards your 
goals, track and report results of assessments and remediations, and 
evaluate the effectiveness and cost-effectiveness of remediations [see 
requirements discussed in V.A.2.c(1)(e)(iii)]; identify important 
project milestones (e.g., the end of specific phases in a multi-phased 
project) and deliverables specific to your project timeline; identify 
milestones that are critical to achieving project objectives (e.g., 
developing questionnaires or protocols, hiring staff, recruitment of 
participants, and IRB approval and/or HIPAA Authorization, if 
applicable); and identify benchmarks such as number of units that 
received intervention, percent of remediations that occurred in high-
risk communities, etc., that you will use to track the progress of your 
project.
    Identify how your project will be held accountable for meeting 
project goals, objectives, and the actions undertaken in implementing 
the program. Provide assurances that work plans and performance 
measures developed for your project will be achieved in a timely and 
cost-effective manner.
    Your project should focus particular attention on identifying 
specific resident, or program participant, health outcomes and describe 
how these outcomes will be measured. Resident health outcomes do not 
necessarily require medical testing, such as spirometry or documenting 
blood lead levels, and may be assessed using questionnaires or other 
tools. Careful attention should be given to the relationship between 
the program's remediations (e.g., physical changes in the environment, 
changes to cleaning protocols, in-home training or provision of 
educational materials) and the effect on resident health, particularly 
the reduction in asthmatic episodes for children. As part of your 
health outcomes, include a discussion of how your program will support 
the Healthy Homes Initiative's Departmental Strategic Goal of reducing 
allergen levels in 5,000 units by 2011, and correspondingly, reducing 
asthmatic episodes in 3,000 children living in these units.
    In addition, you should describe how you will evaluate the benefits 
of your proposed remediations relative to their costs or alternative 
approaches to achieving these same outcomes. For example, you could 
compare the costs and benefits of the healthy homes approach in which 
multiple housing-related environmental health and safety hazards are 
assessed and remediated by a comprehensive method, to costs and 
benefits associated with adopting a ``single hazard'' model in which 
separate assessments and remediations are carried out by several 
different programs. You could also estimate the monetary benefits of 
remediations that prevent illness (e.g., reducing asthma symptoms) or 
reducing injuries.
    In evaluating Rating Factor 5, HUD will consider how you have 
described the benefits and outcome measures of your program. HUD will 
also consider the proposed objectives and performance measures relative 
to cost and achieving the purpose of the program, as well as the 
evaluation plan, to ensure the project is on schedule and within 
budget.
    You must submit Form HUD-96010. HUD is using an electronic Logic 
Model with drop down menus from which you can select needs, activities, 
and outcomes appropriate to your program. See the General Section for 
detailed information on use of the Logic Model. HUD is requiring 
grantees to use program-specific questions to self-evaluate the 
management and performance of their program. For FY 2007, HUD is 
considering a new concept for the Logic Model. The new concept is a 
Return on Investment statement. HUD will be publishing a separate 
notice on the ROI concept. Training on HUD's logic model will be 
provided via satellite broadcast.
    f. Bonus Points: RC/EZ/EC-II (2 points)
    Applicants are eligible to receive 2 bonus points for projects 
located within federally designated Renewable Communities (RCs), 
Empowerment Zones (EZs), or Enterprise Communities (ECs) designated by 
USDA in round II (EC-IIs) (collectively referred to as RC/EZ/EC-IIs), 
and which will serve the residents of these communities (see the 
General Section). In order to be eligible for the bonus points, 
applicants must submit a completed Form HUD-2990 signed by the 
appropriate official of the RC/EZ/EC-II.
    B. Reviews and Selection Process. The review and selection process 
is provided in the General Section. The General Section also provides 
the procedures for correcting deficient applications.

VI. Award Administration Information

A. Award Notices

    1. Applicants Selected for Award.
    (a) Successful applicants will receive a letter from the Office of 
Healthy Homes and Lead Hazard Control Grant Officer providing details 
regarding the effective start date of the cooperative agreement and any 
additional data and information to be submitted to execute a 
cooperative agreement. This letter is not an authorization to begin 
work or incur costs under the cooperative agreement or grant.
    (b) HUD may require that a selected applicant participate in 
negotiations to determine the specific terms of the cooperative 
agreement and budget. Should HUD not be able to successfully conclude 
negotiations with a selected applicant, an award will not be made. If 
the applicant accepts the terms and conditions of the cooperative 
agreement, a signed cooperative agreement must be returned by the date 
specified. Instructions on how to have the cooperative agreement 
account entered into HUD's Line of Credit Control System (LOCCS) 
payment system will be provided. Other forms and program requirements 
will be provided. In accordance with OMB Circular A-133 (Audits of 
States, Local Governments and Nonprofit Organizations), awardees will 
have to submit their completed audit-reporting package along with the 
Data Collection Form (SF-SAC) to the Single Audit Clearinghouse. The 
address can be obtained from their Web site. The SF-SAC can be 
downloaded at: http://harvester.census.gov/sac/.
    2. Debriefing. The General Section provides the procedures for 
applicants to request a debriefing.
    3. Negotiation. Refer to the General Section for additional 
details.
    4. Adjustments to Funding. Refer to the General Section for 
additional details.

B. Administrative and National Policy Requirements

    1. Environmental Requirements. Under the Revised Continuing 
Appropriations Resolution, 2007 (Pub. L. 110-5, approved February 15, 
2007), the provisions of section 305(c) of the Multifamily Housing 
Property Disposition Reform Act of 1994, implemented by HUD regulations 
at 24 CFR part 58, ``Environmental Review Procedures for Entities 
Assuming HUD Environmental Responsibilities,'' are applicable to 
properties assisted with Healthy Homes Demonstration funds. In 
accordance with part 58, applicants under this NOFA that are States, 
units of general local government or Indian

[[Page 11590]]

Tribes must act as the responsible entity and assume the environmental 
review responsibilities for activities funded under this NOFA. Other 
applicants must arrange for the unit of general local government or 
Indian Tribe to act as the responsible entity. Under 24 CFR 58.11, if a 
non-recipient responsible entity objects to performing the 
environmental review, or if a recipient that is not a responsible 
entity objects to the local or tribal government performing the 
environmental review, HUD may designate another responsible entity to 
perform the review or may perform the environmental review itself under 
the provisions of 24 CFR part 50. Healthy Homes Demonstration Program 
applicants and other participants in activities under this NOFA may not 
undertake, or commit or expend federal or non-federal funds (including 
HUD-leveraged or match funds) for housing interventions, related 
rehabilitation or other physical activities until the responsible 
entity completes an environmental review and the applicant submits and 
obtains HUD approval of a request for release of funds and the 
responsible entity's environmental certification in accordance with 
part 58 (or until HUD has completed an environmental review under part 
50). The results of environmental reviews on individual projects may 
require that proposed activities be modified or proposed sites 
rejected. For assistance, contact Edward Thomas, the Office of Healthy 
Homes and Lead Hazard Control Environmental Officer at (215) 861-7670 
(this is not a toll-free number) or the HUD Environmental Review 
Officer in the HUD Field Office serving your area. If you are a 
hearing-or speech-impaired person, you may reach the telephone number 
via TTY by calling the toll-free Federal Information Relay Service at 
1-800-877-8339. Recipients of a cooperative agreement under this NOFA 
will be given guidance in these responsibilities.
    2. Executive Order 13202. ``Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally-Funded Construction Projects.'' See General 
Section for information concerning this requirement. http://www.hud.gov/.
    3. Procurement of Recovered Materials. See the General Section for 
information concerning this requirement.
    4. Relocation. The relocation requirements of the Uniform 
Relocation Assistance and Real Property Acquisition Policies Act of 
1970 (URA), as amended, and the implementing government wide regulation 
at 49 CFR part 24, that cover any person (including individuals, 
businesses, and farms) displaced as a direct result of the acquisition, 
rehabilitation, or demolition of real property apply to this grant 
program. If such persons are required to temporarily relocate for a 
project, the requirements of the URA regulations at 49 CFR 24.2(a)(9) 
must be met. HUD recommends you review these regulations when preparing 
your proposal. (They can be downloaded from the Government Printing 
Office website at http://www.gpoaccess.gov/cfr/index.html by entering 
the regulatory citation in quotes without any spaces (e.g., 
``49CFR24.2'') in the Quick Search box.). See Section III.C.4.e of the 
General Section for additional information about relocation.
    5. Davis-Bacon Wage Rates. The Davis-Bacon wage rates are not 
applicable to this program. However, if you use grant funds in 
conjunction with other federal programs, Davis-Bacon requirements will 
apply to the extent required under the other federal programs.
    6. Audit Requirements. Any grant recipient that spends $500,000 or 
more in federal financial assistance in a single year must meet the 
audit requirements established in 24 CFR part 84 or 85, as applicable, 
in accordance with OMB Circular A-133.

C. Reporting

    Successful applicants will be required to submit quarterly and 
final program and financial reports according the requirements of the 
Office of Healthy Homes and Lead Hazard Control. Specific guidance and 
additional details will be provided to successful applicants. The 
following items are a part of OHHLHC reporting requirements.
    1. Final Work Plan and Budget are due prior to the effective start 
of the cooperative agreement.
    2. Progress reports are due on a quarterly basis. In quarterly 
reports, grantees provide information about accomplishments in the 
areas of program management and capacity building; assessment and 
intervention activities; community education, outreach, training and 
capacity building; data collection and analysis; as well as a listing 
of completed units and financial report. Project benchmarks and 
milestones will be tracked using a benchmark spreadsheet that uses the 
benchmarks and milestones identified in the Logic Model form (HUD-
96010) approved and incorporated into your award agreement. For 
specific reporting requirements, see policy guidance at http://www.hud.gov/offices/lead.
    3. A final report is due at the end of the project period, which 
includes final project benchmarks and milestones achieved against the 
proposed benchmarks and milestones in the Logic Model (HUD-96010) 
approved and incorporated into your award agreement. The final report 
shall also respond to the management questions found in the Logic Model 
and approved for your program. Specific information on all reporting 
requirements will be provided to successful applicants.
    4. Racial and Ethnic Beneficiary Data. HUD does not require Healthy 
Homes Demonstration Program awardees to report ethnic and racial 
beneficiary data as part of their initial application package. However, 
such data must be reported on an annual basis, at a minimum, during the 
implementation of your cooperative agreement. You must use the Office 
of Management and Budget's Standards for the Collection of Racial and 
Ethnic Data to report these data, using Form HUD-27061, ``Race and 
Ethnic Data Reporting Form,'' if applicable (HUD Race Ethnic Form on 
Grants.gov) found on http://www.hudclips.org/sub_nonhud/html/forms.htm, along with instructions for its use.

VII. Agency Contacts

    For questions related to the application download submission 
process, you may contact the Grants.gov helpline at 800-518-GRANTS. For 
programmatic questions, you may contact by writing: Emily E. Williams, 
Director; Healthy Homes Division; Department of Housing and Urban 
Development; Office of Healthy Homes and Lead Hazard Control; 451 
Seventh Street, SW., Room 8236; Washington, DC 20410-3000; or by 
telephone at (336) 547-4002, extension 2067 (this is not a toll-free 
number); or via e-mail at: [email protected]. For 
administrative questions, you may contact Curtissa L. Coleman, Grants 
Officer, at the address above or by telephone at: (202) 402-7580 (this 
is not a toll-free number) or via e-mail at: [email protected]. If you are hearing- or speech-impaired, you may reach 
the above telephone numbers via TTY by calling the toll-free Federal 
Information Relay Service at 800-877-8339.

VIII. Other Information

    A. General. For additional general, technical, and program 
information pertaining to the Office of Healthy Homes and Lead Hazard 
Control, visit: http://www.hud.gov/offices/lead.

[[Page 11591]]

    B. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2539-0015. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 80 hours to prepare the application 
and 16 hours to finalize the cooperative agreement. This includes the 
time for collecting, reviewing, and reporting the data for the 
application. This information will be used for grantee selection. The 
reporting burden for completion of the Quality Assurance Plan by 
applicants who are awarded a grant is estimated at 24 hours per grantee 
(OMB approval is pending). Response to this request for information is 
required in order to receive the benefits to be derived.

[[Page 11592]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.016


[[Page 11593]]



Housing Choice Voucher Family Self-Sufficiency Program Coordinators

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Public and Indian Housing, Office of Public 
Housing and Voucher Programs.
    B. Funding Opportunity Title: Housing Choice Voucher (HCV) Family 
Self-Sufficiency (FSS) Program Coordinators.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR-5100-N-15, the OMB Approval 
Number is 2577-0178.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.871, 
Section 8 Housing Choice Vouchers.
    F. Dates: The application deadline date is May 18, 2007. Please see 
the General Section for timely receipt requirements.
    G. Additional Information: The purpose of the HCV FSS program is to 
promote the development of local strategies to coordinate the use of 
assistance under the HCV program with public and private resources to 
enable participating families to increase earned income, reduce or 
eliminate the need for welfare assistance, and make progress toward 
economic independence and self-sufficiency. The FSS program and this 
FSS NOFA support the Department's strategic goal of helping HUD-
assisted renters make progress toward self-sufficiency. The FSS program 
provides critical tools that can be used by communities to support 
welfare reform and help families develop new skills that will lead to 
economic self-sufficiency. As a result of their participation in the 
FSS program, many families have achieved stable, well-paid employment. 
An FSS program coordinator assures that program participants are linked 
to the supportive services they need to achieve self-sufficiency.

Full Text of Announcement

I. Funding Opportunity Description

    A. Authority and Program Description. The Revised Continuing 
Appropriations Resolution, 2007 (Pub. L. 110-5, approved February 15, 
2007) allows funding for program coordinators under the HCV FSS program 
under Section 23 of the United States Housing Act of 1937. Through 
annual NOFAs, HUD has provided funding to public housing agencies 
(PHAs) that are operating HCV FSS programs to enable those PHAs to 
employ program coordinators to support their HCV FSS programs. In the 
Fiscal Year (FY) 2007 HCV FSS Program Coordinator NOFA, HUD is again 
making funding available to PHAs to employ FSS program coordinators and 
FSS homeownership program coordinators for one year. Funding priority 
under this NOFA will be provided to applicants with Public Housing 
Information Center (PIC) data confirming that their FSS families have 
purchased homes and to applicants whose PIC data demonstrate program 
accomplishments, such as increased HCV FSS program size, increased 
earned income of program participants, and families successfully 
completing their FSS contracts. HUD will accept applications from both 
new and renewal PHAs that have HUD approval to administer an HCV FSS 
program. PHAs funded under the HCV FSS NOFA in FY 2005 or FY 2006 are 
considered ``renewal'' PHAs in this NOFA. These renewal PHAs are 
invited to apply for funds to continue previously funded HCV FSS 
program coordinator and FSS homeownership coordinator positions that 
they have filled.
    Because of the importance of the FSS program in helping families 
increase earned income and develop assets, HUD will also accept 
applications from ``new'' PHAs (PHAs that do not qualify as renewal 
PHAs as defined under this FSS NOFA). The maximum number of positions 
that a new applicant PHA, including new PHA joint applicants, may 
receive is one full-time FSS program coordinator.
    To support the Department's initiatives on Colonias, a selection 
preference is again included for ``new'' applicant PHAs that provide 
services and support to rural under-served communities in the Southwest 
Border regions of Arizona, California, New Mexico, and Texas. See 
Section III.C.3.c. of this NOFA for requirements that must be met to 
qualify for the Colonias preference.
    PHAs are encouraged to reach out to persons with disabilities who 
are HCV program participants and might be interested in participating 
in the FSS program. PHAs are also encouraged to include agencies on 
their FSS Program Coordinating Committee (PCC) that work with and 
provide services to families with disabilities.
    Applicants must administer the FSS program in accordance with HUD 
regulations and requirements in 24 CFR part 984, which govern the HCV 
FSS Program, and must comply with existing HCV program requirements, 
notices, and guidebooks.
    B. Number of Positions for Which Eligible PHAs May Apply. Eligible 
PHAs may apply for funding for HCV FSS program coordinator positions 
under this NOFA as follows:
    1. Renewal PHA Applicants. PHAs that qualify as eligible renewal 
PHA applicants under this NOFA may apply for continuation of each FSS 
coordinator position, including homeownership coordinator positions, 
awarded under the HCV FSS NOFA in FY 2005 or FY 2006 that has been 
filled by the PHA.
    2. New PHA Applicants. New PHA applicants may apply for HCV FSS 
program coordinator positions as follows: a) up to one full-time HCV 
FSS coordinator position for a PHA applicant with HUD approval to 
administer a HCV FSS program of 25 or more FSS slots and b) up to one 
full-time HCV FSS coordinator position per application for joint PHA 
applicants that together have HUD approval to administer a total of at 
least 25 HCV FSS slots.
    C. Definitions. The following definitions apply to the funding 
available under this NOFA.
    1. Renewal PHA Applicant. A PHA or PHAs that received funding under 
the HCV FSS NOFA in FY 2005 or FY 2006.
    2. New PHA Applicant. PHAs that did not receive funding under the 
HCV FSS NOFA in FY 2005 or FY 2006 that have HUD approval to administer 
a HCV FSS program of at least 25 slots or that fulfill the 25 slot 
minimum by applying jointly with one or more other PHAs.
    3. FSS Program Size. The total number of HCV FSS program slots 
identified in the PHA's HUD-approved FSS Action Plan, or if requested 
by Moving to Work (MTW) PHA applicants, the number of slots in the 
applicant's MTW agreement. The total may include both voluntary and 
mandatory HCV FSS program slots. This number is used in determining the 
eligibility of new applicant PHAs under this NOFA.
    4. Qualifying FSS Homeownership Program. Qualifying homeownership 
programs include the HCV Homeownership Program and other programs 
administered by the PHA or other entities that prepare HCV program FSS 
participants for making the transition from renting to homeownership.
    5. The Number of HCV FSS Program Participants. The total number of 
families shown in HUD's PIC data system or applicable MTW report, as 
enrolled in the applicant's HCV FSS program at the end of a calendar 
year, plus those families that successfully completed their FSS 
contracts during that calendar year.
    6. Percentage of Families with Positive FSS Escrow Balances. A

[[Page 11594]]

percentage that will be computed by HUD and used to determine funding 
order of priority 2 applicants under this NOFA. It is the sum of the 
number of HCV FSS families with positive escrow balances and the number 
of families that successfully completed their FSS contracts as a 
percentage of HCV FSS families with FSS progress reports. This 
calculation will be made using data for the period from December 31, 
2005 through December 31, 2006 that has been submitted to HUD on the 
Form HUD-50058. For MTW applicants, a comparable reporting source may 
be used.
    7. HCV Program Size. The number of HCVs in a PHA's program as 
determined by HUD using Voucher Management System (VMS) data.
    8. HCV FSS Program Size Increase Percentage. A percentage 
calculated for renewal PHA applicants whose number of HCV FSS 
participants in Calendar Year 2006 is higher than their Calendar Year 
2005 number of participants.

II. Award Information

    Available Funds. This NOFA announces the availability of 
approximately $47,000,000 in FY 2007 to employ FSS program and FSS 
homeownership coordinators for the HCV FSS program. If additional 
funding becomes available during FY 2007, HUD may increase the amount 
available for coordinators under this NOFA. A maximum of $65,500 is 
available for each full-time coordinator position funded. Salaries are 
to be based on local comparables. The funding will be provided as a 
one-year HCV funding increment under the PHA's Annual Contributions 
Contract (ACC). HUD reserves the right to adjust funding for renewal 
positions in order to ensure a fair and reasonable distribution of 
funding.

III. Eligibility Information

    A. Eligible Applicants. PHAs eligible to apply for funding under 
this NOFA are:
    1. Renewal PHA Applicants. Those PHAs that received funding under 
the HCV FSS NOFA in FY 2005 or FY 2006. To continue to qualify as 
renewal PHAs, the FY 2007 application of joint applicants must include 
at least one PHA applicant that meets this standard. Joint applicants 
can change the lead PHA in their FY 2007 application. A PHA that was 
originally funded as part of a joint application that wishes to now 
apply separately would continue to be considered a renewal PHA 
applicant for funding purposes, but must be able to meet the FSS 
minimum program size requirement of a HUD-approved HCV FSS program of 
at least 25 slots that applies to new applicant PHAs.
    2. New PHA Applicants. PHAs that were not funded under the HCV FSS 
NOFA in FY 2005 or FY 2006. The new applicant PHA must be authorized 
through its HUD-approved FSS Action Plan to administer an HCV FSS 
program of at least 25 slots, or be a PHA with HUD approval to 
administer an HCV FSS program of fewer than 25 slots that applies 
jointly with one or more other PHAs so that together they have HUD 
approval to administer at least 25 HCV FSS slots. Joint applicants must 
specify a lead co-applicant that will receive and administer the FSS 
program coordinator funding.
    3. MTW PHAs. New and renewal PHAs that are under MTW agreements 
with HUD may qualify for funding under this NOFA if the PHA administers 
an FSS program. When determining the size of a new applicant MTW PHA's 
HUD-approved FSS program, the PHA may request that the number of FSS 
slots reflected in the PHA's MTW agreement be used instead of the 
number in the PHA's FSS Action Plan.
    4. Troubled PHAs
    a. A PHA that has been designated by HUD as a troubled PHA under 
the Section Eight Management Assessment Program (SEMAP), or that has 
serious program management findings from Inspector General audits or 
serious outstanding HUD management review or Independent Public 
Accountant (IPA) audit findings for the PHA's HCV or Moderate 
Rehabilitation programs that are resolved prior to this NOFA's 
application due date is eligible to apply under this NOFA. Serious 
program management findings are those that would cast doubt on the 
capacity of the PHA to administer its HCV FSS program in accordance 
with applicable HUD regulatory and statutory requirements.
    b. A PHA whose SEMAP troubled designation has not been removed by 
HUD or whose major program management findings or other significant 
program compliance problems have not been resolved by the application 
due date may apply if the PHA meets the requirements stated in Section 
III.C.3.e. of this NOFA.
    B. Cost Sharing or Matching. None required.
    C. Other
    1. Eligible Activities. Funds awarded to PHAs under this FSS NOFA 
may only be used to pay salaries and fringe benefits of HCV FSS program 
staff. Funding may be used to employ or otherwise retain for one year 
the services of HCV FSS program coordinators and HCV FSS homeownership 
coordinators. FSS coordinator support positions funded under previous 
FSS NOFAs that made funding available for such FSS positions may be 
continued. A part-time program coordinator may be retained where 
appropriate.
    2. Threshold Requirements
    a. All Applicants
    (1) Each applicant must qualify as an eligible PHA under Section 
III.A. of this NOFA and must have submitted their FSS application by 
the application due date and in the format required in Section IV. of 
this NOFA.
    (2) All applications must include a Dun and Bradstreet Universal 
Numbering System (DUNS) number. (See the General Section for further 
information about the DUNS number requirement.)
    (3) Compliance with Fair Housing and Civil Rights Laws. The General 
Section of the SuperNOFA applies.
    (4) Additional nondiscrimination and other requirements. The 
General Section of the SuperNOFA applies. The Affirmatively Furthering 
Fair Housing requirements of the General Section also apply. Section 3 
of the Housing and Urban Development Act of 1968 does not apply to this 
program.
    (5) The PHA must have a financial management system that meets 
federal standards. See the General Section regarding those applicants 
that may be subject to HUD's arranging for a pre-award survey of an 
applicant's financial management system.
    (6) Applicants must comply with the requirements for funding 
competitions established by the HUD Reform Act of 1989 (42 U.S.C. 3531 
et seq.) and other requirements as defined in the General Section.
    b. Renewal Applicants. Continued funding for existing coordinator 
positions. In addition to meeting the requirements of Section III.A. of 
this FSS NOFA, renewal PHA applicants must continue to operate an HCV 
FSS program, have filled eligible FSS program coordinator positions for 
which they are seeking renewal funding, executed FSS contracts of 
participation with HCV FSS program families, and submitted reports on 
participant families to HUD via the form HUD-50058, or a similar report 
for MTW PHA applicants.
    c. New Applicants. New applicants must meet the requirements of 
Section III.A. and Section III. C.2.a of this FSS NOFA.
    3. Program Requirements.
    a. Salary Comparables. For all positions requested under this NOFA, 
evidence of salary comparability to similar positions in the local

[[Page 11595]]

jurisdiction must be kept on file in the PHA office.
    b. FSS Action Plan. The requirements for the FSS Action Plan are 
stated in 24 CFR 984.201. For a new PHA applicant to qualify for 
funding under this NOFA, the PHA's initial FSS Action Plan or amendment 
to change the number of HCV FSS slots in the PHA's previously HUD-
approved FSS Action Plan must be submitted to and approved by the PHA's 
local HUD field office prior to the application due date of this FSS 
NOFA. An FSS Action Plan can be updated by means of a simple one-page 
addendum that reflects the total number of HCV FSS slots (voluntary 
and/or mandatory slots) the PHA intends to fill. New PHA applicants 
with previously approved HCV FSS Action Plans may wish to confirm the 
number of HUD-approved slots their local HUD field office has on record 
for the PHA. A new applicant MTW PHA may request that the number of FSS 
slots in its MTW agreement be used instead of the number of slots in 
the PHA's FSS Action Plan.
    c. Colonias Preference. New applicant PHAs claiming the Colonias 
preference must meet the requirements of Sections III.A., III.C.2.a. 
and III.C.2.c. of this FSS NOFA and must operate in a Southwest border 
area that contains Colonia communities and administer programs that 
include outreach to members of those Colonia communities. Attachment A 
of this NOFA provides a listing of PHAs in Arizona, California, New 
Mexico, and Texas that HUD has identified as operating in areas 
containing Colonia communities. PHAs not listed in Attachment A that 
are claiming the Colonias preference will be required to submit a 
written request that HUD determine their eligibility for the 
preference. The request must be submitted prior to the application 
deadline date and must be sent to Lorenzo ``Larry'' Reyes, Coordinator, 
SW Border Colonias and Migrant Farmworker Initiative, Office of 
Departmental Operations and Coordination, Department of Housing and 
Urban Development, 451 Seventh Street, SW., Room 3120, Washington, DC 
20410. Any PHA that fails to submit its request by the application 
deadline will be ineligible for the Colonias preference.
    d. Homeownership Preferences. See priority funding categories in 
Section V.B.2. of this FSS NOFA. Reported HCV FSS home purchase numbers 
will be subject to post audit.
    e. Troubled PHAs. A PHA whose SEMAP troubled designation has not 
been removed by HUD or that has major program management findings or 
other significant program compliance problems that have not been 
resolved by the application due date, may apply if the PHA submits an 
application that designates another organization or entity that is 
acceptable to HUD and that:
    (1) Includes an agreement by the other organization or entity to 
administer the FSS program on behalf of the PHA; and
    (2) In the instance of a PHA with unresolved major program 
management findings, includes a statement that outlines the steps the 
PHA is taking to resolve the program findings.
    Immediately after the publication of this NOFA, the Office of 
Public Housing in the local HUD field office will notify, in writing, 
those PHAs that have been designated by HUD as troubled under SEMAP, 
and those PHAs with unresolved major program management findings or 
other significant program compliance problems that are not eligible to 
apply without such an agreement. Concurrently, the local HUD field 
office will provide a copy of each such written notification to the 
Director of the Grants Management Center. If an applicant that is 
required to have an agreement under this section fails to submit the 
required agreement, this will be treated as a technical deficiency. See 
General Section for more information on Corrections to Deficient 
Applications.
    f. Conducting Business in Accordance with Core Values and Ethical 
Standards. To reflect core values, all PHAs shall develop and maintain 
a written code of conduct in the PHA administrative plan that:
    (1) Requires compliance with the conflict-of-interest requirements 
of the HCV program at 24 CFR 982.161; and
    (2) Prohibits the solicitation or acceptance of gifts or 
gratuities, in excess of a nominal value, by any officer or employee of 
the PHA, or any contractor, subcontractor, or agent of the PHA. The 
PHA's administrative plan shall state PHA policies concerning PHA 
administrative and disciplinary remedies for violation of the PHA code 
of conduct. The PHA shall inform all officers, employees, and agents of 
its organization of the PHA's code of conduct. See the General Section 
for additional information on the Code of Conduct requirement.

IV. Application and Submission Information

A. Addresses To Request Application Package

    1. Web site. A copy of this funding announcement for the HCV FSS 
program may be downloaded from the following Web site: http://
www.Grants.gov/applicants/apply--for--grants.jsp.
    2. Further Information. When requesting information, please refer 
to the name of the program you are interested in. The NOFA Information 
Center opens for business simultaneously with the publication of the 
SuperNOFA. You can also obtain information on this NOFA when you 
download the instructions from the www.Grants.gov Web site identified 
above.
    3. Technical Assistance. See Section VII. of this FSS funding 
announcement.

B. Content and Form of Application Submission

    1. Content of Application. Each new and renewal PHA must complete 
form SF-424; the SF-LLL, if appropriate; the form HUD-52651, the HCV 
FSS application form; HUD-2880, ``Applicant/Recipient Disclosure/Update 
Report'' (HUD Applicant Recipient Disclosure Report on Grants.gov); 
HUD-2994-A, You are our Client Grant Applicant Survey; HUD-2991, 
Certification of Consistency with the Consolidated Plan; and an 
Affirmatively Furthering Fair Housing statement in accordance with the 
General Section. In addition, the application must include a completed 
Logic Model (form HUD-96010) showing proposed performance measures 
applicable to the one-year term of the funding requested under this 
NOFA. See the General Section for information on the Logic Model. A 
copy of form HUD-52651, the HCV FSS application form, and the HUD-
96010, Logic Model form, are part of the INSTRUCTIONS download. 
Applicants choosing the Outputs/Outcomes category of ``Other'' must 
include a brief narrative explanation of the category in their 
application package. In completing the SF-424, renewal PHAs should 
select the continuation box on question 2, type of application. The 
Federal Identifier requested in 5a. is the PHA number of each applicant 
PHA (e.g., MD035 or AK002). The Federal Award Identifier is the PHA 
number including the increment number for the last award (e.g., 
MD035V012 or AK002V005). Both new and renewal PHA applicants should 
enter the proposed Annual Contributions Contract (ACC) amendment 
effective and ending dates for the FSS coordinator funding in Section 
17 of the SF-424. In Section 18 of SF-424 (Estimated Funding), complete 
only 18.a., which will be the amount requested from HUD in the FY 2007 
FSS application, and 18.g., Total. The dollar amounts entered in 18.a. 
and 18.g. must be the total requested under

[[Page 11596]]

this NOFA. Those totals should include amounts for fringe benefits, if 
applicable, and the percentage increase for renewal PHA applicants. In 
completing Part IV. A. of form HUD-52651, enter the salary requested 
per position under the NOFA with the percentage increase included.
    C. Submission Date and Time. Your completed application must be 
received and validated by Grants.gov no later than 11:59:59 p.m. 
eastern time on the application deadline date. Please note that 
validation may take up to 72 hours. Applicants should carefully read 
the section titled ``APPLICATION and SUBMISSION INFORMATION'' in the 
General Section.
    D. Intergovernmental Review. This NOFA is not subject to Executive 
Order (EO) 12372, Intergovernmental Review of Federal Programs.

E. Funding Restrictions

    1. Salary Cap. Awards under this NOFA are subject to a cap of 
$65,500 per year per full-time coordinator position funded. Under this 
NOFA, if PHAs apply jointly, the $65,500 maximum amount that may be 
requested per position applies to up to one full-time coordinator 
position for the application as a whole, not to each PHA separately.
    2. Limitation on Renewal Funding Increases. For renewal coordinator 
positions, PHAs will be limited to a one percent increase above the 
amount of the most recent award for the position unless a higher 
increase is approved by the local HUD field office after review of the 
PHA's written justification and at least three comparables that must be 
submitted to the field office by the application due date. Examples of 
acceptable reasons for increases above one percent would be a need for 
a coordinator with higher level of skills or to increase the hours of a 
part-time coordinator to full time. Total positions funded cannot 
exceed the maximum number of positions for which the PHA is eligible 
under this NOFA.
    3. Ineligible Activities
    a. Funds under this NOFA may not be used to pay the salary of an 
FSS coordinator for a public housing FSS program. An HCV FSS program 
coordinator may only serve HCV families while the public housing FSS 
program serves only public housing residents. In FY 2007, funding for 
public housing FSS program coordinators is being made available through 
the Public Housing Resident Opportunities and Self-Sufficiency (ROSS) 
NOFA for Public Housing FSS Program Coordinators that is included in 
the FY 2007 SuperNOFA.
    b. Funds under this FSS NOFA may not be used to pay for services 
for FSS program participants.

F. Other Submission Requirements

    1. Application Submission and Receipt Procedures. See the General 
Section. Electronic application submission is mandatory unless an 
applicant requests, and is granted, a waiver to the requirement. 
Applicants should submit their waiver requests in writing using e-mail. 
Waiver requests must be submitted no later than 15 days prior to the 
application deadline date and should be submitted to [email protected] and to [email protected]. The subject line 
of the email message should be FY'07 HCV FSS NOFA Waiver Request. If an 
applicant is granted a waiver, then the approval will provide 
instructions for submitting paper copies to the appropriate HUD 
office(s). All paper applications must be received by the application 
deadline date to meet the requirements for timely submission.

V. Application Review Information

    A. Criteria. The funds available under this NOFA are being awarded 
based on demonstrated performance. Applications are reviewed by the 
local HUD field office and Grants Management Center (GMC) to determine 
whether or not they are technically adequate based on the NOFA 
requirements. Field offices will provide to the GMC in a timely manner, 
as requested, information needed by the GMC to make its determination, 
such as the HUD-approved HCV FSS program size of new PHA applicants and 
information on the administrative capabilities of PHAs. Categories of 
applications that will not be funded are stated in Section V.B.6. of 
this FSS NOFA.

B. Review and Selection Process

    1. Technically Acceptable Applications. All technically adequate 
applications will be funded to the extent funds are available.
    2. Funding Priority Categories. If HUD receives applications for 
funding greater than the amount made available under this NOFA, HUD 
will divide eligible applications into priority categories as follows:
    Funding Category 1--Applications from eligible renewal PHAs with 
qualifying homeownership programs with a minimum of fifteen (15) HCV 
FSS program participants or graduates that purchased homes between 
October 1, 2000, and the publication date of this FSS NOFA and an 
increase of at least ten (10) percent in the number of participants in 
the applicant's HCV FSS program from Calendar Year 2005 to Calendar 
Year 2006. Both the number of home purchases and the percentage 
increase in the number the HCV FSS program participants will be 
determined by HUD using PIC data from form HUD-50058 or as otherwise 
reported for MTW PHAs.
    Funding Category 2--Eligible renewal PHA applicants with programs 
that have families with positive escrow balances and/or families that 
successfully completed their FSS contracts between December 31, 2005, 
and December 31, 2006.
    Funding Category 3--Eligible renewal PHA applicants with qualifying 
homeownership programs and an increase in the number of HCV FSS program 
participants of at least ten (10) percent from Calendar Year 2005 to 
Calendar Year 2006.
    Funding Category 4--New PHA applicants with HUD approval to 
implement an FSS program of at least 25 slots.
    3. Order of Funding. Starting with Funding Category 1, HUD will 
first determine whether there are sufficient monies to fund all 
eligible positions requested in the funding category. If available 
funding is not sufficient to fund all positions requested in the 
category, HUD will fund applications in the following order:
    a. Funding Category 1. HUD will calculate the Percentage Increase 
of HCV FSS Program Participants for each eligible applicant and will 
use this percentage in making funding decisions. HUD will fund eligible 
applicants in order starting with those that have the highest 
Percentage Increase of HCV FSS Program Participants. If funding is not 
sufficient to fund all applicants with the same Percentage Increase of 
HCV FSS Program Participants, HUD will select among eligible applicants 
by HCV program size starting with eligible applicants with the smallest 
HCV program size.
    b. Funding Category 2. If funds remain, HUD will process requests 
of eligible Funding Category 2 applicant PHAs. HUD will first calculate 
the Percentage of Families with Positive FSS escrow balances for all 
eligible Funding Category 2 applicants. If there are not sufficient 
monies to fund all eligible funding category 2 applicants, HUD will 
fund eligible applications starting with those with the highest 
positive escrow percentage. If there are not sufficient monies to fund 
all applications with the same positive escrow percentage, HUD will 
select eligible applicants in order by HCV program size starting with 
eligible

[[Page 11597]]

applicants with the smallest HCV program size.
    c. Funding Category 3. If funds remain, HUD will process eligible 
Funding Category 3 applications. If there is not enough funding for all 
applicants, HUD will use the Percentage Increase of HCV FSS 
Participants to determine selection order, starting with applicants 
with the highest Percentage Increase of HCV FSS Participants. If funds 
are not sufficient for all applicants with the same Percentage Increase 
of HCV FSS Participants, HUD will fund eligible applicants by HCV 
program size starting with eligible applicants with the smallest HCV 
program size.
    d. Funding Category 4. If funds remain after all Category 1 through 
3 applicants have been funded, HUD will process applications from 
eligible Category 4 new PHA applicants. If there are not sufficient 
monies to fund all eligible Category 4 PHA applicants, HUD will first 
fund eligible applications from those PHAs qualifying for the Colonias 
preference. If there are not sufficient monies to fund all eligible 
Colonias PHA applicants, HUD will fund them starting with the smallest 
HCV program size first. If funding remains after funding all eligible 
Category 4 Colonias PHA applicants, HUD will then begin funding 
eligible non-Colonias applicants by HCV program size, starting with 
eligible applicants with the smallest HCV program size first.
    4. Based on the number of applications submitted, the GMC may elect 
not to process applications for a funding priority category where it is 
apparent that there are insufficient funds available to fund any 
applications within the priority category.
    5. Corrections to Deficient Applications. The General Section 
provides the procedures for corrections to deficient applications.
    6. Unacceptable Applications. After the technical deficiency 
correction period (as provided in the General Section), the GMC will 
disapprove PHA applications that it determines are not acceptable for 
processing. Applications from PHAs that fall into any of the following 
categories are ineligible for funding under this NOFA and will not be 
processed:
    a. An application submitted by an entity that is not an eligible 
PHA as defined under Section III.A. and Section III.C. of this FSS NOFA 
or an application that does not comply with the requirements of Section 
IV.B., IV.C., and IV.F. of this FSS NOFA.
    b. An application from a PHA that does not meet the fair housing 
and civil rights compliance requirements of the General Section.
    c. An application from a PHA that does not comply with the 
prohibition against lobbying activities of the General Section.
    d. An application from a PHA that as of the application due date 
has not made progress satisfactory to HUD in resolving serious 
outstanding Inspector General audit findings, or serious outstanding 
HUD management review or Independent Public Accountant audit findings 
for the HCV program and/or Moderate Rehabilitation program or has a 
``troubled'' rating under SEMAP, and has not designated another 
organization acceptable to HUD to administer the FSS program on behalf 
of the PHA as required in Section III.C.3.e. of this FSS NOFA.
    e. An application from a PHA that has been debarred or otherwise 
disqualified from providing assistance under the program.
    f. An application that did not meet the application due date and 
timely receipt requirements as specified in this NOFA and the General 
Section.
    g. Applications will not be funded that do not meet the Threshold 
requirements identified in this NOFA and the General Section.
    C. Anticipated Announcement and Award Dates. It is anticipated that 
award announcements will take place during either the month of July or 
August 2007.

VI. Award Administration Information

    A. Award Notices. Successful applicants will receive an award 
letter from HUD. Funding will be provided to successful applicants as 
an amendment to the ACC of the applicant PHA. In the case of awards to 
joint applicants, the funding will be provided as an amendment to the 
ACC of the lead PHA that was identified in the application.
    Unsuccessful applicants will receive a notification of rejection 
letter from the GMC that will state the basis for the decision. The 
applicant may request an applicant debriefing. Beginning not less than 
30 days after the awards for assistance are publicly announced in the 
Federal Register and for at least 120 days after awards for assistance 
are announced publicly, HUD will, upon receiving a written request, 
provide a debriefing to the requesting applicant. (See the General 
Section for additional information regarding a debriefing.) Applicants 
requesting to be debriefed must send a written request to: Iredia 
Hutchinson, Director, Grants Management Center, U.S. Department of 
Housing and Urban Development, 501 School Street, SW., Suite 800, 
Washington, DC 20024.

B. Administrative and National Policy Requirements

    1. Environmental Impact. Under 24 CFR 50.19(b)(4) and (12), no 
environmental review is required in connection with activities 
conducted under this NOFA, because the NOFA provides funds for 
employing a coordinator to provide only public and supportive services, 
which are categorically excluded from environmental review under the 
National Environmental Policy Act of 1969 (42 U.S.C. 4321) and not 
subject to the related environmental authorities.
    2. HUD's Strategic Goals. HUD is committed to ensuring that 
programs result in the achievement of HUD's strategic mission. The FSS 
program and this FSS NOFA support the Department's strategic goals of 
increasing homeownership activities and helping HUD-assisted renters 
make progress toward self-sufficiency by giving funding preference to 
PHAs whose FSS programs show success in moving families to self-
sufficiency and homeownership. You can find out about HUD's Strategic 
Framework and Annual Performance Plan at http://www.hud.gov/offices/cfo/reports/cforept.cfm.
    3. HUD Policy Priorities. This NOFA supports HUD's policy 
priorities of providing increased homeownership opportunities and 
increased self-sufficiency of low-income families through employment. 
Consequently, funding priority in this NOFA will be given to those PHA 
applicants that demonstrate that a minimum of 15 of their FSS families 
have become homeowners that have increased their FSS program size by at 
least 10 percent in calendar year 2006 and to applicants with program 
participants who have increased their earned income since enrolling in 
FSS and/or have families that completed their FSS contracts in the last 
calendar year. See the General Section for a full discussion of HUD's 
policy priorities.
    C. Reporting. Successful applicants must report activities of their 
FSS enrollment, progress and exit activities of their FSS program 
participants through required submissions of the Form HUD-50058. HUD's 
assessment of the accomplishments of the FSS programs of PHAs funded 
under this NOFA will be based primarily on PIC system data obtained 
from form HUD-50058. MTW PHAs that do not report to HUD on form HUD-
50058 will be asked to submit an annual report to HUD with the same 
information on FSS program

[[Page 11598]]

activities that is provided to HUD by non-MTW PHAs via form HUD-50058. 
Each recipient is also required to submit a completed Logic Model 
showing accomplishments against proposed outputs and outcomes as part 
of their annual reporting requirement to HUD. Recipients shall use 
quantifiable data to measure performance against goals and objectives 
outlined in their Logic Model. An annual Performance Report consisting 
of the updated Logic Model and answers to the Program Management and 
Evaluations Questions must be submitted to the Public Housing Director 
in the recipient's local HUD field office no later than 30 days after 
the ending date of the one-year funding increment provided to the 
recipient under this NOFA. For FY 2007, HUD is considering a new 
concept for the Logic Model. The new concept is a Return on Investment 
(ROI) statement. HUD plans to issue a Federal Register notice 
soliciting comment on the ROI concept. In addition, HUD requires that 
funded recipients collect racial and ethnic beneficiary data. It has 
adopted the Office of Management and Budget's Standards for the 
Collection of Racial and Ethnic Data. In view of these requirements, 
funded recipients should use Form HUD-27061, Racial and Ethnic Data 
Reporting Form (HUD Race Ethnic Form on Grants.gov), or a comparable 
form. Form HUD-50058, which provides racial and ethnic data to HUD's 
PIC data system, is a comparable program form.

VII. Agency Contacts

    A. For Technical Assistance. For answers to your questions, you may 
contact the Public and Indian Housing Resource Center at 800-955-2232. 
Persons with hearing or speech impairments may access this number via 
TTY (text telephone) by calling the Federal Information Relay Service 
at 800-877-8339. (These are toll-free numbers). Prior to the 
application deadline, staff at the numbers given above will be 
available to provide general guidance, but not guidance in actually 
preparing the application. Following selection, but prior to award, HUD 
staff will be available to assist in clarifying or confirming 
information that is a prerequisite to the offer of an award by HUD.
    B. Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the HCV FSS 
program and preparation of an application. For more information about 
the date and time of this broadcast, you should consult the HUD website 
at www.hud.gov.

VIII. Other Information

    A. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2577-0178. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average one hour per annum per respondent 
for the application and grant administration. This includes the time 
for collecting, reviewing, and reporting the data for the application 
and other required reporting. The information will be used for grantee 
selection and monitoring the administration of funds. Response to this 
request for information is required in order to receive the benefits to 
be derived.
    B. Public Access, Documentation, and Disclosure. See Section VIII. 
G. of the General Section.

 Attachment A--PHAs That Operate in Areas Containing Colonia Communities
------------------------------------------------------------------------
 
------------------------------------------------------------------------
                              Arizona PHAs
------------------------------------------------------------------------
City of Douglas Housing Authority......  City of Nogales Housing
                                          Authority.
City of Eloy Housing Authority.........  City of Yuma Housing Authority.
Cochise County Housing Authority.......  Yuma County Housing Authority.
------------------------------------------------------------------------
Pinal County Housing Authority.........  Section 8 Housing for Graham
                                          County, Arizona Department of
                                          Housing.
                                        --------------------------------
                             California PHAs
------------------------------------------------------------------------
City of Calexico Housing Authority.....  Housing Authority of the County
                                          of Riverside.
Imperial Valley Housing Authority......
------------------------------------------------------------------------
                             New Mexico PHAs
------------------------------------------------------------------------
City of Alamogordo Housing Authority...  City of Las Cruces/Dona Ana
                                          County Housing Authority.
City of Truth or Consequences Housing    City of Socorro Housing
 Authority.                               Authority.
Eddy County--Region VI.................  Housing Authority of the
                                          Village of Santa Clara.
Lordsburg Housing Authority............  Otero County--Region VI.
Silver City Housing Authority--Region V  Sunland Park Housing Authority.
Town of Baynard Housing Authority......
------------------------------------------------------------------------
                               Texas PHAs
------------------------------------------------------------------------
Alamo Housing Authority................  Asherton Housing Authority.
Bracketville Housing Authority.........  Brownsville Housing Authority.
Cameron County Housing Authority.......  Carrizo Housing Authority.
Del Rio Housing Authority..............  Dona Housing Authority.
Eagle Pass Housing Authority...........  Ed Couch Housing Authority.
Edinburg Housing Authority.............  Elsa Housing Authority.
Harlingen Housing Authority............  Hidalgo County Housing
                                          Authority.
Laredo Housing Authority...............  La Joya Housing Authority.
Los Fresnos Housing Authority..........  McAllen Housing Authority.
Mercedes Housing Authority.............  Mission Housing Authority.
Pharr Housing Authority................  Port Isabel Housing Authority.

[[Page 11599]]

 
San Benito Housing Authority...........  San Juan Housing Authority.
Starr County Housing Authority.........  Weslaco Housing Authority.
Willacy County Housing Authority.......  Uvalde Housing Authority.
Zapata County Housing Authority........
------------------------------------------------------------------------


[[Page 11600]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.017


[[Page 11601]]

Rural Housing and Economic Development Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Community Planning and Development, Office of Rural 
Housing and Economic Development.
    B. Funding Opportunity Title: Rural Housing and Economic 
Development (RHED) program.
    C. Announcement Type: Initial Announcement.
    D. Funding Opportunity Number: FR-5100-N-02, OMB Approval Number 
2506-0169.
    E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.250, 
Rural Housing and Economic Development.
    F. Application Date: The application deadline date is May 23, 2007. 
Applications submitted through http://www.grants.gov must be received 
and validated by grants.gov no later than 11:59:59 Eastern time on the 
application deadline date. The validation process may take up to 72 
hours.

G. Optional, Additional Overview Information

    Purpose of Program: The purpose of the Rural Housing and Economic 
Development program is to provide support for innovative housing and 
economic development activities in rural areas. The funds made 
available under this program will be awarded competitively through a 
selection process conducted by HUD in accordance with the HUD Reform 
Act.

Full Text of Announcement

I. Funding Opportunity Description

A. Background

    There has been a growing national recognition of the need to 
provide support for local rural nonprofit organizations, community 
development corporations, federally recognized Indian tribes, state 
housing finance agencies (HFAs), and state economic development and 
community development agencies to expand the supply of affordable 
housing and to engage in economic development activities in rural 
areas. A number of resources are available from the federal government 
to address these problems, including programs of the U.S. Department of 
Agriculture (USDA), the Economic Development Administration (EDA), the 
Appalachian Regional Commission (ARC), the Department of Interior (for 
Indian tribes), and HUD. The Rural Housing and Economic Development 
program was developed to supplement these resources and to focus 
specifically on promoting innovative approaches to housing and economic 
development in rural areas. In administering these funds, HUD 
encourages you to coordinate your activities with those supported by 
any of the agencies listed above.

B. Definitions

    1. Appalachia's Distressed Counties means those counties in 
Appalachia that the Appalachian Regional Commission (ARC) has 
determined to have unemployment and poverty rates that are 150 percent 
of the respective U.S. rates and a per capita income that is less than 
67 percent of the U.S. per capita income, and have counties with 200 
percent of the U.S. poverty rate and one other indicator, such as the 
percentage of overcrowded housing. Refer to www.arc.gov for a list of 
ARC-distressed counties and more information.
    2. Colonia means any identifiable, rural community that: a. Is 
located in the state of Arizona, California, New Mexico, or Texas; b. 
Is within 150 miles of the border between the United States and Mexico; 
and c. Is determined to be a colonia on the basis of objective need 
criteria, including a lack of potable water supply, lack of adequate 
sewage systems, and lack of decent, safe, sanitary, and accessible 
housing.
    3. Farm Worker means a farm employee of an owner, tenant, labor 
contractor, or other operator raising or harvesting agricultural or 
aquacultural commodities, or a worker who, in the employment of a farm 
operator, engages in handling, planting, drying, packing, grading, 
storing, delivering to storage or market, or carrying to market 
agricultural or aquacultural commodities produced by the operator. 
Seasonal farm workers are those farm employees who typically do not 
have a constant year-round salary.
    4. Firm Commitment means a letter of commitment from a partner by 
which an applicant's partner agrees to perform an activity specified in 
the application, demonstrates the financial capacity to deliver the 
resources necessary to carry out the activity, and commits the 
resources to the activity, either in cash or through in-kind 
contributions. It is irrevocable, subject only to approval and receipt 
of a fiscal year (FY) 2007 Rural Housing and Economic Development 
grant. Each letter of commitment must include the organization's name 
and applicant's name, reference the Rural Housing and Economic 
Development program, and describe the proposed total level of 
commitment and responsibilities, expressed in dollar value for cash or 
in-kind contributions, as they relate to the proposed program. The 
commitment must be written on the letterhead of the participating 
organization, must be signed by an official of the organization legally 
able to make commitments on behalf of the organization, and must be 
dated no earlier than the date of publication of this NOFA. In 
documenting a firm commitment, the applicant's partner must:
    a. Specify the authority by which the commitment is made, the 
amount of the commitment, the proposed use of funds, and the 
relationship of the commitment to the proposed investment. If the 
committed activity is to be self-financed, the applicant's partner must 
demonstrate its financial capability through a corporate or personal 
financial statement or other appropriate means. If any portion of the 
activity is to be financed through a lending institution, the 
participant must provide evidence of the institution's commitment to 
fund the loan; and
    b. Affirm that the firm commitment is contingent only upon the 
receipt of FY2007 Rural Housing and Economic Development funds and 
state a willingness on the part of the signatory to sign a legally 
binding agreement (conditioned upon HUD's environmental review and 
approval of a property, where applicable) upon award of the grant.
    5. Federally Recognized Indian tribe means any tribal entity 
eligible to apply for funding and services from the Bureau of Indian 
Affairs by virtue of its status as an Indian tribe. The list of 
federally recognized tribes can be found in the notice published by the 
Department of the Interior on November 25, 2005 (70 FR 71194) and is 
also available from HUD.
    6. Innovative Housing Activities means projects, techniques, 
methods, combinations of assistance, construction materials, energy 
efficiency improvements, or financing institutions or sources new to 
the eligible area or to its population. The innovative activities can 
also build upon and enhance a model that already exists.
    7. Local Rural Nonprofit Organization or Community Development 
Corporation means either of the following:
    a. Any private entity with tax-exempt status recognized by the 
Internal Revenue Service (IRS) that serves the eligible rural area 
identified in the application (including a local affiliate of a 
national organization that provides technical assistance in rural 
areas); or
    b. Any public nonprofit entity such as a Council of Governments 
that will

[[Page 11602]]

serve specific local nonprofit organizations in the eligible area.
    8. Lower Mississippi Delta Region means the eight-state, 240-
county/parish region defined by Congress in the Lower Mississippi Delta 
Development Act, Public Law 100-460. Refer to www.dra.gov for more 
information.
    9. Eligible Rural Area means one of the following:
    a. A non-urban place having fewer than 2,500 inhabitants (within or 
outside of metropolitan areas).
    b. A county or parish with an urban population of 20,000 
inhabitants or less.
    c. Territory, including its persons and housing units, in the rural 
portions of ``extended cities.'' The U.S. Census Bureau identifies the 
rural portions of extended cities.
    d. Open country that is not part of or associated with an urban 
area. The USDA describes ``open country'' as a site separated by open 
space from any adjacent, densely populated urban area. Open space 
includes undeveloped land, agricultural land, or sparsely settled 
areas, but does not include physical barriers (such as rivers and 
canals), public parks, commercial and industrial developments, small 
areas reserved for recreational purposes, or open space set aside for 
future development.
    e. Any place with a population of 20,000 or less and not located in 
a Metropolitan Statistical Area.
    10. State Community and/or Economic Development Agency means any 
state agency whose primary purpose is promotion of economic development 
statewide or in a local community.
    11. State Housing Finance Agency means any state agency created to 
assist local communities and housing providers with financing 
assistance for development of housing in rural areas, particularly for 
low- and moderate-income people.

II. Award Information

A. Amount Allocated

    1. Available Funds. Approximately $16,830,000 in Fiscal Year (FY) 
2007 funding (plus any additional funds available through recapture) 
are being made available through this NOFA.
    2. Funding Award Amount. HUD will award up to approximately 
$16,830,000 on a competitive basis for Support for Innovative Housing 
and Economic Development Activities to federally recognized Indian 
tribes, state housing finance agencies (HFAs), state community and/or 
economic development agencies, local rural nonprofit organizations, and 
community development corporations to support innovative housing and 
economic development activities in rural areas. The maximum amount 
awarded to a successful applicant will be $300,000.

B. Grant Amount

    In the event, you, the applicant, are awarded a grant that has been 
reduced (e.g., the application contained some activities that were 
ineligible or budget information did not support the request), you will 
be required to modify your project plans and application to conform to 
the terms of HUD's approval before execution of the grant agreement.
    HUD reserves the right to reduce or de-obligate the award if 
suitable modifications to the proposed project are not submitted by the 
awardee within 90 days of the request. Any modifications must be within 
the scope of the original application. HUD reserves the right to not 
make awards under this NOFA.

C. Grant Period

    Recipients will have 36 months from the date of the executed grant 
agreement to complete all project activities.

D. Notification of Approval or Disapproval

    HUD will notify you whether or not you have been selected for an 
award. If you are selected, HUD's notice to you concerning the amount 
of the grant award (based on the approved application) will constitute 
HUD's conditional approval, subject to negotiation and execution of a 
grant agreement by HUD.

III. Eligibility Information

    A. Eligible Applicants. Eligible applicants for the Rural Housing 
and Economic Development program are local rural nonprofit 
organizations, community development corporations, federally recognized 
Indian tribes, state housing finance agencies, and state community and/
or economic development agencies. Also, you must meet all of the 
applicable eligibility requirements described in section III.C of the 
General Section.
    B. Cost Sharing or Matching. There is no match required under the 
Rural Housing and Economic Development program. Applicants that submit 
evidence of leveraging dollars under Rating Factor 4 will receive 
points according to the scale under that factor.

C. Other

    1. Eligible Activities. The following are examples of eligible 
activities under the Rural Housing and Economic Development program.
    Permissible activities may include, but are not limited to the 
following:
    a. The cost of using new or innovative construction, energy 
efficiency, or other techniques that will result in the design or 
construction of innovative housing and economic development projects;
    b. Preparation of plans or of architectural or engineering 
drawings;
    c. Preparation of legal documents, government paperwork, and 
applications necessary for construction of housing and economic 
development activities to occur in the jurisdiction;
    d. Acquisition of land and buildings;
    e. Demolition of property to permit construction or rehabilitation 
activities to occur;
    f. Purchase of construction materials;
    g. Homeownership counseling, including on the subjects of fair 
housing counseling, credit counseling, budgeting, access to credit, and 
other federal assistance available, including features for persons with 
disabilities, such as full accessibility, visitability, and universal 
design;
    h. Conducting conferences or meetings with other federal or state 
agencies, tribes, tribally designated housing entities (TDHE), or 
national or regional housing organizations, to inform residents of 
programs, rights, and responsibilities associated with homebuying 
opportunities (all meetings and conferences should be provided in 
alternative formats for persons with a variety of disabilities, as 
appropriate, and in applicable languages common in the community for 
limited English proficient (LEP) families);
    i. Establishing Community Development Financial Institutions 
(CDFIs), lines of credit, revolving loan funds, microenterprises, and 
small business incubators; and
    j. Provision of direct financial assistance to homeowners/
businesses/developers, etc. This can be in the form of default 
reserves, pooling/securitization mechanisms, loans, grants, the funding 
of existing individual development accounts, or similar activities.
    2. Statutory and Regulatory Requirements. To be eligible for 
funding under HUD NOFAs issued during FY 2007, you, the applicant, must 
meet all statutory and regulatory requirements applicable to this NOFA 
as described in the General Section. HUD may also eliminate ineligible 
activities from funding consideration and reduce funding amounts 
accordingly.
    3. General HUD Threshold Requirements. You must meet all threshold 
requirements described in the General Section.
    a. Ineligible Applicants. HUD will not consider an application from 
an ineligible applicant.

[[Page 11603]]

    b. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). Recipients of assistance under this NOFA must comply with 
section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C. 
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 to businesses that 
provide economic opportunities to low- and very low-income persons.
    4. Program-Specific Threshold Requirements.
    a. The application must receive a minimum rating score of 75 points 
to be considered for funding.
    b. HUD will only fund eligible applicants as defined in this NOFA 
under section III.A.
    c. Applicants must serve an eligible rural area as defined in 
section I. of this NOFA.
    d. Proposed activities must meet the objectives of the Rural 
Housing and Economic Development program.
    e. Applicants must demonstrate that their activities will continue 
to serve populations that are in need and that beneficiaries will have 
a choice of innovative housing and economic development opportunities 
as a result of the activities.

IV. Application and Submission Information

A. Address To Request Application Package

    This section describes how you may obtain application forms. Copies 
of the published Rural Housing and Economic Development NOFA and 
application forms may be downloaded from the Grants.gov Web site at 
http://www.grants.gov/Apply. You may call the Grants.gov support desk 
at 800-518-GRANTS, or e-mail the support desk at Grants.gov">Support@Grants.gov for 
assistance in downloading the application.

B. Content and Form of Application Submission

    1. Application Submission Requirements. Be sure to read and follow 
the application submission requirements carefully.
    a. Page Numbering. All pages of the application must be numbered 
sequentially if you are submitting a paper copy application. For 
electronic application submission, you should follow the directions in 
the General Section.
    b. Application Items. Your application must contain the items 
listed below.
    (1) An abstract with the dollar amount requested, the category 
under which you qualify for demographics of distress special factor 
under Rating Factor 2 (Need and Extent of the Problem), which of the 
five definitions of the term ``rural area'' set forth in section I B.9 
of this NOFA applies to the proposed service area, and accompanying 
documentation as indicated on the form.
    (2) Table of Contents.
    (3) A signed Application for Federal Assistance (SF-424) 
(application form).
    (4) SF-424 Supplement Survey on Equal Opportunity for Applicants 
(optional submission).
    (5) Facsimile Transmittal (HUD-96011). (This must be used as the 
cover page to transmit third-party documents as part of your electronic 
application).
    (6) Disclosure of Lobbying Activities (SF-LLL).
    (7) Applicant/Recipient Disclosure/Update Report (HUD-2880).
    (8) You Are Our Client Grant Applicant Survey (HUD 2994-A) 
(Optional).
    (9) Program Outcome Logic Model (HUD-96010).
    (10) A budget for all funds (federal and non-federal including the 
Detailed Budget Form (HUD-424-CB) and the Grant Application Detailed 
Budge Worksheet (HUD 424-CBW).
    (11) Certification of Consistency with RC/EZ/EC-II Strategic Plan 
(HUD-2990), if applicable.
    (12) Certification of Consistency with the Consolidated Plan (HUD-
2991), if applicable.
    (13) Documentation of funds pledged in support of Rating Factor 4--
``Leveraging Resources.'' This documentation, which will not be counted 
in the 15-page limitation, must be in the form of a ``firm commitment'' 
as defined in section I.B.4 of this NOFA.
    (14) If you are a private nonprofit organization, a copy of your 
organization's IRS ruling providing tax-exempt status under section 501 
of the Internal Revenue Code of 1986, as amended.
    (15) Narrative response to Factors for Award. The total narrative 
response to all factors should not exceed 15 pages and should be 
submitted on 8.5-x-11-inch single-sided paper, with 12-point font and 
double lined spacing. Please note that although submitting pages in 
excess of the page limit will not disqualify your application, HUD will 
not consider or review the information on any excess pages, and if you 
place key information on those pages, you may fail to meet a threshold 
requirement. In addition, applicants should be aware that additional 
pages increase the size of the application and the length of time it 
will take to electronically submit the document and have it 
electronically received by Grants.gov.
    (16) Questionnaire for HUD's Initiative on Removal of Regulatory 
Barriers (Form HUD-27300). To get the points for this policy priority, 
you must include the documentation or references to website links where 
the information can be found.
    All applicants are required to use the following format in their 
15-page narrative responses to the rating factors included in the 
program NOFA:
    Factor 1--Relevant Organizational Experience;
    Factor 2--Need and Extent of the Problem;
    Factor 3--Soundness of Approach;
    Factor 4--Leveraging Resources; and
    Factor 5--Achieving Results and Program Evaluation.
    See section V. of this NOFA for further details.

C. Submission Dates and Times

    1. Electronic Application Submission. Applications for the Rural 
Housing and Economic Development program must be received and validated 
by Grants.gov no later than 11:59:59 p.m. Eastern Time on the 
application deadline date. Applicants are advised to submit their 
applications at least 48 to 72 hours in advance of the deadline date 
and when the Grants.gov help desk is open so that any issues can be 
addressed prior to the deadline date and time. Please note that 
validation may take up to 72 hours. You will receive an acknowledgement 
of receipt from Grants.gov when your application has been successfully 
received, and later that it has been validated or rejected. Please see 
the General Section for more detailed information. If you do not 
receive the validation or rejection notice within 24 to 48 hours, 
contact the Grants.gov help desk.
    2. Applicants are advised to carefully read their application 
submission and timely receipt requirements in the General Section since 
they have changed from previous years.
    3. Only one application will be accepted from any given 
organization. If more than one application is submitted electronically, 
the application submitted closest in time before the due date will be 
the one reviewed by HUD. HUD will not accept application addendums 
after

[[Page 11604]]

the deadline unless HUD has specifically asked the applicant for a 
correction to a technical deficiency in the application. Responses to 
technical deficiencies must be received by HUD within the time 
allocated to cure the deficiency. Corrections to technical deficiencies 
are submitted directly to HUD in accordance with the information 
contained in the program office's cure notification.

D. Intergovernmental Agency Review

    Intergovernmental agency review is not required for this program.

E. Funding Restrictions

    1. Administrative Costs. Administrative costs for assistance under 
the Rural Housing and Economic Development program may not exceed 15 
percent of the total HUD Rural Housing and Economic Development grant 
award.
    2. Ineligible Activities. RHED funds cannot be used for the 
following activities:
    a. Income payments to subsidize individuals or families;
    b. Political activities;
    c. General governmental expenses other than expenses related to the 
administrative cost of the grant; or
    d. Projects or activities intended for personal gain or private 
use.
    HUD reserves the right to reduce or deobligate the award if 
suitable modifications to the proposed project are not submitted by the 
awardee within 90 days of the request. Any modification must be within 
the scope of the original application. HUD reserves the right not to 
make awards under this NOFA.
    F. Other Submission Requirements. Carefully review the procedures 
presented in section IV of the General Section FY 2007, because HUD 
will only accept electronic applications submitted through 
www.grants.gov.
    Applicants may request a waiver of the electronic submission 
requirement. Paper applications will not be accepted unless the 
applicant has received a waiver to the electronic submission 
requirement. Applicants should submit their waiver requests in writing 
in the form of a letter of request. Waiver requests must be submitted 
no later than 15 days prior to the application deadline date and should 
be submitted to the Office of Rural Housing and Economic Development, 
451 Seventh Street, SW., Room 7137, Washington, DC 20410. Instructions 
regarding the number of copies to submit and to what address will be 
contained in the approval to the waiver request. Paper submissions must 
be received at the appropriate HUD office(s) no later than the deadline 
date.

V. Application Review Information

    A. Criteria. Carefully review all the Application Review procedures 
in section V of the General Section. In addition, the following Rating 
Factors will be used to rate your application.
    1. Rating Factor 1--Capacity of the Applicant and Relevant 
Organizational Experience (25 points). This rating factor addresses the 
extent to which you have the organizational resources necessary to 
successfully implement your proposed workplan, as further described in 
Rating Factor 3, within the 36-month award period.
    a. Team members, composition, and experience (10 points). HUD will 
evaluate the experience (including for recentness and relevancy) of 
your project director, core staff, and any outside consultant, 
contractor, subrecipient, or project partner as it relates to 
innovative housing and economic development and to the implementation 
of the activities in your work plan. HUD also will assess the services 
that consultants or other parties will provide to fill gaps in your 
staffing structure to enable you to carry out the proposed work plan; 
the experience of your project director in managing projects of similar 
size, scope, and dollar amount; the lines of authority and procedures 
that you have in place for ensuring that work plan goals and objectives 
are being met, that consultants and other project partners are 
performing as planned, and that beneficiaries are being adequately 
served. In judging your response to this factor, HUD will only consider 
work experience gained within the last 7 years. When responding, please 
be sure to provide the dates, job titles, and relevancy of the past 
experience to the work to be undertaken by the employee or contractor 
under your proposed Rural Housing and Economic Development award. The 
more recent, relevant, and successful the experience of your team 
members is in relationship to the work plan activities, the greater the 
number of points you will receive.
    b. Organizational structure and management capacity (5 points). HUD 
will evaluate the extent to which you can demonstrate your 
organization's ability to manage a workforce composed of full-time or 
part-time staff, as well as any consultant staff, and your ability to 
work with community-based groups or organizations in resolving issues 
related to affordable housing and economic development. In evaluating 
this subfactor, HUD will take into account your experience in working 
with community-based organizations to design and implement programs 
that address the identified housing and economic development issues. 
The more recent, relevant, and successful the experience of your 
organization and any participating entity, the greater the number of 
points you will receive.
    c. Experience with performance based funding requirements (10 
points). HUD will evaluate your performance in any previous grant 
program undertaken with HUD funds or other federal, state, local, or 
nonprofit or for-profit organization funds. In assessing points for 
this sub-factor, HUD reserves the right to take into account your past 
performance in meeting performance and reporting goals for any previous 
HUD award, in particular whether the program achieved its outcomes. HUD 
will deduct one point for each of the following activities related to 
previous HUD grant programs for which unsatisfactory performance has 
been verified: (1) Mismanagement of funds, including the inability to 
account for funds appropriately; (2) untimely use of funds received 
either from HUD or other federal, state, or local programs; and (3) 
significant and consistent failure to measure performance outcomes. 
Among the specific outcomes to be measured are the increases in program 
accomplishments as a result of capacity building assistance and the 
increase in organizational resources as a result of assistance.
    d. Past Rural Housing and Economic Development program performance. 
The past performance of previously awarded Rural Housing and Economic 
Development grantees will be taken into consideration when evaluating 
Rating Factor 1 (Capacity of the Applicant and Relevant Organizational 
Experience). Applicants who have been awarded Rural Housing and 
Economic Development program funds prior to FY 2007 should indicate the 
fiscal year and funding amount. HUD field offices may be consulted to 
verify information submitted by the applicant as a part of the review 
of applications.

2. Rating Factor 2--Need and Extent of the Problem (20 points)

    The Rural Housing and Economic Development program is designed to 
address the problems of rural poverty, inadequate housing, and lack of 
economic opportunity. This factor addresses the extent to which there 
is a need for funding the proposed activities based on levels of 
distress, and the urgency of meeting the need/distress in the 
applicant's target area. In responding to this factor, applications 
will be evaluated on the extent to which

[[Page 11605]]

the level of need for the proposed activity and the urgency in meeting 
the need are documented and compared to target area and national data.
    a. In applying this factor, HUD will compare the current levels of 
need in the area (i.e., Census Tract(s) or Block Group(s) immediately 
surrounding the project site or the target area to be served by the 
proposed project to national levels of need. This means that an 
application that provides data that show levels of need in the project 
area at a percent greater than the national average will be rated 
higher under this factor. Applicants should provide data that address 
indicators of need as follows:
    (1) Poverty Rate (5 points)--Data should be provided in both 
absolute and percentage form (i.e., whole numbers and percents) for the 
target area(s). An application that compares the local poverty rate in 
the following manner to the national average at the time of submission 
will receive points under this section as follows:
    (a) Less than the national average = 0 points;
    (b) Equal to but less than twice the national average = 1 point;
    (c) Twice but less than three times the national average = 3 
points;
    (d) Three or more times the national average = 5 points.
    (2) Unemployment (5 points)--for the target area:
    (a) Less than the national average = 0 points;
    (b) Equal to but less than twice the national average = 1 point;
    (c) Twice but less than three times the national average = 2 
points;
    (d) Three but less than four times the national average = 3 points;
    (e) Four but less than five times the national average = 4 points;
    (f) Five or more times the national average = 5 points.
    (3) Other indicators of social or economic decline that best 
capture the applicant's local situation (5 points).
    (a) Data that could be provided under this section are information 
on the community's stagnant or falling tax base, including recent 
commercial or industrial closings; housing conditions, such as the 
number and percentage of substandard or overcrowded units; rent burden 
(defined as average housing cost divided by average income) for the 
target area; and local crime statistics, falling property values, etc. 
To the extent that the applicant's statewide or local Consolidated 
Plan, its Analysis of Impediments to Fair Housing Choice (AI), its 
Indian housing plan, or its anti-poverty strategy identify the level of 
distress in the community and the neighborhood in which the project is 
to be carried out, references to such documents should be included in 
preparing the response to this factor.
    (b) In rating applications under this factor, HUD reserves the 
right to consider sources of available objective data other than or in 
addition to those provided by applicants, and to compare such data to 
those provided by applicants for the project site. These may include 
U.S. Census data.
    (c) HUD requires use of sound, verifiable, and reliable data (e.g., 
U.S. Census data, state statistical reports, university studies/
reports, or Home Mortgage Disclosure Act or Community Reinvestment Act 
databases) to support distress levels cited in each application. See 
http://www.ffiec.gov/ or http://www.ffiec.gov/webcensus/ffieccensus.htm 
for census data. A source for all information along with the 
publication or origination date must also be provided.
    (d) Updated Census data are available for the following indicators:
    (i) Unemployment rate--estimated monthly for counties, with a 2-
month lag;
    (ii) Population--estimated for incorporated places and counties, 
through 2000;
    (iii) Poverty rate--through 2000.
    (4) Demographics of Distress--Special Factors (5 points). Because 
HUD is concerned with meeting the needs of certain underserved areas, 
you will be awarded a total of five points if you are located in or 
propose to serve one or more of the following populations, or if your 
application demonstrates that 100 percent of the beneficiaries 
supported by Rural Housing and Economic Development funds are in one or 
more of the following populations. You must also specifically identify 
how each population will be served and that the proposed service area 
meet the definition of ``eligible rural area'' in section I of this 
NOFA:
    (a) Areas with very small populations in non-urban areas (2,500 
population or less);
    (b) Seasonal farm workers;
    (c) Federally recognized Indian tribes;
    (d) Colonias;
    (e) Appalachia's Distressed Counties; or
    (f) The Lower Mississippi Delta Region (eight states and 240 
counties/parishes).
    For these underserved areas, you should ensure that the populations 
that you serve and the documentation that you provide are consistent 
with the information described in the above paragraph under this rating 
factor.
    3. Rating Factor 3--Soundness of Approach (21 points). This factor 
addresses the overall quality of your proposed work plan, taking into 
account the project and the activities proposed to be undertaken; the 
cost-effectiveness of your proposed program; and the linkages between 
identified needs, the purposes of this program, and your proposed 
activities and tasks. In addition, this factor addresses your ability 
to ensure that a clear linkage exists between innovative rural housing 
and economic development. In assessing cost-effectiveness, HUD will 
take into account your staffing levels, beneficiaries to be served, and 
your timetable for the achievement of program outcomes, the delivery of 
products and reports, and any anticipated outcome or product. You will 
receive a greater number of points if your work plan is consistent with 
the purpose of the Rural Housing and Economic Development program, your 
program goals, and the resources provided.
    a. Management Plan (13 points). A clearly defined management plan 
should be submitted that: identifies each of the projects and 
activities you will carry out to further the objectives of this 
program; describes the linkage between rural housing and economic 
development activities; and addresses the needs identified in Factor 2, 
including needs that previously were identified in a statewide or local 
Analysis of Impediments to Fair Housing Choice (AI) or Consolidated 
Plan. The populations that were described in Rating Factor 2 for the 
purpose of documenting need should be the same populations that will 
receive the primary benefit of the activities, both immediately and 
over the long term. The benefits should be affirmatively marketed to 
those populations least likely to apply for and receive these benefits 
without such marketing. Your timetable should address the measurable 
short-term and long-term goals and objectives to be achieved through 
the proposed activities based on annual benchmarks; the method you will 
use for evaluating and monitoring program progress with respect to 
those activities; and the method you will use to ensure that the 
activities will be completed on time and within your proposed budget 
estimates. Your management plan should also include the budget for your 
program, broken out by line item. Documented projected cost estimates 
from outside sources are also required. Applicants should submit their 
work plan on a spreadsheet showing each project to be

[[Page 11606]]

undertaken and the tasks (to the extent necessary or appropriate) in 
your work plan to implement the project with your associated budget 
estimate for each activity/task. Your work plan should provide the 
rationale for your proposed activities and assumptions used in 
determining your project timeline and budget estimates. Failure to 
provide your rationale may result in your application receiving fewer 
points for lack of clarity in the proposed management plan.
    This subfactor should include information that indicates the extent 
to which you have coordinated your activities with other known 
organizations (e.g., through letters of participation or coordination) 
that are not directly participating in your proposed work activities, 
but with which you share common goals and objectives and that are 
working toward meeting these objectives in a holistic and comprehensive 
manner. The goal of this coordination is to ensure that programs do not 
operate in isolation. Additionally, your application should demonstrate 
the extent to which your program has the potential to be financially 
self-sustaining by decreasing dependence on Rural Housing and Economic 
Development funding and relying more on state, local, and private 
funding. The goal of sustainability is to ensure that the activities 
proposed in your application can be continued after your grant award is 
complete.
    b. Policy Priorities (8 Points). Policy priorities are outlined in 
detail in the General Section. You should document the extent to which 
HUD's policy priorities are advanced by the proposed activities. 
Applicants that include activities that can result in the achievement 
of the following departmental policy priorities will receive higher 
rating points in evaluating their application for funding. Seven 
departmental policy priorities are listed below. When you include 
policy priorities, describe in brief detail how those activities will 
be carried out and if selecting item (6), Removal of Barriers to 
Affordable Housing, be sure to include the required Points of Contact 
information and documentation or references to the documentation to 
receive points.
    The point values for policy priorities are as follows:
    (1) Providing increased homeownership and rental opportunities for 
low- and moderate-income persons, persons with disabilities, the 
elderly, minorities, and families with limited English proficiency = 1 
point;
    (2) Improving our nation's communities = 1 point;
    (3) Encouraging accessible design features = 1 point;
    (4) Providing full and equal access to grassroots faith-based and 
other community-based organizations in HUD program implementation = 1 
point;
    (5) Ending chronic homelessness within 10 years = 1 point
    (6) Removal of barriers to affordable housing = 2 points; and
    (7) Promoting Energy Efficiency and Adopting Energy Star = 1 point.
    4. Rating Factor 4--Leveraging Resources (10 points). This factor 
addresses the extent to which applicants have obtained firm commitments 
of financial or in-kind resources from other federal, state, local, and 
private sources. For every Rural Housing and Economic Development 
program dollar anticipated, you should provide the specific amount of 
dollars leveraged. In assigning points for this criterion, HUD will 
consider the level of outside resources obtained in the form of cash or 
in-kind goods or services that support activities proposed in your 
application. HUD will award a greater number of points based on a 
comparison of the extent of leveraged funds with the requested Rural 
Housing and Economic Development award. The level of outside resources 
for which commitments are obtained will be evaluated based on their 
importance to the total program. Your application must provide evidence 
of leveraging in the form of letters of firm commitment from any 
entity, including your own organization, that will be providing the 
leveraging funds to the project. Each commitment described in the 
narrative of this factor must be in accordance with the definition of 
``firm commitment,'' as defined in this NOFA. The commitment letter 
must be on letterhead of the participating organization, must be signed 
by an official of the organization legally able to make commitments on 
behalf of the organization, and must not be dated earlier than the date 
this NOFA is published.
    Points for this factor will be awarded based on the satisfactory 
provisions of evidence of leveraging and financial sustainability, as 
described above, and the ratio of leveraged funds to requested HUD 
Rural Housing and Economic Development funds as follows:
    a. 50 percent or more of requested HUD Rural Housing and Economic 
Development funds = 10 points;
    b. 49-40 percent of requested HUD Rural Housing and Economic 
Development funds = 8 points;
    c. 39-30 percent of requested HUD Rural Housing and Economic 
Development funds = 6 points;
    d. 29-20 percent of requested HUD Rural Housing and Economic 
Development funds = 4 points;
    e. 19-9 percent of requested HUD Rural Housing and Economic 
Development funds = 2 points;
    f. Less than 9 percent of HUD requested Rural Housing and Economic 
Development funds = 0 points.
    See the General Section for instructions for submitting third-party 
letters and other documents with your electronic application.

5. Rating Factor 5--Achieving Results and Program Evaluation (24 
points)

    This factor emphasizes HUD's commitment to ensure that applicants 
keep promises made in their application. This factor assesses their 
performance to ensure that rigorous and useful performance measures are 
used and goals are met. Achieving results means you, the applicant, 
have clearly identified the benefits or outcomes of your program. 
Outcomes are ultimate project end goals. Benchmarks or outputs are 
interim activities or products that lead to the ultimate achievement of 
your goals. Program evaluation requires that you, the applicant, 
identify program outcomes, interim products or benchmarks, and 
performance indicators that will allow you to measure your performance. 
Performance indicators should be objectively quantifiable and measure 
actual achievements against anticipated achievements. Your evaluation 
plan should identify what you are going to measure, how you are going 
to measure it, and the steps you have in place to make adjustments to 
your work plan if performance targets are not met within established 
time frames.
    Applicants must also complete the ``Logic Model'' HUD Form (HUD-
96010) included in the application instructions at www.Grants.gov and 
submit the completed form with their application. HUD has provided an 
electronic Logic Model that will enable applicants to select from lists 
the appropriate needs statement(s), activities/outputs, and outcomes 
that the applicant is proposing in the application submission. The 
listing of the activities is referred to as the Master Logic Model List 
and each list is unique to the program funding opportunity. The 
application instructions found on www.Grants.gov/Apply include the 
eLogic ModelTM that you can complete and attach to your 
electronic application submission. Applicants who do not have Microsoft 
Excel software should

[[Page 11607]]

contact the SuperNOFA Information Center at 800-HUD-8929. Persons with 
speech or hearing impairments may access this number via TTY by calling 
the toll-free Federal Information Relay Service at 800-877-8339. 
Applicants may select items from each column of the list that reflect 
their activity outputs and outcomes and copy and paste them into the 
appropriate column in the Logic Model form. In completing the Logic 
Model, applicants are expected to select from the lists of appropriate 
outputs and outcomes for their proposed work plan. The eLogic 
ModelTM and Master Logic Model listing also identify the 
unit of measure that HUD is interested in collecting for the outputs 
and outcomes selected. In making the selections for each output and 
outcome, applicants are to complete the appropriate proposed number of 
units of measure to be accomplished. The space next to the output and 
outcome is to capture the anticipated units of measure. Multiple 
outputs and outcomes may be selected per project.
    Under this rating factor, applicants will receive a maximum of 24 
points based on how they propose to effectively address program goals 
and performance measures. HUD will evaluate and analyze how well an 
applicant implemented the required Rural Housing and Economic 
Development output and outcome goals and identified other stated 
benefits or outcomes of the applicant's program. In order to receive 
the highest number of points, applicants should present a clear plan to 
address the RHED output and outcome measures.
    1. Output Measures are quantifiable. RHED outputs include: number 
of housing units constructed; number of housing units rehabilitated; 
number of jobs created; number of participants trained; number of new 
businesses created; and number of existing businesses assisted.
    2. Outcomes Measures are benefits accruing to the program 
participants and/or communities during or after participation in the 
RHED program. RHED outcomes include: the number of housing units 
rehabilitated that will be made available to low-to-moderate-income 
participants; the percentage change in earnings as a result of 
employment for those participants; the percent of participants trained 
who find a job; annual estimated savings for low-income families as a 
result of energy efficiency improvements; and the increase in 
organizational resources as a result of assistance (e.g., dollars 
leveraged).
    You must clearly identify the outcomes to be achieved and measured. 
Proposed program benefits should include program activities, 
benchmarks, and interim activities or performance indicators with 
timelines. Applications should include an evaluation plan that will 
effectively measure actual achievements against anticipated 
achievements.
    3. Logic Model. HUD requires RHED applicants to develop an 
effective, quantifiable, outcome-oriented evaluation plan for measuring 
performance and determining whether goals have been met using the 
Master Logic Model for RHED. The model can be found in the download 
instructions portion of the application at www.Grants.gov. In preparing 
your Logic Model, first open the Form HUD-96010 and go to the 
instruction tab and follow the directions in the tab. Your application 
must include the form to receive any points under this factor.
    This rating factor reflects HUD's goal to embrace high standards of 
ethics, management, and accountability. HUD will hold a training 
broadcast via satellite for potential applicants to learn more about 
Rating Factor 5. For more information about the date and time of the 
broadcast, consult the HUD Web site at www.hud.gov/grants/index.cfm.
    Although the following list is not all-inclusive, program outcomes 
for the Rural Housing and Economic Development program must include, 
where applicable:
    a. Total number of housing units constructed;
    b. Total number of housing units rehabilitated;
    c. Number of Housing units rehabilitated that will be made 
available to low-to moderate-income participants;
    d. Number of Housing units constructed that will be made available 
to low-to moderate-income participants;
    e. Number of jobs created;
    f. Percentage change in earnings as a result of employment for 
those participants;
    g. Number of participants trained;
    h. Percent of participants trained who find a job;
    i. Number of new businesses created;
    j. Number of existing businesses assisted; and
    k. Annual estimated savings for low-income families as a result of 
energy efficiency improvements.
    l. Increase in program accomplishments as a result of capacity 
building assistance (e.g. the number of employees hired or retained, or 
the efficiency or effectiveness of services provided); and
    m. Increase in organizational resources as a result of assistance 
(e.g., dollars leveraged). If you receive an award of funds, you will 
be required to use the Logic Model to report progress against the 
proposed outcomes in your approved application and award agreement.
    The applicant's proposed budget must reflect a breakdown of 
estimated dollar amount of the Rural Housing and Economic Development 
grant to be expended on each of the activities/outputs and the 
anticipated results included on the Form HUD-96010 and under the Rating 
Factor 5 section of your application.

6. RC/EZ/EC-II bonus points (2 points)

    HUD will award two bonus points to all applications that include 
documentation stating that the proposed eligible activities/projects 
will be located in and serve federally designated renewal community 
(RCs), empowerment zone (EZs), or enterprise communities (ECs) 
designated by the U.S. Department of Agriculture (USDA) in round II RC/
EZ/EC. A listing of federally designated RC/EZ/EC-II is available on 
the Internet at http://www.hud.gov/crlocator.
    This notice contains a certification (Form HUD-2990) that must be 
completed for the applicant to be considered for Rural EZ/Round II EC 
bonus points.

B. Review and Selection Process

    1. Application Selection Process.
    a. Rating and Ranking.
    (1) General. To review and rate applications, HUD may establish 
panels that may include outside experts or consultants to obtain 
certain expertise and outside points of view, including views from 
other Federal agencies.
    (2) Rating. All applicants for funding will be evaluated against 
applicable criteria. In evaluating applications for funding, HUD will 
take into account an applicant's past performance in managing funds, 
including the ability to account for funds appropriately; it's the 
applicant's timely use of funds received either from HUD or other 
federal, state, or local programs; its success in meeting performance 
targets for completion of activities; and the number of persons to be 
served or targeted for assistance. HUD may use information relating to 
these items based on information at hand or available from public 
sources such as newspapers, HUD Inspector General or Government 
Accountability Office reports or findings, or hotline complaints that 
have been found to have merit, or other such sources of information. In 
evaluating past performance, HUD will deduct points from rating scores 
as specified under Rating Factor 1.

[[Page 11608]]

    (3) Ranking. Applicants will be selected for funding in accordance 
with their rank order. An application must receive a minimum score of 
75 points to be eligible for funding. If two or more applications are 
rated fundable and have the same score, but there are insufficient 
funds to fund all of them, the application(s) with the highest score 
for Rating Factor 2 will be selected. If applications still have the 
same score, the highest score in the following factors will be selected 
sequentially until one highest score can be determined: Rating Factor 
3, Rating Factor 1, Rating Factor 5, and Rating Factor 4.
    a. Initial screening. During the period immediately following the 
application deadline, HUD will screen each application to determine 
eligibility. Applications will be rejected if they:
    (1) Are submitted by ineligible applicants;
    (2) Do not serve an eligible rural area as defined in section III 
of this NOFA;
    (3) Do not meet the objectives of the Rural Housing and Economic 
Development program; or
    (4) Propose a project for which the majority of the activities are 
ineligible.
    b. Rating Factors for Award Used to Evaluate and Rate Applications. 
The factors for rating and ranking applicants and the maximum points 
for each factor are provided above. The maximum number of points for 
this program is 102. This includes 100 points for all five rating 
factors and two RC/EZ/EC-II bonus points, as described above.
    c. Environmental Review. Each application constitutes an assurance 
that the applicant agrees to assist HUD in complying with the 
provisions set forth in 24 CFR part 50. Selection for award does not 
constitute approval of any proposed site. Following selection for 
award, HUD will perform an environmental review of activities proposed 
for assistance under this part, in accordance with 24 CFR part 50. The 
results of the environmental review may require that proposed 
activities be modified or that proposed sites be rejected. Applicants 
are particularly cautioned not to undertake or commit HUD funds for 
acquisition or development of proposed properties (including 
establishing lines of credit that permit financing of such activities 
or making commitments for loans that would finance such activities from 
a revolving loan fund capitalized by funds under this NOFA) prior to 
HUD approval of specific properties or areas. Each application 
constitutes an assurance that you, the applicant, will assist HUD in 
complying with part 50; will supply HUD with all available relevant 
information to perform an environmental review for each proposed 
property; will carry out mitigating measures required by HUD or select 
alternate property; and will not acquire, rehabilitate, convert, 
demolish, lease, repair, or construct property, or commit or expend HUD 
or local funds for these program activities with respect to any 
eligible property until HUD approval of the property is received. In 
supplying HUD with environmental information, grantees must use the 
guidance provided in Notice CPD 05-07, entitled ``Field Environmental 
Review Processing for Rural Housing and Economic Development (RHED) 
Grants,'' issued August 30, 2005, which can be found at www.hud.gov/offices/cpd/energyenviron/environment/lawsandregs/notices.cfm. HUD's 
funding commitment is contingent on HUD's site approval following an 
environmental review.
    d. Adjustments to Funding.
    (1) HUD will not fund any portion of your application that is 
ineligible for funding and does not meet the requirements of this NOFA, 
or is duplicative of other funded programs or activities from prior 
year awards or other selected applicants. Only the eligible non-
duplicative portions of your application will be funded.
    (2) HUD reserves the right to utilize this year's funding to fund 
previous years' errors prior to rating and ranking this year's 
applications.
    (3) If a balance remains, HUD reserves the right to utilize those 
funds toward the following year's awards.
    (4) Please see the section VI.A.2 and 3 of the General Section for 
more information about funding.
    (5) Performance and Compliance Actions of Funding Recipients. HUD 
will measure and address the performance and compliance actions of 
funding recipients in accordance with the applicable standards and 
sanctions of the Rural Housing and Economic Development program.
    e. Corrections to Deficient Applications. After the application due 
date, HUD may not, consistent with its regulations in 24 CFR part 4, 
subpart B, consider any unsolicited information that you, the 
applicant, may want to provide. HUD may contact you to clarify an item 
in your application or to correct technical deficiencies. See section 
V.B.4. of the General Section for more detailed information on this 
topic.

VI. Award Administration Information

    A. Award Notice. Successful Rural Housing and Economic Development 
program applicants will be notified of grant award and will receive 
post-award instructions by mail.
    B. Administrative and National Policy Requirements. In addition to 
the requirements listed below, please review all requirements in 
section III of the General Section.
    1. Lead-Based Paint Hazard Control. All property assisted under the 
Rural Housing and Economic Development program is covered by the Lead-
Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846) and HUD's 
implementing regulations at 24 CFR part 35.
    2. Procurement of Recovered Materials. See the General Section for 
further information.
    3. Executive Order 13202, ``Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects.'' (See the 
General Section for further information.)
    4. Audit Requirements. Any grantee that expends $500,000 or more in 
federal financial assistance in a single year (this can be program year 
or fiscal year) must meet the audit requirements established in 24 CFR 
parts 84 and 85 in accordance with OMB A-133.
    5. Accounting System Requirements. The Rural Housing and Economic 
Development program requires that successful applicants have in place 
an accounting system that meets the policies, guidance, and 
requirements described in the following applicable OMB Circulars and 
Code of Federal Regulations:
    a. OMB Circular A-87 (Cost Principles for State, Local, and Indian 
Tribal Governments);
    b. OMB Circular A-122 (Cost Principles for Non-Profit 
Organizations);
    c. OMB Circular A-133 (Audits of States, Local Governments, and 
Non-Profit Organizations);
    d. 24 CFR part 84 (Grants and Agreements with Institutions of 
Higher Education, Hospitals, and Other Non-Profit Organizations); and
    e. 24 CFR part 85 (Administrative Requirements for Grants and 
Cooperative Agreements to State, Local, and Federally Recognized Indian 
Tribal Governments).

C. Reporting.

    1. Reporting Requirements. Reporting documents apply to the award, 
acceptance and use of assistance under the Rural Housing and Economic 
Development program and to the remedies for noncompliance, except when 
inconsistent with HUD's Appropriation Act, or other Federal statutes or 
the provisions of this NOFA.
    For each reporting period, as part of your required report to HUD, 
grantees

[[Page 11609]]

must include a completed Logic Model (Form HUD 96010), which identifies 
output and outcome achievements. For FY2007, HUD is considering a new 
concept for the Logic Model. The new concept is a Return on Investment 
statement. HUD will be publishing a separate notice on the ROI concept. 
If you are reporting race and ethnic data, you must use Form HUD-27061, 
Race and Ethnic Data Reporting Form.
    2. Racial and Ethnic Data. HUD requires that funded recipients 
collect racial and ethnic beneficiary data. It has adopted the Office 
of Management and Budget's Standards for the Collection of Racial and 
Ethnic Data. In view of these requirements, you should use Form HUD-
27061, Racial and Ethnic Data Reporting Form (instructions for its 
use), found on www.HUDclips.org, a comparable program form, or a 
comparable electronic data system for this purpose.
    D. Debriefing. See the General Section for information on how to 
obtain a debriefing on your application review and evaluation.

VII. Agency Contact(s)

    Further Information and Technical Assistance. For information 
concerning the HUD Rural Housing and Economic Development program, 
contact Ms. Linda Streets, Community Planning and Development 
Specialist, Ms. Monica Wallace, Community Planning and Development 
Specialist, Mr. James Hedrick, Presidential Management Fellow, or Ms. 
Nikki Bowser, Community Planning and Development Specialist, Office of 
Rural Housing and Economic Development, Office of Community Planning 
and Development, Department of Housing and Urban Development, 451 
Seventh Street, SW., Room 7137, Washington, DC 20410-7000; telephone 
202-708-2290 (this is not a toll-free number) or 1-877-787-2526 (this 
is a toll-free number). Persons with speech or hearing impairments may 
access this number via TTY by calling the toll-free Federal Information 
Relay Service at 800-877-8339.
    Prior to the application deadline, staff will be available at the 
above number to provide general guidance and clarification of the NOFA, 
but not guidance in actually preparing your application. Following 
selection, but prior to award, HUD staff will be available to assist in 
clarifying or confirming information that is a prerequisite to the 
offer of an award by HUD.

VIII. Other Information

    A. Satellite Broadcast. HUD will hold an information webcast via 
satellite for potential applicants to learn more about the program and 
preparation of an application. For more information about the date and 
time of this webcast, consult the HUD Web site at http://www.hud.gov.
    B. The Paperwork Reduction Act. The information collection 
requirements contained in this document have been approved by the 
Office of Management and Budget (OMB) under the Paperwork Reduction Act 
of 1995 (44 U.S.C. 3501-3520) and assigned OMB control number 2506-
0169. In accordance with the Paperwork Reduction Act, HUD may not 
conduct or sponsor and a person is not required to respond to a 
collection of information, unless it displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 100 hours per annum per respondent 
for the application and grant administration. This includes the time 
for collecting, reviewing, and reporting the data for the application, 
semi-annual reports, and final report. The information will be used for 
grantee selection and monitoring the administration of funds.

[[Page 11610]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.018


[[Page 11611]]



Resident Opportunity and Self-Sufficiency (ROSS)--Elderly/Persons With 
Disabilities Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Public and Indian Housing.
    B. Funding Opportunity Title: Resident Opportunity and Self-
Sufficiency (ROSS)--Elderly/Persons With Disabilities Program (formerly 
known as Resident Services Delivery Model--Elderly/Persons With 
Disabilities).
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR-5100-N-17; OMB Approval Number is 
2577-0229.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.876, 
Resident Opportunity and Self Sufficiency.
    F. Dates: The application deadline date is July 19, 2007. 
Applications submitted through http://www.grants.gov must be received 
and validated by grants.gov no later than 11:59:59 eastern time on the 
application deadline date. Please note that validation may take up to 
72 hours.

G. Additional Information

    1. Purpose of Program: The purpose of the ROSS--Elderly/Persons 
With Disabilities Program is to provide grants to public housing 
agencies (PHAs), tribes/tribally designated housing entities (TDHEs), 
Resident Associations (RAs), and nonprofit organizations (including 
grassroots, faith-based, and other community-based organizations), for 
the delivery and coordination of supportive services and other 
activities designed to help improve the living conditions of public and 
Indian housing residents who are elderly and/or disabled. Applicants 
should be aware that receipt of grant funds in no way guarantees 
further funding beyond the 3-year grant term and should be sure that 
services commenced pursuant to this grant will be sustained 
independently in the future or that the cessation of these activities 
will not negatively impact residents. This is especially important for 
any meal programs to meet residents' nutritional needs.
    2. Funding Available. HUD expects to award a total of approximately 
$20,000,000 in ROSS--Elderly/Persons With Disabilities grants in FY 
2007. This amount includes $10,000,000 appropriated in FY 2007 and 
$10,000,000 in rollover funds.
    3. Award Amounts. Awards, depending on the grant category, unit 
count, and type of grantee will range from $125,000 to $450,000. Please 
see the funding breakdown chart below.
    4. Eligible Applicants. Eligible applicants are PHAs; tribes/TDHEs; 
nonprofit organizations (including grassroots, faith-based and other 
community-based organizations that have resident support or the support 
of PHAs or tribes/TDHEs); and RAs. The term ``resident association'' or 
``RA'' will be used to refer to all types of eligible resident 
organizations. Please see the section on ``Definition of Terms'' for a 
complete definition of each type of eligible resident organization.
    5. Cost Sharing/Match Requirement. At least 25 percent of the 
requested grant amount is required as a match. The match may be in cash 
and/or in-kind donations. The match is a threshold requirement.
    6. Grant term. The grant term is 3 years from the execution date of 
the grant agreement.

----------------------------------------------------------------------------------------------------------------
                                                                                     Maximum grant amount (units
                                                                                       refers to the number of
           Grant program                  Total funding        Eligible applicants    units occupied by elderly/
                                                                                      disabled, as indicated on
                                                                                        ROSS Fact Sheet (HUD-
-----------------------------------------------------------------------------------------------52751))----------
ROSS--Elderly/Persons With           Approximately $20       PHAs/Tribe/TDHE.......  $250,000 for PHAs/Tribes/
 Disabilities.                        million.                                        TDHEs with 1-217 units.
                                                                                     $350,000 for PHAs/Tribes/
                                                                                      TDHEs with 218-1,155
                                                                                      units.
                                                                                     $450,000 for PHAs/Tribes/
                                                                                      TDHEs with 1,156 or more
                                                                                      units.
                                                             Resident Associations.  $125,000.
                                                             Nonprofit entities....  $125,000 per RA; up to
                                                                                      $375,000.
----------------------------------------------------------------------------------------------------------------

    The applicant may use up to $68,000 maximum per year and in 
accordance with local wage standards (see Funding Restrictions) for the 
salary and fringe benefits of a Project Coordinator. Additionally, the 
applicant may use funds for delivery of services.

Full Text of Announcement

I. Funding Opportunity Description

    A. Purpose. The purpose of the ROSS--Elderly/Persons with 
Disabilities Program is to provide grants to public housing agencies 
(PHAs), Tribes/Tribally Designated Housing Entities (TDHEs), Resident 
Associations (RAs), and nonprofit organizations (including grassroots, 
faith-based and other community-based organizations) for the delivery 
and coordination of supportive services and other activities designed 
to help improve the living conditions of public and Indian housing 
residents who are elderly and/or disabled. Please note that no elderly 
individual or person with a disability may be required to take 
services.

B. Definition of Terms

    1. City-Wide Resident Organization consists of members from 
Resident Councils, Resident Management Corporations, and Resident 
Organizations who reside in public housing developments that are owned 
and operated by the same PHA within a city.
    2. Community Facility means a non-dwelling structure that provides 
space for multiple supportive services for the benefit of public and/or 
Indian housing residents eligible for the services provided.
    3. Contract Administrator (CA) means an overall grant administrator 
and/or a financial management agent that oversees the implementation of 
the grant and/or the financial aspects of the grant. (See the 
``Threshold Requirements'' and ``Program Requirements'' sections for 
more information.) All nonprofit applicants, all RAs, and PHAs that are 
troubled at time of application must have a CA and are required, per 
the Threshold Section, to submit a signed Contract Administrator 
Partnership Agreement. The agreement must be for the entire grant term. 
The CA must assure that the financial management system and procurement 
procedures that will be in place during the grant term will fully 
comply with either 24 CFR part 84 or 85, as appropriate. CAs are 
expressly forbidden from accessing HUD's Line of Credit Control System 
(LOCCS) and submitting vouchers on behalf of grantees. CAs must also 
assist PHAs to meet HUD's reporting requirements. CAs may be: local 
housing agencies; community-based organizations such as

[[Page 11612]]

community development corporations (CDCs), churches, temples, 
synagogues, and mosques; nonprofit organizations; state/regional 
associations and organizations. Troubled PHAs are not eligible to be 
contract administrators. Grant writers who assist applicants in 
preparing their ROSS applications are also ineligible to be contract 
administrators. Organizations that the applicant proposes to use as the 
CA must not violate or be in violation of other conflicts of interest 
as defined in 24 CFR part 84 and 24 CFR part 85.
    4. Elderly person means a person who is at least 62 years of age.
    5. Jurisdiction-Wide Resident Organization means an incorporated 
nonprofit organization or association that meets the following 
requirements:
    a. Most of its activities are conducted within the jurisdiction of 
a single housing authority;
    b. There are no incorporated resident councils or resident 
management corporations within the jurisdiction of the single housing 
authority;
    c. It has experience in providing start-up and capacity-building 
training to residents and resident organizations; and
    d. Public housing residents representing unincorporated resident 
councils within the jurisdiction of the single housing authority must 
comprise a majority of the board of directors.
    6. Tribally Designated Housing Entity (TDHE) is an entity 
authorized or established by one or more Indian tribes to act on behalf 
of each such tribe authorizing or establishing the housing entity as 
defined by Section 4(21) of Native American Housing Assistance and 
Self-Determination Act (NAHASDA).
    7. Indian Tribe means any tribe, band, nation, or other organized 
group of a community of Indians, including any Alaska native village, 
regional, or village corporation as defined in or established pursuant 
to the Alaska Native Claims Settlement Act, and that is recognized as 
eligible for the special programs and services provided by the United 
States to Indians because of their status as Indians pursuant to the 
Indian Self Determination and Education Act of 1975 or any state-
recognized tribe eligible for assistance under section 4(12)(C) of 
NAHASDA.
    8. Intermediary Resident Organizations means jurisdiction-wide 
resident organizations, citywide resident organizations, statewide 
resident organizations, regional resident organizations, and national 
resident organizations.
    9. NAHASDA-assisted resident means a resident of tribal housing (as 
defined above) who has been assisted by the Native American Housing 
Assistance and Self-Determination Act (NAHASDA) of 1996.
    10. National Resident Organization (NRO) is an incorporated 
nonprofit organization or association for public housing that meets 
each of the following requirements:
    a. It is national in that it conducts activities or provides 
services in at least two HUD areas or two states;
    b. It has the capacity to provide start-up and capacity-building 
training to residents and resident organizations; and
    c. Public housing residents representing different geographical 
locations in the country are members of the board of directors.
    11. Nonprofit organization is an organization that is exempt from 
federal taxation. A nonprofit organization can be organized for the 
following purposes: charitable, religious, educational, scientific, or 
other similar purposes in the public interest. In order to qualify, an 
organization must be a corporation, community chest, fund, or 
foundation. An individual or partnership will not qualify. To obtain 
nonprofit status, qualified organizations must file an application with 
the Internal Revenue Service (IRS) and receive designation as such by 
the IRS. For more information, go to www.irs.gov. Applicants who are in 
the process of applying for nonprofit status, but have not yet received 
nonprofit designation from the IRS, will not be considered nonprofit 
organizations. All nonprofit applicants must submit their IRS 
determination letter to prove their nonprofit (e.g., 501(c)(3)) status 
with their funding application. Please see the section on ``Threshold 
Requirements'' for more information. Nonprofit applicants must also 
provide letters of support as described in the ``Threshold 
Requirements'' section.
    12. National nonprofit organizations work on a national basis and 
have the capacity to mobilize resources on both a national and local 
level. All nonprofit applicants must submit their IRS determination 
letter to prove their nonprofit (e.g., 501(c)(3)) status. National 
nonprofit applicants must also provide letters of support as outlined 
in the ``Threshold Requirements'' section.
    13. Past Performance is a threshold requirement. Using Rating 
Factor 1, HUD's field offices will evaluate applicants for past 
performance to determine whether an applicant has the capacity to 
manage the grant for which the applicant is applying. The area Office 
of Native American Programs (ONAP) will review past performance for 
tribal/TDHE submissions. Field offices will evaluate the past 
performance of contract administrators for applicants required to have 
one.
    14. Person with disabilities: This NOFA uses the definition of 
person with disabilities found at 24 CFR 5.403.
    15. Project Coordinator is responsible for coordinating the 
grantee's approved activities to ensure that grant goals and objectives 
are met. A qualified Project Coordinator is someone with experience 
managing projects and who preferably has experience working with 
supportive services. Project Coordinators and grantees are responsible 
for ensuring that all federal requirements are followed.
    16. Resident Association (RA) means any or all of the forms of 
resident organizations as they are defined elsewhere in this 
Definitions section and includes Resident Councils (RCs), Resident 
Management Corporations (RMCs), City-Wide Resident Organizations, 
Regional Resident Organizations (RROs), Statewide Resident 
Organizations (SROs), Jurisdiction-Wide Resident Organizations, and 
National Resident Organizations (NROs), Resident Organization (RO) for 
tribal entities, Site-Based Resident Associations, and Tribal/TDHE 
Resident Groups. The NOFA will use ``Resident Association'' or ``RA'' 
to refer to all eligible types of resident organizations. See 24 CFR 
Part 964.115 for more information.
    17. Regional Resident Organization (RRO) means an incorporated 
nonprofit organization or association for public housing that meets 
each of the following requirements:
    a. The RRO is regional; i.e., it is not limited to HUD-defined 
regions;
    b. The RRO has experience in providing start-up and capacity-
building training to residents and resident organizations; and
    c. Public housing residents representing different geographical 
locations in the region must comprise the majority of the board of 
directors.
    18. Resident Management Corporation (RMC) means an entity that 
proposes to enter into, or enters into a contract to conduct one or 
more management activities of a PHA and meets the requirements of 24 
CFR 964.120.
    19. Resident Organization (RO) for tribal entities means an 
incorporated or unincorporated nonprofit tribal organization or 
association that meets each of the following criteria:
    a. Consists of residents only, and only residents may vote;
    b. If it represents residents in more than one development or in 
all of the

[[Page 11613]]

developments of the tribal/TDHE community, it shall fairly represent 
residents from each development that it represents;
    c. Adopts written procedures providing for the election of specific 
officers on a regular basis; and
    d. Has an elected governing board.
    20. Secretary means the Secretary of Housing and Urban Development.
    21. Site-Based Resident Associations means resident councils or 
resident management corporations representing a specific public housing 
development.
    22. Supportive Services means activities including, but not limited 
to:
    a. Meal services adequate to meet nutritional need;
    b. Wellness programs;
    c. Job training;
    d. Coordination of volunteer activities;
    e. ESL or other educational classes; and
    f. Congregate services.
    23. Statewide Resident Organization (SRO) is an incorporated 
nonprofit organization or association for public housing that meets the 
following requirements:
    a. The SRO is statewide;
    b. The SRO has experience in providing start-up and capacity-
building training to residents and resident organizations; and
    c. Public housing residents representing different geographical 
locations in the state must comprise the majority of the SRO's board of 
directors.
    24. Tribal/TDHE Resident Group means tribal/TDHE resident groups 
that are democratically elected groups such as IHA-wide resident 
groups, area-wide resident groups, single development groups, or 
resident management corporations (RMCs).

C. Regulations Governing the ROSS Grant

    ROSS--Elderly/Persons with Disabilities is governed by 24 CFR part 
964.

II. Award Information

A. Performance Period and Award Type

    1. Grant Period. Three years. The grant period shall begin the day 
the grant agreement and the form HUD-1044, ``Assistance Award/
Amendment,'' are signed by both the grantee and HUD.
    2. Grant Extensions. Requests to extend the grant term beyond the 
grant term must be submitted in writing to the local HUD field office 
or area ONAP at least 90 days prior to the expiration of the grant 
term. Requests must explain why the extension is necessary, what work 
remains to be completed, and what work and progress has been 
accomplished to date. Extensions may be granted only once by the field 
office or area ONAP for a period not to exceed 6 months and may be 
granted for a further 6 months by the Headquarters Program Office at 
the request of the Field Office or Area ONAP.
    3. Type of Award. Grant agreement.
    4. Subcontracting. Subcontracting is permitted. Grantees must 
follow federal procurement regulations found in HUD regulations at 24 
CFR part 84.40-84.48 and 24 CFR part 85.36.

B. Funding Amounts

    1. Total Funding. HUD expects to award approximately $20,000,000 
under this funding category of ROSS. This amount includes $10,000,000 
appropriated in FY 2007 and $10,000,000 in rollover funds.
    Awards will be made as follows:
    a. PHAs must use the number of conventional public housing units 
occupied by elderly and disabled residents as of September 30, 2006, 
per their budget to determine the maximum grant amount they are 
eligible for in accordance with the categories in the chart above. On 
the Fact Sheet, PHAs should clearly indicate the number of conventional 
public housing units occupied by elderly and disabled residents under 
their Annual Contributions Contract.
    b. The maximum grant award is $125,000 for each RA.
    c. Nonprofits are eligible applicants if they are representing or 
acting at the behest of an RA. Accordingly, nonprofit applicants must 
show support from that RA. Nonprofits that have support from an RA are 
limited to $125,000 for each RA. A nonprofit organization may not 
receive more than $375,000 in FY 2007 ROSS-Elderly/Disabled grant 
funding, but may propose to serve more than 3 RAs. In cases where 
nonprofit applicants are not able to obtain support from RAs, they must 
obtain letters of support from PHAs or tribes/TDHEs.

    Note: All nonprofit applicants that do not include a letter of 
support from an RA must include a letter of support from a PHA or 
tribes/TDHE. Please see the Threshold Requirements section for more 
information. Support letters must indicate the developments to be 
served by the nonprofit organization. Funding for nonprofit 
applicants that do not receive letters of support from RAs will be 
determined as follows. Support letters must indicate the 
developments to be served by the nonprofit organization as well as 
the number of conventional public housing units occupied by elderly 
and persons with disabilities.


------------------------------------------------------------------------
  Number of conventional units occupied by elderly/disabled     Maximum
                          residents                             Funding
------------------------------------------------------------------------
1-217 units..................................................   $125,000
218-1,155 units..............................................    250,000
1,156 or more units..........................................    375,000
------------------------------------------------------------------------

    Applicants should see the General Section of the SuperNOFA for 
instructions on submitting support letters and other documentation with 
their electronic application.
    d. Tribes/TDHEs should use the number of units occupied by elderly 
and persons with disabilities counted as Formula Current Assisted Stock 
for FY 2006, as defined in 24 CFR part 1000.316. Tribes that have not 
previously received funds from the Department under the 1937 Housing 
Act should count housing units under management that are owned and 
operated by the Tribe, identified in their housing inventory as of 
September 30, 2006, and occupied by elderly/disabled residents. Tribes 
should clearly indicate the number of units under management occupied 
by elderly/disabled residents on the Fact Sheet.

III. Eligibility Information

    A. Eligible Applicants. PHAs, tribes/TDHEs, RAs, and nonprofit 
organizations (supported by resident organizations or PHAs/tribes/TDHEs 
). PHAs that are recipients of the Elderly/Disabled Renewal Service 
Coordinator funding through Operating Subsidy are not eligible to apply 
for this ROSS funding category. If you are unsure if your organization 
falls into this category, please contact the Public and Indian Housing 
Information and Resource Center at 800-955-2232.

B. Cost Sharing or Matching

    Information for All Applicants: Match is a threshold requirement. 
Applicants who do not demonstrate that they have a match of 25 percent 
of the total requested grant amount will fail the threshold requirement 
and will not receive further consideration for funding.

C. Other

    1. Eligible Activities. Applicants should propose implementing 
comprehensive programs within the 3-year grant term, which will result 
in improved living conditions for the elderly/persons with disabilities 
population. Improved living conditions may mean, but is not limited to, 
aging-in-place or assistance to live independently. Proposals should 
involve partnerships with organizations that will help grantees provide 
enhanced services to the elderly/

[[Page 11614]]

persons with disabilities they will serve. All applicants must complete 
a descriptive narrative and work plan and a Logic Model covering the 3-
year grant term. Proposed grant activities should build on the 
foundation created by previous ROSS grants or other federal, state, and 
local efforts to assist these populations. Eligible activities include, 
but are not limited to the following:
    a. Hiring of a qualified Project Coordinator to run the grant 
program. A qualified Project Coordinator should have at least 2 years 
of experience managing programs and have experience working with 
supportive services. The Project Coordinator is responsible for:
    (1) Assessing participating residents' needs for supportive 
services (e.g., Medicaid, Medicare, physician care, food stamps, 
rehabilitation services, veterans disability, state-funded programs 
such as nurse case management, housekeeping, Meals-on-Wheels, 
transportation, etc.);
    (2) Designing, coordinating, referring to and delivering, as 
relevant, grant activities based on residents' needs, such as those 
activities listed below;
    (3) Monitoring the progress of program participants and evaluating 
the overall success of the program. A portion of grant funds may be 
reserved to ensure that evaluations can be completed for all 
participants who received assistance through the program. This may 
include software for tracking and evaluation to meet HUD's reporting 
requirements. Project Coordinators and grantees are responsible for 
ensuring that all federal requirements are followed.
    b. Coordination, referral to, and delivery of meal services 
adequate to meet nutritional needs (i.e., not related to entertainment 
activities);
    c. Coordination, referral to, and delivery of transportation 
services including purchase, rental, or lease of a vehicle for the 
grantee and limited in use for program purposes and fuel for program 
activities;
    d. Coordination, set-up, and referral to assistance with daily 
activities (ADLs);
    e. Coordination, set-up, and referral to housekeeping assistance;
    f. Coordination, referral to, and delivery of wellness programs 
including, but not limited to, health and nutrition programs, 
preventive health education, referral to rehabilitation services, 
structured programs to build social support, services for the disabled, 
and other community resources;
    g. Coordination, set-up, and referral to personal emergency 
response;
    h. Coordination, referral to, and delivery of congregate services. 
This includes supportive services provided in a congregate setting at a 
conventional public housing development; and
    i. Coordination, referral to, and delivery of case management;
    j. Coordination and referral to health services (e.g., medical and 
dental check-ups);
    k. Coordination, referral, and delivery of job training 
opportunities under Section 3 of the Housing and Urban Development Act 
of 1968;
    l. Coordination and referral of residents to employment 
opportunities under Section 3 of the Housing and Urban Development Act 
of 1968;
    m. Salary and fringe benefits of staff;
    n. Lease or rental of space for program activities, but only under 
the following conditions:
    (1) The lease must be for existing facilities not requiring 
rehabilitation or construction;
    (2) No repairs or renovations of the property may be undertaken 
with Federal funds; and
    (3) Properties in the Coastal Barrier Resources System designated 
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be 
leased or rented with Federal Funds.
    o. Administrative Costs, for all applicants, may include, but are 
not limited to, purchase of furniture, office equipment and supplies, 
local travel, utilities, printing, postage, administrative salaries, 
and lease or rental of space for program activities (subject to the 
lease restrictions in the preceding paragraph). To the maximum extent 
practicable, when leasing space or purchasing equipment or supplies, 
business opportunities should be provided to businesses under Section 3 
of the Housing and Urban Development Act of 1968. Administrative costs 
must not exceed 10 percent of the total grant costs. All administrative 
costs should be delineated and allocated as direct costs--an indirect 
cost rate will not be accepted;
    p. Other supportive services;
    q. Staff training;
    r. Long-distance travel (subject to funding restrictions); and
    s. Evaluation costs for the grant program, including tracking or 
evaluation software to meet HUD's reporting requirements.
    2. Threshold Requirements. The criteria below apply to all 
applicants unless otherwise indicated. Additional information about 
threshold requirements may also be found in the General Section. 
Applicants must respond to each threshold requirement clearly and 
thoroughly by following the instructions below. If the application 
fails any threshold requirement, it will be considered a failed 
application and will not receive consideration for funding.
    a. Match. All applicants are required to have in place firm match 
commitments, either in cash or in-kind, for 25 percent of the requested 
grant amount, as defined in this NOFA. Joint applicants must together 
have at least a 25 percent match of the requested grant amount. 
Applicants who do not demonstrate the minimum 25 percent match of the 
requested grant amount will fail this threshold requirement and will 
not receive further consideration for funding. If you are applying for 
more than one category of ROSS grant (i.e., ROSS--Family & 
Homeownership), you must use different sources of match donations for 
each grant application. Additionally, you must indicate which other 
ROSS grant(s) you are applying for by attaching a page to your 
application stating the sources and amounts of each of your match 
contributions for this application as well as any other HUD programs to 
which you are applying. Match donations must be firmly committed, which 
means that the amount of match resources and their dedication to ROSS-
funded activities must be explicit, in writing, and signed by a person 
authorized to make the commitment. Letters of commitment, memoranda of 
understanding (MOUs), or tribal resolutions must be on organization 
letterhead, and signed by a person authorized to make the stated 
commitment, whether it be in cash or in-kind services. The letters of 
commitment/MOUs/tribal resolutions must indicate the total dollar value 
of the commitment and be dated between the publication date of this 
NOFA and the application deadline published in this NOFA, or the 
amended deadline and indicate how the commitment will relate to the 
proposed program. The commitment must be available at the time of 
award. A match that is proposed for ineligible activities will not be 
accepted. Although ineligible as a use of grant funds for applicants, 
the direct delivery of ADLs, housekeeping, and personal emergency 
response will be accepted as match if provided by a partner. Applicants 
proposing to use their own non-ROSS grant funds to meet the match 
requirement in whole or in part, must also include a letter of 
commitment indicating the type of match (cash or in-kind) and how the 
match will be used. Please see the General Section for instructions for 
submitting the required letters with your electronic application.
    Committed amounts in excess of the 25 percent of the requested 
grant amount may be considered as leveraged

[[Page 11615]]

funds for higher points under Rating Factor 4.
    (1) The value of volunteer time and services shall be computed by 
using the normal professional rate for the local area or the national 
minimum wage rate of $5.15 per hour (Note: PHA applicants may not count 
their staff time toward the match);
    (2) In order for HUD to determine the value of any donated 
material, equipment, staff time, building, or lease, your application 
must provide a letter from the organization making the donation stating 
the value of the contribution.
    (3) Other resources/services that can be committed include: in-kind 
services provided to the applicant; funds from federal sources (not 
including ROSS funds), as allowed by statute, including, for example, 
Community Development Block Grant (CDBG) funds or Indian Housing Block 
Grant (IHBG) funds; funds from any state or local government sources; 
and funds from private contributions. Applicants may also partner with 
other program funding recipients to coordinate the use of resources in 
the target area.
    b. Past Performance. HUD's field offices will evaluate data 
provided by applicants under Rating Factor 1, as well as applicants' 
past performance, to determine whether applicants have the capacity to 
manage the grant for which they are applying. The area Offices of 
Native American Programs (ONAPs) will review past performance for 
tribal and TDHE submissions. Field offices will evaluate the contract 
administrators' past performance for applicants required to have a 
contract administrator. In evaluating past performance, HUD will look 
at the applicant's record of completing grant activities on time, 
within budget, and the results achieved. Using Rating Factor 1, the 
field office/area ONAP will evaluate applicants' past performance. 
Applicants should carefully review and respond to Rating Factor 1 to 
ensure their applications address each of the criteria. If applicants 
fail to address what is requested in Rating Factor 1, their 
applications will fail this threshold and will not receive further 
consideration.
    c. Contract Administrator Partnership Agreement. All nonprofit 
applicants, all RAs, and troubled PHAs (troubled as of the application 
deadline) are required to submit a signed Contract Administrator 
Partnership Agreement. The agreement must be for the entire grant term. 
If an applicant that is required to have a Contract Administrator 
Partnership Agreement fails to submit one, or if it is incomplete, 
incorrect or insufficient, this will be treated as a technical 
deficiency. See the General Section for more information on Corrections 
to Deficient Applications. Troubled PHAs are ineligible to be contract 
administrators. Grant writers who assist applicants in preparing their 
ROSS applications are also ineligible to be contract administrators.
    d. Letters of Support for Nonprofit Applicants.
    (1) All nonprofit applicants must include one or more letters of 
support from RAs. If the RAs are inactive, then a nonprofit applicant 
must submit an accompanying letter of support from the PHA or tribe/
TDHE that is indicating support for the application. All letters of 
support must be signed by an authorized representative of the 
supporting organization and be dated between the publication date of 
this NOFA and the application deadline published in this NOFA, or the 
amended deadline.
    (2) Nonprofit applicants that do receive support from RAs must also 
submit form HUD-52754 (``List of Resident Associations Supporting 
Nonprofit Applicants.'') Submitting this form is not applicable where 
RAs are inactive or where applicants do not submit letters of support 
from RAs.
    (3) In cases where nonprofit organizations are applying to serve 
tribes/TDHEs, nonprofit applicants must submit letters of support from 
tribes/TDHEs. Nonprofit organizations must also use form HUD-52754 to 
list which tribes/TDHEs support their application.
    (4) Letters of support must describe to what extent they are 
familiar with the nonprofit applicant and indicate their support and 
understanding of the nonprofit organization's application. Letters must 
include contact information and the name and title of the person 
authorized to sign for the organization and should be on letterhead. If 
RA letterhead is not available, the letter may be submitted on PHA 
letterhead.
    (5) All nonprofit applicants that do not provide letters of support 
from RAs must provide letters of support from PHAs or tribes/TDHEs with 
jurisdiction over the developments the applicant proposes to serve. 
Letters from PHAs or tribes/TDHEs must describe the extent to which the 
nonprofit applicant is familiar with the needs of the community to be 
served, which programs the nonprofit applicant has operated or managed 
in the community that are similar to the applicant's proposal, and 
whether the nonprofit organization has the capacity to implement its 
proposed program. Letters from PHAs or tribes/TDHEs must also list the 
names of the developments to be served, certify the number of 
conventional units occupied by elderly/persons with disabilities in 
those developments, and identify the ROSS funding category to which the 
nonprofit organization is applying. PHA or tribe/TDHE letters of 
support must be signed by the Executive Director, tribal leader, or 
authorized designee and must be on PHA or tribe/TDHE letterhead. Please 
see the General Section of the SuperNOFA for instructions for 
submitting the required letters with your electronic application.
    (6) Applications from nonprofit organizations that do not submit 
the information requested in this section will fail this threshold 
requirement and will not be considered for funding.
    e. Nonprofit status. All nonprofit applicants must submit their IRS 
determination letter to prove their nonprofit (e.g., 501(c)(3)) status. 
Applicants that fail to submit this letter will fail this threshold 
requirement and will not be considered for funding. Please see the 
General Section of the SuperNOFA for instructions on submitting the 
required documentation with your electronic application.
    f. Minimum Score for All Fundable Applications. Applications that 
pass all threshold requirements and go through the ranking and rating 
process must receive a minimum score of 75 in order to be considered 
for funding.
    g. General Section Thresholds. All applicants will be subject to 
all Thresholds requirements listed in the General Section.
    h. The Dun and Bradstreet Universal Numbering System (DUNS) Number 
Requirement. Refer to the General Section for information regarding the 
DUNS requirement. You will need to obtain a DUNS number to receive an 
award from HUD. See the General Section for a discussion of the 
Grants.gov registration process.
    3. Program Requirements
    a. Contract Administrator. The contract administrator must assure 
that the financial management system and procurement procedures that 
will be in place during the grant term will fully comply with either 24 
CFR part 84 or 85, as appropriate. CAs are expressly forbidden from 
accessing HUD's Line of Credit Control System (LOCCS) and submitting 
vouchers on behalf of grantees. Contract administrators must also 
assist grantees to meet HUD's reporting requirements. Contract 
administrators may be: local housing agencies; community-based 
organizations such as community development corporations (CDCs), 
churches, temples, synagogues, or

[[Page 11616]]

mosques; nonprofit organizations; and state/regional associations and 
organizations. Troubled PHAs are not eligible to be contract 
administrators. Grant writers who assist applicants to prepare their 
applications are also ineligible to be contract administrators. 
Organizations that the applicant proposes to use as the contract 
administrator must not violate or be in violation of other conflicts of 
interest as defined in 24 CFR part 84 and 24 CFR part 85.
    b. Requirements for All Applicants. All applicants, lead and non-
lead, should refer to ``Other Requirements and Procedures Applicable to 
All Programs'' of the General Section for requirements pertaining 
specifically to procurement of recovered materials and for information 
regarding other requirements to which they may be subject.
    4. Number of Applications Permitted. Applicants may desire to 
provide a broad range of services supported by grants from a number of 
ROSS funding categories. Applicants may submit more than one 
application only based on the criteria below:
    a. General. Applicants may submit up to one application for each 
ROSS funding category (i.e., one application for ROSS-Elderly/Persons 
with Disabilities, one application for ROSS-Family, etc.), except for 
nonprofits. Nonprofit organizations may submit more than one 
application per ROSS funding category provided they will be serving 
residents of distinct PHAs or Tribes/TDHEs.
    b. More than one application per development. Only one application 
per funding category will be funded for a particular development. For 
example, if multiple applicants apply for ROSS-Elderly/Persons with 
Disabilities for the same development, only the highest scoring 
application will be considered for award. If multiple applicants are 
interested in providing services to a development and the services are 
funded under the same ROSS funding category, it is suggested the 
applicants work together to submit one application on behalf of the 
development.
    c. Joint applications. Two or more applicants may join together to 
submit a joint application for proposed grant activities. Joint 
applications must designate a lead applicant. The lead applicant must 
be registered with Grants.gov and submit the application using the 
Grants.gov portal. Lead applicants are subject to all threshold 
requirements. Non-lead applicants are subject to the following 
threshold requirements as applicable:
    (1) Letters of support for nonprofit applicants,
    (2) Evidence of nonprofit status, as outlined under the section 
covering threshold requirements; and
    (3) Threshold requirements as outlined in Section III.C. of the 
General Section. Joint applications may include PHAs, RAs, Tribes/
TDHEs, and nonprofit organizations on behalf of resident organizations. 
Joint applications involving nonprofit organizations must also provide 
evidence of resident support (the RA) or, if the RA is inactive, the 
RAB. (If the support letter is from the RAB, the applicant must also 
provide a support letter from the PHAs or tribes/TDHEs.) The PHA, 
tribe/TDHE, or RA that is part of a joint application may not also 
submit separate applications as sole applicants under this NOFA.

    Note: Joint applicants may combine their eligible units to 
determine the maximum funding amount the applicants are eligible to 
receive. Please enter the total number of eligible units on the ROSS 
Fact Sheet.

    5. Eligible Participants. All ROSS--Elderly/Persons with 
Disabilities program participants must be residents of conventional 
public housing or NAHASDA-assisted housing and must be elderly or 
disabled. See the Definitions Section for more information.
    6. Eligible Developments. Only conventional public and Indian 
housing developments or NAHASDA-assisted housing may be served by ROSS 
grant funds. Other housing/developments, including but not limited to 
private housing, federally insured housing, federally subsidized or 
assisted (e.g., assisted under Section 8, Section 202, Section 811, or 
Section 236), and others are not eligible to participate in ROSS.
    7. Energy Star. HUD has adopted a wide-ranging energy action plan 
for improving energy efficiency in all program areas. As a first step 
toward implementing the energy plan, HUD, the Environmental Protection 
Agency (EPA), and the Department of Energy (DoE) have signed a joint 
partnership to promote energy efficiency in HUD's affordable housing 
efforts and programs. The purpose of the Energy Star partnership is to 
promote energy efficiency in the affordable housing stock, and also to 
help protect the environment. Applicants providing housing assistance 
or counseling services are encouraged to promote Energy Star materials 
and practices, as well as buildings constructed to Energy Star 
standards, to both homebuyers and renters. Program activities can 
include developing Energy Star promotional and information materials, 
outreach to low- and moderate-income renters and buyers on the benefits 
and savings when using Energy Star products and appliances, and 
promoting the designation of community buildings and homes as Energy 
Star compliant. For further information about Energy Star, see http://www.energystar.gov or call 888-STAR7-YES (888-782-7937).The hearing-
impaired may call 888-588-9920 (TTY).

IV. Application and Submission Information

    A. Application Components. Copies of the published NOFAs and 
application forms for HUD programs announced through NOFA may be 
downloaded from the grants.gov Web site at http://www.grants.gov/applicants/apply--for--grants.jsp; if you have difficulty accessing the 
information, you may receive customer support from Grants.gov by 
calling their Support Desk at (800) 518-GRANTS, or by sending an e-mail 
to [email protected]. You may request general information from the 
NOFA Information Center (800-HUD-8929) between the hours of 10 a.m. and 
6:30 p.m. (Eastern Time) Monday through Friday, except on federal 
holidays. When requesting information, please refer to the name of the 
program you are interested in. The NOFA Information Center opens for 
business simultaneously with the publication of the SuperNOFA. 
Applicants should make sure to include all requested information, 
according to the instructions found in this NOFA and where applicable, 
in the General Section. This will help ensure a fair and accurate 
review of your application.

B. Content and Form of Application Submission

    1. Application Format Information for All Applicants. Before 
preparing an application for any ROSS funding, applicants should 
carefully review the program description, ineligible activities, 
program and threshold requirements, and the General Section. Applicants 
should also review each rating factor found in the ``Application Review 
Information'' section before writing a narrative response. Applicants' 
narratives should be as descriptive as possible, to ensure that every 
requested item is addressed. Applicants should make sure to include all 
requested information, according to the instructions found in this NOFA 
and, where applicable, in the General Section. This will help ensure 
fair and accurate review of your application.
    2. Content and Format for Submission
    a. Content of Application

[[Page 11617]]

    Applicants must write narrative responses to each of the rating 
factors, that follow this section. Under some sections, applicants are 
also asked to complete and include provided forms. Applicants will be 
evaluated on whether their responses contained in the narratives and on 
the forms demonstrate that they have the necessary capacity to 
successfully manage the proposed program. Applicants should ensure that 
their narratives are written clearly and concisely so that reviewers, 
who may not be HUD staff, may fully understand their proposal. Also, if 
information provided on one of the grant forms is not self-explanatory, 
narrative should be provided to clarify.
    b. Format of Application
    (1) Applications may not exceed 40 narrative pages. Narrative pages 
must be typed in Times New Roman font style, double-spaced, numbered, 
with a font size 12, and with one-inch margins all around. Supporting 
documentation, required forms, and certifications will not be counted 
toward the 40-page narrative page limit. However, applicants should 
make every effort to submit only what is necessary in terms of 
supporting documentation. Please see the General Section for 
instructions on how to submit supporting documentation with your 
electronic application.
    (2) A checklist is provided here to help applicants ensure that 
they submit all required forms and information. (Note: Applicants who 
receive a waiver to submit paper applications must submit their 
applications in a three-ring binder, with TABS dividing the sections as 
indicated below. When submitting electronically, you do not need to 
submit these in TABS. Be sure to name each attachment clearly following 
the instructions in the General Section.) Copies of the forms may be 
downloaded with the application package and instructions from http://www.grants.gov/applicants/apply--for--grants.jsp. You must use the 
forms that are included with the 2007 application so as to avoid using 
outdated forms that may be on HUDCLIPS or found from another source. 
Please include a header in your narrative pages and any other 
additional pages that includes the applicant name and the requirement 
being responded to.
    TAB 1: Required Forms from the General Section and other ROSS 
forms:
    1. Acknowledgement of Application Receipt (HUD-2993), for paper 
application submissions only (you must have an approved waiver to 
submit a paper application.)
    2. Application for Federal Financial Assistance (SF-424);
    3. SF-424 Supplement, ``Survey on Ensuring Equal Opportunities for 
Applicants'' (``Faith Based EEO Survey (SF-424-SUPP)'' on Grants.gov);
    4. HUD-27300, ``Questionnaire for HUD's Removal of Regulatory 
Barriers'' (``HUD Communities Initiative Form'' on Grants.gov);
    5. ROSS Fact Sheet (HUD-52751);
    6. HUD-4247-CB, ``Grant Application Detailed Budget'' (``HUD 
Detailed Budget Form'' on Grants.gov);
    7. Grant Application Detailed Budget Worksheet (HUD-424-CBW)--
please remember to include a separate HUD-424-CBW for any sub-contract 
of 10% or more of federal funds;
    8. HUD-2880, ``Applicant/Recipient Disclosure/Update Report'' 
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov);
    9. Certification of Consistency with RC/EZ/EC-II Strategic Plan 
(HUD-2990), if applicable;
    10. Certification of Consistency with the Consolidated Plan (HUD-
2991), (for all applicants except for tribes/TDHEs and non-profits 
serving tribes/TDHEs);
    11. Certification of Consistency with the Indian Housing Plan if 
applicable (HUD-52752) (for tribes/TDHEs and non-profits serving 
tribes/TDHEs);
    12. Certification of Resident Council Board of Election (HUD-52753) 
(for RA applicants and non-profit applicants being supported by one or 
more RAs);
    13. Disclosure of Lobbying Activities (SF-LLL), if applicable;
    14. Disclosure of Lobbying Activities Continuation Sheet (SF-LLL-
A), if applicable;
    15. You Are Our Client Grant Applicant Survey (HUD-2994-A) 
(optional)
    16. HUD-96011, ``Third Party Documentation Facsimile Transmittal'' 
(``HUD Facsimile Transmittal Form'' on Grants.gov). (For use with 
electronic applications as the cover page to provide third-party 
documentation.)
    17. Code of Conduct per General Section instructions;
    18. Statement on Affirmatively Further Fair Housing per General 
Section instructions.
    TAB 2: Threshold Requirements:
    1. Letters from partners attesting to match;
    2. Letter from applicant's organization attesting to match (if 
applicant is contributing to match);
    3. Letters of support from RAs/PHAs/tribes/TDHEs (Threshold 
requirement for all nonprofit applicants);
    4. List of Resident Organizations Supporting Nonprofit Applicants 
(required only for nonprofit applicants) (HUD-52754);
    5. IRS nonprofit determination letter proving 501(c)(3) status 
(this is a threshold requirement for all nonprofit applicants); and
    6. Contract Administrator Partnership Agreement (required for all 
nonprofit organizations, RAs, and PHAs troubled at the time of 
application submission) (HUD-52755).
    TAB 3: Narrative for Rating Factor 1 and ROSS Program Forms
    1. Narrative for Rating Factor 1;
    2. Chart A: Program Staffing (HUD-52756);
    3. Chart B: Applicant/Contract Administrator Track Record (HUD-
52757);
    4. Resumes/Position Descriptions.
    TAB 4: Narrative for Rating Factor 2.
    TAB 5: Narrative and work plan for Rating Factor 3. See Sample ROSS 
Work Plan (HUD-52764).
    TAB 6: Narrative for Rating Factor 4.
    TAB 7: Narrative for Rating Factor 5 and ROSS Program Forms
    1. Narrative;
    2. Logic Model (HUD-96010);

C. Submission Dates and Times

    1. Deadline Dates.
    a. The application must be received and validated by Grants.gov no 
later than 11:59:59 p.m. eastern time on the application deadline date. 
Please note the validation process may take up to 72 hours. If you 
submit a waiver request and it is approved, the notification of 
approval of the waiver request will provide instructions on where to 
submit the paper application. See the General Section and Section F. 
below for instructions regarding waivers to the electronic application 
submission requirement. If you receive a waiver of the electronic 
application submission, your application must be received by the 
application deadline date. See the General Section and Section F. below 
for waiver and mailing requirements.
    D. Intergovernmental Review: Not applicable.

E. Funding Restrictions

    1. Reimbursement for Grant Application Costs. Grantees are 
prohibited from using ROSS grant funds to reimburse any costs incurred 
in conjunction with preparation of their ROSS grant application.
    2. Covered Salaries. Applicable to all applicants:
    a. Types of Salaries. ROSS-Elderly/Persons with Disabilities funds 
may only be used for the types of salaries described in this section 
according to the restrictions described herein.
    b. Project Coordinator. All applicants may propose to hire a 
qualified Project Coordinator to run the grant program.

[[Page 11618]]

The ROSS-Elderly/Persons with Disabilities program will fund up to 
$68,000 in combined annual salary and fringe benefits for a full-time 
Project Coordinator. Applicants may propose a part-time Project 
Coordinator at a lesser salary. For audit purposes, applicants must 
have documentation on file demonstrating that the salary and fringe 
benefits of the Project Coordinator are comparable to similar 
professions in their local area.
    c. Non-administrative ROSS funds may only be used to pay for 
salaries of staff that provide direct services to residents. Direct 
services staff, for purposes of this NOFA, are defined as applicant 
personnel or subcontractors who, as their primary responsibility, 
provide services directly to residents that participate in the 
activities described in this application (e.g., case managers, and 
wellness program staff, among other positions.) Clerical, legal, 
finance, supervisory, executive and all other non-direct services staff 
may be paid for activities related to the grant, but subject to the 10% 
total administrative costs limit.
    3. Administrative Costs. Administrative costs may include, but are 
not limited to, purchase of furniture, office equipment and supplies, 
local travel, utilities, printing, postage, administrative salaries, 
and lease or rental of space for program activities (subject to lease 
restrictions--See Eligible Activities section of this NOFA). 
Administrative costs, including administrative salaries, must not 
exceed 10 percent of the total grant amount requested from HUD. 
Administrative costs must adhere to OMB Circular A-87 or A-122 as 
appropriate. Please use HUD-424-CBW to itemize your administrative 
costs. All administrative costs should be delineated and allocated as 
direct costs--an indirect cost rate will not be accepted.
    4. Funding Requests in Excess of Maximum Grant Amount. Applicants 
that request funding in excess of the maximum grant amount which they 
are eligible to receive will be given consideration only for the 
maximum grant for which they are eligible. If awarded a grant, the 
grantee will work with the Field Office to re-apportion the grant funds 
for eligible activities proposed in the original application.
    5. Ineligible Activities/Costs. Grant funds may not be used for 
ineligible activities. Match will not be counted if it is proposed to 
be used for ineligible activities. The following are ineligible 
activities/costs:
    a. Payment of wages and/or salaries to participants for receiving 
supportive services and/or training programs;
    b. Purchase, lease, or rental of land;
    c. Purchase of space;
    d. New construction, costs for construction materials;
    e. Rehabilitation or physical improvements;
    f. Entertainment costs;
    g. Payment of wages and/or salaries to doctors, nurses or other 
staff (including health aids or companions) in relation to medical 
services provided to residents;
    h. Purchase of non-prescription or prescription medications;
    i. Costs, which exceed limits, identified in the NOFA for the 
following: Project Coordinator, administrative expenses, and long-
distance travel;
    j. Cost of application preparation;
    k. Vehicle insurance and/or maintenance;
    6. ROSS funds cannot be used to hire or pay for the services 
(salary, fringe benefits, etc.) of a Contract Administrator.
    7. Other Budgetary Restrictions. Some long-distance travel may be 
necessary during the term of the grant in order for professional grant 
staff to attend training conferences related to program purposes or 
activities. Long distance travel costs for grant program staff may not 
exceed $5,000 for the life of the grant and must receive prior approval 
from the grantee's local HUD field office or area ONAP.

F. Other Submission Requirements

    1. All applicants are required to submit their applications 
electronically via Grants.gov, unless they request and are approved by 
HUD for a waiver of that requirement. Please refer to the General 
Section for information on how to submit your application and all 
attachments electronically via Grants.gov.
    2. Proof of Timely Submission. Please see the General Section for 
this information. Applicants that fail to meet the deadline for 
application receipt will not receive funding consideration.
    3. For Waiver Recipients Only. Applicants should submit their 
waiver requests in writing using mail. Waiver requests must be 
postmarked no later than 15 days prior to the application deadline date 
and should be sent to Anice Schervish, 451 Seventh Street, SW., Room 
3236, Washington, DC 20410. Applicants who have received waivers to 
submit paper applications (see the General Section for more 
information), must submit their applications to: HUD Grants Management 
Center, Mail Stop: ROSS-Elderly/Persons with Disabilities, 501 School 
Street, SW., 8th floor, Washington, DC 20024. The waiver approval will 
provide detailed instructions.
    4. Number of Copies. When the waiver request is approved the 
applicant will be provided information on how many copies are needed 
and where to submit the copies. Only applicants receiving a waiver to 
the electronic submission requirement may submit a paper copy 
application. Any paper applications submitted without an approved 
waiver will be considered ineligible.

V. Application Review Information

A. Criteria

    1. Factors for Award Used to Evaluate and Rate Applications to the 
ROSS program. The factors for rating and ranking applications and 
maximum points for each factor are provided below. The maximum number 
of points available for this program is 102. This includes two RC/EZ/
EC-II bonus points. The SuperNOFA contains a certification that must be 
completed in order for the applicant to be considered for the RC/EZ/EC-
II bonus points. A listing of federally designated RCs, EZs, and EC-IIs 
is available at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. 
The agency certifying to RC/EZ/EC-II status must be contained in the 
listing of RC/EZ/EC-II organizations on HUD's Web site listed above.

    Note: Applicants should carefully review each rating factor 
before writing a response and completing forms. Applicants' 
narratives and forms should be as descriptive as possible, to ensure 
that every requested item is addressed. Applicants should make sure 
their narratives and forms thoroughly address the Rating Factors 
below. Applicants should include all requested information according 
to the instructions found in this NOFA. This will help ensure fair 
and accurate application review.

    a. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (25 Points).
    This factor addresses whether the applicant has the organizational 
resources necessary to successfully implement the proposed activities 
within the grant period. In rating this factor, HUD will consider the 
extent to which the proposal demonstrates that the applicant will have 
qualified and experienced staff dedicated to administering the program.
    (1) Proposed Program Staffing (up to 7 Points).
    (a) Staff Experience (up to 4 Points). The knowledge and experience 
of the proposed Project Coordinator, staff, and partners in planning 
and managing programs for which funding is being requested. Experience 
will be judged in terms of recent, relevant, and successful

[[Page 11619]]

experience of proposed staff to undertake eligible program activities. 
In rating this factor, HUD will consider experience within the last 5 
years to be recent; experience pertaining to the specific activities 
being proposed to be relevant; and experience producing specific 
accomplishments to be successful. The more recent the experience and 
the more experience proposed staff members who work on the project have 
in successfully conducting and completing similar activities, the 
greater the number of points applicants will receive for this rating 
factor. The following information should be provided in order to 
provide HUD an understanding of proposed staff's experience and 
capacity:
    (i) The number of staff years (one staff year = 2,080 hours) to be 
allocated to the proposed program by each employee or expert as well as 
each of their roles in the program;
    (ii) The staff's relevant educational background and/or work 
experience; and
    (iii) Relevant and successful experience running programs whose 
activities are similar to the eligible program activities described in 
the grant application.
    An applicant will receive up to 4 points if the applicant provided 
the requested materials in sufficient detail to demonstrate an 
experienced and well-coordinated proposed staff. Documentation 
indicates that the project coordinator and proposed staff have recent 
(experience within the last 5 years), relevant (pertaining to the 
specific or similar activities being proposed), and successful 
(experience producing specific results) experience in conducting and 
completing similar activities.
    (b) Organizational Capacity (up to 3 Points). Applicants will be 
evaluated based on whether they or their partners have sufficient 
qualified personnel to deliver the proposed activities in a timely and 
effective fashion. In order to enhance or supplement capacity, 
applicants should provide evidence of partnerships with nonprofit 
organizations or other organizations that have experience providing 
supportive services to typically underserved populations. Provide 
resumes and position descriptions (where staff is not yet hired) for 
all key personnel. (NOTE: Resumes/position descriptions and other HUD 
forms do not count toward the page limit.)
    An applicant will receive up to 3 points if the applicant shows its 
ability (in-house or with partners) to implement the proposed program 
and attaches resumes and position descriptions (where staff is not yet 
hired) for all key personnel. Reviewers may also consult HUD-52756.
    (2) Past Performance of Applicant/Contract Administrator (up to 8 
Points).
    (a) Applicants' past experience may include, but is not limited to, 
running and managing programs aimed at improving living conditions for 
the targeted elderly/persons with disabilities population.
    (b) Applications must indicate past grants they received and 
managed, the grant amounts, and grant terms (years) of the grants, 
which they are counting toward past experience.
    (c) Applicants' narrative must describe how they (or their Contract 
Administrator) successfully implemented past grant programs designed to 
assist elderly/persons with disabilities meet their daily living needs 
and enhance their access to needed services so they can continue to 
reside comfortably and productively in their current living 
environment.
    (d) Applicants will be evaluated according to the following 
criteria:
    (i) Achievement of specific measurable outcomes and objectives in 
terms of benefits gained by participating residents. Applicants should 
describe results their programs have obtained, such as impact on 
emergency care, improved living or health conditions of assisted 
population, and access to greater number of social services. Improved 
living conditions may mean, but is not limited to, aging-in-place or 
assistance to live independently.
    (ii) Description of success in attracting and keeping residents 
involved in past grant-funded training programs. HUD wants to see that 
applicants' grant-funded programs benefited significant numbers of 
residents;
    (iii) Description of timely expenditure of program funding 
throughout the term of past grants. Timely means drawdowns made 
commensurate with the level of activities completed and per the 
approved application. Timely expenditure also refers to fully expending 
all grant funds by the end of the grant term;
    (iv) Description of Past Leveraging. Applicants must describe how 
they have created leveraging partnerships for funding or in-kind 
services for previous projects, the extent of the leveraging 
partnerships, and how the leveraging and partnerships benefited 
participants. The applicant will receive up to 8 points if the 
following is shown:
     Achievement of specific measurable outcomes and 
objectives;
     A description of success in attracting and keeping 
residents involved in past grant-funded training programs and 
documentation that shows that the grant activities benefited a 
significant number of residents;
     A description of timely expenditure of program funding 
throughout the term of past grants. Timely means regular draw-downs 
throughout the life of the grant, i.e., quarterly draw-downs, with all 
funds expended by the end of the grant term;
     A description of how the applicant has leveraged funding 
or in-kind services beyond amounts that were originally proposed for 
past projects.
    An applicant will receive up to 6 points if the applicant fully 
addressed at least 3 of the 4 items of review criteria listed above. An 
applicant will receive up to 4 points if the applicant fully addressed 
at least 2 of the 4 items of review criteria listed above. An applicant 
will receive 2 points if the applicant fully addressed 1 of the 4 items 
above. An applicant will receive 0 points if the applicant failed to 
address all of items 1 through 4.
    (3) Program Administration and Fiscal Management (up to 10 Points). 
Applicants should describe how they will manage the program; how HUD 
can be sure that there is program accountability; and provide a 
description of proposed staff's roles and responsibilities. Applicants 
should also describe how grant staff and partners will report to the 
Project Coordinator and other senior staff. Applicants should also 
include:
    (a) A complete description of an applicant's fiscal management 
structure, including fiscal controls currently in place, including 
those of a contract administrator for applicants required to have a 
contract administrator (i.e., PHAS troubled PHAs, resident 
associations, and nonprofit applicants); and
    (b) any of an applicant's audit findings or material weaknesses in 
the past five years (HUD Inspector General, management review, fiscal, 
etc.), and what has been done to address them.
    An applicant will receive up to 10 points if the applicant provides 
a comprehensive narrative description of (i) the project management 
structure and program accountability, including the use of a contract 
administrator, if applicable; the narrative (ii) describes staff's 
roles and responsibilities, and (iii) details how staff and partners 
will report to the project coordinator and other senior staff, as well 
as (iv) the lines of accountability among all components of the 
proposed program, and (v) if applicable, a list of any audit findings 
in the past 5 years (HUD IG, management review, fiscal, etc.),

[[Page 11620]]

material weaknesses and what the applicant has done to address them.
    An applicant will receive up to 8 points if the applicant has fully 
addressed three of (i)-(iv). An applicant will receive up to 6 points 
the applicant has fully addressed two of (i)-(iv). An applicant will 
receive up to 4 points if the applicant has adequately fully addressed 
one of (i)-(iv). If an applicant provides audit findings or material 
weaknesses but does not provide what the applicant has done to address 
them, the applicant will lose two points. An applicant will receive 0 
points if all of (i)-(v) are missing or inadequate.
    b. Rating Factor 2: Need/Extent of the Problem (up to 20 Points).
    This factor addresses the extent to which there is a need for 
funding the proposed program. In responding to this factor, applicants 
will be evaluated on the extent to which they describe and document the 
level of need for their proposed activities and the urgency for meeting 
the need.
    (1) Socioeconomic Profile (up to 5 points). A thorough 
socioeconomic profile of the eligible residents to be served by the 
program, including education levels, income levels, health statistics, 
economic statistics for the local area, etc. Applicants may either 
provide data for the local area and show that the residents reflect the 
local area or may provide resident-specific data.
    An applicant will receive up to 5 points if the applicant provided 
a thorough socioeconomic profile of the eligible residents to be served 
by the program, including education levels, income levels, health 
statistics and economic statistics that show a need for services. An 
applicant will receive up to 3 points if the applicant provided a basic 
socioeconomic profile of the area, but did not show that the residents 
to be served reflect that profile. An applicant will receive 0 Points 
if the applicant failed to provide the socioeconomic data on the 
community and/or profiles of the eligible residents.
    (2) Demonstrated Link Between Proposed Activities and Local Need 
(up to 15 points). Applicant's narratives must demonstrate a clear 
relationship between proposed activities, community needs and the 
purpose of the program funding in order for points to be awarded for 
this factor. The applicant must, in the narrative for this rating 
factor, describe the service needs of the targeted residents, show 
which service needs are already being met by local resources and which 
service needs the applicant is unable to meet using existing resources, 
and demonstrate that these services are of a high-priority for the 
targeted elderly/disabled residents. The applicant may also indicate a 
need for a Project Coordinator, which it may pay up to the $68,000 
maximum per year from grant funds for salary and fringe benefits in 
accordance with local wage standards (see Funding Restrictions).
    An applicant will receive up to 15 points if the applicant 
narrative demonstrates a direct, clear relationship between the 
proposed activities, community needs and the purpose of the program 
funding. The applicant has described the service needs of the targeted 
residents, shown which service needs are already being met by local 
resources and which service needs the applicant is unable to meet using 
existing resources, and demonstrated that these services are of a high 
priority for the targeted elderly/disabled. An applicant will receive 
up to 10 points if the applicant's narrative demonstrates a strong 
relationship between the proposed activities, community needs and the 
purpose of funding, but does not show which services are already being 
met by existing local resources. An applicant will receive up to 5 
points if the applicant's narrative shows a tenuous relationship 
between the need and proposed activities and does not show existing 
local resources or lack thereof. An applicant will receive 0 Points if 
the applicant failed to demonstrate a clear relationship among the 
proposed activities, community needs and the purpose of the program 
funding.
    c. Rating Factor 3: Soundness of Approach (up to 30 points)
    This subfactor addresses both the quality and cost-effectiveness of 
an applicant's proposed program and/or work plan. The narrative and 
work plan must indicate a clear relationship between proposed 
activities, the targeted population's needs, and the purpose of the 
program funding. Applicant's proposed program must address HUD's policy 
priorities outlined in this Rating Factor.
    In rating this factor HUD will consider:
    (1) Quality of the Work Plan (up to 20 points). This factor 
evaluates both the applicant's proposed program and/or work plan and 
budget which will be evaluated based on the following criteria:
    (a) Specific Services and/or Activities (up to 10 points). 
Applicants' narrative must describe the proposed program (i.e., 
specific services, course curriculum, and activities) they plan to 
offer and who will be responsible for each. In addition to the 
narrative, applicants may also provide a work plan, which should list 
the specific services, activities, and outcomes they expect. The 
proposed program narrative and work plan must show a logical order of 
activities and must tie to the outcomes and outputs applicants identify 
in the Logic Model (see Rating Factor 5). Applicants' narrative must 
explain how their proposed activities will:
    (i) Involve community partners in the delivery of services (up to 5 
points).
    An applicant will receive up to 5 points if the applicant's 
narrative describes the involvement of partner organizations to deliver 
or support its proposed programs. An applicant will receive up to 3 
points if the applicant narrative describes the existence of other 
community-based organizations in the area, but does not describe firm 
connections between program activities and the delivery or support of 
the proposed program. An applicant will receive 0 points if the 
applicant does not intend to involve any community partners in the 
delivery or support of its proposed program.
    (ii) Offer comprehensive services (versus a small range of 
services) geared toward achieving the enhancement of the residents' 
quality of life. If the proposed program activities are part of a more 
comprehensive plan funded through other resources, please provide a 
description of the comprehensive program clearly delineating those 
proposed activities to be funded by the ROSS-Elderly/Persons with 
Disabilities grant category. (up to 5 points).
    An applicant will receive up to 5 points if the applicant narrative 
describes the specific services and activities they plan to offer 
through their whole program (HUD-funded and not) and who will be 
responsible for each and the narrative shows how the applicant will 
provide a range of services and activities that are intended to enhance 
the residents' quality of life. An applicant will receive 3 points if 
the applicant fully describes the proposed program, but the program 
does not address a spectrum of activities that will be provided by the 
applicant. An applicant will receive 0 points if the applicant failed 
to provide sufficient information to determine if the proposed program 
will contain a range of services and no outcomes are identified.
    (b) Feasibility and Demonstrable Benefits (up to 5 points). This 
subfactor examines whether an applicant's work plan is logical, 
feasible, and likely to achieve its stated purpose during the term of 
the grant. HUD seeks to fund applications that will quickly produce 
demonstrable results and advance the purposes of the ROSS program. The

[[Page 11621]]

applicant's work plan should demonstrate that their project is ready to 
be implemented shortly after the grant award, but not to exceed three 
months following the execution of the grant agreement. The work plan 
must indicate time frames and deadlines for accomplishing major 
activities and show the ability to complete all activities within the 
period of performance for the proposed budget.
    An applicant will receive up to 5 points if the work plan and 
supporting narrative are logical and feasible, and demonstrates that 
the proposed project is ready for implementation within three months of 
execution of the grant agreement. The work plan also indicates 
timeframes and deadlines for accomplishing major activities within the 
period of performance and how well the proposed activities address the 
needs described in Rating Factor 2. The applicant will receive up to 3 
points if the work plan and supporting narrative are logical and 
feasible, but do not demonstrate that the project is ready for 
implementation within 3 months of grant agreement execution and can be 
completed within the period of performance. An applicant will receive 0 
points if the applicant failed to provide sufficient information to 
determine that the project is logical and feasible or whether the 
project would be ready for implementation within three months of 
execution of the grant agreement, or can be completed within the period 
of performance.
    (c) Budget Appropriateness/Efficient Use of Grant (up to 5 Points). 
The score in this sub-factor will be based on the following:
    (i) Justification of expenses. Applicants will be evaluated on 
whether their expenses are reasonable and thoroughly explained and 
support the objectives of their proposal.
    (ii) Budget Efficiency. Applicants will be evaluated based on 
whether their application requests funds commensurate with the level of 
effort necessary to accomplish their goals and anticipated results.
    (iii) Please note that the budget form HUD-424CBW requires that a 
separate 424-CBW form be submitted for each sub-contract of 10 percent 
or more of the requested grant amount. If an application proposes to 
sub-contract 10 percent or more of the requested grant amount and does 
not include a separate 424-CBW for each 10 percent or more sub-
contract, all points for Budget Appropriateness/Efficient Use of Grant 
will be lost (5 points). If 424-CBWs for sub-contracts for 50 percent 
or more of the requested grant amount are not included, the application 
will lose 10 points.
    An applicant will receive up to 5 points if expenses are 
reasonable, thoroughly explained, support the objectives of the 
proposal and are commensurate with the level of effort necessary to 
accomplish the goal. An applicant will receive up to 3 points if the 
expenses somewhat support the objectives of the proposal or are only 
somewhat commensurate with the level of effort necessary to accomplish 
the goals. An applicant will receive 0 points if expenses are not 
reasonable and/or the requested funds are not commensurate with the 
goals and anticipated results of the proposed program.
    (d) Ineligible Activities. Two points will be deducted for each 
ineligible activity proposed in the application, as identified in 
Section IV.E. For example, you will lose 2 points if you propose costs 
that exceed the limits identified in the NOFA for a Project 
Coordinator.
    (2) Addressing HUD's Policy Priorities (up to 8 points). HUD wants 
to improve the quality of life for those living in distressed 
communities. HUD's grant programs are a vehicle through which long-
term, positive change can be achieved at the community level. 
Applicants' narrative and work plan will be evaluated based on how well 
they meet HUD's policy priorities listed below.
    (a) Improving the Quality of Life in Our Nation's Communities (2 
points). The applicant's narrative and work plan must indicate the 
types of activities, service, and programs applicants will offer which 
can help residents to continue to live independently.
    An applicant will receive up to 2 points if the work plan and 
supporting narrative indicate the types of activities, services and 
programs that will be offered to help residents successfully continue 
to live independently. An applicant will receive 0 points if the 
application did not provide sufficient information to determine whether 
the types of activities, services and training programs that will be 
offered will help residents continue to live independently.
    (b) Providing Full and Equal Access to Grassroots Faith-Based and 
Other Community-Based Organizations in HUD Program Implementation (up 
to 4 points). HUD encourages applicants to partner with grassroots 
organizations, e.g., civic organizations, grassroots faith-based and 
other community-based organizations that are not usually effectively 
utilized. These grassroots organizations have a strong history of 
providing vital community services and other supportive services. In 
order to receive points under this subfactor, applicants' narrative and 
work plan must describe how applicants will work with these 
organizations and what types of services they will provide. An 
applicant will receive up to 4 points if the applicant's narrative and 
work plan clearly name the grassroots organizations with whom they will 
be working, describes what types of services will be provided by those 
organizations, and describes how these partnerships will contribute to 
the achievement of the goals and proposed outcomes for the program. An 
applicant will receive up to 2 points if the applicant indicates that 
it will work with grassroots organizations, but does not indicate the 
types of services that will be provided by these organizations. An 
applicant will receive 0 points if neither the work plan or narrative 
provide a description of how the applicant will work with grassroots 
organizations (civic organizations, faith-based and/or other community-
based organizations) and the types of services that will be provided.
    (c) Policy Priority for Increasing the Supply of Affordable Housing 
Through the Removal of Regulatory Barriers to Affordable Housing (up to 
2 points).
    Under this policy priority, higher rating points are available to: 
(1) Governmental applicants that are able to demonstrate successful 
efforts in removing regulatory barriers to affordable housing, and (2) 
nongovernmental applicants that are associated with jurisdictions that 
have undertaken successful efforts in removing barriers. For applicants 
to obtain the policy priority points for efforts to successfully remove 
regulatory barriers, applicants must complete form HUD-27300 
(``Questionnaire for HUD's Initiative on Removal of Regulatory 
Barriers''). A copy of HUD's Notice titled ``America's Affordable 
Communities Initiative, HUD's Initiative on Removal of Regulatory 
Barriers: Announcement of Incentive Criteria on Barrier Removal in 
HUD's 2004 Competitive Funding Allocations'' can be found on HUD's Web 
site at http://www.hud.gov/offices/adm/grants/frregbarrier.pdf. The 
information and requirements contained in HUD's regulatory barriers 
policy priority apply to this FY 2007 NOFA. A description of the policy 
priority and a copy of form HUD-27300 can be found in the application 
package posted on http://www.Grants.gov/applicants/apply--for--
grants.jsp. Applicants are encouraged to read the Notice as well as the 
General Section to obtain an understanding of this policy priority

[[Page 11622]]

and how it can impact their score. A limited number of questions 
expressly request the applicant to provide brief documentation with 
their response. Other questions require that for each affirmative 
statement made, the applicant must supply a reference, Web site 
address, or a brief statement indicating where the back-up information 
may be found, and a point of contact, including a telephone number and/
or email address. Applicants can attach the required documentation, URL 
references, and contact information using the attachment capability at 
the bottom of the electronic form. Reference material/documentation can 
be scanned and attached to the form HUD-27300 and submitted with the 
application or faxed to HUD following the facsimile submission 
instructions. When providing documents in support of your responses to 
the questions on the form, please provide the applicant name and 
project name and whether you were responding under column A or B, then 
identify the number of the question and the URL or document name and 
attach using the attachment function at the end of the electronic form.
    (3) Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3) (2 Points).
    You will receive 2 points if your application demonstrates that you 
will implement Section 3 of the Housing and Urban Development Act of 
1968 (12 U.S.C. 1701u) (Economic Opportunities for Low- and Very Low-
Income Persons in Connection with Assisted Projects) and its 
implementing regulations at 24 CFR part 135 in connection with this 
grant, if awarded. Information about Section 3 can be found at HUD's 
Section 3 Web site at http://www.hud.gov/offices/fheo/section3/section3brochure.cfm. Your application must describe how you will 
implement Section 3 through the proposed grant activities. You must 
state that you will, to the greatest extent feasible, direct training, 
employment, and other economic opportunities to:
    (a) Low- and very low-income persons, particularly those who are 
recipients of government assistance for housing, and
    (b) Business concerns which provide economic opportunities to low- 
and very low-income persons.
    An applicant will receive 2 points if the applicant describes how 
it will implement Section 3 through the proposed grant activities and 
states that it will, to the greatest extent feasible, direct training, 
employment, and other economic opportunities to Section 3 interests 
(low- and very low-income persons, particularly those who are 
recipients of government assistance for housing and business concerns 
which provide economic opportunities to low- and very low-income 
persons). An applicant will receive 0 points if the applicant does not 
describe implementing Section 3 through proposed grant activities and 
does not state that it will direct training, employment and other 
economic opportunities to Section 3 interests.
    d. Rating Factor 4: Leveraging Resources (up to 10 Points).
    This factor addresses the applicant's ability to secure community 
resources that can be combined with HUD's grant resources to achieve 
program purposes. Applicants are required to create partnerships with 
organizations that can help achieve their program's goals. PHAs are 
required by section 12(d)(7) of the U.S. Housing Act of 1937 (entitled 
``Cooperation Agreements for Economic Self-Sufficiency Activities'') to 
make best efforts to enter into such agreements with relevant state or 
local agencies. Additionally, applicants must have at least a 25 
percent cash or in-kind match. The match is a threshold requirement. 
Joint applicants must together have at least a 25 percent match. 
Leveraging in excess of 25 percent of the grant amount will receive a 
higher point value. In evaluating this factor, HUD will consider the 
extent to which applicants have partnered with other entities to secure 
additional resources, which will increase the effectiveness of the 
proposed program activities. The additional resources and services must 
be firmly committed, must support the proposed grant activities and 
must, in combined amount (including in-kind contributions of personnel, 
space and/or equipment, and monetary contributions) equal at least 25 
percent of the grant amount requested in this application. A match will 
not be accepted if it is proposed to be used for ineligible activities. 
Please see the section on Threshold Requirements in this NOFA for more 
information.
    Points for this factor will be awarded based on the documented 
evidence of partnerships and firm commitments and the ratio of 
requested ROSS funds to the total proposed grant budget.
    Points will be assigned based on the following scale:
    Percentage of Match Points Awarded
    25--4 points (with partnerships) 2 points (without partnerships);
    26-50--6 points (with partnerships) 4 points (without 
partnerships);
    51-75--8 points (with partnerships) 6 points (without 
partnerships);
    76 or above--10 points (with partnerships) 8 points (without 
partnerships).
    e. Rating Factor 5: Achieving Results and Program Evaluation (up to 
15 Points)
    (1) An important element in this year's NOFA is the development and 
reporting of performance measures and outcomes. This factor emphasizes 
HUD's determination to ensure that applicants meet commitments made in 
their applications and grant agreements and that they assess their 
performance so that they realize performance goals. Applicants must 
demonstrate how they propose to measure their success and outcomes as 
they relate to the Department's Strategic Plan.
    (2) HUD requires ROSS applicants to develop an effective, 
quantifiable, outcome-oriented plan for measuring performance and 
determining that goals have been met. Applicants must use the Logic 
Model (form HUD-96010) for this purpose.
    (3) Applicants must establish interim benchmarks, or outputs, for 
their proposed program that lead to the ultimate achievement of 
outcomes. ``Outputs'' are the direct products of a program's 
activities. Outputs should produce outcomes for your program. Examples 
of outputs are the number of elderly persons referred to for social or 
health care services, the number of persons equipped with emergency 
response resources, etc. ``Outcomes'' are benefits accruing to the 
residents, families, and/or communities during or after their 
participation in the ROSS program. Applicants must clearly identify the 
outcomes to be achieved and measured. Outcomes are not the development 
or delivery of services or program activities but the results of the 
services delivered or program activities--the ultimate results of the 
program. Examples of outcomes are: the number of persons able to live 
independently and have avoided long-term care placement, the number of 
persons that have had improved living conditions or quality of life as 
a result of receiving increased social services, etc.
    (4) This rating factor requires that applicants identify program 
outputs, outcomes, and performance indicators that will allow 
applicants to measure their performance. Performance indicators should 
be objectively quantifiable and measure actual achievements against 
anticipated achievements. Applicants' narrative, work plan, and Logic 
Model should identify what applicants are going to measure, how they 
are going to measure it, and the steps they have in place to

[[Page 11623]]

make adjustments to their work plan and management practices if 
performance targets begin to fall short of established benchmarks and 
time frames. Applicants' proposal must also show how they will measure 
the performance of partners and affiliates. Applicants must include the 
standards, data sources, and measurement methods they will use to 
measure performance.
    Applicants will be evaluated based on how comprehensively they 
propose to measure their program's outcomes. The applicant will receive 
up to 15 points if the applicant provided a work plan, narrative and 
Logic Model that (a) describes the goals, objectives, outcomes, and 
performance measurements to be achieved over the term of the program; 
(b) includes short, intermediate and long term goals; (c) indicates 
what will be measured and (d) how it will be measured and (e) shows 
steps to be taken if performance targets are not met within the 
established timeframes. An applicant will receive up to 12 points if 
the applicant has fully addressed at least 4 of the 5 items of review 
criteria (a-e). The applicant will receive up to 9 points if the 
applicant has fully addressed at least 3 of the 5 items of review 
criteria (a-e). The applicant will receive up to 6 points if the 
applicant has fully addressed at least 2 of the 5 items of review 
criteria (a-e). The applicant will receive up to 3 points if the 
applicant has fully addressed at least 1 of the 5 items of review 
criteria (a-e). An applicant will receive 0 points if the applicant did 
not provide the Logic Model or enough information to determine the 
program goals, outcomes and/or performance measurements.

B. Review and Selection Process

    1. Review Process. Four types of reviews will be conducted: a 
screening to determine if you are eligible to apply for funding under 
the ROSS-Elderly/Persons with Disabilities grant; a review of whether 
your application submission is complete, on time, and meets threshold; 
a review by the field office (or area ONAP office) to evaluate past 
performance; and a technical review to rate your application based on 
the five rating factors provided in this NOFA.
    2. Selection Process for All Grant Categories and All Applicants. 
Twenty-five percent (25%) of funds will be set aside for Resident 
Associations and all qualifying Resident Association applications will 
be funded first, up to 25 percent of the funding amount. The selection 
process is designed to achieve geographic diversity of grant awards 
throughout the country. For each grant category, HUD will first select 
the highest-ranked application from each of the ten federal regions and 
ONAP for funding. After this ``round,'' HUD will select the second-
highest-ranked application in each of the ten federal regions and ONAP 
for funding (the second round). HUD will continue this process with the 
third, fourth, and so on, highest-ranked applications in each federal 
region and ONAP until the last complete round is selected for funding. 
If available funds exist to fund some but not all eligible applications 
in the next round, HUD will make awards to those remaining applications 
in ranked order (by score), regardless of region and ONAP and will 
fully fund as many as possible with remaining funds. If remaining funds 
in one program are too small to make an award, they may be transferred 
to another ROSS program.
    3. Tie Scores. In the event of a tie score between two applications 
in the ROSS-Elderly/Persons with Disabilities funding category that 
target the same developments, HUD will select the application that was 
received first.
    4. Deficiency Period. Applicants will have 14 calendar days in 
which to provide missing information requested from HUD. For other 
information on correcting deficient applications, please see the 
General Section.

VI. Award Administration Information

    A. Award Notices.
    1. HUD will make announcements of grant awards after the rating and 
ranking process is completed. Grantees will be notified by letter and 
will receive instructions on what steps they must take in order to 
access funding and begin implementing grant activities. Applicants who 
are not funded will also receive letters via U.S. postal mail.
    2. Debriefings. All applicants may request a debriefing. Applicants 
requesting to be debriefed must send a written request to: Iredia 
Hutchinson, Director, Grants Management Center, 501 School Street, SW., 
Suite 800, Washington, DC 20024. See the General Section for more 
information on debriefings.

B. Administrative and National Policy Requirements

    1. Environmental Impact. In accordance with 24 CFR 58.34(a)(3) or 
(a)(9), 58.35(b)(2), (b)(4) or (b)(5), 50.19(b)(3), (b)(9), (b)(12), 
(b)(14), or (b)(15), activities under this ROSS program are 
categorically excluded from the requirements of the National 
Environmental Policy Act of 1969 and are not subject to environmental 
review under related laws and authorities.
    2. Applicable Requirements. Unless specifically enumerated in this 
NOFA, all lead and non-lead applicants are subject to the requirements 
specified in Section III.C. of the General Section. Grantees are 
subject to regulations and other requirements found in:
    a. 24 CFR Part 84 (``Uniform Administrative Requirements for Grants 
and Agreements with Institutions of Higher Education, Hospitals, and 
Other Nonprofit Organizations'');
    b. 24 CFR Part 85 (``Administrative Requirements for Grants and 
Cooperative Agreements to State, Local, and Federally Recognized Indian 
Tribal Governments'');
    c. 24 CFR Part 964 (``Tenant Participation and Tenant Opportunities 
in Public Housing'');
    d. OMB Circular A-87 (``Cost Principles for State, Local, and 
Indian Tribal Governments'');
    e. OMB Circular A-110, (``Uniform Administrative Requirements for 
Grants and Other Agreements with Institutions of Higher Education, 
Hospitals and Other Non-Profit Organizations'');
    f. OMB Circular A-122, (``Cost Principles for Non-Profit 
Organizations''); and
    g. OMB Circular A-133, (``Audits of States, Local Governments, and 
Non-Profit Organizations'').
    3. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). Applicants and grantees must also comply with Section 3 of 
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u), and 
ensure that training, employment, and other economic opportunities 
shall, to the greatest extent feasible, be directed toward low- and 
very low-income persons, particularly those who are recipients of 
government assistance for housing, and to business concerns that 
provide economic opportunities to low- and very low-income persons.
    4. Fair Housing and Civil Rights Laws. Applicants and their 
subrecipients must comply with all fair housing and civil rights laws, 
statutes, regulations, and Executive Orders as enumerated in 24 CFR 
5.105(a), as applicable. Please see the General Section for more 
information.

C. Reporting

    1. Semi-Annual Performance Reports. Grantees must submit semi-
annual performance reports to the field office or area ONAP. These 
progress reports must include financial reports (SF-269A) and a Logic 
Model (HUD-96010) showing achievements to date against outputs and 
outcomes proposed in the application and approved by HUD. Each 
quarterly report must identify any deviations (positive or negative) 
from outputs and outcomes proposed and

[[Page 11624]]

approved by HUD, by providing the information in the reporting TAB of 
the approved Logic Model. Grantees must use quantifiable data to 
measure performance against goals and objectives outlined in their 
program and/or work plan. Performance reports are due to the field 
office or Area ONAP on July 30 and January 31 of each year. If reports 
are not received by the due date, grant funds will be suspended until 
reports are received. For FY 2007, HUD is considering a new concept for 
the Logic Model. The new concept is a Return on Investment (ROI) 
statement. HUD will be publishing a separate notice on the ROI concept.
    2. Final Report. All grantees must submit a final report to their 
local field office or area ONAP that will include a financial report 
(SF-269A), a final Logic Model, and a narrative evaluating overall 
results achieved against their program and/or work plan. Grantees must 
use quantifiable data to measure performance against goals and 
objectives outlined in their program and/or work plan. The final report 
must also include responses to the management questions found in the 
Logic Model and approved for your program. The financial report must 
contain a summary of all expenditures made from the beginning of the 
grant agreement to the end of the grant agreement and must include any 
unexpended balances. The final narrative, Logic Model, and financial 
report are due to the field office 90 days after the termination of the 
grant agreement.
    3. Final Audit. Grantees that expend $500,000 in federal funds in a 
given program or fiscal year are required to obtain a complete final 
close-out audit of the grant's financial statements by a Certified 
Public Accountant (CPA), in accordance with generally accepted 
government audit standards. A written report of the audit must be 
forwarded to HUD within 60 days of issuance.
    4. Racial and Ethnic Data. HUD requires that funded recipients 
collect racial and ethnic beneficiary data. HUD has adopted the Office 
of Management and Budget's Standards for the Collection of Racial and 
Ethnic Data. In view of these requirements, funded recipients should 
use form HUD-27061 (Racial and Ethnic Data Reporting Form).

VII. Agency Contact(s)

    For questions and technical assistance, you may call the Public and 
Indian Housing Information and Resource Center at 800-955-2232. For 
persons with hearing or speech impairments, please call the toll-free 
Federal Information Relay Service at 800-877-8339.

VIII. Other Information

    A. Code of Conduct. Please see the General Section for more 
information.
    B. Transfer of Funds. If transfer of funds from any of the ROSS 
programs does become necessary, HUD will consider the amount of 
unfunded qualified applications in deciding to which program it will 
transfer the extra funds.
    C. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2577-0229. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 49.5 hours per respondent for the 
application. This includes the time for collecting, reviewing, and 
reporting the data for the application. The information will be used 
for grantee selection and monitoring the administration of funds. 
Response to this request for information is required in order to 
receive the benefits to be derived.

[[Page 11625]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.019


[[Page 11626]]



Resident Opportunity and Self-Sufficiency (ROSS) Family and 
Homeownership Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Public and Indian Housing.
    B. Funding Opportunity Title: ROSS Family and Homeownership, under 
the Resident Opportunity and Self-Sufficiency (ROSS) program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: 5100-N-18; OMB Approval Number 2577-
0229.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 
Resident Opportunity and Self Sufficiency, 14.870.
    F. Dates: The application deadline date is June 27, 2007. 
Applications submitted through http://www.grants.gov must be received 
and validated by grants.gov no later than 11:59:59 Eastern time on the 
application deadline date. The validation process may take up to 72 
hours.
    G. Additional Overview Content Information:
    1. Purpose of Program. The purpose of the Public and Indian Housing 
Resident Opportunity and Self Sufficiency (ROSS) program is to provide 
grants to public housing agencies (PHAs), tribes/tribally designated 
housing entities (TDHEs), Resident Associations (RAs), and nonprofit 
organizations (including grassroots, faith-based and other community-
based organizations) for the delivery and coordination of supportive 
services and other activities designed to help public and Indian 
housing residents attain economic and housing self-sufficiency.
    2. Funding Available. HUD expects to award a total of approximately 
$30,000,000 in ROSS--Family and Homeownership grants in FY 2007. This 
amount includes $18,000,000 appropriated in FY 2007 and $12,000,000 in 
rollover funds.
    3. Award Amounts. Awards, depending on the unit count and type of 
grantee, will range from $125,000 to $1,000,000. Please see the program 
description for more specific information about funding amounts.
    4. Eligible Applicants. Eligible applicants are PHAs; tribes/TDHEs; 
nonprofit organizations including grassroots faith-based and other 
community-based organizations that have resident support or the support 
of tribes; RAs; resident councils (RCs); resident organizations (ROs); 
City-Wide Resident Organizations (CWROs); Intermediary Resident 
Organizations (IROs); Jurisdiction-Wide Resident Organizations; 
Regional Resident Organizations; Resident Management Corporations 
(RMCs); Site-Based Resident Organizations; Statewide Resident 
Organizations (SROs); and Tribal/TDHE resident groups. The term 
``resident association'' or ``RA'' will be used to refer to all types 
of eligible resident organizations. Please see the section on 
``Definition of Terms'' for a complete definition of each type of 
eligible resident organization.
    5. Cost Sharing/Match Requirement. At least 25 percent of the 
requested grant amount is required as a match. The match may be in cash 
and/or in-kind donations. The match is a threshold requirement.
    6. Grant term. The grant term for each funding category is 3 years 
from the execution date of the grant agreement.

----------------------------------------------------------------------------------------------------------------
                                                                                     Maximum grant amount (units
                                                                                       refers to the number of
           Grant program                  Total funding        Eligible applicants     family-occupied units as
                                                                                        indicated on ROSS Fact
                                                                                          Sheet (HUD-52751)
----------------------------------------------------------------------------------------------------------------
ROSS--Family and Homeownership.....  $30 million...........  PHAs/Tribes/TDHEs.....  $250,000 for 1-780 units.
                                                                                     $350,000 for 781-2,500
                                                                                      units.
                                                                                     $500,000 for 2,501-7,300
                                                                                      units.
                                                                                     $1,000,000 for 7,301 or
                                                                                      more units.
                                                             Resident Associations.  $125,000.
                                                             Nonprofit entities....  $125,000 per RA; Maximum
                                                                                      award is $375,000.
----------------------------------------------------------------------------------------------------------------

Full Text of Announcement

I. Funding Opportunity Description

    A. ROSS Family and Homeownership. The purpose is to provide funding 
to assist PHAs, tribes/TDHEs, RAs, nonprofit organizations (including 
grassroots community based organizations such as faith-based 
organizations), to create programs that will help residents achieve 
economic self-sufficiency. Applicants must submit proposals that will 
link residents with services such as job training and educational 
opportunities that facilitate economic and housing self-sufficiency. 
The Homeownership component provides funds to recipients to deliver 
homeownership training, counseling, and supportive services for 
residents of public and Indian housing who are participating or have 
participated in self-sufficiency programs such as ROSS; Public Housing 
Family Self-Sufficiency (FSS); or other federal, state, or local self-
sufficiency programs. ROSS-Elderly/Persons with Disabilities funding is 
being offered under a separate notice in the 2007 SuperNOFA.

B. Definition of Terms

    1. City-Wide Resident Organization consists of members of Resident 
Councils, Resident Management Corporations, and Resident Organizations 
who reside in public housing developments that are owned and operated 
by the same PHA within a city.
    2. Community Facility means a non-dwelling structure that provides 
space for multiple supportive services for the benefit of public or 
Indian housing residents and others eligible for the services provided. 
Supportive services may include but are not limited to:
    a. Job-training;
    b. After-school activities for youth;
    c. Neighborhood Networks (formerly Twenty Education Communities 
(TECs), Campus of Learners activities);
    d. English as a Second Language (ESL) classes; and
    e. Child care.
    3. Contract Administrator means an overall grant administrator or a 
financial management agent (or both) that oversees the implementation 
of the grant and/or the financial aspects of the grant.
    4. Elderly person means a person who is at least 62 years of age.
    5. Jurisdiction-Wide Resident Organization means an incorporated 
nonprofit organization or association that meets the following 
requirements:
    a. Most of its activities are conducted within the jurisdiction of 
a single housing authority;
    b. There are no incorporated resident councils or resident 
management corporations within the jurisdiction of the single housing 
authority;

[[Page 11627]]

    c. It has experience in providing start-up and capacity-building 
training to residents and resident organizations; and
    d. Public housing residents representing unincorporated resident 
councils within the jurisdiction of the single housing authority must 
comprise a majority of the board of directors.
    6. Tribally Designated Housing Entity (TDHE) is an entity 
authorized or established by one or more Indian tribes to act on behalf 
of each such tribe authorizing or establishing the housing entity as 
defined by Section 4(21) of NAHASDA.
    7. Indian Tribe means any tribe, band, nation, or other organized 
group of a community of Indians, including any Alaska Native village, 
regional, or village corporation as defined in or established pursuant 
to the Alaska Native Claims Settlement Act, and that is recognized as 
eligible for the special programs and services provided by the United 
States to Indians because of their status as Indians pursuant to the 
Indian Self Determination and Education Act of 1975 or any state-
recognized tribe eligible for assistance under section 4(12)(C) of the 
Native American Housing Assistance and Self-Determination Act of 1996 
(NAHASDA).
    8. Intermediary Resident Organizations means jurisdiction-wide 
resident organizations, citywide resident organizations, statewide 
resident organizations, regional resident organizations, and national 
resident organizations.
    9. NAHASDA-assisted resident means a member of a tribe (as defined 
above) who has been assisted by NAHASDA.
    10. National Resident Organization (NRO) is an incorporated 
nonprofit organization or association for public housing that meets 
each of the following requirements:
    a. It is national (i.e., conducts activities or provides services 
in at least two HUD areas or two states);
    b. It has the capacity to provide start-up and capacity-building 
training to residents and resident organizations; and
    c. Public housing residents representing different geographical 
locations in the country are members of the board of directors.
    11. Nonprofit organization is an organization that is exempt from 
federal taxation. A nonprofit organization can be organized for the 
following purposes: charitable, religious, educational, scientific, or 
other similar purposes in the public interest. In order to qualify, an 
organization must be a corporation, community chest, fund, or 
foundation. An individual or partnership cannot qualify. To obtain 
nonprofit status, qualified organizations must file an application with 
the Internal Revenue Service (IRS) and receive designation as such by 
the IRS. For more information, go to www.irs.gov. Applicants who are in 
the process of applying for nonprofit status, but have not yet received 
nonprofit designation from the IRS, will not be considered nonprofit 
organizations. All nonprofit applicants must submit their IRS 
determination letter to prove their nonprofit (e.g. 501(c)(3)) status 
with their funding application. Please see the section on Threshold 
Requirements for more information. Nonprofit applicants must also 
provide letters of support as described in the Threshold Requirements 
section.
    12. National nonprofit organizations work on a national basis and 
have the capacity to mobilize resources on both a national and local 
level. All nonprofit applicants must submit their IRS determination 
letter to prove their nonprofit (e.g. 501(c)(3)) status. National 
nonprofit applicants must also provide letters of support as outlined 
in the ``Threshold Requirements'' section.
    13. Past Performance is a threshold requirement. Using Rating 
Factor 1 (described in the Application Review Information section of 
this NOFA), HUD's field offices will evaluate applicants for past 
performance to determine whether an applicant has the capacity to 
manage the grant for which it is applying. The area Office of Native 
American Programs (ONAP) will review past performance for tribal/TDHE 
submissions. Field offices will also evaluate the past performance of 
contract administrators for applicants required to have a contract 
administrator.
    14. Person with disabilities means a person who:
    a. Has a condition defined as a disability in section 223 of the 
Social Security Act; or
    b. Has a developmental disability as defined in section 102 of the 
Developmental Disabilities Assistance Bill of Rights Act.
    The term ``person with disabilities'' does not exclude persons who 
have acquired immunodeficiency syndrome (HIV/AIDS) or any conditions 
arising from the etiologic agent for AIDS. In addition, no individual 
shall be considered a person with disabilities, for purposes of 
eligibility for low-income housing, solely on the basis of any drug or 
alcohol dependence.
    The definition of a person with disabilities contained in section 
504 of the Rehabilitation Act of 1973 and its implementing regulations 
must be used for purposes of reasonable accommodations and program 
accessibility. Please see 24 CFR 5.403.
    15. Project Coordinator is responsible for coordinating the 
grantee's approved activities to ensure that grant goals and objectives 
are met. A qualified project coordinator is someone with experience 
managing projects and preferably has experience working with supportive 
services. The project coordinator and grantees are responsible for 
ensuring that all federal requirements are followed.
    16. Resident Association (RA) means any or all of the forms of 
resident organizations as they are defined elsewhere in this 
Definitions section and includes Resident Councils (RC), Resident 
Management Corporations (RMC), Regional Resident Organizations (RRO), 
Statewide Resident Organizations (SRO), Jurisdiction-Wide Resident 
Organizations, and National Resident Organizations (NRO). The NOFA will 
use ``Resident Association'' or ``RA'' to refer to all eligible types 
of resident organizations. See 24 CFR 964.115 for more information.
    17. Regional Resident Organization (RRO) means an incorporated 
nonprofit organization or association for public housing that meets 
each of the following requirements:
    a. The RRO is regional (i.e., not limited by HUD Areas);
    b. The RRO has experience in providing start-up and capacity-
building training to residents and resident organizations; and
    c. Public housing residents representing different geographical 
locations in the region must comprise the majority of the Board of 
Directors.
    18. Resident Management Corporation (RMC) means an entity that 
proposes to enter into, or enters into a contract to conduct one or 
more management activities of a PHA and meets the requirements of 24 
CFR 964.120.
    19. Resident Organization (RO) for tribal entities means an 
incorporated or unincorporated nonprofit tribal organization or 
association that meets each of the following criteria:
    a. It shall consist of residents only, and only residents may vote;
    b. If it represents residents in more than one development or in 
all of the developments of the tribal/TDHE community, it shall fairly 
represent residents from each development that it represents;
    c. It shall adopt written procedures providing for the election of 
specific officers on a regular basis; and
    d. It shall have an elected governing board.

[[Page 11628]]

    20. Secretary means the Secretary of the Department of Housing and 
Urban Development.
    21. Site-Based Resident Associations means resident councils or 
resident management corporations representing a specific public housing 
development.
    22. Statewide Resident Organization (SRO) is an incorporated 
nonprofit organization or association for public housing that meets the 
following requirements:
    a. The SRO has statewide jurisdiction;
    b. The SRO has experience in providing start-up and capacity-
building training to residents and resident organizations; and
    c. Public housing residents representing different geographical 
locations in the state must comprise the majority of the Board of 
Directors.
    23. Tribal/TDHE Resident Group means tribal/TDHE resident groups 
that are democratically elected groups such as IHA-wide resident 
groups, area-wide resident groups, single development groups, or 
resident management corporations (RMCs).

C. Regulations Governing the ROSS Program

    ROSS Family and Homeownership is governed by 24 CFR Part 964.

II. Award Information

A. Performance Period and Award Type

    1. Grant Period. Three years. The grant period shall begin the day 
the grant agreement and the form HUD-1044 (Assistance Award/Amendment) 
are signed by both the grantee and HUD.
    2. Grant Extensions. Requests to extend the grant term beyond the 
grant term must be submitted in writing to the local HUD field office 
or area ONAP at least 90 days prior to the expiration of the grant 
term. Requests must explain why the extension is necessary, what work 
remains to be completed, and what work and progress was accomplished to 
date. Extensions may be granted only once by the field office or area 
ONAP for a period not to exceed 6 months and may be granted for a 
further 6 months by the HUD Headquarters program office at the request 
of the Field Office or area ONAP.
    3. Type of Award. Grant agreement.
    4. Subcontracting. Subcontracting is permitted. Grantees must 
follow federal procurement regulations found in HUD regulations at 24 
CFR 84.40-84.48 and 24 CFR 85.36.
    5. Total Funding. HUD expects to award a total of approximately 
$30,000,000 in ROSS--Elderly/Persons with Disabilities grants in FY 
2007. This amount includes $18,000,000 appropriated in FY 2007 and 
$12,000,000 in rollover funds. Awards will be made as follows:
    a. PHAs must use the number of occupied conventional family public 
housing units as of September 30, 2006, per their budget to determine 
the maximum grant amount they are eligible for in accordance with the 
chart above. (Use form HUD-51751, ROSS Fact Sheet). Applicants should 
clearly indicate on the fact sheet the number of eligible units under 
their Annual Contributions Contract.
    b. The maximum grant award is $125,000 for each RA.
    c. Nonprofits are eligible applicants if they are representing or 
acting at the behest of an RA. Accordingly, nonprofit applicants must 
show support from that RA. Nonprofit organizations that have support 
from an RA are limited to $125,000 for each RA. A nonprofit 
organization may not receive more than $375,000 in FY 2007 ROSS-Family 
& Homeownership grant funding, but may propose to serve more than 3 
RAs. In cases where nonprofit applicants are not able to obtain support 
from RAs, they must obtain letters of support from PHAs and/or tribes/
TDHEs.


    Note:  All nonprofit applicants that do not include a letter of 
support from an RA must include a letter of support from a PHA or 
tribe/TDHE. Please see Threshold Requirements for more information. 
Support letters must indicate the developments to be served by the 
nonprofit organization. Funding for nonprofit applicants that do not 
receive letters of support from RAs will be determined as follows. 
Support letters must indicate the developments to be served by the 
nonprofit organization as well as the number of family occupied 
conventional public housing units in those developments.


------------------------------------------------------------------------
                                                               Maximum
        Number of family occupied conventional units           funding
------------------------------------------------------------------------
1-780 units................................................     $125,000
781-2,500 units............................................      250,000
2,501 or more units........................................      375,000
------------------------------------------------------------------------

Applicants should see the General Section for instructions on 
submitting support letters and other documentation with their 
electronic application.
    d. Tribes/TDHEs should use the number of units counted as Formula 
Current Assisted Stock for FY 2006 as defined in 24 CFR 1000.316. 
Tribes that have not previously received funds from the Department 
under the U.S. Housing Act of 1937 should count housing units under 
management that are owned and operated by the Tribe and that are 
identified in their housing inventory as of September 30, 2006, for 
family units. Tribes should clearly indicate the number of units under 
management on the Fact Sheet.

III. Eligibility Information

    A. Eligible Applicants. Eligible applicants are PHAs, tribes/TDHEs, 
RAs, and nonprofit organizations (including those nonprofit 
organizations supported by resident organizations, PHAs, or tribes/
TDHEs).
    B. Cost Sharing or Matching. The required match is 25 percent of 
requested funds and the match is a threshold requirement. Therefore, 
applicants who do not demonstrate the minimum 25 percent match will 
fail the threshold requirement and will not receive further 
consideration for funding. Please see the section below on threshold 
requirements for more information on what is required for the match.

C. Other

    1. Eligible Activities.
a. Eligible Program Activities
    Applicants should propose implementing comprehensive programs 
within the 3-year grant term which will result in improved housing and 
economic self-sufficiency for Public and Indian Housing residents. 
Proposals should involve partnerships with organizations that will 
enhance grantees' ability to provide educational programs, housing 
counseling, fair housing counseling, job training and other supportive 
services for residents. All applicants must complete a work plan 
covering the 3-year grant term.
    The eligible activities are listed in the following five 
categories, from basic to advanced: (1) Life-Skills Training; (2) Job 
Training, Job Search, and Placement Assistance; (3) Post-Employment 
Follow-up; (4) Activities to Support Career Advancement and Long-Term 
Economic Self-Sufficiency; and (5) Homeownership. Applicants are not 
limited to choosing one category of activity, but rather should design 
their programs to address the specific needs of the population they are 
targeting. Only applicants proposing activities in Category 5 
(Homeownership), and able to show existing linkages to an existing 
homeownership program such as, for PHAs, Housing Choice Voucher-
Homeownership, Section 32, or homeownership programs and resources 
offered by other organizations or state or local homeownership programs 
and for Tribes/TDHEs, programs such as the Mutual Help Homeownership 
Opportunity Program, the Section 184 Program, and homeownership 
programs developed under the Indian Housing Block Grant Program such as 
mortgage

[[Page 11629]]

assistance, will be eligible for 2 points in Rating Factor 3, Soundness 
of Approach, under ``Addressing HUD's Policy Priorities--Providing 
Increased Homeownership and Rental Opportunities for Low- and Moderate-
Income Persons * * *'' Funds may be used for, but are not limited to, 
the activities described below.
    (Category 1) Life-Skills Training (for Youth and Adults). An 
applicant's proposals can cover, but are not limited to, the following 
types of activities:
    (a) Credit. The importance of having good credit and how to 
maintain good credit.
    (b) Banking and Money Management. How to open a bank account, 
balance a checkbook, create a weekly spending budget, and establish 
contingency plans for child care and transportation, etc.
    (c) Real Life Issues. Information on tax forms, voter registration, 
leases, car insurance, health insurance, long-term care insurance, etc.
    (d) Literacy training and GED preparation.
    (e) College preparatory courses and information.
    (f) Goal setting.
    (g) Mentoring.
    (h) Hiring residents to help with the implementation of this 
program.


    Note: Stipends and salaries serve different purposes. Resident 
salaries can only be used to hire residents to help program staff 
with the implementation of grant activities.


    (Category 2) Job Training, Job Search, and Placement Assistance. 
Eligible activities include but are not limited to:
    (a) Skills assessment of participating residents.
    (b) Applying for a job. How to complete employment forms; 
highlighting skills employers are looking for, researching job 
opportunities in the area, and calculating net wages.
    (c) Soft skills training including problem-solving and other 
cognitive skills, oral and written communication skills, workplace 
norms (appropriate dress, punctuality, respectful communication, etc.), 
work ethic, and interpersonal and teamwork skills.
    (d) Creating job training and placement programs.
    (e) Resume writing.
    (f) Interviewing techniques.
    (g) Employer linkage and job placement. Working with local 
employers and job placement providers to design and offer training that 
addresses local employers' needs, and to create a job placement program 
that refers trained residents to participating employers and other 
local area employers.
    (h) Professional clothing or uniforms related to new employment.
    (i) Career advancement and planning programs. Such programs should 
be designed to:
    (i) Set career goals;
    (ii) Provide strategies such as finding a strong professional 
mentor within an organization for which residents may be working, and 
focusing on the organization's priorities.
    (iii) Reinforce welfare-to-work programs and focus efforts on 
increasing residents' earning capacity. Activities can include job 
counseling, helping residents secure better paying jobs or jobs in 
better work environments, preparing for work in a new job category, 
obtaining additional job skills, and other job-related or educational 
training.
    (iv) Working with local employers to create opportunities that 
combine education and skills training with jobs. Strategies that 
promote work-based learning can offer the most effective method for 
giving new workers the tools they need to move onto a career ladder and 
achieve upward mobility.
    (Category 3) Post-employment follow-up. After placing residents in 
jobs, providing follow-up and ongoing support to newly hired residents 
can have a significant positive impact on long-term job retention.
    (Category 4) Activities to Support Career Advancement and Long-Term 
Economic Self-Sufficiency.
    (a) Individual Savings Accounts (ISAs). Applicants may create 
programs that encourage residents to save and contribute to match 
savings accounts such as Individual Development Accounts (IDAs). The 
programs should include financial counseling and education activities. 
ISAs may only be used for three purposes: (1) To purchase a first home 
that is existing or under construction when the purchase contract is 
signed; (2) to receive postsecondary education or training; or (3) to 
start a local business (other than acquiring, leasing, constructing, or 
rehabilitating real property in connection with the business). 
Applicants are encouraged to leverage funds by working with local 
financial organizations, which can also contribute to residents' ISAs. 
FSS escrow accounts may not be used as a match for ROSS 
FamilyHomeownership-funded ISAs. Grantees shall consult the Internal 
Revenue Service regarding possible tax consequences of the ISAs on 
participating residents.
    (b) Housing Counseling to increase homeownership opportunities. 
This can include information to help residents move to market-rate 
rental housing and/or ``pre-purchase'' homeownership counseling and 
training. This may include training on such subjects as credit and 
financial management, credit repair, housing search, how to finance the 
purchase of a home, fair housing, Individual Savings Accounts, the Real 
Estate Settlement Procedures Act (RESPA), and home maintenance.
    (Category 5) Homeownership. Applicants should be able to show 
existing linkages with HUD homeownership programs such as the Housing 
Choice Voucher Homeownership Program, the PHA Homeownership Program 
also known as Section 32 (formerly the Section 5(h) Homeownership 
Program), or homeownership programs and resources offered by other 
organizations or state or local homeownership programs.
    Tribes/TDHEs should be able to show existing linkages with programs 
such as the Mutual Help Homeownership Opportunity Program, the Section 
184 Program, and homeownership programs developed under the Indian 
Housing Block Grant Program such as mortgage assistance. Proposals 
should involve partnerships with organizations that will enhance the 
services grantees will offer. Applicants are strongly encouraged to 
partner with HUD-approved housing counseling agencies. For a list of 
HUD-approved housing counseling agencies, go to: http://www.hud.gov/offices/hsg/sfh/hcc/hccprof14.cfm.
    Eligible activities include, but are not limited to:
    (1) Training to include:
    (a) Asset building;
    (b) Credit counseling and credit scoring;
    (c) Financial literacy and management;
    (d) Selecting a real estate broker;
    (e) Choosing a lender;
    (f) Appraisals;
    (g) Home inspections;
    (h) Avoiding delinquency and predatory lending;
    (i) Foreclosure prevention;
    (j) Home maintenance and financial management for first-time 
homeowners;
    (k) RESPA; and
    (l) Fair Housing Counseling.
    (2) ISAs. You may create programs that encourage residents to save 
and contribute to match savings accounts such as Individual Development 
Accounts (IDAs). ISAs are to be used solely for (a) escrow accounts, 
(b) down payment assistance and (c) closing costs, to assist the 
resident to purchase an existing dwelling unit or a dwelling unit under 
construction.

[[Page 11630]]

b. Eligible Other Activities
    (1) Hiring of a qualified project coordinator to run the grant 
program. A qualified project coordinator must have at least 2 years of 
experience in managing programs and should have experience working on 
supportive services programs. If Category 5 activities are being 
proposed, a qualified grant coordinator must have experience working on 
homeownership programs designed for typically underserved populations. 
The project coordinator should be hired for the entire 3-year term of 
the grant. The project coordinator is responsible for:
    (a) Marketing the program to residents;
    (b) Assessing participating residents' skills and job readiness;
    (c) Assessing participating residents' needs for supportive 
services, e.g., child care, transportation costs, etc.
    (d) Assisting a tribe or TDHE to create a resident group to promote 
self-sufficiency efforts in the Indian area;
    (e) Designing, coordinating, and providing grant activities based 
on residents' needs and the local labor market; and
    (f) Monitoring the progress of program participants and evaluating 
the overall success of the program. A portion of grant funds may be 
reserved to ensure that evaluations can be completed for all 
participants who received training through this program. This may 
include software for tracking and evaluation to meet HUD's reporting 
requirements. For more information on how to measure performance, 
please see Rating Factor 5 in the ``Application Review Information'' 
section of this NOFA.
    (2) Staff training.
    (3) Long distance travel subject to funding restrictions.
    (4) Lease or rental of space for program activities, but only under 
the following conditions:
    (i) The lease must be for existing facilities not requiring 
rehabilitation or construction except for minimal alterations to make 
the facilities accessible for a person with disabilities;
    (ii) No repairs or renovations of the property may be undertaken 
with federal funds; and
    (iii) Properties in the Coastal Barrier Resources System designated 
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be 
leased or rented with federal funds.
    (5) Stipends. Stipends are an eligible use of grant funds, and 
stipends may be used for reasonable out-of-pocket costs. Stipends may 
also be used to reimburse such things as local transportation to and 
from job training and job interviews, supplemental educational 
materials, and child care expenses. Stipends must be tied to residents' 
successful performance and regular attendance.
    (6) Hiring of Residents. Grant funds may also be used to hire a 
resident(s) as program staff.
    (7) Supportive Services.
    (a) After-school programs for school-age children to include 
tutoring, remedial training, and educational programming using 
computers.
    (b) Provision of information on the Earned Income Tax Credit 
Program, Food Stamps, Child Tax Credit Program, Medicaid, the State 
Child Health Insurance Program (S-CHIP), Student Loan Interest 
Deduction, tribal welfare programs, and other benefit programs that can 
help individuals and families make a successful transition from welfare 
to work.
    (c) Transportation costs as necessary to enable participating 
families to receive services or commute to training or employment 
including purchase, rental, or lease of a vehicle for the grantee and 
limited in use for program purposes and fuel for program activities.
    (d) Childcare while residents are participating in program-related 
activities.
    (e) Parenting courses.
    (f) Nutrition courses.
    (g) Health care information and services including referrals to 
mental health providers and alcohol and other drug abuse treatment 
programs.
    (h) English as a second language (ESL) classes.
    (i) Housekeeping courses.
    (j) Creating and maintaining linkages to local social service 
agencies such as employment agencies, health departments, 
transportation agencies, economic/community development agencies, 
community colleges, recreational and cultural services, and other 
community organizations such as Boys & Girls Clubs, 4H Clubs, Boy 
Scouts, Girl Scouts, etc.
    (8) Hiring or otherwise retaining other staff as necessary for 
program activities.
    (9) Evaluation.
    (10) Administrative Costs. Administrative costs may include, but 
are not limited to, purchase of office furniture, or office equipment 
and supplies, program outreach, printing and postage, local travel, 
utilities, administrative salaries, and lease or rental of space for 
program activities (subject to lease restrictions above). To the 
maximum extent practicable, when leasing space or purchasing equipment 
or supplies, business opportunities should be provided to businesses 
under Section 3 of the Housing and Urban Development Act of 1968. 
Administrative costs, including administrative salaries, must not 
exceed 10 percent of the total grant amount requested from HUD. All 
administrative costs should be delineated and allocated as direct costs 
an indirect cost rate will not be accepted;
    2. Threshold Requirements. Applicants must respond to each 
threshold requirement clearly and thoroughly by following the 
instructions below. If your application fails one threshold requirement 
(regardless of the type of threshold) it will be considered a failed 
application and will not receive consideration for funding.
    a. Match. All applicants are required to have in place a firmly 
committed 25 percent match in cash or in-kind donations as defined in 
this NOFA. Joint applicants must together have at least a 25 percent 
match. Applicants who do not demonstrate the minimum 25 percent match 
will fail this threshold requirement and will not receive further 
consideration for funding. If you are applying for more than one ROSS 
grant (i.e., ROSS-Elderly), you must use different sources of match 
donations for each grant application and you must indicate which 
additional ROSS grant(s) you are applying for by attaching an 
additional page to your application stating the sources and amounts of 
each of your match contributions for this application as well as any 
other HUD programs to which you are applying. Match to be used for 
ineligible activities will not be accepted. Match donations must be 
firmly committed, which means that the amount of match resources and 
their dedication to ROSS-funded activities must be explicit, in 
writing, and signed by a person authorized to make the commitment. 
Letters of commitment, memoranda of understanding (MOU), or tribal 
resolution must be on organization letterhead, and signed by a person 
authorized to make the stated commitment, whether it be in cash or in-
kind services. The letters of commitment/MOUs/tribal resolutions must 
indicate the total dollar value of the commitment and be dated between 
the publication date of this NOFA and the application deadline 
published in this NOFA, or amended deadline, and indicate how the 
commitment will relate to the proposed program. If the commitment is 
in-kind, the letters should explain exactly what services or material 
will be provided. The commitment must be available at time of award. 
Applicants proposing to use their own, non-ROSS grant funds to meet the 
match requirement, in whole or in part, must also include a letter of

[[Page 11631]]

commitment indicating the type of match (cash or in-kind) and how the 
match will be used. Please see the General Section for instructions for 
submitting the required letters with your electronic application.
    Committed amounts in excess of the 25 percent of the requested 
grant amount may be considered as leveraged funds for higher points 
under Rating Factor 4 (described in the ``Application Review 
Information'' section of this NOFA).
    (1) The value of volunteer time and services shall be computed by 
using the normal professional rate for the local area or the national 
minimum wage rate of $5.15 per hour (Note: PHA applicants may not count 
their staff time toward the match);
    (2) In order for HUD to determine the value of any donated 
material, equipment, staff time, building, or lease, your application 
must provide a letter from the organization making the donation stating 
the value of the contribution.
    (3) Other resources/services that can be committed include: in-kind 
services provided to the applicant; funds from federal sources (not 
including ROSS funds) as allowed by statute, including, for example, 
Community Development Block Grant (CDBG) funds; Indian Housing Block 
Grant (IHBG) funds; funds from any state or local government sources; 
and funds from private contributions. Applicants may also partner with 
other program funding recipients to coordinate the use of resources in 
the target area.
    b. Past Performance. HUD's field offices will evaluate data 
provided by applicants as well as applicants' past performance to 
determine whether applicants have the capacity to manage the grant for 
which they are applying. The area ONAP will review past performance for 
tribal and TDHE submissions. Field offices will evaluate the contract 
administrators' past performance for applicants required to have a 
contract administrator. In evaluating past performance HUD will look at 
the applicant's record of completing grant activities on time, within 
budget, and the results achieved. Using Rating Factor 1, the field 
office/area ONAP will evaluate applicants' past performance. Applicants 
should carefully review Rating Factor 1 to ensure their application 
addresses each of the criteria requested therein. If applicants fail to 
address what is requested in Rating Factor 1, their application will 
fail this threshold and will not receive further consideration.
    c. Contract Administrator Partnership Agreement. All nonprofit 
applicants, all RAs, and PHAS troubled PHAs (as of the application 
publication date) are required to submit a signed Contract 
Administrator Partnership Agreement. The agreement must be for the 
entire grant term. If an applicant that is required to have a Contract 
Administrator Partnership Agreement and fails to submit one or it is 
incomplete, incorrect or insufficient, this will be treated as a 
technical deficiency. See the General Section for more information on 
Corrections to Deficient Applications. Troubled PHAs are not eligible 
to be contract administrators. Grant writers who assist applicants with 
preparing their ROSS applications are also ineligible to be contract 
administrators. For more information on contract administrators, see 
the section ``Program Requirements.''
    d. Letters of Support for Nonprofit Applicants.
    (1) All nonprofit applicants must include one or more letters of 
support from resident associations (RAs). In the event that RAs are 
inactive, nonprofit applicants must submit letters from PHAs or tribes/
TDHEs indicating support for their application. All letters of support 
must be signed by an authorized representative of the supporting 
organization and be dated between the publication date of this NOFA and 
the application deadline published in this NOFA, or the amended 
deadline.
    (2) Nonprofit applicants that do receive support from resident 
associations must submit form HUD-52754 (``List of Resident 
Associations Supporting Nonprofit Applicants''). Submitting this form 
is not applicable where RAs are inactive or where applicants do not 
submit letters of support from RAs.
    (3) In cases where nonprofit organizations are applying to serve 
tribes/TDHEs, nonprofit applicants must submit letters of support from 
tribes/TDHEs. Nonprofit organizations must also use form HUD-52754 to 
list which tribes/TDHEs support their application.
    (4) Letters of support must describe to what extent they are 
familiar with the nonprofit applicant and indicate their support and 
understanding of the nonprofit organization's application. Letters must 
include contact information and the name and title of the person 
authorized to sign for the organization and should, whenever possible, 
be on letterhead. If RA letterhead is not available, the letter may be 
submitted on PHA letterhead.
    (5) All nonprofit applicants that do not provide letters of support 
from resident associations must provide a letter(s) of support from 
PHAs or tribes/TDHEs with jurisdiction over the developments the 
applicant proposes to serve. Letters from PHAs or tribes/TDHEs must 
describe the extent to which the nonprofit applicant is familiar with 
the needs of the community to be served, which programs the nonprofit 
applicant has operated or managed in the community that are similar to 
the applicant's proposal, and whether the nonprofit organization has 
the capacity to implement its proposed program. Letters from PHAs or 
tribes/TDHEs must also list the names of the developments to be served, 
the number of occupied conventional family or elderly/disabled public 
housing units (depending on the grant category) in those developments, 
certify that the units are conventional public housing, and identify 
the ROSS grant category to which the nonprofit organization is 
applying. PHA or tribe/TDHE letters of support must be signed by the 
Executive Director, tribal leader, or authorized designee and must be 
on PHA or tribe/TDHE letterhead. Please see the General Section for 
instructions for submitting the required letters with your electronic 
application.
    (6) Applications from nonprofit organizations, which do not submit 
the information requested in this section will fail this threshold 
requirement and will not be considered for funding.
    e. Nonprofit status. All nonprofit applicants must submit their IRS 
determination letter to prove their nonprofit (e.g., 501(c)(3)) status. 
Applicants that fail to submit this letter will fail this threshold 
requirement and will not be considered for funding. Please see the 
General Section for instructions for submitting the required 
documentation with your electronic application.
    f. Minimum Score for All Fundable Applications. Applications that 
pass all threshold requirements and go through the ranking and rating 
process must receive a minimum score of 75 in order to be considered 
for funding.
    g. General Section Thresholds. All applicants will be subject to 
all Threshold requirements listed in the General Section.
    h. The Dun and Bradstreet Universal Numbering System (DUNS) Number 
Requirement. Refer to the General Section for information regarding the 
DUNS requirement. You will need to obtain a DUNS number to receive an 
award from HUD.
3. Program Requirements
    a. Contract Administrator. The contract administrator must assure 
that the financial management system and

[[Page 11632]]

procurement procedures that will be in place during the grant term will 
fully comply with either 24 CFR part 84 or 85, as appropriate. Contract 
administrators are expressly forbidden from accessing HUD's Line of 
Credit Control System (LOCCS) and submitting vouchers on behalf of 
grantees. Contract administrators must also assist grantees to meet 
HUD's reporting requirements. Contract administrators may be: local 
housing agencies; community-based organizations such as community 
development corporations (CDCs), churches, temples, synagogues, 
mosques; nonprofit organizations; state/regional associations and 
organizations. Troubled PHAs are not eligible to be contract 
administrators. Grant writers who assist applicants prepare their 
applications are also ineligible to be contract administrators. 
Organizations that the applicant proposes to use as the contract 
administrator must not violate or be in violation of other conflicts of 
interest as defined in 24 CFR part 84 and 24 CFR part 85.
    b. Requirements Applicable to All Applicants. All applicants, lead 
and non-lead, should refer to ``Other Requirements and Procedures 
Applicable to All Programs'' of the General Section for requirements 
pertaining specifically to procurement of recovered materials and for 
information regarding other requirements to which they may be subject.
    4. Number of Applications Permitted. Applicants may desire to 
provide a broad range of services supported by grants from a number of 
ROSS funding categories. Applicants may submit more than one 
application only based on the criteria below:
    a. General. Applicants may submit up to one application for each 
ROSS funding category (i.e., one application for ROSS-Elderly/Persons 
with Disabilities, one application for ROSS-Family-Homeownership, 
etc.), except in the case of nonprofits. Nonprofit organizations may 
submit more than one application per ROSS funding category provided 
they will be serving residents of distinct PHAs or Tribes/TDHEs.
    b. More than one application per development. Only one application 
per funding category will be funded for a particular development. For 
example, if multiple applicants apply for ROSS-Family-Homeownership for 
the same development, only the highest scoring application will be 
considered for award. If multiple applicants are interested in 
providing services to a development and the services are funded under 
the same ROSS funding category, the applicants should work together to 
submit one application on behalf of the development.
    c. Joint applications. Two or more applicants may join together to 
submit a joint application for proposed grant activities. However, 
joint applications must designate a lead applicant. In addition, the 
lead applicant must be registered with Grants.gov and submit the 
application using the Grants.gov portal. Lead applicants are subject to 
all threshold requirements. Non-lead applicants are subject to the 
following threshold requirements as applicable:
    (1) Letter(s) of support for nonprofit applicants;
    (2) Evidence of nonprofit status as outlined under the section 
covering threshold requirements; and
    (3) Threshold requirements outlined in Section III.C. of the 
General Section.
    Joint applications may include PHAs, RAs, Tribes/TDHEs, and 
nonprofit organizations on behalf of resident organizations. Joint 
applications involving nonprofit organizations must also provide 
evidence of resident support or support from local civic organizations 
or from units of local government. PHAs, tribes/TDHEs, and resident 
organizations that are part of a joint application may not also submit 
separate applications as sole applicants under this NOFA.

    Note: Joint applicants may combine their eligible units to 
determine the maximum funding amount the applicants are eligible to 
receive. Please enter the total number of eligible units on the ROSS 
fact sheet.

    5. Eligible Participants. All ROSS Family and Homeownership program 
participants must be residents of conventional public housing or 
NAHASDA-assisted housing. Participants in the Public Housing Family 
Self-Sufficiency (FSS) program (non-Housing Choice Voucher FSS Program) 
are also eligible to participate in activities funded under ROSS.
    6. Eligible Developments. Only conventional Public and Indian 
housing developments and NAHASDA-assisted developments may be served by 
ROSS grant funds. Other housing/developments, including, but not 
limited to private housing, federally insured housing, federally 
subsidized, or assisted (i.e., assisted under Section 8, Section 202, 
Section 811, Section 236), and others are not eligible to participate 
in ROSS.
    7. Energy Star. HUD has adopted a wide-ranging energy action plan 
for improving energy efficiency in all program areas. As a first step 
toward implementing the energy plan, HUD, the Environmental Protection 
Agency (EPA), and the Department of Energy (DoE) have signed a joint 
partnership to promote energy efficiency in HUD's affordable housing 
efforts and programs. The purpose of the Energy Star partnership is to 
promote energy efficiency of the affordable housing stock and to help 
protect the environment. Applicants providing housing assistance or 
counseling services are encouraged to promote Energy Star materials and 
practices, as well as buildings constructed to Energy Star standards, 
to both homebuyers and renters. Program activities can include 
developing Energy Star promotional and information materials, outreach 
to low- and moderate-income renters and buyers on the benefits and 
savings when using Energy Star products and appliances, and promoting 
the designation of community buildings and homes as Energy Star 
compliant. For further information about Energy Star, see http://www.energystar.gov or call 888-STAR-YES (888-782-7937) or, for the 
hearing-impaired, 888-588-9920 (TTY).

IV. Application and Submission Information

    A. Address to Request an Application Package. Copies of the 
published NOFAs and application forms for HUD programs announced 
through NOFAs may be downloaded from the grants.gov Web site at http://www.grants.gov/applicants/apply--for--grants.jsp; if you have 
difficulty accessing the information, you may receive customer support 
from Grants.gov by calling its Support Desk at (800) 518-GRANTS, or by 
sending an e-mail to [email protected]. You may request general 
information from the NOFA Information Center (800-HUD-8929) between the 
hours of 10 a.m. and 6:30 p.m. (Eastern Time) Monday through Friday, 
except on federal holidays. When requesting information, please refer 
to the name of the program you are interested in. The NOFA Information 
Center opens for business simultaneously with the publication of the 
SuperNOFA.

B. Content and Form of Application Submission

    1. Application Format Information for All Applicants. Applicants 
should make sure to include all requested information, according to the 
instructions found in this NOFA and, where applicable, in the General 
Section. This will help ensure a fair and accurate review of your 
application.
    2. Content and Format for Submission.
    a. Content of Application.

[[Page 11633]]

    Applicants must write narrative responses to each of the rating 
factors, that appear after this section. Applicants will be evaluated 
on whether their responses demonstrate that they have the necessary 
capacity to successfully manage the proposed program. Applicants should 
ensure that their narratives are written clearly and concisely so that 
HUD reviewers, who may not be familiar with the ROSS program, may fully 
understand their proposal.
    b. Format of Application
    (1) Applications may not exceed 40 narrative pages. Narrative pages 
must be typed, double-spaced, numbered, be in Times New Roman, 12-point 
font, and have one-inch margins and font size 12. Supporting 
documentation, required forms, and certifications will not be counted 
toward the 40 narrative page limit. However, applicants should make 
every effort to submit only what is necessary in terms of supporting 
documentation. Please see the General Section for instructions on how 
to submit supporting documentation with your electronic application.
    (2) A checklist is provided here to ensure applicants submit all 
required forms and information. (Note: Applicants who receive a waiver 
to submit paper applications must submit their applications in a three-
ring binder, with TABS dividing the sections as indicated below. When 
submitting electronically, you do not need to submit these in TABS. Be 
sure to name each attachment clearly.) Copies of the forms may be 
downloaded with the application package and instructions from http://www.grants.gov/applicants/apply--for--grants.jsp. You must use the 
forms that are included with the 2007 application so as to avoid using 
outdated forms that may be on HUDCLIPS or found from another source. 
Please include a header in your narrative pages and any other 
additional pages that includes the applicant names and the requirement 
being responded to.
TAB 1: Required Forms From the General Section and Other ROSS Forms:
    1. Acknowledgement of Application Receipt (HUD-2993), for paper 
application submissions only (you must have an approved waiver to 
submit a paper application);
    2. Application for Federal Financial Assistance (SF-424);
    3. SF-424 Supplement, ``Survey on Ensuring Equal Opportunities for 
Applicants'' (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
    4. Questionnaire for HUD's Initiative on Removal of Regulatory 
Barriers (HUD-27300) (``HUD Communities Initiative Form'' on 
Grants.gov);
    5. ROSS Fact Sheet (HUD-52751);
    6. HUD-424-CB, ``Grant Application Detailed Budget'' (``HUD 
Detailed Budget Form'' on Grants.gov);
    7. Grant Application Detailed Budget Worksheet (HUD-424-CBW)--
please remember to include a separate HUD-424-CBW for any sub-contract 
of 10% or more of federal funds;
    8. HUD-2880, ``Applicant/Recipient Disclosure/Update Report'' 
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov);
    9. Certification of Consistency with RC/EZ/EC-II Strategic Plan 
(HUD-2990) if applicable;
    10. Certification of Consistency with the Consolidated Plan (HUD-
2991) (for all applicants except for tribes/TDHEs and non-profits 
serving tribes/TDHEs);
    11. Certification of Consistency with the Indian Housing Plan (HUD-
52752) (for tribes/TDHEs and non-profits serving tribes/TDHEs);
    12. Certification of Resident Council Board of Election (HUD-52753) 
(for RA applicants and non-profit applicants being supported by one or 
more RAs);
    13. Disclosure of Lobbying Activities (SF-LLL), if applicable;
    14. Disclosure of Lobbying Activities Continuation Sheet (SF-LLL-
A), if applicable;
    15. You Are Our Client Grant Applicant Survey (HUD-2994-A) 
(Optional);
    16. HUD-96011, ``Third Party Documentation Facsimile Transmittal'' 
(``Facsimile Transmittal Form'' on Grants.gov) (For use with electronic 
applications as the cover sheet to provide third party documentation);
    17. Code of Conduct per General Section Instructions; and
    18. Statement on Affirmatively Furthering Fair Housing per General 
Section Instructions.
TAB 2: Threshold Requirements:
    1. Letters from Partners attesting to match;
    2. Letter from Applicant's organization attesting to match (if 
applicant is contributing to match);
    3. Letter(s) of Support from Resident Associations/PHAs/tribes/
TDHEs (Threshold requirement for all nonprofit applicants);
    4. Chart of Resident Associations Participating (required only for 
nonprofit applicants) (HUD-52754);
    5. IRS nonprofit determination letter proving 501(c)(3) status 
(Threshold requirement for all nonprofit applicants); and
    6. Contract Administrator Partnership Agreement (required for all 
nonprofit organizations, resident associations, and PHAS-troubled PHAs) 
(HUD-52755).
TAB 3: Narrative for Rating Factor 1 and ROSS Program Forms
    1. Narrative;
    2. Chart A: Program Staffing (HUD-52756);
    3. Chart B: Applicant/Administrator Track Record (HUD-52757);
    4. Resumes/Position Descriptions;
    5. Statement attesting to Housing Choice Voucher Homeownership 
program, Section 32 or other program, if proposing activities in 
Category 5.
TAB 4: Narrative for Rating Factor 2
TAB 5: Rating Factor 3
    1. Narrative;
    2. Work plan (see relevant sample ROSS work plan HUD 52764).
TAB 6: Narrative for Rating Factor 4
TAB 7: Rating Factor 5
    1. Narrative;
    2. Logic Model (HUD-96010).

C. Submission Dates and Times

    1. Deadline Dates. The application must be received and validated 
by Grants.gov no later than 11:59:59 p.m. eastern time on the deadline 
date. Please note that the validation process may take up to 72 hours. 
If you submit a waiver request and it is approved, the notification of 
approval of the waiver request will provide instructions on where to 
submit the paper application. See the General Section and Section F. 
below for instructions regarding waivers to the electronic application 
submission requirement. If an applicant receives a waiver to the 
electronic application submission requirement, the application must be 
received by the application deadline date.
    D. Intergovernmental Review: Not applicable.

E. Funding Restrictions

    1. Reimbursement for Grant Application Costs. Grantees are 
prohibited from using ROSS grant funds to reimburse any costs incurred 
in conjunction with preparation of their ROSS application.
    2. Covered Salaries.
    a. Project Coordinator. All applicants may propose to hire a 
qualified project coordinator to run the program. The ROSS Family and 
Homeownership program will fund up to $68,000 in combined annual salary 
and fringe benefits for a full-time project coordinator. Applicants may 
propose a part-time coordinator at a lesser salary. For audit purposes, 
applicants must have documentation on file

[[Page 11634]]

demonstrating that the salary and fringe benefits of the project 
coordinator are comparable to similar professions in their local area.
    b. Resident Salaries. No more than 5 percent of ROSS Family and 
Homeownership funds may be used to pay for resident salaries. This does 
not apply to contracting with resident-owned businesses.
    c. Types of Salaries. ROSS Family and Homeownership funds may only 
be used for the types of salaries described in this section according 
to the restrictions described. Non-administrative ROSS funds may only 
be used to pay for salaries of staff that provide direct services to 
residents. Direct services staff, for purposes of this NOFA, are 
defined as applicant personnel or subcontractors who, as their primary 
responsibility, provide services directly to residents that participate 
in the activities described in this application e.g., housing and 
credit counselors, case managers, job trainers, and childcare 
providers, among other positions. Clerical, legal, finance, 
supervisory, executive and all other non-direct services staff may be 
paid for activities related to the grant, but subject to the 10 percent 
total administrative costs limit.
    3. Administrative Costs. For all applicants, administrative costs 
may include, but are not limited to, purchase of furniture, office 
equipment and supplies, program outreach, printing and postage, local 
travel, utilities, administrative salaries, and lease or rental of 
space for program activities (subject to restrictions on leasing; see 
Eligible Activities section of this NOFA). Administrative costs, 
including administrative salaries, must not exceed 10 percent of the 
total grant amount requested from HUD. Administrative costs must adhere 
to OMB Circular A-87 or A-122, as appropriate. Please use HUD-424-CBW 
to itemize your administrative costs. All administrative costs should 
be delineated and allocated as direct costs--an indirect cost rate will 
not be accepted;
    4. Individual Savings Accounts (ISAs). ROSS Family and 
Homeownership funds can be used as matching funds for ISAs, but no more 
than 20 percent of total grant funds may be used for this purpose.
    5. Stipends. No more than $200 of the grant award may be used per 
participant per month for stipends for active trainees and program 
participants. Stipends may only be used to reimburse reasonable out-of-
pocket expenses related to participation in training and other program-
related activities. Receipts for such expenses must be provided by the 
resident in order to obtain reimbursement. Stipends are not considered 
an administrative expense and therefore are not subject to the 10 
percent limitation on administrative costs.
    6. Funding Requests in Excess of Maximum Grant Amount. Applicants 
that request funding in excess of the maximum grant amount that they 
are eligible to receive will be given consideration only for the 
maximum grant for which they are eligible. If a grant is awarded, the 
grantee will work with the field office or area ONAP to re-apportion 
the grant funds for eligible activities proposed in the original 
application.
    7. Ineligible Activities/Costs. Grant funds may not be used for 
ineligible activities. The following are ineligible activities/costs:
    a. Payment of wages and/or salaries to participants for receiving 
supportive services and/or training programs (this does not include 
stipends);
    b. Purchase, lease, or rental of land;
    c. New construction, costs for construction materials;
    d. Rehabilitation or physical improvements except for minimal 
alterations to make the facilities accessible for a person with 
disabilities;
    e. Vehicle insurance and/or maintenance;
    f. Entertainment costs;
    g. Purchasing food;
    h. Payment of wages and/or salaries to doctors, nurses or other 
staff (including health aids or companions) in relation to medical 
services provided to residents;
    i. Purchase of non-prescription or prescription medications;
    j. Down payment assistance (NOTE: Participants may use their ISAs 
for this purpose);
    k. Revolving loan funds;
    l. Costs that exceed limits identified in the NOFA, for the 
following: Project Coordinator, resident salaries, ISAs, stipends, 
administrative expenses, and long distance travel;
    m. Cost of application preparation;
    n. Scholarships for degree programs;
    o. purchase of space
    8. ROSS funds cannot be used to hire or pay for the services of a 
Contract Administrator.
    9. Other Budgetary Restrictions. Some long-distance travel may be 
necessary during the term of the grant in order for professional grant 
staff to attend training conferences related to program purposes or 
activities. Long distance travel costs for grant program staff may not 
exceed $5,000 for the life of the grant and must receive prior approval 
from the grantee's local HUD field office or area ONAP.

F. Other Submission Requirements

    1. All applicants are required to submit their applications 
electronically via Grants.gov unless they request and are approved by 
HUD for a waiver of that requirement. Please refer to the General 
Section for information on how to submit your application and all 
attachments electronically via Grants.gov.
    2. Proof of Timely Submission. Please see the General Section for 
this information. Applicants that fail to meet the deadline for 
application receipt will not receive funding consideration.
    3. For Waiver Recipients Only. Applicants should submit their 
waiver requests in writing using mail. Waiver requests must be 
postmarked no later than 15 days prior to the application deadline date 
and should be sent to Anice Schervish, 451 Seventh Street, SW., Room 
3236, Washington, DC 20410. Applicants who have received waivers to 
submit paper applications (see the General Section for more 
information) must submit their applications to: HUD Grants Management 
Center, Mail Stop: ROSS Family and Homeownership, 501 School Street, 
SW., 8th floor, Washington DC 20024.
    4. Number of Copies. Only applicants receiving a waiver to the 
electronic submission requirement may submit a paper copy application. 
When the waiver request is approved, the applicant will be provided 
information on how many copies are needed and where to submit the 
copies. All paper applications must be received by the deadline date. 
Any paper applications submitted without an approved waiver will be 
considered ineligible.

V. Application Review Information

A. Criteria

    1. Factors for Award Used to Evaluate and Rate Applications to the 
ROSS program. The factors for rating and ranking applicants and maximum 
points for each factor are provided below. The maximum number of points 
available for this program is 102. This includes two RC/EZ/EC-II bonus 
points. The SuperNOFA contains a certification that must be completed 
in order for the applicant to be considered for the RC/EZ/EC-II bonus 
points. A listing of federally designated RCs, EZs, and EC-IIs is 
available at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. The 
agency certifying to RC/EZ/EC-II status must be contained in the 
listing of RC/EZ/EC-II organizations on HUD's Web site.

    Note: Applicants should carefully review each rating factor 
before writing a response.

[[Page 11635]]

Applicants' narratives should be as descriptive as possible, 
ensuring that every requested item is addressed. Applicants should 
make sure their narratives thoroughly address the Rating Factors 
below. Applicants should include all requested information, 
according to the instructions found in this NOFA. This will help 
ensure a fair and accurate application review.

    a. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (up to 25 Points).
    This factor addresses whether the applicant has the organizational 
capacity and resources necessary to successfully implement the proposed 
activities within the grant period. In rating this factor, HUD will 
consider the extent to which the proposal demonstrates that the 
applicant will have qualified and experienced staff dedicated to 
administering the program.
    (1) Proposed Program Staffing (up to 7 Points).
    (a) Staff Experience (up to 4 Points). The knowledge and experience 
of the proposed project coordinator, staff, and partners in planning 
and managing programs for which funding is being requested. Experience 
will be judged in terms of recent, relevant, and successful experience 
of proposed staff to undertake eligible program activities. In rating 
this factor, HUD will consider experience within the last 5 years to be 
recent, experience pertaining to the specific activities being proposed 
to be relevant, and experience producing specific accomplishments to be 
successful. The more recent the experience and the more experience 
proposed staff members who work on the project have in successfully 
conducting and completing similar activities, the greater the number of 
points applicants will receive for this rating factor. The following 
information should be provided in order to provide HUD with an 
understanding of your proposed staff's experience and capacity:
    (i) The number of staff years (one staff year = 2080 hours) to be 
allocated to the proposed program by each employee or expert as well as 
each of their roles in the program;
    (ii) The staff's relevant educational background and/or work 
experience; and
    (iii) Relevant and successful experience running programs whose 
activities are similar to the eligible program activities described in 
the grant application.
    An applicant will receive up to 4 points if the applicant provided 
the requested materials in sufficient detail to demonstrate an 
experienced and well-coordinated proposed staff. Documentation 
indicates that the project coordinator and proposed staff have recent 
(experience within the last 5 years), relevant (pertaining to the 
specific or similar activities being proposed), and successful 
(experience producing specific results) experience in conducting and 
completing similar activities.
    (b) Organizational Capacity (up to 3 Points). Applicants will be 
evaluated based on whether they or their partners have sufficient 
qualified personnel to deliver the proposed activities in a timely and 
effective fashion. In order to enhance or supplement capacity, 
applicants should provide evidence of partnerships with nonprofit 
organizations or other organizations that have experience providing 
supportive services to typically underserved populations. Provide 
resumes and position descriptions (where staff is not yet hired) for 
all key personnel. (Resumes/position descriptions and other HUD forms 
do not count toward the page limit.) An applicant will receive up to 3 
points if the applicant provided a description of its ability (in-house 
or with partners) to implement the proposed program and attached 
resumes and position descriptions (where staff is not yet hired) for 
all key personnel. Reviewers may also consult HUD-52756.
    (2) Past Performance of Applicant/Contract Administrator (up to 6 
Points).
    (a) Applicants' past experience may include, but is not limited to, 
running and managing programs aimed at assisting residents of low-
income housing to achieve housing and economic self-sufficiency.
    (b) Applicants must indicate past grants they received and managed, 
the grant amounts, and grant terms (years) of the grants, which are 
counted toward past experience.
    (c) Applicants' narratives must describe how they (or their 
Contract Administrator) successfully implemented past grant programs 
designed to promote resident self-sufficiency, moving from welfare to 
work, and/or helping residents move to market-rate rental housing or 
homeownership.
    (d) Applicants will be evaluated according to the following 
criteria:
    (i) Achievement of specific measurable outcomes and objectives in 
terms of benefits gained by participating residents. Applicants should 
describe results their programs have obtained, such as reduced welfare 
dependency, higher incomes, higher rates of employment, increased 
savings, moving from subsidized housing to market rate rental housing; 
and for Category 5, the number of families in homeownership counseling 
pipeline, and the rates of homeownership achieved through training 
programs;
    (ii) Description of success in attracting and keeping residents 
involved in past grant-funded training programs. HUD wants to see that 
applicants' grant-funded programs benefited a significant numbers of 
residents;
    (iii) Description of timely and accurate expenditure of program 
funding throughout the term of past grants. This means regular (i.e., 
quarterly) and accurate drawdowns throughout the life of the grant, 
with all funds expended by the end of the grant term;
    (iv) Description of past leveraging. Applicants must describe how 
they have created leveraging partnerships for funding or in-kind 
services for previous projects, the extent of the leveraging 
partnership, and how leveraging and partnerships benefited program 
participants.
    Past experience may include, but is not limited to, running and 
managing programs aimed at assisting residents of low-income housing to 
achieve economic self-sufficiency. Reviewers may consult the narrative 
and/or the HUD-52757. The applicant will receive up to 6 points if the 
following is shown:
     achievement of specific measurable outcomes and objectives 
in terms of benefits gained by participating residents;
     a description of success in attracting and keeping 
residents involved in past grant-funded training programs, and 
documentation that shows that the grant activities benefited a 
significant number of residents;
     a description of timely expenditure of program funding 
throughout the term of past grants. Timely means regular draw-downs 
throughout the life of the grant, i.e., quarterly draw-downs, with all 
funds expended by the end of the grant term;
     a description of how the applicant has leveraged funding 
or in-kind services beyond amounts that were originally proposed for 
past projects. In addition to addressing items 1-4 above, the 
application must also: indicate past grants received, the grant 
amounts, and grant terms (years) of the grants, which are being 
counting toward past experience; AND
     describe how the applicant (or their Contract Coordinator 
Administrator, if applicable) successfully implemented past grant 
programs designed to promote self-sufficiency, moving from welfare to 
work, and/or helping residents move to market rate rental housing.

[[Page 11636]]

    An applicant will receive up to 4 points if the applicant 
sufficiently addressed at least 3 of the 4 items of review criteria 
listed above. An applicant will receive up to 2 points if the applicant 
sufficiently addressed at least 2 of the 4 items of review criteria 
listed above. An applicant will receive 0 points if the applicant only 
addressed one or did not address any of items 1 through 4.
    (3) Program Administration and Fiscal Management (up to 12 Points).
    Applicants should describe how they will manage the program; how 
HUD can be sure that there is program accountability; and provide a 
description of proposed staff's roles and responsibilities. Applicants 
should also describe how grant staff and partners will report to the 
project coordinator and other senior staff. Applicants should also 
include the following:
    (a) A complete description of their fiscal management structure, 
including fiscal controls currently in place including those of a 
Contract Administrator for applicants required to have a Contract 
Administrator (i.e., PHAS troubled PHAs, resident associations, and 
nonprofit applicants);
    (b) Applicants must list any audit findings or material weaknesses 
in the past five years (HUD Inspector General, management review, 
fiscal, etc.), and what has been done to address them;
    An applicant will receive up to 12 Points if the applicant provided 
a comprehensive narrative description of (i) the project management 
structure and program accountability, including the use of a contract 
administrator, if applicable; the narrative (ii) describes staff's 
roles and responsibilities and (iii) details how staff and partners 
will report to the project coordinator and other senior staff, as well 
as (iv) the lines of accountability among all components of the 
proposed program; and (v) if applicable, a list of any audit findings 
in the past 5 years (HUD IG, management review, fiscal, etc.), material 
weaknesses and what the applicant has done to address them. An 
applicant will receive up to 9 points if the applicant has fully 
addressed three of (i) through (iv). An applicant will receive up to 6 
points if the applicant has fully addressed two of (i) through (iv). An 
applicant will receive up to 3 points if the applicant has fully 
addressed one of (i) through (iv). If an applicant provides audit 
findings or material weaknesses but does not provide what the applicant 
has done to address them, the applicant will lose two points. An 
applicant will receive 0 points if all of (i) through (v) are not 
addressed.
    b. Rating Factor 2: Need/Extent of the Problem (up to 14 Points).
    This factor addresses the extent to which there is a need for 
funding the proposed program. In responding to this factor, applicants 
will be evaluated on the extent to which they describe and document the 
level of need for their proposed activities and the urgency for meeting 
the need.
    In responding to this factor, applicants must include:
    (1) Socioeconomic Profile (up to 6 points). A thorough 
socioeconomic profile of the eligible residents to be served by the 
program, including education levels, income levels, and other socio-
economic statistics for the local area pertinent to the proposed 
program, etc. Applicants may either provide data for the local area and 
show that the residents reflect the local area or may provide resident-
specific data.
    An applicant will receive up to 6 points if the applicant provided 
a thorough socioeconomic profile of the eligible residents to be served 
by the program, including education levels, income levels, and other 
pertinent socio-economic data for the local area. An applicant will 
receive up to 3 points if the applicant provided a basic socioeconomic 
profile of the area, but did not show that the residents to be served 
reflect that profile. An applicant will receive 0 Points if the 
applicant failed to provide the socioeconomic data on the community 
and/or profiles of the eligible residents.
    (2) Demonstrated Link Between Proposed Activities and Local Need 
(up to 8 points). Applicants' narratives must demonstrate a clear 
relationship between proposed activities, community needs, and the 
purpose of the program funding in order for points to be awarded for 
this factor.
    An applicant will receive up to 8 points if the applicant narrative 
demonstrates a strong, clear relationship between the proposed 
activities, community needs and the purpose of the program funding. An 
applicant will receive up to 4 points if the applicant narrative 
demonstrates a tenuous relationship between the proposed activities, 
needs, and the purpose of program funding. An applicant will receive 0 
points if the applicant failed to demonstrate a clear relationship 
between the proposed activities, community needs and the purpose of the 
program funding.
    c. Rating Factor 3: Soundness of Approach (up to 34 Points).
    This factor addresses both the quality and cost-effectiveness of 
applicants' proposed work plan. The narrative and work plan must 
indicate a clear relationship between proposed activities and intended 
outcomes, the targeted population's needs, and the purpose of the 
program funding. Applicants' proposed activities must address HUD's 
policy priorities outlined in this Rating Factor.
    In rating this factor, HUD will consider:
    (1) Quality of the Work Plan (up to 22 points). This factor 
evaluates both the applicant's work plan and budget, which will be 
evaluated based on the following criteria:
    (a) Specific Services and/or Activities (up to 12 points). 
Applicants' narratives must describe the specific services, course 
curricula, and activities they plan to offer and who will be 
responsible for each. In addition to the narrative, applicants must 
also provide a work plan, which must list the specific services, 
activities, and outcomes they expect. The proposed program narrative 
and work plan must show a logical order of activities and progress and 
must tie to the outcomes and outputs applicants identify in the Logic 
Model (see Rating Factor 5). Please see a sample work plan in the 
Appendix. Applicants' narratives must explain how their proposed 
activities will:
    (i) Involve community partners in the delivery of services (4 
points);
    An applicant will receive up to 4 points if the applicant narrative 
describes the involvement of partner organizations to deliver or 
support their proposed programs. An applicant will receive up to 2 
points if the applicant narrative describes the existence of other 
community-based organizations in the area, but does not describe firm 
connections between program activities and the delivery or support of 
the proposed program. An applicant will receive 0 points if the 
applicant does not intend to involve any community partners in the 
delivery or support of their proposed program.
    (ii) Offer comprehensive services (versus a small range of 
services) geared toward achieving the following (6 points):

--Enhancing economic opportunities for residents leading to economic 
self-sufficiency and homeownership or other housing self-sufficiency;

    An applicant will receive up to 6 points if the applicant narrative 
describes the specific services, course curricula, and activities they 
plan to offer and who will be responsible for each; the narrative shows 
that the proposed program involves a comprehensive range of services 
and activities that are intended to move

[[Page 11637]]

participants along a continuum towards economic self-sufficiency; and 
the narrative shows a logical order and progress and outcomes are 
identified. An applicant will receive up to 3 points if the applicant 
fully describes the proposed program, but the program does not address 
a spectrum of activities. An applicant will receive 0 points if the 
applicant failed to provide sufficient information to determine if the 
proposed program will contain a continuum of services, no logical order 
is described and no outcomes are identified.
    (b) Feasibility and Demonstrable Benefits (up to 5 points). This 
factor examines whether applicants' work plans are logical, feasible 
and likely to achieve its stated purpose during the term of the grant. 
HUD's intention is to fund applications that will quickly produce 
demonstrable results and advance the purposes of the ROSS program.
    The work plan should demonstrate that their projects are ready to 
be implemented shortly after the grant award, but not to exceed three 
months following the execution of the grant agreement. The work plan 
must indicate time frames and deadlines for accomplishing major 
activities.
    An applicant will receive up to 5 points if the work plan and 
supporting narrative are logical, feasible, and demonstrate that the 
proposed project is ready for implementation within three months of 
execution of the grant agreement. The work plan also indicates 
timeframes and deadlines for accomplishing major activities and how 
well the proposed activities address the needs described in Rating 
Factor 2. The applicant will receive up to 3 points if the work plan 
and supporting narrative are logical and feasible, but do not 
demonstrate that the project is ready for implementation within 3 
months of grant agreement execution. An applicant will receive 0 points 
if the applicant failed to provide the information to determine that 
the project is logical and feasible or whether the project would be 
ready for implementation within three months of execution of the grant 
agreement.
    (c) Budget Appropriateness/Efficient Use of Grant (up to 5 Points). 
The score in this factor will be based on the following:
    (i) Justification of expenses. Applicants will be evaluated based 
on whether their expenses are reasonable and thoroughly explained, and 
support the objectives of their proposal.
    (ii) Budget Efficiency. Applicants will be evaluated based on 
whether their application requests funds commensurate with the level of 
effort necessary to accomplish their goals and anticipated results.
    (iii) Please note that the budget form HUD-424 CBW requires that a 
separate 424-CBW form be submitted for each sub-contract of 10% or more 
of the requested grant amount. If an application proposes to sub-
contract 10% or more of the requested grant amount and does not include 
a separate 424-CBW for each 10 percent or more sub-contract, all points 
for Budget Appropriateness/Efficient Use of Grant will be lost (5 
points). If 424-CBWs for sub-contracts for 50 percent or more of the 
requested grant amount are not included, the application will lose 10 
points.
    An applicant will receive up to 5 Points if expenses are 
reasonable, thoroughly explained, support the objectives of the 
proposal and are commensurate with the level of effort necessary to 
accomplish the goal. An applicant will receive up to 3 points if the 
expenses somewhat support the objectives of the proposal or only 
somewhat commensurate with the level of effort necessary to accomplish 
the goals. An applicant will receive 0 points if expenses are not 
reasonable and/or the requested funds are not commensurate with the 
goals and anticipated results of the proposed program.
    (d) Ineligible Activities. Two points will be deducted for each 
type of ineligible activity proposed in the application, as identified 
in Section IV(E). For example, you will lose 2 points if you propose 
costs that exceed the limits identified in the NOFA for a Project 
Coordinator.
    (2) Addressing HUD's Policy Priorities (up to 10 points). HUD wants 
to improve the quality of life for those living in distressed 
communities. HUD's grant programs are a vehicle through which long-
term, positive change can be achieved at the community level. 
Applicants' narratives and work plans will be evaluated based on how 
well they meet the following HUD policy priorities:
    (i) Improving the Quality of Life in Our Nation's Communities (up 
to 2 points). In order to receive points in this category, applicants' 
narrative and/or work plan must indicate the types of activities, 
service, and training programs applicants will offer which can help 
residents successfully transition from welfare to work and earn higher 
wages.
    An applicant will receive up to 4 points if the work plan and 
supporting narrative indicate the types of activities, services and 
training programs that will be offered to help residents successfully 
move along the spectrum of self-sufficiency. An applicant will receive 
0 points if the application did not provide sufficient information to 
determine whether the types of activities, services and training 
programs that will be offered will help residents successfully 
transition from welfare to work and earn higher wages.
    (ii) Providing Increased Homeownership and Rental Opportunities for 
Low- and Moderate-Income Persons, Persons with Disabilities, the 
Elderly, Minorities, and Families with Limited English Proficiency 
(NOTE: Only applicants proposing Category 5-Homeownership activities 
are eligible for these points.) (up to 2 points). In order to receive 
points in this category, applicants' narratives and/or work plans must 
indicate the types of activities and training programs they will offer 
which can help residents successfully transition to homeownership. 
Applicants that indicate that they have existing linkages to an 
existing homeownership program (such as, for PHAs, Housing Choice 
Voucher-Homeownership, Section 32, or homeownership programs and 
resources offered by other organizations or state or local 
homeownership programs or for Tribes/TDHEs, programs such as the Mutual 
Help Homeownership Opportunity Program, the Section 184 Program, and 
homeownership programs developed under the Indian Housing Block Grant 
Program such as mortgage assistance, must provide a specific statement 
attesting to these linkages and indicating the minimum number of 
homeownership opportunities (e.g,. the number of HCV-Homeownership 
vouchers or number of homes in the Section 32 program that will be 
dedicated to ROSS participants) that will be provided annually to 
residents successfully completing the requirements of the programs 
funded by this NOFA.
    An applicant will receive 2 points if the application indicates the 
applicant has existing linkages to an existing homeownership program 
such as HCV-Homeownership, Section 32, Mutual Help Homeownership 
Opportunity Program, SHOP, Section 184, IHBG or other state or local 
homeownership (not just homeownership training) programs AND provides a 
specific statement indicating the minimum number of homeownership 
opportunities that will be provided annually. An applicant will receive 
0 points if the applicant does not provide a specific statement 
indicating the minimum number of homeownership opportunities that will 
be provided annually OR does not

[[Page 11638]]

describe its existing linkages to existing homeownership programs.
    (iii) Providing Full and Equal Access to Grassroots Faith-Based and 
Other Community-Based Organizations in HUD Program Implementation (up 
to 4 points). HUD encourages applicants to partner with grassroots 
organizations, e.g., civic organizations, grassroots faith-based and 
other community-based organizations that are not usually effectively 
utilized. These grassroots organizations have a strong history of 
providing vital community services such as developing first-time 
homeownership programs, creating economic development programs, and 
providing job training and other supportive services. In order to 
receive points under this factor, applicants' narratives and/or work 
plans must describe how applicants will work with these organizations 
and what types of services they will provide.
    An applicant will receive up to 4 points if the applicant's 
narrative and work plan clearly name the grassroots organizations with 
whom they will be working, describe what types of services will be 
provided by those organizations, and describe how these partnerships 
will contribute to the achievement of the goals and proposed outcomes 
for the program. An applicant will receive up to 2 points if the 
applicant indicates that it will work with grassroots organizations, 
but does not indicate the types of services that will be provided by 
these organizations. An applicant will receive 0 points if neither the 
work plan or narrative provide a description of how the applicant will 
work with grassroots organizations (civic organizations, faith-based 
and/or other community-based organizations), and the types of services 
that will be provided.
    (iv) Policy Priority for Increasing the Supply of Affordable 
Housing Through the Removal of Regulatory Barriers to Affordable 
Housing (up to 2 points).
    Under this policy priority, higher rating points are available to: 
(1) Governmental applicants that are able to demonstrate successful 
efforts in removing regulatory barriers to affordable housing, and (2) 
nongovernmental applicants that are associated with jurisdictions that 
have undertaken successful efforts in removing barriers. For applicants 
to obtain the policy priority points for efforts to successfully remove 
regulatory barriers, applicants would have to complete form HUD 27300, 
``Questionnaire for HUD's Initiative on Removal of Regulatory 
Barriers.'' A copy of HUD's Notice entitled America's Affordable 
Communities Initiative, HUD's Initiative on Removal of Regulatory 
Barriers: Announcement of Incentive Criteria on Barrier Removal in 
HUD's 2004 Competitive Funding Allocations'' can be found on HUD's Web 
site at http://www.hud.gov/offices/adm/grants/frregbarrier.pdf. The 
information and requirements contained in HUD's regulatory barriers 
policy priority apply to this FY2006 NOFA. A description of the policy 
priority and a copy of form HUD-27300 can be found in the application 
package posted on www.Grants.gov. Applicants are encouraged to read the 
Notice as well as the General Section to obtain an understanding of 
this policy priority and how it can impact their score. A limited 
number of questions expressly request the applicant to provide brief 
documentation with their response. Other questions require that for 
each affirmative statement made, the applicant must supply a reference, 
Web site link, or a brief statement indicating where the back-up 
information may be found, and a point of contact, including a telephone 
number and/or email address. The electronic copy of the HUD 27300 has 
space to attach required documentation or identify a URL or reference. 
Reference material/documentation can be scanned and attached to the 
form HUD-27300 and submitted with the application or faxed to HUD 
following the facsimile submission instructions. When providing 
documents in support of your responses to the questions on the form, 
please provide the applicant name and project name and whether you are 
responding under column A or B, then identify the number of the 
question and the URL or document name and attach using the attachment 
function at the end of the electronic form.
    (3) Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3) (up to 2 Points).
    You will receive 2 points if your application demonstrates that you 
will implement Section 3 of the Housing and Urban Development Act of 
1968 (12 U.S.C. 1701u) (Economic Opportunities for Low- and Very Low-
Income Persons in Connection with Assisted Projects) and its 
implementing regulations at 24 CFR part 135 in connection with this 
grant, if awarded. Information about Section 3 can be found at HUD's 
Section 3 website at http://www.hud.gov/offices/fheo/section3/section3brochure.cfm. Your application must describe how you will 
implement Section 3 through the proposed grant activities. You must 
state that you will, to the greatest extent feasible, direct training, 
employment, and other economic opportunities to:
    (a) Low- and very low-income persons, particularly those who are 
recipients of government assistance for housing, and
    (b) Business concerns which provide economic opportunities to low- 
and very low-income persons.
    An applicant will receive 2 points if the applicant describes how 
it will implement Section 3 through the proposed grant activities and 
states it they will, to the greatest extent feasible, direct training, 
employment, and other economic opportunities to Section 3 interests 
(low- and very low-income persons, particularly those who are 
recipients of government assistance for housing and business concerns 
which provide economic opportunities to low- and very low-income 
persons.) An applicant will receive 0 points if the applicant does not 
describe implementing Section 3 through proposed grant activities and 
does not state that they will direct training, employment and other 
economic opportunities to Section 3 interests.
    d. Rating Factor 4: Leveraging Resources (up to 10 Points).
    This factor addresses the applicant's ability to secure community 
resources that can be combined with HUD's grant resources to achieve 
program purposes. Applicants are required to create partnerships with 
organizations that can help achieve their program's goals. PHAs are 
required by section 12(d)(7) of the U.S. Housing Act of 1937 entitled 
``Cooperation Agreements for Economic Self-Sufficiency Activities'' to 
make best efforts to enter into such agreements with relevant state or 
local agencies. In rating this factor, HUD will look at the extent to 
which applicants partner, coordinate, and leverage their services with 
other organizations serving the same or similar populations.
    Applicants must have at least a 25 percent cash or in-kind match. 
The match is a threshold requirement. Joint applicants must together 
have at least a 25 percent match. Applicants who do not demonstrate the 
minimum 25 percent match will fail the threshold requirement and will 
not receive further consideration for funding. Leveraging in excess of 
the 25 percent of the grant amount will receive a higher point value. 
In evaluating this factor, HUD will consider the extent to which 
applicants have partnered with other entities to secure additional 
resources, which will increase the effectiveness of the proposed 
program activities. Match proposed to be used for ineligible activities 
will not be accepted. The additional resources and services must be 
firmly committed, must support the proposed grant activities and must, 
in

[[Page 11639]]

combined amount (including in-kind contributions of personnel, space 
and/or equipment, and monetary contributions) equal at least 25 percent 
of the grant amount requested in the application. ``Firmly committed'' 
means that the amount of resources and their dedication to ROSS-funded 
activities must be explicit, in writing and signed by a person 
authorized to make the commitment. Please see the section on Threshold 
Requirements for more information.
    Points for this factor will be awarded based on the documented 
evidence of partnerships and firm commitments and the ratio of 
requested ROSS funds to the total proposed grant budget.
    Points will be assigned based on the following scale:
Percentage of Match Points Awarded
    25 4 points (with partnerships), 2 points (without partnerships);
    26-50 6 points (with partnerships), 4 points (without 
partnerships);
    51-75 8 points (with partnerships), 6 points (without 
partnerships);
    76 or above 10 points (with partnerships), 8 points (without 
partnerships).
    e. Rating Factor 5: Achieving Results and Program Evaluation (up to 
17 Points).
    (1) An important element in any supportive service program is the 
development and reporting of performance measures and outcomes. This 
factor emphasizes HUD's determination to ensure that applicants develop 
performance and outcome measures that are focused on residents' 
achieving economic and housing self-sufficiency--reducing and 
eliminating dependency on any type of subsidized housing or welfare 
assistance. Additionally, achieving outcomes and accurate evaluation 
will assist HUD in meeting its commitment to federal requirements for 
accountability. Applicants must demonstrate how they propose to measure 
their success and outcomes as they relate to the Department's Strategic 
Plan.
    (2) HUD requires ROSS applicants to develop an effective, 
quantifiable, outcome-oriented plan for measuring performance and 
determining that goals have been met. Applicants must use the Logic 
Model form HUD-96010 for this purpose. The narrative describes how the 
measurement tools are used to collect and verify reported data and to 
modify the program if goals are not being met.
    (3) Applicants must establish interim benchmarks, or outputs, for 
their proposed program that lead to the ultimate achievement of 
outcomes. ``Outputs'' are the direct products of a program's 
activities. Examples of outputs are: the number of eligible families 
that participate in supportive services, the number of new services 
provided, the number of residents receiving counseling, or the number 
of households using a technology center. Outputs should produce 
outcomes for your program. ``Outcomes'' are benefits accruing to the 
residents, families, and/or communities during or after participation 
in the ROSS program. Outcomes are not the development or delivery of 
services or program activities but the results of the services 
delivered or program activities--the ultimate results of the program. 
Applicants must clearly identify the outcomes to be achieved and 
measured. Examples of outcomes are: increasing homeownership rates, 
increasing residents' financial stability (e.g., increasing assets of a 
household through savings), or increasing employment stability (e.g., 
whether persons assisted obtain or retain employment for one or two 
years after job training completion).
    (4) This rating factor requires that applicants identify program 
outputs, outcomes, and performance indicators that will allow 
applicants to measure their performance. Performance indicators should 
be objectively quantifiable and measure actual achievements against 
anticipated achievements. Applicants' narratives, work plans, and Logic 
Models should identify what applicants are going to measure, how they 
are going to measure it, and the steps they have in place to make 
adjustments to their work plan and management practices if performance 
targets begin to fall short of established benchmarks and time frames. 
Applicants' proposals must also show how they will measure the 
performance of partners and affiliates. Applicants must include the 
standards, data sources, and measurement methods they will use to 
measure performance.
    (Applicants will be evaluated based on how comprehensively they 
propose to measure their program's outcomes.)
    Applicant will receive up to 17 points if the applicant provided a 
work plan, narrative and Logic Model that (a) describes the goals, 
objectives, outcomes, and performance measurements to be achieved over 
the term of the program; (b) includes short, intermediate, and long-
term goals; (c) indicates what will be measured; (d) indicates how it 
will be measured; and (e) shows steps to be taken if performance 
targets are not met within the established timeframes. An applicant 
will receive up to 14 points if the applicant fully addresses four of 
the five items of review criteria. An applicant will receive up to 11 
points if the applicant fully addresses three of the five items of 
review criteria. An applicant will receive up to 7 points if the 
applicant fully addresses two of the five items of review criteria. An 
applicant will receive up to 4 points if the applicant fully addresses 
one of the five items of review criteria. An applicant will receive 0 
points if the applicant did not provide the Logic Model or enough 
information to determine the program goals, outcomes and/or performance 
measurements.

B. Review and Selection Process

    1. Review Process. Four types of reviews will be conducted: a 
screening to determine if you are eligible to apply for funding under 
the ROSS Family and Homeownership grant program; whether your 
application submission is complete, on time and meets the threshold; a 
review by the field office (or area ONAP office) to evaluate past 
performance; and a technical review to rate your application based on 
the five rating factors provided in this NOFA.
    2. Selection Process for All Grant Categories and All Applicants. 
Twenty-five percent (25%) of funds will be set aside for Resident 
Associations and all qualifying Resident Association applications will 
be funded first, up to 25 percent of the funding amount. HUD's 
selection process is designed to achieve geographic diversity of grant 
awards throughout the country. For each grant category, HUD will first 
select the highest ranked application from each of the ten federal 
regions and ONAP for funding. After this ``round,'' HUD will select the 
second highest-ranked application in each of the 10 federal regions and 
ONAP for funding (the second round). HUD will continue this process 
with the third, fourth, and so on, highest ranked applications in each 
federal region and ONAP until the last complete round is selected for 
funding. If available funds exist to fund some but not all eligible 
applications in the next round, HUD will make awards to those remaining 
applications in rank order (by score) regardless of region and ONAP and 
will fully fund as many as possible with remaining funds. If remaining 
funds in one grant category are too small to make an award, they may be 
transferred to another ROSS program. If there are remaining funds in 
any ROSS program after all qualifying applications have been awarded, 
those funds may be transferred to another ROSS program.
    3. Tie Scores. In the event of a tie score between two applications 
that target the same developments, HUD will

[[Page 11640]]

select the application that was received first.
    4. Deficiency Period. Applicants will have 14 calendar days in 
which to provide missing information requested from HUD. For other 
information on correcting deficient applications, please see the 
General Section.

VI. Award Administration Information

A. Award Notices

    1. HUD will make announcements of grant awards after the rating and 
ranking process is completed. Grantees will be notified by letter and 
will receive instructions on what steps they must take in order to 
access funding and begin implementing grant activities. Applicants who 
are not funded will also receive letters via U.S. postal mail.
    2. Debriefings. All applicants may request a debriefing. Applicants 
requesting to be debriefed must send a written request to Iredia 
Hutchinson, Director, Grants Management Center, 501 School Street, SW., 
Suite 800, Washington, DC 20024.

B. Administrative and National Policy Requirements

    1. Environmental Impact. In accordance with 24 CFR 58.34(a)(3) or 
(a)(9), 58.35(b)(2), (b)(4) or (b)(5), 50.19(b)(3), (b)(9), (b)(12), 
(b)(14), or (b)(15), activities under this ROSS program are 
categorically excluded from the requirements of the National 
Environmental Policy Act of 1969 and are not subject to environmental 
review under related laws and authorities.
    2. Applicable Requirements. Unless specifically enumerated in this 
NOFA, all applicants (lead and non-lead) are subject to the 
requirements specified in Section III.C. of the General Section. 
Grantees are subject to regulations and other requirements found in:
    a. 24 CFR 84 (``Uniform Administrative Requirements for Grants and 
Agreements with Institutions of Higher Education, Hospitals, and Other 
Nonprofit Organizations'');
    b. 24 CFR 85 (``Administrative Requirements for Grants and 
Cooperative Agreements to State, Local, and Federally Recognized Indian 
Tribal Governments'');
    c. 24 CFR 964 (``Tenant Participation and Tenant Opportunities in 
Public Housing'');
    d. OMB Circular A-87 (``Cost Principles for State, Local, and 
Indian Tribal Governments'');
    e. OMB Circular A-110 (``Uniform Administrative Requirements for 
Grants and Other Agreements with Institutions of Higher Education, 
Hospitals and Other Non-Profit Organizations'');
    f. OMB Circular A-122 (``Cost Principles for Non-Profit 
Organizations''); and
    g. OMB Circular A-133 (``Audits of States, Local Governments, and 
Non-Profit Organizations'').
    3. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). Applicants and grantees must also comply with Section 3 of 
the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u and 
ensure that training, employment, and other economic opportunities 
shall, to the greatest extent feasible, be directed toward low- and 
very low-income persons, particularly those who are recipients of 
government assistance for housing and to business concerns that provide 
economic opportunities to low- and very low-income persons.
    4. Fair Housing and Civil Rights Laws. Applicants and their sub-
recipients must comply with all Fair Housing and Civil Rights laws, 
statutes, regulations, and Executive Orders as enumerated in 24 CFR 
5.105(a), as applicable. Please see the General Section for more 
information.

C. Reporting

    1. Semi-Annual Performance Reports. Grantees must submit semi-
annual performance reports to the field office or area ONAP. These 
progress reports must include financial reports (SF-269A) and a Logic 
Model (HUD-96010) showing achievements to date against outputs and 
outcomes proposed in the application and approved by HUD. Each 
quarterly report must identify any deviations (positive or negative) 
from outputs and outcomes proposed and approved by HUD, by providing 
the information in the reporting TAB of the approved Logic Model. HUD 
anticipates that some of the reporting of financial status and grant 
performance will be through electronic or Internet-based submissions. 
Grantees must use quantifiable data to measure performance against 
goals and objectives outlined in their work plan. Performance reports 
are due to the field office on July 30 and January 31 of each year. If 
reports are not received by the due date, grant funds will be suspended 
until reports are received. For FY 2007, HUD is considering a new 
concept for the Logic Model. The new concept is a Return on Investment 
(ROI) statement. HUD will be publishing a separate notice on the ROI 
concept.
    2. Final Report. All grantees must submit a final report to their 
local field office or area ONAP that will include a financial report 
(SF-269A), a final Logic Model, and a narrative evaluating overall 
results achieved against their work plan. Grantees must use 
quantifiable data to measure performance against goals and objectives 
outlined in their work plan. The final report must also include 
responses to the management questions found in the Logic Model and 
approved for your program. The financial report must contain a summary 
of all expenditures made from the beginning of the grant agreement to 
the end of the grant agreement and must include any unexpended 
balances. The final Logic Model and financial report are due to the 
field office 90 days after the termination of the grant agreement.
    3. Final Audit. Grantees that expend $500,000 in federal funds in a 
given program or fiscal year are required to obtain a complete final 
close-out audit of the grant's financial statements by a Certified 
Public Accountant (CPA), in accordance with generally accepted 
government audit standards. A written report of the audit must be 
forwarded to HUD within 60 days of issuance. Grant recipients must 
comply with the requirements of 24 CFR 84 or 24 CFR 85, as stated in 
OMB Circulars A-87, A-110, and A-122, as applicable.
    4. Racial and Ethnic Data. HUD requires that funded recipients 
collect racial and ethnic beneficiary data. HUD has adopted the Office 
of Management and Budget's (OMB) Standards for the Collection of Racial 
and Ethnic Data. In view of these requirements, funded recipients 
should use form HUD-27061, Racial and Ethnic Data Reporting Form.

VII. Agency Contact(s)

    For questions and technical assistance, you may call the Public and 
Indian Housing Information and Resource Center at 800-955-2232. For 
persons with hearing or speech impairments, please call the toll-free 
Federal Information Relay Service at 800-877-8339.

VIII. Other Information

    A. Code of Conduct. Please see the General Section for more 
information.
    B. Transfer of Funds. If transfer of funds from any of the ROSS 
programs does become necessary, HUD will consider the amount of 
unfunded qualified applications in deciding to which program the extra 
funds will be transferred.
    C. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2577-0229. In 
accordance with the Paperwork Reduction Act, HUD may

[[Page 11641]]

not conduct or sponsor, and a person is not required to respond to, a 
collection of information unless the collection displays a currently 
valid OMB control number. Public reporting burden for the collection of 
information is estimated to average 49.5 hours per respondent for the 
application. This includes the time for collecting, reviewing, and 
reporting the data for the application. The information will be used 
for grantee selection and monitoring the administration of funds. 
Response to this request for information is required in order to 
receive the benefits to be derived.

[[Page 11642]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.020


[[Page 11643]]



Public and Indian Housing Family Self-Sufficiency Program Coordinators 
Under Resident Opportunities and Self-Sufficiency (ROSS) Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Public and Indian Housing, Office of Public 
Housing Investments.
    B. Funding Opportunity Title: Public and Indian Housing Family 
Self-Sufficiency (PH FSS) Program Coordinators.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR 5100-N-16; OMB Approval Number is 
2577-0229.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.877.
    F. Application Deadline: The application deadline date is June 6, 
2007. Please see the General Section for application submission, 
delivery, and timely receipt requirements.
    G. Additional Overview Content Information:
    1. Purpose of Program: The purpose of the Public Housing FSS (PH 
FSS) program is to promote the development of local strategies to 
coordinate the use of assistance under the Public Housing program with 
public and private resources, enable participating families to increase 
earned income, reduce or eliminate the need for welfare assistance, and 
make progress toward achieving economic independence and housing self-
sufficiency. The FSS program and this FSS NOFA support the Department's 
strategic goals of helping HUD-assisted renters make progress toward 
housing self-sufficiency. The FSS program provides critical tools that 
can be used by communities to support welfare reform and help families 
develop new skills that will lead to economic self-sufficiency. As a 
result of their participation in the FSS program, many families have 
achieved stable, well-paid employment, which has made it possible for 
them to become homeowners or move to other non-assisted housing. An FSS 
program coordinator assures that program participants are linked to the 
supportive services they need to achieve self-sufficiency.
    2. Funding Available: HUD expects to award a total of approximately 
$12,000,000 in FY 2007. This amount includes $10,000,000 appropriated 
in FY 2007 and $2,000,000 in rollover funds.
    3. Award Amounts: Awards will pay only for the annual salary and 
fringe benefits of PH FSS Coordinators. Award amounts will be based on 
locality pay rates for similar professions. Each new or renewal 
position amount will not exceed $65,500.
    4. Eligible Applicants: Eligible applicants are Public Housing 
Authorities (PHAs) and tribes/Tribally Designated Housing Entities 
(TDHEs) that administer PH FSS programs. All applicants must have an 
approved PH FSS Action Plan on file with their local HUD field office 
or Area Office of Native American Programs (ONAP) prior to this NOFA's 
application deadline. Non-profit organizations and resident 
associations are not eligible to apply for funding under this program.
    5. Cost Sharing/Match Requirement: There is no match requirement 
under this funding program.
    6. Grant Term: The grant term is one year from the execution date 
of the grant agreement.

Full Text of Announcement

I. Funding Opportunity Description

    A. Authority and Program Description. The Revised Continuing 
Appropriations Resolution, 2007 (Pub. L. 110-5, approved February 15, 
2007) allows funding for program coordinators under the Resident 
Opportunity & Self-Sufficiency program. Through annual NOFAs, HUD has 
provided funding to public housing agencies (PHAs) or tribes/TDHEs that 
are operating PH FSS programs to enable those applicants to employ 
program coordinators to support their PH FSS programs. In FY 2007 PH 
FSS Program Coordinator NOFA, HUD is again making funding available to 
PHAs/Tribes/TDHEs to employ PH FSS program coordinators for one year. 
HUD will accept applications from both new and renewal applicants that 
have HUD approval to administer a PH FSS program. PHA/Tribe/TDHEs 
funded under the ROSS PH FSS NOFA in FY 2005 or 2006 are considered 
``renewal'' applicants in this NOFA. These renewal applicants are 
invited to apply for funds to continue previously funded PH FSS program 
coordinator positions. Funding priority will be given to renewals for 
applicants that have achieved a ``High Performer'' status on their most 
recent Public Housing Assessment System (PHAS) review and tribes/THDEs 
that have been determined eligible as a renewal applicant (PHAS score 
requirement is not applicable to tribes/THDEs). Second priority will be 
given to standard performer renewal applicants. Third priority will be 
given to troubled performer renewal applicants and fourth priority will 
be given to new applicants. There will be no funding for expanding the 
number of coordinator positions in an existing program.
    The maximum number of positions that a new applicant, including new 
joint applicants, may receive is one full-time FSS program coordinator.
    Applicants must administer the FSS program in accordance with HUD 
regulations and requirements in 24 CFR Part 984, which govern the PH 
FSS program and must comply with the existing Public Housing program 
requirements, notices, and guidebooks. This includes using a Program 
Coordinating Committee (PCC) to secure the necessary resources to 
implement the FSS Program. See 24 CFR 984.202 for more information.
    B. Number of Positions for Which Eligible Applicants May Apply. 
Eligible applicants may apply for funding for PH FSS program 
coordinator positions under this NOFA as follows:
    1. Renewal Applicants. Applicants that qualify as eligible renewal 
applicants under this NOFA may apply for the continuation of each PH 
FSS coordinator position awarded under the ROSS PH FSS NOFA in FY 2005 
or 2006.
    2. New Applicants. An applicant that meets the requirements for a 
new applicant under this FSS NOFA may apply for PH FSS program 
coordinator positions as follows:
    a. Up to one full-time PH FSS coordinator position for an applicant 
with HUD approval to administer a PH FSS program of 25 or more FSS 
slots; or
    b. Up to one full-time PH FSS coordinator position per application 
for joint applicants that together have HUD approval to administer a 
total of at least 25 PH FSS slots.
    C. Definitions. The following definitions apply to the funding 
available under this NOFA.
    1. Renewal Applicant. Applicants that received funding under the 
ROSS PH FSS NOFA in FY 2005 or 2006.
    2. New Applicant. Applicants that did not receive funding under the 
ROSS PH FSS NOFA in FY 2005 or FY 2006 that have HUD approval to 
administer a PH FSS program of at least 25 slots or that fulfill the 25 
slot minimum by applying jointly with one or more other applicants who 
together have approval to administer at least 25 PH FSS slots.
    3. Tribally Designated Housing Entity (TDHE) is an entity 
authorized or established by one or more Indian tribes to act on behalf 
of each such tribe authorizing or establishing the housing entity as 
defined by Section 4(21) of NAHASDA.
    4. Indian Tribe means any tribe, band, nation, or other organized 
group or a community of Indians, including any

[[Page 11644]]

Alaska Native village, regional, or village corporation as defined in 
or established pursuant to the Alaska Native Claims Settlement Act, and 
that is recognized as eligible for the special programs and services 
provided by the United States to Indians because of their status as 
Indians pursuant to the Indian Self Determination and Education Act of 
1975, or any state-recognized tribe eligible for assistance under 
section 4 (12)(C) of NAHASDA.
    5. MTW PHAs. New and renewal PHAs that are under MTW agreements 
with HUD may qualify for funding under this NOFA if the PHA administers 
an FSS program. When determining the size of a new applicant, MTW PHA's 
HUD-approved FSS program, the PHA may request the number of FSS slots 
reflected in the PHA's MTW agreement be used instead of the number in 
the PHA's FSS Action Plan. However, this number must be at least 25 in 
order to qualify as a new applicant.
    6. FSS Program Size. The total number of PH FSS program slots 
identified in the applicant's HUD-approved PH FSS Action Plan, or, if 
requested by MTW PHA applicants, the number of slots in the applicant's 
MTW agreement. The total may include both voluntary and mandatory PH 
FSS program slots.
    7. Action Plan. Describes the policies and procedures of the PHA or 
tribe/TDHE for operation of a local FSS program. For a full description 
of the minimum amount of information that the Action Plan must contain, 
please see 24 CFR 984.201.
    8. Positive Graduation Percentage. The percent of public housing 
FSS families that have successfully graduated from the program between 
October 1, 2000, and the publication date of this NOFA as shown in FSS 
exit reports submitted to HUD on Form HUD-50058 or as otherwise 
reported to HUD by MTW PHAs. The data source is Form HUD-52767 as well 
as HUD's PIC data system records of Form HUD-50058 PH FSS program exit 
reports that were effective between October 1, 2000, and the 
publication date of this NOFA.
    9. The Number of PH FSS Program Participants. The total number of 
families formerly or currently enrolled in the applicant's PH FSS 
program between October 1, 2000 and the publication date of this NOFA. 
For renewal applicants funded for the first time under the 2006 NOFA, 
please use the enrollments anticipated by the due date of this NOFA. 
The data source is Form HUD-52767 as well as HUD's PIC data system 
records of Form HUD-50058 reports that were effective between October 
1, 2000, and the publication date of this NOFA.
    10. Percentage of Families with Positive FSS Escrow Balances. The 
number of current or former PH FSS families with positive escrow 
balances as a percentage of total number of PH FSS program 
participants. The data source is Form HUD-52767 as well as HUD's PIC 
data system records of Form HUD-50058 PH FSS program progress reports 
that were effective between October 1, 2000, and the publication date 
of this NOFA, or as otherwise reported to HUD by MTW PHAs.
    11. PH FSS Program Coordinator. A person responsible for linking 
FSS program participants to supportive services. Program Coordinators 
will work with the Program Coordinating Committee and local service 
providers to ensure that the necessary services and linkages to 
community resources are being made, such as ensuring that the services 
included in participants' contracts of participation are provided on a 
regular, ongoing, and satisfactory basis; making sure that participants 
are fulfilling their responsibilities under the contracts, and ensuring 
that FSS escrow accounts are established and properly maintained for 
eligible families. FSS Coordinators may also perform job development 
functions for the FSS program.

II. Award Information

    A. Available Funds. This NOFA announces the availability of 
approximately $12,000,000 in FY 2007 to employ FSS program coordinators 
for the PH FSS program. This amount includes $10,000,000 appropriated 
in FY 2007 and $2,000,000 in rollover funds. If additional funding 
becomes available during FY 2007, HUD may increase the amount available 
for PH FSS program coordinators under this NOFA. A maximum of $65,500 
is available for each full-time coordinator position funded. Salaries 
are to be based on local comparables. The funding will be provided as a 
one-year grant. Funding amounts for individual grantees will be 
contingent upon HUD field office approval.
    B. Grant Term. The grant term is one year from the execution date 
of the grant agreement.
    C. Grant Extensions. Requests to extend the grant term beyond the 
grant term must be submitted in writing to the local HUD field office 
or area ONAP at least 90 days prior to the expiration of the grant 
term. Requests must explain why the extension is necessary, what work 
remains to be completed, and what work and progress was accomplished to 
date. Extensions may be granted only once by the field office or area 
ONAP for a period not to exceed 6months and may be granted for longer 
by the HUD Headquarters Program Office at the request of the Field 
Office or Area ONAP.

III. Eligibility Information

    A. Eligible Applicants. Eligible applicants are PHAs and tribes/
TDHEs that administer low-rent public housing programs. New and renewal 
applicants must have an approved PH FSS Action Plan on file with their 
local HUD field office or Area ONAP prior to this NOFA's application 
deadline. PHAs/tribes/TDHEs eligible to apply for funding under this 
NOFA are:
    1. Renewal Applicants. Those PHAs or Tribes/TDHEs that received 
funding under the PH FSS NOFA in FY 2005 or 2006. To continue to 
qualify as renewal applicants, the FY 2007 application of joint 
applicants must include at least one applicant that meets this 
standard. Joint applicants can change the lead applicant in their 
FY2007 application. A grantee that was originally funded as part of a 
joint application, that wishes to now apply separately will continue to 
be considered a renewal applicant for funding purposes, but must be 
able to meet the FSS minimum program size requirement of a HUD-approved 
PH FSS program of at least 25 slots that applies to new applicants.
    2. New Applicants. Applicants that were not funded under the PH FSS 
NOFA in FY 2005 or FY 2006. The new applicant PHA or Tribe/TDHE must be 
authorized through its HUD-approved FSS Action Plan to administer a PH 
FSS program of at least 25 slots, or be an applicant with HUD approval 
to administer PH FSS programs of fewer than 25 slots that applies 
jointly with one or more other applicants so that together they have 
HUD approval to administer at least 25 PH FSS slots. Joint applicants 
must specify a lead co-applicant that will receive and administer the 
FSS program coordinator funding.
    3. Moving to Work (MTW) PHAs. New and renewal PHAs that are under 
the MTW demonstration may qualify for funding under this NOFA if the 
PHA administers a PH FSS program. When determining the size of a MTW 
PHA's HUD-approved PH FSS program, the PHA may request that the number 
of PH FSS slots reflected in the PHA's MTW agreement be used instead of 
the number in the PHA's PH FSS Action Plan. However, this number must 
be at least 25 in order to qualify as a new applicant.
    4. Troubled Applicants

[[Page 11645]]

    a. An applicant that has been designated by HUD as troubled under 
the Public Housing Assessment System (PHAS), or that has serious 
program management findings from Inspector General audits or serious 
outstanding HUD management review or Independent Public Accountant 
(IPA) audit findings for the applicant's Low Rent Public Housing 
program that are resolved prior to the application due date is eligible 
to apply under this NOFA. Serious program management findings are those 
that would cast doubt on the capacity of the applicant to administer 
its PH FSS program in accordance with applicable HUD regulatory and 
statutory requirements.
    b. The requirements that apply to an applicant whose PHAS troubled 
designation has not been removed by HUD or whose major program 
management findings or other significant program compliance problems 
that have not been resolved by the deadline date are stated in the 
Program Requirements section of this NOFA.
    B. Cost Sharing or Matching. None required.

C. Other

    1. Eligible Activities. Funds awarded to applicants under this FSS 
NOFA may only be used to pay salaries and fringe benefits of PH FSS 
program staff. Funding may be used to employ or otherwise retain for 
one year the services of PH FSS program coordinators. PH FSS 
coordinator support positions funded under previous FSS NOFAs that made 
funding available for such FSS positions may be continued. A part-time 
program coordinator may be retained where appropriate. Please note that 
even with a part-time program coordinator, the 25-slot minimum must be 
retained.

2. Theshold Requirements

    a. All Applicants
    (1) Each applicant must qualify as an eligible applicant under this 
NOFA and must have submitted an FSS application in the format required 
by this NOFA that was received and validated by Grants.gov by the 
application deadline date. Validation may take up to 72 hours.
    (2) All applications must include a Dun and Bradstreet Universal 
Numbering System (DUNS) number. (See the General Section for further 
information about the DUNS number requirement.)
    (3) Civil Rights Thresholds, Non-discrimination, Affirmatively 
Furthering Fair Housing. All applicants must comply with these 
requirements. Please see the General Section for details.
    (4) The applicant must have a financial management system that 
meets federal standards. See the General Section regarding those 
applicants that may be subject to HUD's arranging for a pre-award 
survey of an applicant's financial management system.
    (5) Applicants must comply with the requirements for funding 
competitions established by the HUD Reform Act of 1989 (42 U.S.C. 3531 
et seq.) and other requirements as defined in the General Section.
    b. Renewal Applicants. Continued funding for existing coordinator 
positions. In addition to meeting the other requirements of this FSS 
NOFA, renewal applicants must continue to operate a PH FSS program and 
have executed FSS contract(s) of participation with PH FSS program 
families.
    c. New Applicants. New applicants must meet the all requirements of 
this FSS NOFA including those in Section III.A above regarding 
eligibility.
    d. Troubled Applicants. Contract Administrator Partnership 
Agreement. Applicants that are troubled at the time of application are 
required to submit a signed Contract Administrator Partnership 
Agreement. The agreement must be for the entire grant term. The grant 
award shall be contingent on having a signed Partnership Agreement 
included in the application. If an applicant that is required to have a 
Contract Administrator Partnership Agreement fails to submit one or if 
it is incomplete, incorrect, or insufficient, this will be treated as a 
technical deficiency. See General Section for more information on 
Corrections to Deficient Applications. The Contract Administrator must 
ensure that the financial management system and procurement procedures 
that will be in place during the grant term will fully comply with 24 
CFR Part 85. Troubled applicants are not eligible to be contract 
administrators. Grant writers who assist applicants to prepare their 
FSS applications are ineligible to be Contract Administrators.

3. Program Requirements

    a. Hiring a PH FSS Program Coordinator. Funds awarded under this 
NOFA may only be used to employ or retain the services of a PH FSS 
Program Coordinator for the one-year grant term. A PH FSS Program 
Coordinator must:
    (1) Work with the Program Coordinating Committee and with local 
service providers to ensure that PH FSS program participants are linked 
to the supportive services they need to achieve self-sufficiency.
    (2) Ensure that the services included in participants' contracts of 
participation are provided on a regular, ongoing, and satisfactory 
basis; that participants are fulfilling their responsibilities under 
the contracts; and that FSS escrow accounts are established and 
properly maintained for eligible families. All of these tasks should be 
accomplished through case management. FSS coordinators may also perform 
job development functions for the FSS program.
    (3) Monitor the progress of program participants and evaluate the 
overall success of the program.
    b. Salary Comparables. For all positions requested under this NOFA, 
evidence of salary comparability to similar positions in the local 
jurisdiction must be kept on file in the PHA/Tribe/TDHE office.
    c. FSS Action Plan. The requirements for the PH FSS Action Plan are 
stated in 24 CFR 984.201. For a new applicant to qualify for funding 
under this NOFA, the PHA/Tribe/TDHE's initial PH FSS Action Plan or 
amendment to change the number of PH FSS slots in the PHA/Tribe/TDHE's 
previously HUD-approved PH FSS Action Plan, must be submitted to and 
approved by the local HUD field office or Area ONAP prior to the 
application due date of this PH FSS NOFA. An FSS Action Plan can be 
updated by means of a simple one-page addendum that reflects the total 
number of PH FSS slots (voluntary and/or mandatory slots) the applicant 
intends to fill. New applicants with previously approved PH FSS Action 
Plans may wish to confirm the number of HUD-approved slots their local 
HUD field office has on record. An MTW PHA may request that the number 
of PH FSS slots reflected in its MTW agreement be used instead of the 
number of slots in the PHA's PH FSS Action Plan.
    d. Eligible families. Current residents of public/Indian housing 
are eligible. Eligible families that are currently enrolled or 
participating in local public/Indian housing self-sufficiency programs 
are also eligible.
    e. Contract of participation. Each family that is selected to 
participate in an FSS program must enter into a contract of 
participation with the PHA or tribe/TDHE that operates the FSS program. 
The contract shall be signed by the head of the FSS family and be 
individually designed to benefit the subject family.
    f. Contract term. The contract with participating families shall be 
for 5 years. During this time, each family will be required to fulfill 
its contractual

[[Page 11646]]

obligations. PHAs or tribes/TDHEs may extend contracts for no more than 
2 years for any family that requests an extension of its contract, 
provided the PHA or tribe/TDHE finds good cause exists to provide an 
extension. This extension request must be in writing. See 24 CFR 
984.303 for more information on contracts of participation.
    g. Escrow accounts for very low or low-income participating 
families. Such accounts shall be computed using the guidelines set 
forth in 24 CFR 984.305. NOTE: FSS families that are not low-income are 
not entitled to an escrow/credit.

IV. Application and Submission Information

    A. Addresses to Request Application Package. Applications are 
available from http://www.grants.gov/applicants/apply--for--grants.jsp. 
The Download Instructions and the Application Download provide the 
information and forms that you need to apply for funding under this 
NOFA. If you have difficulty accessing the information you may receive 
customer support from Grants.gov by calling their Support Desk at (800) 
518-GRANTS, or sending an e-mail to [email protected]. You may request 
general information, from the NOFA Information Center (800-HUD-8929) 
between the hours of 10 a.m. and 6:30 p.m. (eastern time) Monday 
through Friday, except on federal holidays. Persons with hearing or 
speech impairments may access this number via TTY (text telephone) by 
calling the Federal Information Relay Service at 800-877-8339. (These 
are toll-free numbers.) When requesting information, please refer to 
the name of the program you are interested in. The NOFA Information 
Center opens for business simultaneously with the publication of the 
SuperNOFA.

B. Content and Format of Application Submission

    1. Content of Application. In addition to any information required 
in the General Section, each new and renewal applicant must complete 
the forms on the list below. Copies of the forms may be downloaded with 
the application package and instructions from http://www.grants.gov/applicants/apply--for--grants.jsp. You must use the forms that are 
included with the 2007 application so as to avoid using outdated forms 
that may be on HUDCLIPS or found from another source.
    a. SF-424 Application for Federal Assistance--In completing the SF-
424, renewal applicants should select the continuation box on question 
2, type of application. In section 18 of the SF-424, estimated funding, 
complete only 18.a., which will be the amount requested from HUD in the 
FY 2007 FSS application, and 18.g., Total.
    b. SF-424 Supplement, Survey on Ensuring Equal Opportunity for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov)
    c. SF-LLL Disclosure of Lobbying Activities (if applicable)
    d. HUD-2880--Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov)
    e. HUD-2991--Certification of Consistency with the Consolidated 
Plan ( for PHA applicants)
    f. HUD-52752--Certification of Consistency with Indian Housing Plan 
(for Tribes/TDHE applicants)
    g. Contract Administrator Partnership Agreement, required for 
troubled PHA applicants (see HUD-52755)
    h. HUD-96011 Facsimile Transmittal, even if not transmitting any 
faxes (``HUD Facsimile Transmittal'' on Grants.gov)
    i. HUD-52767 Family Self-Sufficiency Funding Request Form.
     j. The HUD-2994-A--``You Are Our Client Applicant Survey'' is 
optional.
    k. In addition, the application must include a completed Logic 
Model (form HUD 96010) showing proposed performance measures. See the 
General Section for information on the Logic Model.
    l. Code of Conduct per General Section instructions
    m. Statement on Affirmatively Furthering Fair Housing per General 
Section instructions.
    2. Budget Forms. There are no budget forms required for this 
application.
    C. Submission Date and Time. Your completed application must be 
received and validated by Grants.gov no later than 11:59:59 p.m. 
eastern time on the application deadline date. Please note that 
validation may take up to 72 hours. Applicants should carefully read 
section IV titled ``APPLICATION and SUBMISSION INFORMATION'' in the 
General Section regarding HUD's procedures pertinent to the submission 
of your application.
    D. Intergovernmental Review. Intergovernmental Review is not 
applicable to this program.

E. Funding Restrictions

    1. Salary Cap. Awards under this NOFA are subject to a cap of 
$65,500 per year per full-time coordinator position funded. Under this 
NOFA, if applicants apply jointly, the $65,500 maximum amount that may 
be requested per position applies to up to one full time coordinator 
position for the application as a whole, not to each applicant 
separately.
    2. Limitation on Renewal Funding Increases. For renewal coordinator 
positions, applicants will be limited to a three percent increase above 
the amount of the most recent award for the position unless a higher 
increase is approved by the local HUD field office after review of the 
applicant's written justification and at least three comparables that 
must be submitted to the field office by the applicant at the time they 
submit their FY2007 PH FSS Program Coordinator application to HUD. 
Examples of acceptable reasons for increases above 3 percent would be 
the need for a coordinator with higher level of skills or to increase 
the hours of a part-time coordinator to full-time. Total positions 
funded cannot exceed the maximum number of positions for which the 
applicant is eligible under this NOFA. If the funding increase is not 
approved by the local field office or area ONAP, the applicant will be 
eligible for renewal at the level of the most recent award.

3. Ineligible Activities

    a. Funds under this NOFA may not be used to pay the salary of an 
FSS coordinator for a Housing Choice Voucher (HCV) FSS program. A PH 
FSS program coordinator may only serve Low-Rent Public Housing families 
while the HCV FSS program serves only HCV families. The funding for HCV 
FSS program coordinators is being made available through a separate 
NOFA included in the FY 2007 Super NOFA.
    b. Funds under this FSS NOFA may not be used to pay for services 
for FSS program participants.
    c. Funds under this FSS NOFA may not be used to pay for 
administrative activities.
    F. Other Submission Requirements. Electronic application submission 
is mandatory unless an applicant requests, and is granted, a waiver to 
the requirement. Applicants should submit waiver requests in writing 
using mail. Waiver requests must be postmarked no later than 15 days 
prior to the application deadline date and should be sent to Anice 
Schervish, 451 7th Street, SW., Room 3236 Washington, DC 20410. If HUD 
grants a waiver, the applicant will be notified of the application 
submission requirements for paper copy applications. Paper copy 
applications must be received by the appropriate HUD office no later 
than the application deadline date to meet the deadline submission 
requirements.

[[Page 11647]]

V. Application Review Information

    A. Criteria. The funds available under this NOFA are being awarded 
based on demonstrated performance. Applications are reviewed by the 
local HUD field office or area ONAP office and the Grants Management 
Center to determine whether or not they are technically adequate based 
on the NOFA requirements. Field offices or area ONAPs will provide to 
the Grants Management Center (GMC) in a timely manner, as requested, 
information needed by the GMC to make its determination, such as the 
HUD-approved PH FSS program size of new applicants and information on 
the administrative capabilities of applicants.

B. Reviews and Selection Process

    1. Funding Priority Categories. If HUD receives applications for 
funding greater than the amount made available under this NOFA, HUD 
will divide eligible applications into priority categories as follows:
    a. Funding Category 1--Applications from eligible renewal 
applicants designated ``high performer'' in their most recent PHAS 
review and tribes/THDEs that have been determined eligible as a renewal 
applicant (PHAS score requirement is not applicable to tribes/THDEs) 
will be funded for continuation of previously funded eligible 
positions.
    b. Funding Category 2--Eligible renewal applicants designated 
standard performers on the most recent PHAS review will be funded for 
continuation of previously funded eligible positions.
     c. Funding Category 3--Eligible renewal applicants designated 
troubled performers on the most recent PHAS review will be funded for 
continuation of previously funded eligible positions.
    d. Funding Category 4--Applications from eligible new applicants 
agreeing to implement an FSS program of at least 25 slots.
    2. Order of Funding.
    a. Funding Category 1.--Starting with Funding Category 1, HUD will 
first determine whether there are sufficient monies to fund all 
eligible positions requested in the funding category. If available 
funding is not sufficient to fund all positions requested in the 
category, HUD will calculate, for each eligible applicant, the 
applicant's Positive Escrow Percentage and Graduation Percentage and 
will use these percentages in making funding decisions. Definitions of 
the FSS Positive Escrow Percentage and Graduation Percentage are 
included in the Definitions Section (Section I.C.) of this NOFA.
    HUD will begin funding eligible Funding Category 1 applicants 
starting with the applicants with the highest Positive Escrow 
Percentage first. If monies are not sufficient to fund all applicants 
with the same Positive Escrow Percentage, HUD will fund eligible 
applicants in order starting with those that have the highest 
Graduation Percentage first. If funding is not sufficient to fund all 
applicants with the same FSS Positive Escrow Percentage and/or 
Graduation Percentage, HUD will select among eligible applicants by PH 
FSS program size (number of approved slots) starting with eligible 
applicants with the largest PH FSS program size first.
    b. Funding Category 2.--If funding remains after funding all 
Funding Category 1 applications, HUD will then process eligible Funding 
Category 2 applications. If there are not enough funds to fund all of 
Funding Category 2, HUD will use same criteria as above for Funding 
Category 1.
    c. Funding Category 3.--If funding remains after funding all 
Funding Category 2 applications, HUD will then process eligible Funding 
Category 3 applications. If there are not enough funds to fund all of 
Funding Category 2, HUD will use the same criteria as above for Funding 
Category.
    d. Funding Category 4.--If funding remains after funding all 
Funding Category 1, 2, and 3 applications, HUD will then process 
requests of eligible Funding Category 4 applicants. If there are not 
sufficient monies to fund all eligible positions requested, HUD will 
begin funding positions starting with applicants with the largest PH 
FSS program size (number of approved slots) first.
    3. Based on the number of applications submitted, the GMC may elect 
not to process applications for a funding priority category where it is 
apparent that there are insufficient funds available to fund any 
applications within the priority category.
    4. Corrections to Deficient Applications. The General Section of 
the SuperNOFA provides the procedures for corrections to deficient 
applications.
    5. Unacceptable Applications. After the technical deficiency 
correction period (as provided in the General Section), the GMC will 
disapprove applications that it determines are not acceptable for 
processing. Applications from applicants that fall into any of the 
following categories are ineligible for funding under this NOFA and 
will not be processed:
    a. An application submitted by an entity that is not an eligible 
applicant as defined under this PH FSS NOFA or an application that does 
not comply with the requirements of Section IV.B., IV.C. and IV.F. of 
this NOFA.
    b. An application from an applicant that does not meet the fair 
housing and civil rights threshold requirements of the General Section 
of the SuperNOFA.
    c. An application from an applicant that does not comply with the 
prohibition against lobbying activities of this NOFA.
    d. An application from an applicant that has been debarred or 
otherwise disqualified from providing assistance under the program.
    e. An application that did not meet the application deadline date 
and timely receipt requirements as specified in this NOFA and the 
General Section.
    f. Applications will not be funded that do not meet the threshold 
requirements identified in this NOFA and the General Section.

VI. Award Administration Information

    A. Award Notices. Successful applicants will receive an award 
letter from HUD. Successful applicants will be notified by letter and 
will receive instructions for the steps they must take to access 
funding and begin implementing grant activities. Applicants who are not 
funded will also receive letters via U.S. postal mail.

B. Administrative and National Policy Requirements

    1. Environmental Impact. Under 24 CFR 50.19(b)(4) and (12), 
activities under this NOFA are categorically excluded from 
environmental review under the National Environmental Policy Act of 
1969 (42 U.S.C. 4321) and not subject to compliance actions for related 
environmental authorities.
    2. Applicable Requirements. Grantees are subject to regulations and 
other requirements found in:
    a. OMB Circular A-87 ``Cost principles for State, Local, and Indian 
Tribal Governments'';
    b. OMB Circular A-133 ``Audits of States, Local Governments, and 
Non-Profit Organizations'';
    c. HUD Regulations 24 CFR Part 984 ``Section 8 and Public Housing 
Family Self-Sufficiency Program''; and
    d. HUD Regulations 24 CFR Part 85 ``Administrative Requirements for 
Grants and Cooperative Agreements to State, Local, and Federally 
Recognized Indian Tribal Governments''.
    3. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). Section 3 requirements do not apply to this program.
    4. Fair Housing and Civil Rights Laws. Please see the General 
Section for more information.

[[Page 11648]]

    5. Provision of Services to Individuals with Limited English 
Proficiency (LEP). Successful applicants and grantees must seek to 
provide access to program benefits and information to LEP individuals 
through translation and interpretive services, in accordance with HUD's 
Draft LEP Recipient Guidance (68 FR 70968).
    6. Communications. Successful applicants should ensure that notices 
of and communications during all training sessions and meetings shall 
be provided in a manner that is effective for persons with hearing, 
visual, and other communication-related disabilities consistent with 
Section 504 of the Rehabilitation Act of 1973. See 24 CFR Section 8.6.
    7. HUD's Strategic Goals. HUD is committed to ensuring that 
programs result in the achievement of HUD's strategic mission. The FSS 
program and this FSS NOFA support the Department's strategic goals of 
helping HUD-assisted renters make progress toward self-sufficiency by 
giving funding preference to PHA/Tribes/TDHEs whose FSS programs show 
success in moving families to economic self-sufficiency. You can find 
out about HUD's Strategic Framework and Annual Performance Plan at 
http://www.hud.gov/offices/cfo/reports/cforept.cfm3.
    8. HUD Policy Priorities. This NOFA supports the HUD policy 
priority of helping HUD-assisted renters make progress toward self-
sufficiency. In this NOFA, funding priority is given to those 
applicants that demonstrate that their FSS families have increased 
their earned income since enrolling in FSS. See Section V.B. of the 
General Section for a full discussion of HUD's policy priorities.
    C. Reporting. Successful applicants must report activities of their 
FSS enrollment, progress and exit activities of their FSS program 
participants through required submissions of the Form HUD-50058 or as 
otherwise agreed for MTW PHAs. HUD's assessment of the accomplishments 
of the FSS programs of grantees funded under this NOFA may be based in 
part on Public Housing Information Center (PIC) system data obtained 
from the Form HUD-50058. MTW PHAs that do not report to HUD on Form 
HUD-50058 will be asked to submit an annual report to HUD with the same 
information on FSS program activities that is provided to HUD by non-
MTW PHAs via Form HUD-50058. A grantee is also required to submit a 
completed Logic Model (HUD-96010) showing accomplishments against 
proposed outputs and outcomes as part of their annual reporting 
requirement to HUD. Grantees shall use quantifiable data to measure 
performance against goals and objectives outlined in their Logic Model. 
Semi-annual Performance Reports consisting of the updated Logic Model 
are due in the field office on July 30 and January 31 of each year. For 
FY 2007, HUD is considering a new concept for the Logic Model. The new 
concept is a Return on Investment statement. HUD will be publishing a 
separate notice on the ROI concept. In addition, HUD requires that 
funded recipients collect racial and ethnic beneficiary data. It has 
adopted the Office of Management and Budget's Standards for the 
Collection of Racial and Ethnic Data. In view of these requirements, 
funded recipients should use Form HUD-27061, Racial and Ethnic Data 
Reporting Form. Form 50058 used in concurrence with the PIC Data system 
is a comparable form. Applicants that receive awards from HUD should be 
prepared to report on additional measures that HUD may designate at the 
time of award.
    D. Debriefings. The applicant may request an applicant debriefing. 
Beginning not less than 30 days after the awards for assistance are 
publicly announced in the Federal Register and for at least 120 days 
after that announcement, HUD will, upon receiving a written request, 
provide a debriefing to the requesting applicant. (See Section VI.A. of 
the General Section for additional information regarding a debriefing.) 
Applicants requesting to be debriefed must send a written request to: 
Iredia Hutchinson, Director; Grants Management Center, U.S. Department 
of Housing and Urban Development, 501 School Street, SW., Suite 800; 
Washington, DC 20024.

VII. Agency Contacts

    A. For Technical Assistance. For answers to your questions, you may 
contact the Public and Indian Housing Resource Center at 800-955-2232. 
Prior to the application deadline, staff at the number given above will 
be available to provide general guidance, but not guidance with 
actually preparing the application. Following selection, but prior to 
award, HUD staff will be available to assist in clarifying or 
confirming information that is a prerequisite to the offer of an award 
by HUD. Persons with hearing or speech impairments may use the 
Grants.gov helpdesk e-mail.
    B. Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the PH FSS 
program and preparation of an application. For more information about 
the date and time of this broadcast, you should consult the HUD Web 
site at http://www.hud.gov.

VIII. Other Information

    A. Code of Conduct. Please see the General Section for more 
information.
    B. Transfer of Funds. If transfer of funds from any of the ROSS 
programs does become necessary, HUD will consider the amount of un-
funded qualified applications in deciding to which program the extra 
funds will be transferred.
    C. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2577-0229. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 40 hours per respondent for the 
application. This includes the time for collecting, reviewing, and 
reporting the data for the application. The information will be used 
for grantee selection and monitoring the administration of funds. 
Response to this request for information is required in order to 
receive the benefits to be derived.

[[Page 11649]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.021


[[Page 11650]]



Self-Help Homeownership Opportunity Program (SHOP)

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Community Planning and Development.
    B. Funding Opportunity Title: Self-Help Homeownership Opportunity 
Program (SHOP).
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR-5100-N-06; OMB Approval Number 
2506-0157.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: Self-Help 
Homeownership Opportunity Program. The CFDA number is 14.247.
    F. Dates: The application deadline date for electronic submission 
and validation in Grants.gov is June 13, 2007. Applications submitted 
through http://www.grants.gov must be received and validated by 
grants.gov no later than 11:59:59 Eastern time on the application 
deadline date. The validation process may take up to 72 hours.
    G. Optional, Additional Overview Information:
    SHOP funds are awarded to national and regional nonprofit 
organizations and consortia demonstrating experience in administering 
self-help housing programs in which the homebuyers contribute a 
significant amount of sweat-equity toward construction or 
rehabilitation of the dwelling. The amount available for SHOP in Fiscal 
Year (FY) 2007 is approximately $19,800,000.

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description

    SHOP funds are to be used to facilitate and encourage innovative 
homeownership opportunities on a national geographically diverse basis 
through self-help housing programs that require significant sweat-
equity by the homebuyer toward the construction or rehabilitation of 
the dwelling.
    SHOP programs are administered by national and regional nonprofit 
organizations and consortia. Units developed with SHOP funds must be 
decent, safe, and sanitary non-luxury dwellings and must be made 
available to eligible homebuyers at prices below the prevailing market 
prices. Eligible homebuyers are low-income individuals and families 
(i.e., those whose annual incomes do not exceed 80 percent of the 
median income for the area, as established by HUD) who would otherwise 
be unable to purchase a dwelling but for the provision of sweat equity. 
Housing assisted under this Notice of Funding Availability (NOFA) must 
involve labor contributed by homebuyers and volunteers in the 
construction of dwellings and other activities that involve the 
community in the project.

B. Authority

    Funding made available under SHOP is authorized by Section 11 of 
the Housing Opportunity Program Extension Act of 1996 (42 U.S.C. 12805 
note) (the ``Extension Act'').

II. Award Information

    Approximately $19,800,000 will be available for this program in 
FY2007. Any unobligated funds from previous competitions or additional 
funds that may become available due to deobligation or recapture from 
previous awards or budget transfers may be added to the FY2007 
appropriation to fund applications submitted in response to this NOFA. 
Awards will be made to successful applicants in the form of a grant. 
Grant funds must be expended within 24 months of the date that they are 
first made available for draw-down in a line of credit established by 
HUD for the grantee, except that grant funds provided to affiliates 
that develop five or more units must be expended within 36 months.

III. Eligibility Information

A. Eligible Applicants

    You must be a national or regional nonprofit public or private 
organization or consortium that has the capacity and experience to 
provide or facilitate self-help housing homeownership opportunities. 
Your organization or consortium must undertake eligible SHOP activities 
directly and/or provide funding assistance to your local affiliates to 
carry out SHOP activities. You must propose in your application to use 
a significant amount of SHOP funds in at least two states. Affiliates 
must be located within the regional organization's or consortium's 
service area.
    A national organization is defined as an organization that carries 
out self-help housing activities or funds affiliates that carry out 
self-help housing activities on a national scale. A regional 
organization is defined as an organization that carries out self-help 
housing activities or funds affiliates that carry out self-help housing 
activities on a regional scale. A regional area is a geographic area, 
such as the Southwest or Northeast that includes at least two states. 
The states in the region need not be contiguous, and the service area 
of the organization need not precisely conform to state boundaries.
    A consortium is defined as two or more nonprofit organizations 
located in at least two states that individually have the capacity and 
experience to carry out self-help housing activities or fund affiliates 
that carry out self-help housing activities on a national or regional 
scale and enter into an agreement to submit a single application for 
SHOP funding on a national or regional basis. The consortium must 
propose to use a significant amount of SHOP funds in each state 
represented in the consortium. All consortium members must receive SHOP 
funds and one organization must be designated as the lead entity. The 
lead entity must submit the application and, if selected for funding, 
execute the SHOP Grant Agreement with HUD and assume responsibility for 
the grant on behalf of the consortium in compliance with all program 
requirements.
    A consortium agreement, executed and dated by all consortium 
members for the purpose of applying for and using FY2007 SHOP funds, 
must be submitted with your application. A consortium's application 
must be a single integrated document that demonstrates the consortium's 
comprehensive approach to self-help housing. All consortium members 
must be identified in your application. The integrated application must 
reflect all consortium members' programs as a single program and may 
only briefly summarize the individual consortium members' past 
experiences in factor 1. All other components of the application must 
reflect an overall consortium program design. Individual program 
designs for consortium members or affiliates within the integrated 
document will not be considered by HUD in scoring an application. Upon 
being funded, the lead entity must enter into a separate agreement with 
each consortium member. The agreement must include the requirements of 
the FY2007 SHOP Grant Agreement between HUD and the consortium and set 
forth the individual consortium member's responsibilities for 
compliance with HUD's 2007 SHOP program.
    An affiliate is defined as:
    (1) a local public or private nonprofit self-help housing 
organization that is a subordinate organization (i.e., chapter, local, 
post, or unit) of a central organization and covered by the group 
exemption letter issued to the central organization under Section 
501(c)(3) of the Internal Revenue Code; or

[[Page 11651]]

    (2) a local public or private nonprofit self-help housing 
organization with which the applicant has an existing relationship 
(e.g., the applicant has provided technical assistance or funding to 
the local self-help housing organization); or
    (3) a local public or private nonprofit self-help housing 
organization with which the applicant does not have an existing 
relationship, but to which the applicant will provide necessary 
technical assistance and mentoring as part of funding under the 
application.
    You must carry out eligible activities or you must enter into an 
agreement to fund affiliates to carry out eligible activities. If you 
are a consortium, each of your affiliates must receive funds and be 
linked to an individual consortium member.
    Your application may not propose to fund any affiliate or 
consortium member that is also included in another SHOP application. 
You must ensure that any affiliate or consortium member under your 
FY2007 application is not also seeking FY2007 SHOP funding from another 
SHOP applicant. If an affiliate applies for funds through more than one 
applicant, it may be disqualified for any funding.

B. Cost Sharing or Matching

    Applicants are required to leverage resources for the construction 
of self-help housing assisted with SHOP. Failure to provide 
documentation of leveraged resources that meet the submission 
requirements for firm commitments as stated in factor 4 will result in 
a lower application score.

C. Other

1. Eligible Activities
    The costs of eligible activities may be incurred by the applicant 
(and by affiliates, if permitted by the applicant) after the 
publication date of the NOFA and charged to the SHOP grant, provided 
that the applicant and affiliates comply with the requirements of this 
NOFA (including relocation and environmental review requirements) and 
provided that these costs are included in the application. Applicants 
and affiliates incur costs at their own risk, because applicants that 
do not receive a SHOP grant cannot be reimbursed or reimburse 
affiliates.
    Eligible activities are:
    a. Land acquisition, including financing and closing costs, which 
may include reimbursing an organization, consortium, or affiliate, upon 
approval of any required environmental review, for non-grant amounts 
expended by the organization, consortium, or affiliate to acquire land 
before completion of the review;
    b. Infrastructure improvements, including installing, extending, 
constructing, rehabilitating, or otherwise improving utilities and 
other infrastructure, including removal of environmental hazards; and
    c. Administration, planning, and management development, including 
the costs of general management, oversight, and coordination of the 
SHOP grant; staff and overhead costs of the SHOP grant; costs of 
providing information to the public about the SHOP grant; costs of 
providing civil rights and fair housing training to local affiliates as 
well as any expenses involved in affirmatively furthering fair housing; 
and indirect costs (such as rent and utilities) of the grantee or 
affiliate in carrying out the SHOP activities.
2. Threshold Requirements
    HUD will not consider an application from an ineligible applicant. 
An applicant must meet all of the applicable threshold requirements 
listed in the General Section published on January 18, 2007, and the 
SHOP threshold requirements described below:
    a. Organization and Eligibility. You must be eligible to apply 
under SHOP (see Section III.A.).
    b. Nonprofit Status. You must describe how you qualify as an 
eligible applicant and provide evidence of your public or private 
nonprofit status, such as a current Internal Revenue Service (IRS) 
ruling that your organization is exempt from taxation under Section 
501(c)(3) or 501(c)(4) of the Internal Revenue Code of 1986. If you are 
a consortium, each consortium member must submit evidence of its 
nonprofit status to the lead entity for inclusion in the consortium's 
application package.
    c. Consortium Agreement. If you are a consortium, each consortium 
member must enter into and sign a consortium agreement for the purpose 
of applying for SHOP funds and carrying out SHOP activities. Your 
consortium agreement must be submitted as an appendix to your 
application.
    d. Amount. The amount of SHOP funds you request must be sufficient 
to complete a minimum of 30 self-help housing units and may not exceed 
an average investment of $15,000 per unit.
    e. Homebuyer Eligibility. Eligible homebuyers are low-income 
individuals and families (i.e., those whose incomes do not exceed 80 
percent of the median income for the area, as established by HUD). You 
must specify the definition of ``annual income'' to be used in your 
proposed program. You may use one of the following three definitions of 
``annual income'' to determine whether a homebuyer is income-eligible 
under SHOP:
    (1) ``Annual income'' as defined at 24 CFR 5.609; or
    (2) ``Annual income'' as reported under the Census long-form for 
the most recent available decennial Census; or
    (3) ``Adjusted gross income'' as defined for purposes of reporting 
under the IRS Form 1040 series for individual federal annual income tax 
purposes.
    You may also adopt or develop your own definition of annual income 
for use in determining income eligibility under SHOP subject to review 
and approval by HUD. You must include your definition of ``annual 
income'' in your Program Summary.
    f. Experience. You must demonstrate successful completion of at 
least 30 self-help homeownership units in a national or regional area 
within the 24-month period immediately preceding the publication of 
this NOFA. For dwellings to qualify as self-help homeownership units, 
the homebuyers must have contributed a significant amount of sweat-
equity toward the construction as set forth in this section.
    g. Sweat Equity. Your program must require homebuyers to contribute 
a minimum of 100 hours of sweat equity toward the construction or 
rehabilitation of their own homes and/or the homes of other homebuyers 
participating in the self-help housing program. In the case of a 
household with only one adult, the requirement is 50 hours of sweat 
equity toward the construction of these homes. Sweat equity includes 
training for construction on the dwelling units, but excludes homebuyer 
counseling and home maintenance training. All homebuyers, including 
homebuyers with disabilities, must meet these minimum hourly sweat 
equity requirements; however, grantees must permit reasonable 
accommodations for persons with disabilities in order for them to meet 
the hourly requirements. For example, homebuyers with disabilities may 
work on less physical tasks or administrative tasks to meet this 
requirement, or a volunteer(s) may enter into an agreement to 
substitute for the disabled person. No exception to meeting these 
hourly sweat equity requirements may be made.
    h. Community Participation. Your program must involve community 
participation in which volunteers assist in the construction or 
rehabilitation of dwellings. Volunteer labor is work performed by an 
individual without promise, expectation, or compensation for the work 
rendered. For mutual self-

[[Page 11652]]

help housing programs that are assisted by the U.S. Department of 
Agriculture's Rural Housing Services/Rural Development under Section 
523 of the Housing Act of 1949 (7 CFR part 1944, subpart I) or which 
have a program design similar to the Section 523 program, the work by 
each participating family on other participating families' homes may 
count as volunteer labor. A mutual self-help housing program generally 
involves four to ten participating families organized in a group to use 
their own labor to reduce the total construction cost of their homes 
and complete construction work on their homes by an exchange of labor 
with one another.
    i. Eligible Activities. You must use the SHOP funds for eligible 
activities (see Sections III.C.1 and IV.E.) and carry out the 
activities yourself or fund affiliates to carry out the activities.
3. Threshold Submission Requirements.
    In order for your application to be rated and ranked, all threshold 
requirements must be met. Threshold requirements 2(d) through (i) above 
do not require separate submissions, but must be addressed in the 
program summary and/or in the submission requirements for the rating 
factors listed below in Section V, Application Review Information 
Criteria.
4. Other Requirements.
    Other requirements applicable to the SHOP program are set forth in 
Section III.C.4, ``Additional Nondiscrimination and Other 
Requirements'' of the General Section. The following requirements also 
apply to SHOP:
    a. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). SHOP recipients must comply with Section 3 of the Housing 
and Urban Development Act of 1968 (Section 3), 12 U.S.C. 170lu 
(Economic Opportunities for Low- and Very Low-Income Persons in 
Connection with Assisted Projects), and the HUD regulations at 24 CFR 
part 135, including the reporting requirement of subpart E. Section 3 
requires recipients to ensure that to the greatest extent feasible, 
training, employment, and other economic opportunities will be directed 
to low- and very-low income persons, particularly those who are 
recipients of government assistance for housing, and to business 
concerns that provide economic opportunities to low- and very-low 
income persons.
    b. Real Property Acquisition and Relocation. SHOP projects are 
subject to the Uniform Relocation Assistance and Real Property 
Acquisition Policies Act of 1970, as amended (Uniform Act or URA) (42 
U.S.C. 4601), and the government-wide implementing regulations issued 
by the U.S. Department of Transportation at 49 CFR Part 24. The URA is 
a federal law that establishes minimum standards for federally-funded 
programs and projects that require the acquisition of real property 
(real estate) or displace persons from their homes, businesses, or 
farms. The URA's protections and assistance apply to the acquisition, 
rehabilitation, or demolition of real property for federal or federally 
funded projects.
    SHOP grantees and affiliates must comply with all applicable URA 
requirements in order to receive SHOP funds for their programs and 
projects; non-compliance could jeopardize SHOP funding. Real property 
acquisitions for a SHOP-assisted program or project conducted before 
completion of an environmental review and HUD's approval of a request 
for release of funds and environmental certification are also subject 
to the URA. SHOP grantees and affiliates must ensure that all such real 
property acquisitions comply with applicable URA requirements.
    Generally, real property acquisitions conducted without the threat 
or use of eminent domain, commonly referred to as ``voluntary 
acquisitions,'' must satisfy the applicable requirements and criteria 
of 49 CFR 24.101(b)(1) through (5). Evidence of compliance with these 
requirements must be maintained by the affiliate and submitted to and 
maintained by the SHOP grantee. It is also important to note that 
tenants who occupy property that may be acquired through voluntary 
means must be fully informed of their eligibility for relocation 
assistance. This includes notifying such tenants of their potential 
eligibility when negotiations are initiated, notifying them if they 
become fully eligible, and, in the event the purchase of the property 
will not occur, notifying them that they are no longer eligible for 
relocation benefits. Evidence of compliance with these requirements 
must be maintained by the affiliate and submitted to and maintained by 
the SHOP grantee.
    Additional information and resources pertaining to real property 
acquisition and relocation for HUD-funded programs and projects are 
available on HUD's Real Estate Acquisition and Relocation Web site at 
http://www.hud.gov/relocation. You will find applicable laws and 
regulations, policy and guidance, publications, training resources, and 
a listing of HUD contacts if you have questions or need assistance.
    c. Environmental Requirements. The environmental review 
requirements for SHOP supersede the environmental requirements in the 
General Section. All SHOP assistance is subject to the National 
Environmental Policy Act of 1969 and related federal environmental 
authorities and regulations at 24 CFR part 58. SHOP grant applicants 
are cautioned that no activity or project may be undertaken, or federal 
or non-federal funds or assistance committed, if the project or 
activity would limit reasonable choices or could produce an adverse 
environmental impact, until all required environmental reviews and 
notifications have been completed by a unit of general local 
government, tribe, or State, and until HUD approves a recipient's 
request for release of funds under the environmental provisions 
contained in 24 CFR part 58. Notwithstanding the preceding sentence, in 
accordance with section 11(d)(2)(A) of the Housing Opportunity 
Extension Act of l996 and HUD Notice CPD-01-09, an organization, 
consortium, or affiliate may advance non-grant funds to acquire land 
before completion of an environmental review and HUD's approval of a 
request for release of funds and environmental certification. Any 
advances to acquire land prior to such approval are made at the risk of 
the organization, consortium, or affiliate, and reimbursement from SHOP 
funds for such advances will depend on the result of the environmental 
review.
    d. Statutory and Program Requirements. SHOP is governed by Section 
11 of the Housing Opportunity Program Extension Act of 1996 (42 U.S.C. 
12805 note) (the Extension Act), and this NOFA. There are no program 
regulations. You must comply with all statutory requirements applicable 
to SHOP as cited in Section I, Funding Opportunity Description, and the 
program requirements cited in this NOFA. Pursuant to these 
requirements, you must:
    (1) Develop, through significant amounts of sweat-equity by each 
homebuyer and volunteer labor, at least 30 dwelling units at an average 
cost of no more than $15,000 per unit of SHOP funds for land 
acquisition and infrastructure improvements;
    (2) Use your grant to leverage other sources of funding, including 
private or other public funds, to complete construction or 
rehabilitation of the housing units;
    (3) Develop quality dwellings that comply with local building and 
safety codes and standards that will be made available to homebuyers at 
prices below the prevailing market price;
    (4) Schedule SHOP activities to expend all grant funds awarded and 
substantially fulfill your obligations

[[Page 11653]]

under your grant agreement, including timely development of the 
appropriate number of dwelling units. Grant funds must be expended 
within 24 months of the date that they are first made available for 
draw-down in a line of credit established by HUD for the grantee, 
except that grant funds provided to affiliates that develop five or 
more units must be expended within 36 months; and
    (5) Not require a homebuyer to make an up-front financial 
contribution to a housing unit other than cash contributed for down 
payment or closing costs at the time of acquisition.

IV. Application and Submission Information

A. Address To Request Application Package

    This NOFA contains all the information necessary for national and 
regional nonprofit organizations and consortia to submit an application 
for SHOP funding. This section describes how you may obtain application 
forms and additional information about the SHOP program NOFA. Copies of 
the published SHOP NOFA and related application forms for this NOFA may 
be downloaded from the grants.gov Web site at http://www.grants.gov/applicants/apply--for--grants.jsp. If you have difficulty accessing the 
information, you may receive customer support from Grants.gov by 
calling its help desk at (800) 518-GRANTS or by sending an e-mail to 
[email protected]. If you do not have Internet access and you need to 
obtain a copy of this NOFA, you may contact HUD's NOFA Information 
Center toll-free at (800) HUD-8929. Individuals with hearing or speech 
impairments may access this number via the toll-free Federal 
Information Relay Service at 800-877-8339.
    1. Application Kit. There is no application kit for this program. 
All the information you need to apply is contained in this NOFA and is 
available at http://www.grants.gov/applicants/apply--for--grants.jsp. 
The NOFA forms are available to be downloaded from http://www.grants.gov/applicants/apply--for--grants.jsp. Pay attention to the 
submission requirements and format for submission specified for this 
NOFA to ensure that you have submitted all required elements of your 
application.
    The published Federal Register document is the official document 
that HUD uses to solicit applications. Therefore, if there is a 
discrepancy between any materials published by HUD in its Federal 
Register publications and other information provided in paper copy, 
electronic copy, or at www.grants.gov, the Federal Register publication 
prevails. Be sure to review your application submission against the 
requirements in the Federal Register for this NOFA.
    2. Guidebook and Further Information. See the General Section.

B. Content and Form of Application Submission

    You must meet all application and submission requirements described 
in the General Section. Your application should consist of the items 
listed in the section below called Assembly Format and Content. HUD's 
standard forms can be found in the application located on Grants.gov.
    1. Page Limits. There are page limits for responses to the five 
rating factors. A national or regional organization is limited to 40 
pages of narrative to respond to the five rating factors. A consortium 
is permitted up to 5 additional pages to address the past experiences 
of its individual consortium members. Required appendices, forms, 
certifications, statements, and assurances are not subject to the page 
limitations. All pages must be numbered sequentially 1 through 40 or 
45, for factors 1 through 5. Your application may contain only the 
items listed in the Assembly Format and Content checklist below. In 
responding to the five factors, information must be included in your 
narrative response to each factor, unless this NOFA states that it 
should be included as an appendix. If you are submitting material using 
the fax method described in the General Section, the narrative should 
refer to the documents being faxed as part of your narrative response 
to the factor. Any supplemental information not required in the program 
summary, narratives or appendices requested by HUD that further 
explains information required in the five factors will not be reviewed 
for consideration in the scoring of the application.
    2. Assembly Format and Content. Your FY2007 application will be 
composed of an Application Overview, Narrative Statements (rating 
factors), Forms, and Appendices. In order to receive full consideration 
for funding, you should use the following checklist to ensure that all 
requirements are addressed and submitted with your electronic 
application.
    a. Application Overview (Not subject to the page limitations)

------SF-424, Application for Federal Assistance (signed by the 
Authorized Organization Representative (AOR) who is legally authorized 
to submit the application on behalf of the applicant and has been 
approved by the eBusiness Point of Contact to submit the application 
via Grants.gov. (See the General Section.)
------SF-424 Supplement, Survey on Ensuring Equal Opportunities for 
Applicants (``Faith Based EEO Survey (SF-424-SUPP)'' on Grants.gov).
------Self-Help Housing Organization Qualification--Narrative 
describing qualification as an eligible applicant and Evidence of 
Nonprofit Tax Exempt Status (in accordance with Section III.C. of this 
NOFA).
------Consortium Agreement, if applicable.
------Program Summary (including definition of ``annual income'').

    b. Narrative Statements Addressing: (Subject to the page 
limitations described above.)

------Factor 1--Capacity of the Applicant and Relevant Organizational 
Staff (including organizational chart).
------Factor 2--Need/Extent of the Problem (limited to five pages).
------Factor 3--Soundness of Approach.
------Factor 4--Leveraging Resources.
------Factor 5--Achieving Results and Program Evaluation.

    c. Forms, Certifications, and Assurances: (Not subject to the page 
limitations.)

------HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed 
Budget Form'' on Grants.gov).
------HUD-424-CBW, Grant Application Detailed Budget Worksheet.
------SF-LLL, Disclosure of Lobbying Activities, as applicable.
------HUD-2880, Applicant/Recipient Disclosure/Update Report. (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov).
------HUD-2990, Certification of Consistency with the RC/EZ/EC-II 
Strategic Plan.
------HUD-96011, Third Party Documentation Facsimile Transmittal 
(``Facsimile Transmittal Form'' on Grants.gov) required for electronic 
submissions of third party documents.
------HUD-2994-A, You Are Our Client Grant Applicant Survey (optional)
------HUD-96010, Program Outcome Logic Model.

    d. Appendices (Not subject to the page limitations.)

------A copy of your code of conduct (see the General Section).
------Leveraging documentation--firm commitment letters (see factor 4).
------Survey of potential affiliates, if applicable (see factor 2).
------Demonstration of past performance for new applicants (see factor 
5).

[[Page 11654]]

------HUD-27300, Questionnaire for HUD's Initiative on Removal of 
Regulatory Barriers (``HUD Communities Initiative Form'' on 
Grants.gov), if applicable. (See factor 3.)
------Evaluative criteria for Removal of Regulatory Barriers to 
Affordable Housing in affiliate selection process, if applicable (see 
factor 3).

    Other information should not be submitted and will not be 
considered in scoring the application.
    e. Certifications and Assurances. Applicants are placed on notice 
that by signing the SF-424 cover page noted above in 2.a., Application 
Overview, the applicant is certifying to all information described in 
Section IV.F of the General Section.

C. Submission Date and Time

    The electronic application must be received and validated no later 
than 11:59:59 p.m. Eastern time by Grants.gov on the application 
deadline date, which is June 13, 2007. The validation process may take 
up to 72 hours. If an applicant is granted a waiver to the electronic 
application submission requirement, the application must be received at 
HUD Headquarters by the application deadline date, which is June 13, 
2007 (see General Section).

D. Intergovernmental Review

    Executive Order 12372 review does not apply to SHOP.

E. Funding Restrictions

    1. Administrative costs. Administrative costs may not exceed 20 
percent of any SHOP grant. Indirect costs may only be charged to the 
SHOP grant under a cost allocation plan prepared in accordance with OMB 
Circular A-122.
    2. Pre-agreement costs. After the publication date of the NOFA, but 
before the effective date of the SHOP Grant Agreement, an applicant and 
affiliates, if permitted by the applicant, may incur costs that may be 
charged to their SHOP grant, provided the costs are eligible (see 
Section III.C.1.) and in compliance with the requirements of this NOFA 
(including relocation and environmental review requirements) and the 
application. Applicants and affiliates incur costs at their own risk, 
because applicants that do not receive a SHOP grant cannot be 
reimbursed or reimburse affiliates. To be eligible for reimbursement 
with SHOP funds, pre-agreement costs must be identified in the 
application.
    3. Ineligible Costs. Costs associated with the rehabilitation, 
improvement, or construction of dwellings and any other costs not 
identified in Section III.C.1. are not eligible uses of SHOP funds. 
Acquiring land for land banking purposes (i.e., holding land for an 
indefinite period) is an ineligible use of program funds. Acquisition 
undertaken by the applicant or its affiliate before the publication 
date of the NOFA is not an eligible cost. SHOP funds may not be 
expended on a property unless its acquisition by the grantee, (includes 
individual consortium members), or its affiliates complies with the 
Uniform Relocation Assistance and Real Property Acquisition Policies 
Act of 1970 (URA). SHOP funds may not be used for lobbying activities. 
These requirements also apply to the reimbursement of pre-agreement 
costs (see Section IV.E.2).

F. Other Submission Requirements

    You must meet all submission requirements described in the General 
Section. Refer to the General Section for detailed submission 
instructions, including methods and deadlines for submission.
    1. No Facsimiles or Videos. HUD will not accept an entire 
application sent by facsimile (fax). However, third-party documents or 
other materials sent by facsimile in compliance with the submission 
requirements and received by the application submission date will be 
accepted. Facsimile corrections to technical deficiencies will not be 
accepted. Videos submitted as part of an application will not be 
viewed.
    2. Applications must be received and validated by Grants.gov by the 
application deadline date.
    3. Waivers to the Electronic Submission Process: Applicants may 
request a waiver of the electronic submission process for good cause 
(see the General Section for more information). Applicants may submit 
waiver requests by facsimile or by e-mail no later than 15 days prior 
to the June 13, 2007, application due date. Applicants may e-mail their 
requests to [email protected] or send a facsimile to Lou 
Thompson at (202) 708-1744. Requests should include a subject line 
titled ``SHOP--Electronic Application Waiver Request.'' Applicants who 
are granted a waiver based on a HUD-approved justification must submit 
their applications in accordance with the requirements stated in the 
approval to the waiver request.

V. Application Review Information

A. Criteria

Rating Factor l: Capacity of the Applicant and Relevant Organizational 
Staff (25 Points)

    This factor examines the extent to which you, as a single applicant 
or consortium (including individual consortium members), have the 
experience and organizational resources necessary to carry out the 
proposed activities effectively and in a timely manner. Any applicant 
that does not receive at least 15 points under this factor will not be 
eligible for funding.
    In evaluating this factor, HUD will consider your recent (last five 
years) and relevant experience in carrying out the activities you 
propose (including experience in developing accessible/visitable 
housing), and your administrative and fiscal management capability to 
administer the grant, including the ability to account for funds 
appropriately. All applicants, including individual consortium members, 
must have capacity and experience in administering or facilitating 
self-help housing. If you are sponsoring affiliate organizations that 
do not have experience in developing self-help housing, HUD will assess 
your organization's experience in providing technical assistance and 
the ability to mentor new affiliates.

Submission Requirements for Rating Factor 1

    a. Past Experience (10 points). You must describe the past 
experience (most recent five years) of your organization in carrying 
out self-help housing activities (specify the time frame during which 
these activities occurred) that are the same as, or similar to, the 
activities you propose for funding, and demonstrate that you have had 
reasonable success in carrying out and completing those activities. You 
must include the average number of sweat equity hours provided per 
homebuyer family, and the average number of volunteer labor hours 
provided per unit. You may demonstrate reasonable success by showing 
that your previous activities were carried out as proposed, consistent 
with the time frame you proposed for completion of all work.
    b. Management Structure (12 points). You must provide a description 
of your organization's or consortium's management structure, including 
an organizational chart that identifies all key management positions 
and the names and positions of staff managing SHOP. You must also 
describe your key staff and their specific roles and responsibilities 
for the day-to-day management of your proposed program to be funded 
from FY2007 SHOP funds. You must indicate if you will or will not be 
working with organizations that are inexperienced in carrying out self-
help housing and describe the technical assistance you will provide 
them and how you will mentor these

[[Page 11655]]

organizations to develop capacity either directly or indirectly 
resulting in development of FY2007 SHOP-assisted units.
    c. Experience Developing Accessible Housing (3 points). You must 
demonstrate your experience in and ability to construct and alter self-
help housing by describing the kinds of features you have used to 
design homes in accordance with universal design and visitability 
standards, or to otherwise make homes physically accessible. You must 
provide yearly data for the last five years on the number of accessible 
units completed.

Rating Factor 2: Need/Extent of the Problem (10 Points)

    This factor examines the extent to which you demonstrate an urgent 
need for SHOP funds in your proposed target areas based on the need for 
affordable housing, using quality data identified by sources to 
substantiate that need.
    The purpose of this factor is to make sure that funding is provided 
where a need for funding exists. You must identify the community need 
or needs that your proposed SHOP activities are designed to address. If 
you plan to select some or all affiliates after application submission, 
you must demonstrate how the selection of affiliates will help to 
address the needs identified in the proposed target areas.

Submission Requirements for Rating Factor 2 (Five Page Limit)

    Extent of Need for Affordable Housing (10 points). You must 
establish the need for affordable housing and the specific need for 
SHOP funds in the communities or areas in which your proposed 
activities will be carried out. You must specifically address the need 
for acquisition and/or infrastructure assistance for self-help housing 
activities in these identified areas and how your proposed SHOP 
activities meet these needs. Also, to the extent information is 
available, you must address the need for accessible homes in the target 
area(s); evidence of housing discrimination in the target area(s); and 
any need for housing shown in the local Analysis of Impediments to Fair 
Housing Choice, if appropriate. This information must be tied to the 
examples of housing problems that are noted in b. below. Applicants 
that select affiliates after application submission must submit a list 
of affiliates they surveyed and upon which they are basing their need 
for SHOP funding, and the specific criteria to be used to select 
communities or projects based on need.
    In reviewing applications, HUD will consider the extent, quality, 
and validity of the information and data submitted that addresses the 
need for affordable housing in the target area and how recent the data 
sources are. ``Recent'' means the most recent updated U.S. Census data, 
as appropriate, and other information and data issued within the last 
five years of this NOFA that address indicators of social or economic 
decline that best capture the applicant's situation. Such information 
must include:
    a. Housing market data in the proposed target areas including, but 
not limited to: low-income, minority, and disability populations; 
number of home sales and median sales price; and homeownership, rental, 
and vacancy rates. This information can be obtained from state or 
regional housing plans, the American Housing Survey, the United States 
Census, Home Mortgage Disclosure Act data or other local data sources, 
such as Consolidated Plans, comprehensive plans, local tax assessor 
databases, or relevant realtor information. Data included in your 
application must be recent and specific to your proposed target areas; 
and
    b. Housing problems in the proposed target areas such as 
overcrowding, cost burden, housing age or deterioration, low 
homeownership rate (especially among minority families, families with 
children, and families with members with disabilities), and lack of 
adequate infrastructure or utilities.

Rating Factor 3: Soundness of Approach (45 Points)

    This factor examines the quality and soundness of your plan to 
carry out a self-help housing program. In evaluating this factor, HUD 
will consider the areas described below:
    a. Your proposed use of SHOP funds, including the number of units 
and the type(s) of housing to be constructed, and the use of sweat 
equity and volunteer labor; your schedule for expending funds and 
completing construction, including interim milestones; the proposed 
budget and cost effectiveness of your program; your plan to reach all 
potentially eligible homebuyers, including those with disabilities and 
others least likely to apply; and your procedures for meeting section 3 
requirements.
    b. How your planned activities further five of eight HUD policy 
priorities described in the General Section. The five policy priorities 
that apply specifically to SHOP in FY2007 are:
    (1) Providing increased homeownership opportunities for low- and 
moderate-income persons, persons with disabilities, the elderly, 
minorities, and families with limited English proficiency;
    (2) Encouraging accessible design features: visitability in new 
construction and substantial rehabilitation and universal design;
    (3) Providing full and equal access to grassroots, faith-based, and 
other community-based organizations in HUD program implementation;
    (4) Participation in Energy Star; and
    (5) Removal of regulatory barriers to affordable housing.
    c. How you plan to meet section 3 requirements for jobs and 
training and contracting opportunities for SHOP-funded infrastructure 
improvements.

Submission Requirements for Rating Factor 3

    Activities. Describe the types of activities that you propose to 
fund with SHOP and the proposed number of units to be assisted with 
SHOP funding, the housing type(s) (single family or multifamily, or 
both) to be assisted and the form of ownership (fee simple, 
condominium, cooperative, etc.) you propose to use.
    a. Sweat Equity and Volunteer Labor (7 points). Describe your 
program's requirements for sweat equity and volunteer labor (i.e., 
types of tasks and numbers of hours required for both sweat equity and 
volunteer labor) and how you will provide reasonable accommodations for 
persons with disabilities by identifying sweat equity assignments that 
can be performed by the homebuyer regardless of the disability, such as 
providing administrative, clerical, organizational, or other office 
work or minor tasks on-site. Reasonable accommodation can include sweat 
equity by the homebuyer that can be performed regardless of the 
disability or substitution of a non-homebuyer designee(s) to perform 
the sweat equity assignments on behalf of the homebuyer. Volunteers 
substituting for disabled homebuyers must enter into an agreement to 
complete the work on behalf of the homebuyers. Include the dollar 
values of both the sweat equity and volunteer labor contributions.
    b. Funds Expenditure, Construction, and Completion Schedules (7 
points). Submit a construction and completion schedule that expends 
SHOP funds and substantially fulfills your obligations if you are 
funded. You must provide a definition of ``substantially fulfills'' and 
specifically state the percentage or number of properties that you 
propose to be completed and conveyed to homebuyers at the time all 
grant funds are expended. Your construction schedule must include the 
number of dwelling units to be completed within

[[Page 11656]]

24 months or, in the case of affiliates that develop five or more 
units, within 36 months, and a time frame for completing any unfinished 
units.
    Your schedule must also include interim milestones or benchmarks 
against which HUD can measure your progress in: (1) Selecting local 
affiliates if they are not specifically identified in the application, 
(2) expending funds, and (3) completing acquisition, infrastructure, 
and housing construction activities, and occupancy by homebuyers within 
these schedules. These milestones or benchmarks should be established 
at reasonable intervals (e.g., monthly, quarterly).
    c. Budget (7 points). Provide a detailed budget including a 
breakdown for each proposed task and each budget category (acquisition, 
infrastructure improvements, and administration) funded by SHOP in the 
HUD-424-CB and 424-CBW. You must include a line item for the cost of 
monitoring consortium members and affiliates at least once during the 
grant period. Your detailed budget must also include leveraged funding 
to cover costs of completing construction of the proposed number of 
units. Budget amounts on the HUD-424-CB and 424-CBW must agree with 
amounts stated elsewhere in the application.
    d. Cost Effective (6 points). Demonstrate the extent to which after 
the investment of SHOP funds, the contribution of sweat equity and 
volunteer labor, donations (e.g. land or building materials, etc.), in-
kind contributions, and financing subsidies, reduces the average sales 
price to the homebuyer below the appraised value of the house or market 
value of comparable housing in the neighborhood. Applicants showing a 
larger reduction of the sales price to the homebuyer from the appraised 
value as a result of the homebuyer's sweat equity, volunteer labor, and 
other contributions will receive a higher score.
    e. Policy Priorities (6 points). Describe how each of the five HUD 
policy priorities identified specifically for SHOP is furthered by your 
proposed activities. You will receive up to one point for each of the 
first four policy priorities based on how well your proposed work 
activities address the specific policy. You can receive up to two 
points based on how well you address policy priority 5, removal of 
regulatory barriers to affordable housing, for which you must submit 
form HUD-27300 (America's Affordable Communities Initiative, 
Questionnaire for HUD's Initiative on Removal of Regulatory Barriers) 
and where required, provide the documentation and point of contact 
information. Applicants are encouraged to read HUD's notices published 
in the Federal Register on March 22 (69 FR 13450) and April 21 (69 FR 
21663), 2004, to obtain an understanding of this policy priority and 
how it can impact your score. There are exceptions as provided below.
    Applicants that identify affiliate organizations and jurisdictions 
to be served in their application to HUD should address the questions 
in Part A or Part B, but not both, of form HUD-27300 for the 
jurisdiction in which the majority or plurality of services will be 
performed.
    Applicants that do not identify affiliates and communities to be 
served in their application to HUD, but select affiliates competitively 
or through another method after application submission to HUD, may 
address this policy priority by including it as an evaluative criterion 
in their affiliate selection process. Such applicants may receive up to 
2 points by requiring affiliate applicants for the awarded SHOP funds 
to complete the questions in either Part A or B, as appropriate. In 
order to receive points, applicants that identify affiliates after 
application submission must include their evaluative criterion as an 
appendix, and, if awarded SHOP funds in FY2006, must demonstrate how 
the evaluative criteria that were included in your FY2006 application 
were implemented. You must also describe how the evaluative criteria in 
your FY2006 SHOP program affected or will affect the selection and 
funding of affiliates for FY2007, to the extent this has been 
completed. The narrative for your evaluative criteria does not count 
against the page limits described in Section IV.B.1., Page Limits.
    Applicants applying for funds for projects located in local 
jurisdictions and counties/parishes are invited to answer the 20 
questions under Part A. An applicant that scores at least five points 
in column 2 will receive 1 point in the NOFA evaluation. An applicant 
that scores 10 points or more in column 2 will receive 2 points in the 
NOFA evaluation. The community(ies) must be identified on the form HUD-
27300.
    Applicants applying for funds for projects located in 
unincorporated areas or areas otherwise not covered in Part A are 
invited to answer the 15 questions in Part B. Under Part B, an 
applicant that scores at least 4 points in Column 2 will receive 1 
point in the NOFA evaluation. An applicant that scores 8 points or 
greater will receive a total of 2 points in the evaluation. The 
community(ies) must be identified on the form HUD-27300.
    A limited number of questions on form HUD-27300 expressly request 
the applicant to provide brief documentation with its response. Other 
questions require that, for each affirmative statement made, the 
applicant supply a reference, Web site address, or brief statement 
indicating where the back-up information may be found, and a point of 
contact including a telephone number or email address. To receive 
points for this priority, applicants must provide this additional 
information, including separate contact information if the contacts are 
different for the individual questions. If the contact is the same, 
please note that is the case.
    f. Program Outreach (5 points). Describe materials or services that 
will be used to reach potential homebuyers, including persons least 
likely to apply. For example, what alternative formats will be used to 
reach persons with a variety of disabilities and what language 
accommodations will be made for persons with limited English 
proficiency.
    g. Performance and Monitoring (5 points). Describe your plan for 
overseeing the performance of consortium members and affiliates, 
including a plan for monitoring each consortium member and affiliate 
for program compliance at least once during the term of the grant. Your 
plan should address when and how you will shift funds among consortium 
members and affiliates to ensure timely and effective use of SHOP funds 
within the schedule submitted for item b. above.
    h. Section 3 Procedures (2 points). Under section 3 of the Housing 
and Urban Development Act of 1968, to the greatest extent feasible, 
opportunities for job training and employment arising in connection 
with housing rehabilitation, housing construction, or other public 
construction projects must be given to low- and very low-income persons 
in the metropolitan area (or non-metropolitan county) in which the 
project is located. In addition, to the greatest extent feasible, 
contracts for work to be performed in connection with housing 
rehabilitation, housing construction, or other public construction 
projects are given to business concerns that provide economic 
opportunities for low- and very low-income persons in the metropolitan 
area (or non-metropolitan county) in which the project is located. The 
regulations implementing section 3 are found at 24 CFR Part 135. 
Because SHOP funds may only be used for acquisition and infrastructure 
improvements, section 3 requirements apply only to SHOP projects for 
which

[[Page 11657]]

the amount of SHOP funds for the infrastructure improvements (together 
with any other covered section 3 housing and community development 
assistance for infrastructure) meets the threshold amount of $200,000. 
Based on the SHOP maximum average investment of $15,000 per unit, 
section 3 would generally only apply to a SHOP project with at least 14 
units where the entire SHOP amount (if no other covered section 3 
housing and community development assistance is provided to the grantee 
or affiliate for infrastructure) is $200,000 or more.
    Regardless of whether the Section 3 threshold is met, all 
applicants are required to describe procedures they have in place for 
section 3 compliance in the event that they meet the section 3 
threshold in carrying out their proposed FY2007 SHOP activities. You 
must clearly explain your procedures for complying with these 
requirements (1) for projects you will undertake directly, and (2) for 
projects to be undertaken by affiliates. In the case of projects 
undertaken by affiliates, your procedures must state how you will 
inform affiliates of their responsibilities under section 3 and how you 
will monitor compliance. One point will be awarded for addressing job 
training and employment opportunities. One point will be awarded for 
addressing contracting opportunities.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure other resources that 
can be combined with HUD's program resources to fully fund your 
proposed program. When combined with the SHOP grant funds, homebuyer 
sweat equity, and volunteer labor, your leveraged resources must be 
sufficient to develop the number of units proposed in your application. 
HUD will consider only those leveraging contributions for which current 
firm commitments as described in this factor are submitted. A firm 
commitment means a written agreement under which the applicant, a 
partner, or an entity agrees to perform services or provide resources 
for an activity specified in your application. Firm commitments in the 
form of cash funding (e.g., grants or loans), in-kind contributions, 
donated land and construction materials, and donated services will 
count as leverage. Leveraging does not include the dollar value of 
sweat equity and volunteer labor for your proposed activities. 
Leveraging does not include financing provided to homebuyers. However, 
financing provided through the U.S. Department of Agriculture's Section 
502 direct loans to homebuyers, for construction of their dwellings 
counts as leveraging for mutual self-help housing programs. Firm 
commitments must be substantiated by the documentation described below.

Submission Requirements for Rating Factor 4

    Firm Commitments of Resources (10 points). Provide firm commitments 
(letters, agreements, pledges, etc.) of leveraged resources or services 
from the source of the commitment. In order to be considered, leveraged 
resources or services must be committed in writing and include your 
organization's name, the contributing organization's name (including 
designation as a federal, state, local, or private source), the 
proposed type of commitment, and the dollar value of the commitment as 
it relates to your proposed FY2007 SHOP-funded activities. Each letter 
of commitment must be signed by an official of the organization legally 
able to make the commitment on behalf of the organization. See Other 
Submission Requirements, of the General Section regarding the 
procedures for submitting third-party documentation. Each letter of 
commitment must specifically support your FY2007 SHOP application or 
specific projects in your FY2007 application. If your organization 
depends upon fundraising and donations from unknown sources/providers, 
you must submit a separate letter committing a specific amount of 
dollars in fundraising to your proposed FY2007 SHOP program. Applicants 
must ensure that duplicate letters for fundraising amounts are not 
submitted by both the applicant and its affiliates. Also, if you have 
received funds from organizations and agencies from previous years that 
are not committed to another activity and you have the sole discretion 
to commit these funds to your FY2007 SHOP program, you must submit a 
separate letter committing these dollars to your FY2007 SHOP program. 
In all instances, the dollar amount must be stated in the letters. 
Letters of commitment may be contingent upon your receiving a grant 
award. Letters of commitment must be included as an appendix to your 
application, and do not count toward the page limitation noted in 
Section IV.B.1. Unsigned, undated, or outdated letters, letters only 
expressing support of your organization or its proposal, or those not 
specifically stating the dollar amount or linking the resources to your 
FY2007 SHOP application or specific projects in your FY2007 application 
do not count as firm commitments.
    To receive full credit for leveraging, an applicant's leveraging 
resources must be clearly identified for its FY2007 SHOP application 
and must total at least 50 percent of the amount shown on forms HUD-
424-CB needed to complete all properties, minus the proposed SHOP grant 
amount, homebuyer sweat equity, and volunteer labor.

Rating Factor 5. Achieving Results and Program Evaluation (10 Points)

    This factor assesses an applicant's past performance and emphasizes 
HUD's determination to track whether applicants meet commitments made 
in their applications.
    a. Past Performance. For applicants that previously received SHOP 
grants, HUD will assess your organization's past performance based upon 
performance reports that demonstrate your organization's completion of 
eligible SHOP activities, the number of families provided housing, 
financial status information focusing on timely use of funds, and other 
program outcomes. HUD will consider whether you had funds deobligated 
for failure to meet your drawdown and construction schedules or funds 
were returned because of monitoring findings or other program 
deficiencies. HUD may also use monitoring reports, audit reports, logic 
models, and other information available to HUD in making its 
determination under this factor. For applicants that received SHOP 
grants in previous years, HUD will assess your success in meeting 
benchmarks in the most recent 3 full years of participation in the 
program. If you are not a current SHOP grantee, HUD will assess your 
performance in undertaking similar activities and identifying and 
meeting outcomes during the past three years. You must supplement your 
narrative with internal or external performance reports or other 
information that will assist HUD in making its determination under this 
factor. Supplemental information and reports from applicants that have 
not received SHOP grants do not count against the page limitations.
    b. Logic Model form HUD-96010. HUD requires SHOP applicants to 
develop an effective, quantifiable, outcome-oriented evaluation plan 
for measuring performance and determining whether goals have been met 
using the Master Logic Model for SHOP, which can be found in the 
download instructions portion at www.grants.gov. In preparing your 
Logic Model, you must first open the form HUD-96010 and go to the 
instruction tab and follow the directions in the tab. ``Outcomes'' are 
benefits accruing to the families and/or communities during or

[[Page 11658]]

after participation in SHOP. The self-help housing units developed are 
outputs as described under this factor, not outcomes. Applicants must 
clearly identify the outcomes to be achieved and measured. Examples of 
outcomes for SHOP include increasing the homeownership rate in a 
neighborhood or among low-income families by a certain percentage, 
increasing financial stability (e.g., increasing assets of the low-
income homebuyer households through home equity accumulation or 
reducing total housing costs compared to rents that SHOP participants 
previously paid) or increasing housing stability during and beyond the 
grantee's period for reporting on property completions. See Reporting 
in Section VI.C. Outcomes must be quantifiable.
    In addition, applicants must establish interim benchmarks for which 
outputs lead to the ultimate achievement of outcomes. ``Outputs'' are 
the direct products of the applicant's program activities. Examples of 
outputs for SHOP include the number of houses constructed, number of 
sweat equity hours, or number of homes rehabilitated. Outputs should 
produce outcomes for your program and outputs must be quantifiable.
    ``Interim benchmarks'' are steps or stages in your activities that, 
if reached or completed successfully, will result in outputs for your 
program. Examples of interim benchmarks for SHOP include income-
qualifying homebuyers, obtaining building permits, or securing 
construction materials and equipment.
    Program evaluation requires that you identify program outcomes, 
outputs, benchmarks, and performance indicators that will allow you to 
measure your performance. Performance indicators must be objectively 
quantifiable and measure actual achievements against anticipated 
achievements. Your evaluation plan must identify what you are going to 
measure, how you are going to measure it, and the steps you have in 
place to make adjustments to your work plan if performance targets are 
not met within established time frames. This factor reflects HUD's goal 
to embrace high standards of ethics, management, and accountability. 
Successful applicants will be required to periodically report on their 
progress in achieving the proposed outcomes identified in the 
application. Applicants should refer to the General Section for more 
information on the Master Logic Model.

Submission Requirements for Rating Factor 5

    a. Past Performance (7 points). For applicants that received SHOP 
grants in previous years, you must summarize your past performance, 
including any delays you encountered and the mitigating actions taken 
to overcome them to successfully complete your program. HUD will 
measure your past performance using tools such as monitoring reports, 
audit reports, quarterly and annual reports, disbursement data, prior 
years' logic models demonstrating success in meeting outputs and 
outcomes, and other information currently in-house against what you 
stated you would do in your previous applications and your summary. New 
applicants must provide a summary of your performance in carrying out 
self-help housing, including any delays you encountered and the 
mitigating actions taken to overcome them to successfully complete your 
program. Your narrative summary must be supported by existing internal 
or external performance reports or other information that will assist 
HUD in measuring your performance for carrying out self-help housing 
and demonstrating outcomes beyond the provision of housing units. The 
supplemental reports and information must be included as an appendix 
and will not count against the page limitations.
    b. Program Evaluation Plan (3 Points). The FY2007 application 
provides an eLogicModelTM that allows the applicant to 
select from drop down menus the elements of their program to be 
captured in the Logic Model. Instructions for the eLogic 
ModelTM are found in Tab 1 of the form HUD-96011 found in 
the instructions download to your electronic application. The Master 
Logic Model listing also identifies the unit of measure that HUD will 
collect for the output and outcome selected. Applicants must identify a 
unit of measure and establish a goal for each output and outcome. HUD 
expects applicants to identify more than one output and outcome. You 
must summarize your program evaluation plan that measures your own 
program performance. Your plan must measure the performance of 
individual consortium members and affiliates, including the standards 
and measurement methods, and the steps you have in place or how you 
plan to make adjustments if you begin to fall short of established 
benchmarks and timeframes. Applicants who identify two or more outputs 
and outcomes that reflect their proposed activities and work plan and 
prepare an evaluation plan that meets these criteria will receive a 
higher score. For FY2007, HUD is considering a new concept for the 
Logic Model. The new concept is a Return on Investment (ROI) statement. 
HUD will be publishing a separate notice on the ROI concept.

B. Review and Selection Process

    1. Factors for Award Used to Evaluate Applications. HUD will 
evaluate all SHOP applications that successfully complete technical 
processing and meet threshold and submission requirements for Factors 1 
through 5. The maximum number of points awarded for the rating factors 
is 100 plus the possibility of an additional 2 bonus points for RC/EZ/
EC-II.
    2. RC/EZ/EC-II Bonus Points. Applicants may receive up to 2 bonus 
points for eligible activities that the applicant proposes to locate in 
federally designated Empowerment Zones (EZs), renewal communities 
(RCs), or enterprise communities (ECs) designated by the United States 
Department of Agriculture (USDA) in Round II (EC-IIs) that are intended 
to serve the residents of these areas and that are certified to be 
consistent with the area's strategic plan or RC Tax Incentive 
Utilization Plan for an urban or rural renewal community designated by 
HUD (RC) on the strategic plan for an enterprise community designed in 
round II by USDA (EC-II). For ease of reference in this notice, all of 
the federally designated areas are collectively referred to as ``RC/EZ/
EC-IIs'' and the residents of these federally designated areas as ``RC/
EZ/EC-II residents.'' The RC/EZ/EC-II certification, a valid HUD-2990 
form, must be completed for an applicant to be considered for RC/EZ/EC-
II bonus points. A list of RC/EZ/EC-IIs can be obtained from HUD's 
grants Web site 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. Copies of 
the certification can be found in the electronic application. The 
certification must be completed and signed by the appropriate official 
in the RC/EZ/EC-II for an applicant to be considered for RC/EZ/EC-II 
bonus points. In addition to the RC/EZ/EC-II certification, applicants 
must provide the location of the EC/EZ/EC-II (name of town, city, 
state, or other locale) if not otherwise identified on the 
certification, and the number of units to be developed within the RC/
EZ/EC-II in order to receive credit.

[[Page 11659]]

    RC/EZ/EC-II bonus points will be awarded as follows: 2 points to an 
applicant with over 25 percent of its proposed units in RC/EZ/EC-II; 1 
point for 10 to 25 percent of units in RC/EZ/EC-IIs; and 0 points below 
10 percent of units in RC/EZ/EC-II zones.
    3. Rating. Applications that meet all threshold requirements listed 
in Section III.C will be rated against the criteria in Factors 1 
through 5 and assigned a score. Applications that do not meet all 
threshold factors will be rejected and not rated.
    4. Ranking and Selection Procedures. Applications that receive a 
total of 75 points or more (without the addition of RC/EZ/EC-II bonus 
points) will be eligible for selection. After adding any bonus points 
for RC/EZ/EC-IIs HUD will place applications in ranked order. HUD will 
consider ranked order, funds availability, and past performance in the 
selection and funding of applications.
    5. Technical Deficiencies. After the application submission date 
and consistent with regulations in 24 CFR part 4, subpart B, HUD may 
not consider any unsolicited information you may want to provide. 
However, HUD may contact you to clarify an item in your application or 
to correct technical deficiencies. In order not to unreasonably exclude 
applications from being rated and ranked, HUD may contact applicants to 
ensure proper completion of the application and will do so on a uniform 
basis for all applicants. However, HUD may not seek clarification of 
items or responses that improve the substantive quality of your 
response to any rating factor.
    Examples of curable (correctible) technical deficiencies include 
inconsistencies in the funding request, a failure to submit 
certifications. In each case, HUD will notify you in writing by 
describing the clarification or technical deficiency. See the General 
Section for additional information.
    6. HUD's Strategic Goals to Implement HUD's Strategic Frameworks 
and Demonstrate Results. See the General Section for HUD's Strategic 
Goals.
    7. Policy Priorities. Refer to the General Section for information 
regarding application criteria addressing HUD's policy priorities.

    Note: From all applications that receive SHOP funds, HUD intends 
to add relevant data obtained from the ``Removal of Regulatory 
Barriers'' policy priority factor to the database on state and local 
regulatory reform actions maintained at the Regulatory Barrier 
Clearinghouse Web site at 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.

VI. Award Administration Information

A. Award Notices

    1. HUD reserves the right to:
    a. fund less than the amount requested by any applicant based on 
the application's rank, the applicant's past performance, and the 
amount of funds requested relative to the total amount of available 
funds; and/or
    b. fund less than the full amount requested by any applicant to 
ensure a fair distribution of the funds and the development of housing 
on a national, geographically diverse basis as required by the statute.
    HUD will not fund any portion of an application that is ineligible 
for funding under program threshold requirements in Section III.C or 
which does not meet other threshold and pre-award requirements in 
Section III.C. The minimum grant award shall be the amount necessary to 
complete at least 30 units at an average investment of not more than 
$15,000 per unit or a lesser amount if lower costs are reflected in the 
application. If any funds remain after all selections have been made, 
these funds may be available for subsequent competitions.
    2. Debriefing. 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 e-mail 
by its authorized official whose signature appears on the SF-424, or 
his or her successor in the office and submitted to Ms. Lou Thompson, 
Office of Affordable Housing Programs, U.S. Department of Housing and 
Urban Development, 451 Seventh Street, SW., Room 7164, Washington, DC 
20410-7000. Information provided during a debriefing will include, at a 
minimum, the final score you received for each rating factor, final 
evaluation comments for each rating factor, and the final assessment 
indicating the basis upon which assistance was provided or denied.

B. Administrative and National Policy Requirements

    1. Grantees are required to comply with the following 
administrative and financial requirements: A-122 Cost Principles for 
Non-Profit Organizations; A-133 (Audits of States, Local Governments, 
and Non-Profit Organizations); and the regulations at 24 CFR part 84 
(Grants and Agreements with Institutions of Higher Education, 
Hospitals, and other Non-Profit Organizations).
    2. Copies of the OMB Circulars may be obtained from EOP 
Publications, New Executive Office Building, Room 2200, 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.
    3. Refer to all award administration information requirements 
described in Section VI (``Award Administration Information'') of the 
General Section.
    C. Reporting. Grantees are required to submit quarterly and annual 
(consortium members/affiliates) reports providing data on the 
construction status, unit characteristics, and income and racial and 
ethnic composition of homeowners in SHOP-funded properties. For each 
reporting period, as part of the required quarterly report to HUD, 
grant recipients must include a completed Logic Model (form HUD-96010), 
which updates the output and outcome achievements identified in your 
application with which HUD can evaluate the effectiveness of the SHOP 
funding. Applicants are also required to report annually their response 
to the management questions contained in the eLogic ModelTM 
for the SHOP program.

VII. Agency Contact

    Further Information and Technical Assistance. Before the 
application due date, HUD staff may provide general guidance and 
technical assistance about this NOFA. However, staff is not permitted 
to assist in preparing your application. Also, following selection of 
applicants, but before awards are announced, staff may assist in 
clarifying or confirming information that is a prerequisite to the 
offer of an award. You may contact Ms. Lou Thompson, SHOP Program 
Manager, Office of Affordable Housing Programs, Department of Housing 
and Urban Development, 451 Seventh Street, SW., Room 7164, Washington, 
DC 20410-7000, telephone (202) 708-2684 (this is not a toll-free 
number). This number can be accessed via TTY by calling the toll-free 
Federal Information Relay Service Operator at (800) 877-8339. For 
technical support for downloading an application or electronically 
submitting an application, please call Grants.gov help desk at 800-518-
GRANTS (this is a toll-free number) or send an e-mail to 
[email protected].

VIII. Other Information

    A. Review Sections VIII.A., B., E., F., and G. (``Other 
Information'') of the General Section, and note that these

[[Page 11660]]

subsections are incorporated by reference into this NOFA.
    B. Paperwork Reduction Act. The information collection requirements 
contained in this document were approved by the Office of Management 
and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 
3501-3520) and assigned OMB control number 2506-0157. In accordance 
with the Paperwork Reduction Act, HUD may not conduct or sponsor, and a 
person is not required to respond to, a collection of information 
unless the collection displays a currently valid OMB control number. 
Public reporting burden for the collection of information is estimated 
to average 60 hours per annum per respondent for the application and 
grant administration. This includes the time for collecting, reviewing, 
and reporting the data for the application, quarterly and annual 
reports, and final report. The information will be used for grantee 
selection and monitoring the administration of funds. Response to this 
request for information is required in order to receive the benefits to 
be derived.

[[Page 11661]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.022


[[Page 11662]]



Housing Opportunities for Persons With AIDS (HOPWA)

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Community Planning and Development (CPD), Office 
of HIV/AIDS Housing.
    B. Funding Opportunity Title: Housing Opportunities for Persons 
With AIDS (HOPWA).
    C. Announcement Type: Initial Announcement.
    D. Funding Opportunity Number: FR-5100-N-04; OMB Approval Number 
2506-0133.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.241 
Housing Opportunities for Persons With AIDS Program.
    F. Dates: The application deadline date is May 31, 2007. 
Applications submitted through http://www.grants.gov must be received 
and validated by grants.gov no later than 11:59:59 Eastern time on the 
application deadline date. The validation process may take up to 72 
hours. Refer to the General Section for application submission and 
timely receipt requirements.

G. Additional Information

    1. Purpose of the Program: To provide states and localities with 
the resources and incentives to devise long-term comprehensive 
strategies for meeting the housing needs of low-income persons with 
Human Immunodeficiency Virus/Acquired Immunodeficiency Syndrome (HIV/
AIDS). Grant recipients will measure client outcomes to assess how 
housing assistance results in creating or maintaining stable housing, 
reduces risks of homelessness, and improves access to health care and 
other needed support. States, units of general local government, and 
nonprofit organizations interested in applying for funding under this 
grant program should carefully review the General Section and detailed 
information listed in this NOFA.
    2. Available Funds. Approximately $28,463,000 in FY2007 funding is 
made available under the Revised Continuing Appropriations Resolution, 
2007 (Pub. L. 110-5, approved February 15, 2007). Funds for the renewal 
of expiring HOPWA competitive grants that have successfully undertaken 
permanent supportive housing projects will be distributed under a 
separate, simplified process, described in a separate notice from this 
NOFA. Funds under this NOFA will be made available after those awards 
with the remaining funds. This notice makes available funding for two 
types of HOPWA competitive grants for new projects: (1) Long-term 
project awards for housing activities to be conducted by eligible 
states and units of general local government in areas that are not 
eligible for formula allocations or in the balance of the state areas 
outside of eligible metropolitan statistical areas by a governmental 
agency that is not eligible to receive formula grants; and (2) awards 
for Special Projects of National Significance (SPNS) projects that will 
undertake housing service delivery models to provide HOPWA clients with 
improved stable housing arrangements by a governmental agency or an 
eligible nonprofit organization.
    As initiated in FY2006, the Department will again advise existing 
grantees that provide permanent supportive housing of the procedure for 
qualifying for additional funds as a renewal of an expiring HOPWA 
grant. Such grantees will not be required to submit an application 
under this competition for a renewal grant.
    3. Eligible Applicants. States, units of general local government, 
and nonprofit organizations are eligible to apply.
    4. Match. None.
    5. Authorities. HOPWA program regulations at 24 CFR Part 574 and 
the AIDS Housing Opportunity Act (42 U.S.C. 12901-12912), govern the 
program.

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description

    1. Long-Term Projects in Non-formula Areas. HUD will award funding 
for short-term, transitional and/or permanent supportive housing 
activities. These projects should improve stable housing arrangements 
for eligible persons who reside in areas that do not qualify for Fiscal 
Year (FY) 2007 HOPWA formula allocations. Applications should be 
submitted by state or the unit of general local government undertaking 
activities in the balance of state areas outside of eligible 
metropolitan statistical areas.
    2. Special Projects of National Significance (SPNS). SPNS projects 
will provide assistance that stabilizes housing for eligible persons 
through model and/or innovative service delivery models. Consistent 
with the selection considerations established at 42 U.S.C. 
12903(c)(3)(C), SPNS projects will demonstrate potential replicability 
in the larger HOPWA program.
    3. Definitions for all HOPWA grants.
    a. Chronically Homeless Person. An unaccompanied homeless 
individual with a disabling condition who has either been continuously 
homeless for a year or more OR has had at least 4 episodes of 
homelessness in the past 3 years. For this program, a disabling 
condition is defined as a diagnosable substance abuse disorder, serious 
mental illness, developmental disability, or chronic physical illness 
or disability, including AIDS or a disabling condition due to HIV, 
including the co-occurrence of two or more of these conditions.
    b. Lease or Occupancy Agreement. In establishing that an eligible 
person has obtained permanent supportive housing and a legal right to 
remain in that housing unit, the lease or occupancy agreement must be 
for a term of at least one year. The lease or occupancy agreement must 
also be automatically renewable upon expiration, except on reasonable 
and timely prior notice by either the tenant or the landlord. A short-
term lease or lease in the name of the provider may be used to 
undertake transitional housing activities.
    c. Nonprofit Organization. Nonprofit organizations include those 
that: (1) Are state or locally chartered; (2) Are organized under state 
or local laws; (3) Have no part of earnings inuring to the benefit of 
any member, founder, contributor or individual; (4) Have a functioning 
accounting system that is operated in accordance with generally 
accepted accounting principles, or has designated an entity that will 
maintain such an accounting system; and (5) Have among its purposes 
significant activities related to providing services or housing to 
persons with acquired immunodeficiency syndrome or related diseases, as 
clarified to include infection with the human immunodeficiency virus 
(HIV).
    d. Permanent Supportive Housing. Housing in which the eligible 
person has a continuous legal right to remain in the unit and which 
provides the eligible person with ongoing supportive services through 
qualified providers.
    e. Transitional Housing. Housing that will help facilitate the 
movement of eligible person(s) to permanent housing within 24 months.

B. Statutory and Regulatory Requirements

    For more information on the HOPWA program, including eligible uses 
of funds, see the HOPWA program regulations at 24 CFR Part 574 and the 
AIDS Housing Opportunity Act (42 U.S.C. 12901-12912), which govern the 
program.

[[Page 11663]]

C. Availability of Other HOPWA Resources

    1. Formula Allocations and Renewal Funds. Applicants are advised to 
also consider seeking funds from the formula component of the HOPWA 
program and from other resources. Ninety percent of the HOPWA program 
is allocated by formula to eligible states and qualifying cities.
    In FY2007, HUD distributed $256,162,000 in HOPWA funds by formula 
to the qualifying cities for 83 eligible metropolitan statistical areas 
(EMSAs) and to 39 eligible states for areas outside of EMSAs. In 
addition, expiring projects that provided permanent supportive housing 
under a competitive award in a prior year may qualify for renewal 
funds, as authorized by statute. In 2006, HUD provided $16,488,302 to 
16 renewal projects that were eligible, consistent with CPD Notice 06-
06, Standards for Fiscal Year 2006 HOPWA Permanent Supportive Housing 
Renewal Grant Applications, issued on May 15, 2006 (the notice is 
available at http://www.hudclips.org/sub_nonhud/cgi/pdfforms/06-06CPD.doc).
    2. National HOPWA Technical Assistance. To apply for funding to 
serve as a provider of HOPWA technical assistance, you must submit an 
application for funds under the Community Development Technical 
Assistance (CDTA) section of the SuperNOFA. The CDTA notice makes HOPWA 
funds available to organizations qualified to provide technical 
assistance support to HOPWA grantees and project sponsors. 
Organizations seeking help in managing their current HOPWA project, 
such as advice or other help needed in planning, operating, reporting 
to HUD and evaluating HOPWA programs, can request technical assistance 
by contacting their state or area CPD office.

II. Award Information

    A. Total. The total available HOPWA competitive funding in FY2007 
is approximately $28,463,000. After first awarding funds to renew 
existing HOPWA permanent housing projects in FY2007, HUD estimates that 
approximately $10 million will be available for new projects.
    B. Announcement of Awards. HUD anticipates that projects awarded 
under this notice will be announced by August 31, 2007. HUD expects 
that selected projects will undertake program activities under a grant 
agreement for a 3-year operating period.
    C. Minimum and Maximum Grant Award. In order to fairly distribute 
available funding, the conditions on grant size for award that you may 
receive is:
    1. For program activities (e.g., activities that directly benefit 
eligible persons): at least $500,000 and up to $1.3 million;
    2. For grant administrative costs of the grantee: 3 percent of the 
awarded grant amount (e.g., an additional $39,000 if the maximum grant 
is awarded);
    3. For grant administrative costs for project sponsors: 7 percent 
of the amounts received by the project sponsor under the grant (e.g., 
an additional $91,000 if the maximum grant is awarded). A grantee 
cannot also receive project sponsor administrative costs even when the 
grantee carries out the program activities directly;
    4. Total maximum grant amount for all categories of grant awards 
under this NOFA is $1.43 million.
    D. Average Grant Award. Based on the results of the 2006 HOPWA 
competition, the average grant award for the 10 grants selected was 
$1,099,589.

III. Eligibility Information

A. Eligible Applicants

    1. Eligibility for Funding to Nonprofit Organizations. If you are a 
nonprofit organization, you must also satisfy the nonprofit 
requirements established in the definition for eligible nonprofit 
organization found in 24 CFR 574.3 and in the definitions section of 
this Program NOFA.
    2. General Eligibility for Expiring Grant Projects. To be eligible 
for a new grant for an existing HOPWA project, a project that does not 
qualify for renewal as a permanent supportive housing project, or 
significantly changes an existing project, the project must meet all 
program requirements. Existing HOPWA projects that show poor 
performance or unresolved grants management issues up to the date of 
the public announcement of awards under this NOFA will not be funded. 
Unresolved problems may include: (1) HUD knowledge that planned 
activities remain significantly delayed in their implementation; (2) A 
significant number of planned housing units are vacant; (3) Required 
annual progress reports are not timely filed with HUD; (4) Unresolved 
actions pending under a HUD notice of default on your current grant or 
significant citizen complaints are unresolved or not responded to with 
justified reasons.
    3. General Eligibility for Applicants and Sponsors. States, units 
of general local government, and nonprofit organizations may apply 
under the SPNS grants category to propose new projects or for 
additional funding to existing projects that do not qualify as 
permanent supportive housing renewal grants.
    States and units of general local government may apply under the 
``Long-term'' category, if the project entails housing activities in 
areas that did not receive or are not designated to receive HOPWA 
formula allocations in FY2007 or the government agency is not eligible 
to receive formula funds will serve a balance of state area outside of 
any EMSA. Nonprofit organizations are not eligible to apply directly 
for Long-term grants, but may serve as a project sponsor for an 
eligible state or local government applicant.

B. Cost Sharing or Matching

    There are no cost sharing or matching requirements for applications 
under this program NOFA. However, leveraging is encouraged and 
addressed in Rating Factor 4 Leveraging.

C. Other

    1. Threshold Requirements for All Applications. Applicants must 
meet the threshold requirement identified in the General Section. HUD 
will also review your application to determine that you are eligible 
for funding, as follows:
    a. Eligible Applicant.
    (1) Your application is consistent with the requirements of Section 
III.A of this NOFA for eligibility based on applicant requirements, 
project sponsor requirements, and the lack of any unresolved management 
issues for applicants who currently administer HOPWA grants; and
    (2) Your application complies with the Dun and Bradstreet Data 
Universal Numbering System (DUNS). More information on the requirement 
of the DUNS can be found in the General Section.
    b. Eligible Project Sponsors. Your application is consistent with 
the requirements for eligibility of project sponsors, as follows:
    If the project sponsor is a nonprofit organization, it must also 
satisfy the nonprofit requirements established in the definition of an 
eligible nonprofit organization found in 24 CFR 574.3 and in the 
definition section of this NOFA.
2. Program Requirements
    All grant recipients must also meet the following program 
requirements, including performance goals and operational benchmarks, 
and conduct project activities in a consistent and ongoing manner over 
the approved grant operating period. If a selected project does not 
meet the appropriate

[[Page 11664]]

requirement, HUD reserves the right to cancel and/or withdraw the grant 
funds.
    a. General Provisions. The provisions outlined within the General 
Section apply to the HOPWA program unless otherwise stated within this 
NOFA. Specifically, you are encouraged to review Section III.C, Other 
Requirements and Procedures Applicable to All Programs.
    b. Environmental Requirements. All HOPWA assistance is subject to 
the National Environmental Policy Act and applicable related federal 
environmental authorities. While some eligible activities, such as 
tenant-based rental assistance, supportive services, operating costs, 
and administrative costs, are excluded from environmental review 
because of the lack of environmental impact, other activities require 
environmental review. All new facility-based projects must undergo an 
environmental review. In accordance with Section 856(h) of the AIDS 
Housing Opportunity Act and the HOPWA regulations at 24 CFR 574.510, 
environmental reviews for HOPWA activities are to be completed by 
responsible entities in accordance with 24 CFR Part 58. Applicants or 
grantees that are not a responsible entity must request the unit of 
general local government to perform the environmental review. HOPWA 
grantees and project sponsors may not commit or expend any grant or 
non-federal funds on project activities (other than those listed in 24 
CFR 58.22(f), 58.34 or 58.35(b)) for which the responsible entity 
documents its findings of exemption or exclusion for the environmental 
review record (24 CFR 58.34(b) or 24 CFR 58.35(d)) until HUD has 
approved a ``Request for Release of Funds and Certification'' (RROF), 
form HUD-7015.15, on compliance with the National Environmental Policy 
Act and implementing regulations at 24 CFR Part 58 (Environmental 
Review Procedures for Entities Assuming HUD Environmental 
Responsibilities). The recipient, its project sponsors and their 
contractors may not acquire, rehabilitate, convert, lease, repair, 
dispose of, demolish, or construct property for a project, or commit or 
expend HUD or local funds for such eligible activities, until the 
responsible entity (as defined in 24 CFR 58.2) has completed the 
environmental review procedures required by 24 CFR part 58 and the 
environmental certification and the RROF have been approved. HUD will 
not release grant funds if the recipient or any other party commits 
grant funds (i.e., incurs any costs or expenditures to be paid or 
reimbursed with such funds) before the recipient submits and HUD 
approves its RROF (where such submission is required). The recipient 
shall supply all available, relevant information necessary for the 
responsible entity to perform, for each property, any environmental 
review required.
    c. Required HOPWA Performance Goals. Grant recipients must conduct 
activities consistent with their planned annual housing assistance 
performance output goals, objectively measure actual achievements 
against anticipated achievements, and report on their actual 
performance housing outputs and client outcomes. Applicants are 
required to use the HOPWA Budget Form (form HUD-40110-B) found in the 
instructions to the published NOFA on Grants.gov/Apply in this NOFA for 
recording the funding for housing assistance activities that are 
associated with these performance outputs, including any funding 
request for HOPWA funds and/or commitment to use other funds for this 
purpose. This form is consistent with the new Annual Progress Report 
that grantees will be required to complete. In establishing and 
reporting on performance goals, applicants are required to use the 
Logic Model (Form HUD-96010) as described under paragraph (e). 
Applicants must establish a reasonable client outcome goal on achieving 
housing stability, reducing risks of homelessness and improving access 
to care to be quantified after each year of operation to demonstrate 
client outcomes. HUD expects that each HOPWA grantee will show that at 
least half of the beneficiaries achieve stable housing, have reduced 
risks of homeless or improved access to care in their program during 
the operating year, as shown by an assessment of the housing status for 
the household at the end of each operating year. The grantee will 
assist in establishing a baseline on annual performance to help measure 
how future efforts lead to the achievement of higher levels of housing 
stability. On a national basis, HUD has established the goal that more 
than 80 percent of clients will be in stable housing situations by 
2008. The following performance measures must be used in your project 
plan and your logic model under paragraph (e):
    (1) Required Output refers to the number of units of housing/
households assisted during the year, as measured by the annual use of 
HOPWA funds. For HOPWA, the application must specify one-year goals for 
the number of households to be provided housing through the use of 
HOPWA activities for: (a) Short-term rent, mortgage, and utility 
assistance payments to prevent homelessness of the individual or 
family; (b) tenant-based rental assistance; and (c) units provided in 
housing facilities that are being developed, leased, or operated with 
HOPWA funds. You should also include the projected numbers of low-
income eligible households who are expected to benefit from the other 
types of HOPWA assistance to be provided through your project during 
each operating year, such as the number receiving permanent housing 
placement support, or supportive services.
    (2) Required Outcomes refer to the number of eligible households 
who have been provided housing assistance (as noted above for outputs) 
and thereby maintain a stable living environment in housing that is 
safe, decent, and sanitary. The program will measure these results in 
annual assessments on the housing status of beneficiaries along with 
other outcome measures on the reduced risks of homelessness and 
improved access to HIV treatment and other health care and support. On 
a nationwide basis, the program is expected to demonstrate stable 
housing, reduced risks of homelessness and improved access to care 
results for beneficiaries through the use of annual resources with a 
national goal that this status be achieved by 80 percent of all HOPWA 
beneficiaries by 2008.
    d. Optional Program Performance Goals. In addition to required 
performance measures described in the paragraph above, you may include 
other measures or annual indicators in your project plan and in your 
logic model under paragraph (e).
    e. HUD Logic Model. You must use the Logic Model (Form HUD-96010) 
in this NOFA to illustrate the planning for the use of resources, 
project activities, required outputs and outcomes, and other grantee-
identified goals, and for reporting on annual accomplishments. 
Applicants must make use of the required elements in paragraph (a) in 
this form. If you are awarded a grant under this notice, please note 
that the Logic Model form will also be used as part of your Annual 
Progress Report to document results obtained under your approved plans 
during each operating year. HUD intends to propose a Return on 
Investment Statement (ROI) for each of its competitive grant programs. 
HUD will publish a proposed ROI Statement for public comment prior to 
implementation. HUD intends to publish the first ROI Statements for 
public comment and input during FY2007. HUD expects grantees to respond 
to the Management Evaluation Questions, however in their final reports. 
Training on the logic model will

[[Page 11665]]

be conducted via satellite broadcast and archived on HUD's Web site and 
the satellite broadcast and webcast date will be published on HUD's Web 
site. See Section VI.C, ``Reporting'' for additional information on 
Logic Model reporting requirements.
    f. HOPWA Facility Use Period Requirement. Any building or structure 
assisted with amounts under this part will be maintained as a facility 
to provide assistance for eligible persons: (1) For not less than 10 
years in the case of assistance involving new construction, substantial 
rehabilitation or acquisition of a building or structure; and (2) for 
not less than 3 years in cases involving non-substantial rehabilitation 
or repair of a building structure.
    g. Execution of Grant Agreement and Obligation of Awards. HOPWA 
grants are obligated upon execution of the grant agreement by both 
parties (i.e., the recipient and HUD). Applicants selected to receive 
FY2007 funding must execute grant agreements as soon as practicable, 
but no later than 6 months after the notice of selection.
    h. Disbursement of Funds. Grant recipients must fully expend their 
grant funding no later than three years following the effective date or 
the operation start date in the grant agreement, unless HUD has 
approved a one-time extension for an additional 12 months or less. A 
time limit on grant expenditures that is established in the National 
Defense Authorization Act for FY1991 requires the expenditure of all 
HOPWA funds awarded under this NOFA by September 30, 2013. After 
September 30, 2013, any unexpended funds shall be canceled and, 
thereafter, shall not be available for obligation or expenditure for 
any purpose.
    i. Site Control of Housing Facilities through Acquisition or Lease. 
If you propose to acquire a site or structure or lease a structure to 
serve as a housing facility in your project, you are required to gain 
site control within one year from the date of your notice of selection 
by HUD.
    j. Rehabilitation or New Construction. If you propose to use HOPWA 
funds for rehabilitation or new construction activities for housing 
projects, you must agree to begin the rehabilitation or construction 
within 18 months (including any time taken in the facility's 
acquisition or lease under paragraph (i)), and all rehabilitation or 
construction work must be completed within the terms of your grant 
agreement with HUD. Such activities will trigger certain accessibility 
requirements of Section 504 of the Rehabilitation Act of 1973 and/or 
the Design and Construction requirements of the Fair Housing Act of 
1988.
    k. Project Operations. If funds are used for operating costs of 
existing housing facilities, you must agree to begin to use these funds 
within 6 months, consistent with the terms of your grant agreement with 
HUD. If funds are to be used for operating costs, in connection with 
the new construction or substantial rehabilitation of housing 
facilities, the amount of funds designated for operating costs must be 
limited to the amount to be used during the portion of the planned 
three-year period for your grant agreement for which the facility will 
be operational and assisting eligible. Delays in the project's 
development activities, such as the planned completion of the 
construction or rehabilitation activities, could result in the loss of 
funds designated for operating costs, if such funds remain in excess 
after the authorized use period for this award. For example, if you 
expect to take two years to complete the rehabilitation of the 
facility, any operating costs could only be requested for use in the 
remaining one-year of the planned 3-year operating period for this 
award.
    l. Section 3 of the Housing and Urban Development Act of 1968. The 
applicant will comply with Section 3 of the Housing and Urban 
Development Act of 1968, as amended (12 U.S.C. 1701(u), and regulations 
pursuant thereto (24 CFR part 135), which require that to the greatest 
extent feasible opportunities for training and employment be given to 
lower-income residents of the project service area and that contracts 
for work in connection with the project be awarded in substantial part 
to persons residing in the service area of the project.
3. Eligible Activities
    a. Proposed Project Activities. In your application, you must 
specify the activities and budget amounts for which HOPWA funds are 
being requested, consistent with the eligible activities found in the 
HOPWA regulations at 24 CFR 574.300. Your activities must address 
housing needs of eligible members of the community and specify whether 
the project will be undertaking permanent, transitional, short-term 
and/or emergency housing assistance. A copy of the regulations may be 
downloaded from www.hud.gov/offices/cpd/aidshousing/lawsregs/index.cfm. 
You are encouraged to review the HOPWA regulations before seeking 
funding, and other program guidance, such as CPD Notice 06-07, HOPWA 
Short-term Rent, Mortgage and Utility Payments (STRMU) and Connections 
to Permanent Housing, issued August 3, 2006. HOPWA documents can be 
found on the program webpage noted above. HUD will not approve 
proposals that depend on a prospective determination as to how program 
funds will be used. For example, a proposal to establish a local 
request-for-proposal process to select either activities, or to select 
project sponsors, that would have the effect of delaying the obligation 
of funds due to the unplanned use of HOPWA funds, will not be approved.
    b. Additional Guidance on Use of Program Funds.
    (1) Housing Assistance. HOPWA projects must demonstrate that 
housing assistance is the main focus of program activities. Please 
indicate if you propose to use HOPWA funds to provide permanent 
supportive housing (as defined in Section I.A.). If you are proposing 
emergency or transitional housing assistance, your plan must include 
linkages to permanent supportive housing. See 24 CFR 574.300(b)(8) for 
descriptions of appropriate operating costs for a housing project.
    (2) Supportive Services. Many of the eligible persons who will be 
served by HOPWA may need other support in addition to housing. It is 
important that you design programs that enhance access to those 
existing mainstream resources through communitywide strategies to 
coordinate assistance to eligible persons. These mainstream programs 
include: The Ryan White CARE Act; Medicaid; the Children's Health 
Insurance Program; Temporary Assistance for Needy Families; Food 
Stamps; Mental Health Block Grant; Substance Abuse Block Grant; 
Workforce Investment Act; the Welfare-to-Work grant program; as well as 
other state, local and private sources. No more than 35 percent of the 
proposed budget for program activities undertaken by project recipients 
can be designated for supportive services costs. In addition, HUD will 
not award funds for the acquisition, lease, rehabilitation, or new 
construction of a supportive services-only facility. Additional 
restrictions and limitations that apply to supportive services such as 
limitations addressing only uncompensated health care costs, can be 
found at 24 CFR 574.300. HUD will not provide funds for medications or 
other health care costs, as these are reasonably available from other 
sources. Costs for staff engaged in delivering the supportive service 
is part of the supportive service activity cost, and should not be 
listed as operating costs or ``other'' costs in the application's 
proposed HOPWA budget.

[[Page 11666]]

    (3) Permanent Housing Placement Assistance. Permanent housing 
placement at 24 CFR 574.300(b)(7) may also be used in connection with 
the provision of housing support provided under these awards and is not 
considered a supportive service under limitations stated in paragraph 
(2). Permanent housing placement costs may involve costs associated 
with helping eligible persons establish a new residence where ongoing 
occupancy is expected to continue, including rental application fees, 
related credit checks, and reasonable security deposits necessary to 
move persons to permanent housing, provided such deposits do not exceed 
2 months of rent. Leveraged resources may involve other forms of move-
in support, such as essential housing supplies, smoke alarms, standard 
furnishings, minor repairs to the unit associated with move-in, and 
other incidental costs for occupancy of the housing unit. While these 
items are not eligible as permanent housing placement costs, grantees 
may make use of other leveraged funds for these costs.
    (4) Other HUD-Approved Activities. You may propose other activities 
not already authorized at 24 CFR 574.300(b), subject to HUD's approval. 
Your proposal should address the expected beneficial impact of this 
alternative activity in addressing housing needs of eligible persons by 
describing the project impact and the identified performance output and 
client outcome measures for this activity.

IV. Application and Submission Information

A. Addresses to Request Application Package

    Copies of the published NOFAs and application forms for HUD 
programs announced through NOFA are available at the Grants.gov Web 
site, http://www.grants.gov/applicants/apply--for--grants.jsp. If you 
have difficulty accessing the information, customer support is 
available from Grants.gov by calling its Support Desk at (800) 518-4726 
between 7 a.m. and 9 p.m. eastern time or by sending an e-mail to 
[email protected]. If you do not have Internet access and need to 
obtain a copy of the NOFA, you can contact HUD's NOFA Information 
Center toll-free at (800) HUD-8929. Persons with hearing or speech 
impairments may access this number via the toll-free Federal 
Information Relay Service at (800) 877-8339.

B. Content and Form of Application Submission

    By signing the SF-424, applicants are agreeing to the assurances 
found in the General Section. If conditionally selected for funding, 
the following certifications as noted must be provided prior to the 
signing of a grant agreement. Standard certifications and forms are 
listed in the General Section and the HOPWA budget and certification 
(form HUD-40110-B), is identified in this NOFA.
    1. Forms: Applicants are requested to submit the following 
information:
    a. SF-424, Application for Federal Assistance (Required)
    b. SF-424 Supplement, Survey on Ensuring Equal Opportunities for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov) 
(Optional).
    c. HUD-96010, Program Outcome Logic Model (Required).
    d. HUD-2991, Certification of Consistency with the Consolidated 
Plan (Required).
    e. HUD-2990, Certification of Consistency with the RC/EZ/EC-II 
Plan--if applicable to the service area of your project (Optional).
    f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov) (Required).
    g. SF-LLL, Disclosure of Lobbying Activities, if applicable 
(Required).
    h. HUD-40110-B, HOPWA Application Budget Summary, including HOPWA 
Applicant Certifications (Required).
    i. HUD-27300, Questionnaire for HUD's Removal of Regulatory 
Barriers (``HUD Communities Initiative Form'' on Grants.gov) 
(Optional).
    j. HUD-2993, Acknowledgement of Application Receipt, if applicable 
due to an approved waiver of the electronic submission requirement 
(Optional).
    k. HUD 2994-A, You Are Our Client! Grant Applicant Survey 
(Optional).
    l. HUD-96011, Third Party Documentation Facsimile Transmittal 
(``Facsimile Transmittal Form'' on Grants.gov) (for electronic 
applications).
2. Additional HOPWA Guidance on Forms.
    a. HOPWA Application Budget Summary (form HUD-40110-B). Do not 
complete the standard budget form contained in the General Section. 
Applicants must use this program-specific budget form (HUD-40110-B, 
HOPWA Budget Application Summary) that demonstrates how funds will be 
used for eligible activities. The HOPWA HUD-40110-B will provide a 
summary of the total budget for your project, the annual HOPWA amounts 
to be used in each of the three years of operation and description 
budget by project sponsor of the HOPWA funds to be used by each 
sponsor. On this form, you must provide a short narrative which 
outlines each of your requested budget line items and how the funds 
will be used, including the amount of requested funding, by line item 
for you and your project sponsors.
    b. Certification of Consistency with the Consolidated Plan (HUD-
2991). Except as stated below, you must obtain a Consolidated Plan 
certification signed by the applicable state or local government 
official for submitting the appropriate plan for the areas in which 
activities are targeted. This form must be submitted to HUD prior to 
the signing of a grant agreement. The authorizing official from the 
state or local government must sign this certification. If your project 
will be carried out on a national basis or will be located on an Indian 
reservation or in one of the U.S. Territories of Guam, the Virgin 
Islands, American Samoa, or the Northern Mariana Islands, you are not 
required to include a Consolidated Plan certification from these areas 
with your application.
    3. Application Content for Long-term and Special Projects of 
National Significance (SPNS) Project Applications. The review criteria 
for long-term, and SPNS applications can be found in Section V.A. of 
this NOFA. For your narrative responses, number the pages and include a 
header or a footer that provides the name of the applicant or the 
project.
    a. Executive Summary. On no more than two double-spaced pages, 
provide an Executive Summary of the proposed project. The summary 
should provide an overview of the main components of your planned HOPWA 
project, any special service delivery method or project purposes and 
the projected annual housing output for the first year of operation. In 
the executive summary, provide the name of the grantee and any project 
sponsors, along with contact names, phone numbers, and e-mail 
addresses.
    For projects involving sites, (e.g., a structure where HOPWA funds 
will be used for the housing activities, involving construction, 
acquisition, rehabilitation, leasing, operating costs, and/or project-
based rental assistance) provide the address of the proposed site of 
this structure and describe what other resources will be used to 
complete the development of this housing facility. Please identify if 
the site is a Confidential Site or a Public Site. (HUD

[[Page 11667]]

will not release the address of confidential sites).
    b. Proof of Nonprofit Status and AIDS Purpose. Excluding situations 
where nonprofit documentation was submitted to HUD under prior HOPWA 
awards and there has been no change in this status for the project 
sponsor(s), all conditionally selected applicants must provide a copy 
of the nonprofit documentation for each sponsor that is a nonprofit 
organization consistent with the standards under paragraph (1) below 
prior to the signing of a grant agreement. Conditionally selected 
applicants must also provide documentation consistent with paragraph 
(2) below prior to the signing of a grant agreement to demonstrate that 
each sponsor's organizational documents include a purpose of 
significant activities related to providing housing or services to 
persons with HIV/AIDS. For submission of the documentation in 
paragraphs (1) and (2) on paper forms, you should follow the directions 
in the General Section, with the exception of the budget forms.
    (1) HUD will accept as evidence of your nonprofit status:
    (a) A copy of the Internal Revenue Service (IRS) ruling providing 
tax-exempt status under Section 501(c)(3), (4), (6), (7), (9) or (19) 
of the IRS code;
    (b) A ruling from the Treasury Department of the Commonwealth of 
Puerto Rico granting income tax exemption under section 101 of the 
Income Tax Act of 1954, as amended (13 LPRA 3101);
    (c) Documentation that the applicant is a certified United Way 
agency;
    (d) Copy of your most recent completed tax statement, Form IRS-990 
or Form 990-EZ;
    (e) All of these:
    (i) a certification by the appropriate official of the jurisdiction 
where the nonprofit was organized that your organization was organized 
as a nonprofit organization and is in good standing;
    (ii) A certification from a designated official of the organization 
that no part of the net earnings of the organization inures to the 
benefit of any member, founder, contributor, or individual; that the 
organization has a voluntary board; and that the organization practices 
nondiscrimination in the provision of assistance in accordance with 
applicable program requirements; and
    (iii) an opinion letter from an independent public accounting firm 
that the nonprofit entity has a functioning accounting system that 
provides for each of the following:
    (A) Accurate, current, and complete disclosure of the financial 
results of each federally funded project;
    (B) Records that identify adequately the source and application of 
funds for federally funded activities;
    (C) Effective control over and accountability for all funds, 
property and other assets;
    (D) Comparison of outlays with budget amounts;
    (E) Written procedures to minimize the time elapsing between the 
transfer of funds to the recipient from the U.S. Treasury and the use 
of funds for program purposes;
    (F) Written procedures for determining reasonableness, allocable, 
and allowable costs; and
    (G) Accounting records including cost accounting records that are 
supported by source documentation.
    (2) HUD will also accept, as evidence of your organization's HIV/
AIDS-related purpose, a copy of the organization's articles of 
incorporation and bylaws, mission statement, program management plan, 
or other organizational policy document that evidences the 
organization's activities or objectives related to providing services 
or housing to persons with HIV/AIDS.
    c. Capacity of Applicant and Project Sponsors and Relevant 
Organizational Experience Narrative. On no more than five double-spaced 
typed pages or similar chart or table for the Applicant, and no more 
than two double-spaced pages or similar chart or table per additional 
sponsor, demonstrate the extent to which you and any project sponsor(s) 
have the organizational resources necessary to successfully implement 
your proposed activities in a timely manner.
    d. Need/Extent of the Problem Narrative. On no more than five 
double-spaced typed pages or similar chart or table define your planned 
service area and demonstrate the need for funding eligible activities 
in the area to be served.
    e. Soundness of Approach: Model Qualities and Responsiveness/
Coordination Narrative. On no more than ten double-spaced, typed pages 
or a similar chart or table, address the method by which your plan 
meets your identified needs. Demonstrate how your project will provide 
its planned activities through HOPWA and other resources, and how it 
will serve as a model with exemplary qualities to address the ongoing 
housing and supportive service needs of eligible persons within a 
replicable operational framework.
    f. Documentation of Leveraged Resources. As described in paragraph 
4 of this section, to receive a leverage score for your project, 
provide a detailed chart of commitments that you have obtained and have 
on file that provides evidence of your ability to secure community 
resources for operating and sustaining your housing project. On no more 
than two double-spaced typed pages or similar chart or table, address 
the method by which your plan addresses sustainability of the effort.
    g. Achieving Results and Program Evaluation Narrative. To 
complement the use of the Logic Model form, in no more than three 
double-spaced, typed pages or a similar chart or table, provide a 
supplemental optional narrative that may detail or further demonstrate 
your commitment to ensuring that the goals that you set forth and your 
performance will be assessed in a clear and effective manner. Address 
how you will implement the HOPWA Program goals and identify the 
benefits or outcomes of your program, including details on your 
activities, benchmarks, and interim activities or performance 
indicators shown in the Logic Model. Provide comments as may be needed 
on details for an evaluation plan that will objectively measure actual 
achievements against anticipated achievements.
4. Application Content on Leveraging for All Types of Applications
    To receive consideration for leveraged resources, all types of 
applications must include information on the commitments from other 
state, local, federal, or private entities to provide additional 
resources in operating and sustaining your planned activities to 
support project beneficiaries. Other HOPWA funds, such as formula 
allocations, may not be used for this purpose in determining 
leveraging. To receive a score for leveraging, any project must provide 
a list in a chart with information on the nature of the secured 
leveraged commitments that you have in hand at the time of your 
application submission to HUD. You may also describe a plan for how the 
project will continue to operate in future years, with a decreased 
reliance on these federal resources.
    As a change from prior year competitions, you should not submit an 
electronic copy or facsimile transmittal of these letters of commitment 
with your HOPWA application, but should use these letters or documents 
to report on the information requested below. The applicant must retain 
in its files all of the leveraging letters or documents, and a 
conditionally selected applicant may be required to provide HUD with a 
copy or other evidence of these letters

[[Page 11668]]

or documents as part of the conditions for receiving HOPWA funds.
    In the application, provide information only for contributions for 
which you have a written commitment in hand at the time of application. 
A written commitment could include signed letters, memoranda of 
agreement, and other documented evidence of a firm commitment for 
resources to be available during the operating period of your project, 
if selected for award. This does not include resources that are in use 
prior to the new grant operating period. Leveraging items may include 
any written commitments that will be used towards your leveraging of 
the project, as well as any written commitments for buildings, 
equipment, materials, services and volunteer time. The value of 
commitments of land, buildings and equipment are one-time only and 
cannot be claimed by more than one selected project (e.g., the value of 
donated land, buildings or equipment claimed in 2006 and prior years 
for a project that was selected for funding cannot be claimed as 
leveraging by that project in subsequent competitions). The written 
commitments must be documented on letterhead stationery, signed by an 
authorized representative, dated and in your possession prior to the 
deadline for submitting your application.
    The Department will periodically monitor the use of your 
commitments by requiring the collection of information in annual 
progress reports to establish that the leveraged resources are being 
used, as committed, in undertaking the project. Failure to provide 
evidence of these commitments or the related use of these additional 
resources in operating your project could result in a notice of default 
and affect the project's continued access to federal funds awarded 
under this NOFA.

C. Submission Dates

    Application Deadline Date. Your completed application must be 
received and validated electronically by Grants.gov no later than 
11:59:59 p.m. eastern time on the deadline date for HOPWA. The 
validation process may take up to 72 hours. Failure to have the 
application validated by Grants.gov prior to the deadline will result 
in a late application making the application ineligible for funding 
under this NOFA. Please follow the application submission and timely 
receipt requirements that are established in the General Section.
    All parts of an electronic application must be submitted via the 
Grants.gov portal with additional documentation as called for in this 
NOFA provided via electronic facsimile transmittal in accordance with 
the requirements stated in the General Section. For electronic 
applications, HUD will not accept parts of an application submitted 
through the mail or entire applications by facsimile. For applications 
receiving a waiver of the electronic application submission 
requirements, the entire application must be submitted in hard paper 
copy format with the required number of copies.

D. Intergovernmental Review

    The HOPWA program is not subject to Executive Order (EO) 12372, 
Intergovernmental Review of Federal Programs.

E. Funding Restrictions

    1. Limitations on Maximum Grant Amounts. Your request for funding 
must be consistent with the following limitations on minimum and 
maximum grant amounts:
    a. For program activities (e.g., activities that directly benefit 
eligible persons): At least $500,000 and a maximum of $1.3 million, 
subject to the limitations in this section;
    b. For grant administrative costs of the grantee: A maximum of no 
more than an additional $39,000, subject to the limit on administrative 
costs of 3 percent of the amount requested for project activities in 
your application for grantees.
    c. For grant administrative costs for project sponsors: A maximum 
of no more than an additional $91,000, subject to the limit on 
administrative costs of 7 percent of the amount requested for project 
activities to be conducted by project sponsors in your application. 
(Note: An applicant that will serve as a grantee, but carry out 
activities directly without a third-party project sponsor, cannot add 
amounts from this paragraph to its eligible amount under paragraph (b) 
above.)
    d. Total for maximum grant amount: $1.43 million, as subject to 
applicable limitations in this section and if funds are requested for a 
term of less than three years, HUD reserves the right to reduce these 
amounts in a proportionate manner.
    2. Limitation on Supportive Services. Your request for the 
supportive services line item in program activities must be consistent 
with the program limits of not more than 35 percent of the proposed 
budget for program activities undertaken by project recipients.
    3. Limitation on Prospective Determinations. HUD will not approve 
proposals that depend on a prospective determination as to how program 
funds will be used, except as needed in securing housing units for 
participants. More specifically, proposals to establish a local 
request-for-proposal process to select either activities or project 
sponsors, and other similar proposals that have the effect of delaying 
the obligation of funds due to the unplanned use of HOPWA funds, will 
not be approved.
    4. Limitation on Ineligible Activities. HUD will not provide 
additional funds under this notice for the purposes of conducting 
resource identification activities to establish, coordinate, and 
develop housing assistance resources, and/or technical assistance for 
community residence activities, because these types of activities are 
funded through the national HOPWA technical assistance funds being made 
available under the Community Development Technical Assistance (CDTA) 
NOFA or available for resource identification activities under formula 
allocations. HUD will not provide additional funds for data collection 
on project outcomes; because such activities in collecting performance 
data and reporting to HUD are required as a central grants management 
function, is already covered under administrative costs. In addition, 
eligible HOPWA costs cannot involve costs for personal items, such as 
grooming, clothing, pets, financial assistance, consumer credit 
payments, entertainment activities, personal vehicle maintenance and 
repairs, property taxes, condominium fees, and other non-housing-
related costs. Eligible costs are also subject to additional HOPWA 
standards at 24 CFR Part 574.

F. Other Submission Requirements

    1. Electronic Delivery. HUD requires applicants to electronically 
submit via www.grants.gov. See Sections IV.B. and F. of the General 
Section for instructions for submitting leveraging documentation, 
certifications, and other required forms.
    2. Waivers to the Electronic Submission Process: Applicants may 
request a waiver of the electronic submission process (see the General 
Section for more information). Applicants should submit waiver requests 
in writing, by e-mail, fax, or to the address listed below. Waiver 
requests must be submitted no later than 15 days prior to the 
application deadline date to: David Vos, Director of HIV/AIDS Housing, 
Department of Housing and Urban Development, 451 Seventh Street, SW, 
Suite 7212, Washington, DC 20410-7000.
    E-mail: [email protected], facsimile (fax) 202-708-9313.

[[Page 11669]]

    Applicants who are granted a waiver based on a HUD-approved 
justification must submit their applications in accordance with the 
requirements stated in the approval to the waiver request. Paper 
applications must be received by HUD at the proper location by the 
deadline date.

V. Application Review Information

A. Criteria

1. Criteria for Project Applications
    a. Departmental Policy Priorities. As outlined in the General 
Section, HUD has identified policy priorities that project applicants 
are encouraged to address through their proposed project plans. HUD has 
identified five Departmental policy priorities as being applicable for 
new HOPWA projects. Applications for HOPWA funding will receive rating 
points for each applicable Departmental policy priority initiative 
addressed through the proposed program activities and performance goals 
and objectives. Applicants must demonstrate how these priorities will 
be addressed through the Soundness of Approach of the application as 
outlined under Rating Factor 3. Under the points available for Rating 
Factor 3, one or two Rating Points, as specified below, will be awarded 
for each of the following addressed priorities:
    (1) In accordance with the General Section, for applicants seeking 
HOPWA funds for capital development activities, including 
rehabilitation or new construction, or identifying leveraged 
commitments of other funds for these activities in assisting HOPWA 
beneficiaries, for one rating point under project soundness of 
approach, you are encouraged to institute visitability and universal 
design standards in these activities undertaken with HOPWA funds. 
Visitability standards allow a person with mobility impairments access 
into the home, but do not require that all features be made accessible; 
and such standards incorporate universal design in the construction or 
rehabilitation of housing undertaken with HOPWA funds. Universal design 
provides housing that is usable by all without the need for adaptation 
or specialized design.
    (2) For one rating point under project soundness of approach, you 
are encouraged to propose projects in which the grantee, or the project 
sponsor(s), fulfills the policy priority for being a nonprofit, 
grassroots community-based organization, including faith-based 
organizations, as defined in the General Section.
    (3) For one rating point under project soundness of approach, you 
are encouraged to propose applications in which the grantee, or project 
sponsor(s), commits to follow the Energy Star standard in any new 
construction, or rehabilitation activity, or in maintaining housing or 
community facilities to be undertaken in the proposed project with 
HOPWA or other funds. This would also apply to undertaking 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. The Energy Star standard is as defined in the General 
Section.
    (4) For up to two rating points under project soundness of 
approach, you are encouraged to propose an application in which the 
grantee, or project sponsor(s), if it is a state or local government 
agency, as defined in the General Section, completes the regulatory 
barriers policy questionnaire, ``Questionnaire for HUD's Initiative on 
Removal of Regulatory Barriers'' (Form HUD-27300) and provides the 
required documentation, contact information and/or a Web site link 
where the information can be readily found.
    b. Program Policies--Target Population. Prior to the award of other 
projects, HUD reserves the right to select the two highest rated 
applications (but not any that are rated at less than 75 points) that 
demonstrate that the planned HOPWA activities and activities supported 
by leveraged funds will serve the special population of HOPWA eligible 
persons who are chronically homeless persons with HIV/AIDS. Persons who 
are infected with HIV are more likely to be able to follow complex 
treatment regimens if they have a reliable address where they can be 
reached by care providers, a safe place to keep medications, 
refrigeration for drugs that require it, and other necessities that 
many of us take for granted. HUD is encouraging applications that 
strive to create additional models for permanent housing for eligible 
persons living with HIV/AIDS that are experiencing chronic 
homelessness. Applicants must work collaboratively with the local 
Continuum of Care Plans to create these models for persons living with 
HIV/AIDS and their families and demonstrate a plan for the integration 
of HOPWA activities with those systems such as the use of HMIS. HMIS 
participation is required for all recipients of award funding under 
this NOFA whose projects intentionally target HOPWA eligible persons 
who are homeless or chronically homeless. In a number of Continuum of 
Care communities, HOPWA projects are directly involved in providing 
outreach, assessment, housing and supportive services to HOPWA eligible 
persons who are homeless at the time they enter into program support. 
HMIS activities or the use of related information technology systems 
may already be operating to support the delivery of housing information 
services to these HOPWA clients.
    c. Economic opportunities for low- and very low-income persons--
Section 3. For up to two rating points under project soundness of 
approach, you are encouraged to propose an application in which the 
grantee or project sponsor(s) demonstrate in their application how they 
will incorporate Section 3 principles into their project with goals for 
expanding opportunities in their service area for Section 3 residents 
and businesses. As defined in Section V of the General Section, the 
purpose of Section 3 is to ensure that employment and other economic 
opportunities generated by F ederal financial assistance for housing 
and community development programs, shall, to the greatest extent 
feasible, be directed toward low- and very-low income persons.
     d. Application Selection Process for Projects.

Rating Factor 1: Capacity of the Applicant and Project Sponsors and 
Relevant Organizational Experience (20 points) (Minimum for Funding 
Eligibility--14 Points)

    Address the following factor by using not more than five double-
spaced, typed pages or a similar chart or table. For each project 
sponsor, you may add two additional pages. This factor addresses the 
extent to which you and any project sponsor have the organizational 
resources necessary to successfully implement your proposed activities 
in a timely manner. If you will be using project sponsor(s) in your 
project, you must identify each project sponsor in your application. 
HUD will award up to 20 points based on your and any project sponsor's 
ability to develop and operate your proposed program in relation to 
which entity is carrying out an activity.
    (1) With regard to both you and your project sponsor(s), you should 
demonstrate:
    (a) Past experience and knowledge in serving persons with HIV/AIDS 
and their families;
    (b) Past experience and knowledge in programs similar to those 
proposed in your application, including HOPWA formula funding;
    (c) Experience and knowledge in monitoring and evaluating program

[[Page 11670]]

performance and disseminating information on project housing outputs 
and client outcomes; and
    (d) Past experience as measured by expenditures and measurable 
progress in achieving the purpose for which funds were provided.
    (2) In reviewing the elements of the paragraph above, HUD will 
consider:
    (a) The knowledge and experience of the proposed project director 
and staff, including the day-to-day program manager, consultants, and 
contractors in planning and managing the proposed activities. You and 
any project sponsor will be judged in terms of recent, relevant, and 
successful experience of staff in undertaking eligible program 
activities.
    (b) Your and/or the project sponsor's experience in managing 
complex interdisciplinary programs, especially those involving housing 
and community development programs directly relevant to the work 
activities proposed and carrying out grant management responsibilities.
    (c) If you and/or the project sponsor received funding in previous 
years in the program area for which you seek funding, those past 
experiences will be evaluated in terms of the ability to attain 
demonstrated measurable progress in the implementation of your grant 
awards. Measurable progress is defined as:
    (i) Meeting applicable performance benchmarks in program 
development and operation;
    (ii) Meeting project goals and objectives, such as the HOPWA output 
for the number of homeless persons assisted in comparison to the number 
that was planned at the time of the application;
    (iii) Submitting timely performance reports and other results, such 
as client outcomes in maintaining stable housing, reducing risks of 
homelessness and improving access to care; and
    (iv) Expending prior funding as outlined in the existing HOPWA 
grant agreement with HUD, with no outstanding audit or monitoring 
issues.
    Applicants must receive a minimum of 14 points in Rating Factor 1 
to be eligible for funding under this NOFA. An application that plans 
to use project sponsors but fails to provide information on their 
capacity could not receive the minimum score.

Rating Factor 2: Need/Extent of the Problem (15 Points)

    Address the following factor using not more than five double-spaced 
typed pages or similar chart or table. Up to 15 points will be awarded 
for this factor.
    a. AIDS Cases (5 points). You must define your planned service 
area. HUD will obtain AIDS surveillance information pertinent to that 
area from the Director of the Centers for Disease Control and 
Prevention. Up to five points will then be awarded based on the 
relative numbers of AIDS cases and per capita AIDS incidence within 
your service area, in metropolitan areas of over 500,000 population and 
in areas of a state outside of these metropolitan areas, in the state 
for proposals involving state-wide activities, and in the nation for 
proposals involving nationwide activities.
    b. Description of Unmet Housing Need (10 points). Up to ten points 
will be awarded based on demonstration of need for funding eligible 
housing activities in the area to be served. To receive the maximum 
points, demonstrate that substantial housing and related service needs 
of eligible persons and/or the target population, as outlined in 
Section V.A.1.b., are not being met in the project area and that 
reliable statistics and data sources (e.g., Census, health department 
statistics, research, scientific studies, and Needs Analysis of 
Consolidated Plan and/or Continuum of Care documentation) show this 
unmet need. To receive the maximum points, show that specific elements 
of your jurisdiction's Consolidated Plan and Analysis of Impediments to 
Fair Housing Choice, Continuum of Care Homeless Assistance plans (if 
homeless persons are to be served), and comprehensive HIV/AIDS housing 
plans are applicable to your project, and identify the level of the 
problem and the urgency of the need. A Consolidated Plan certification 
alone is not sufficient to demonstrate need for the project as 
established under this criterion.
    (1) If you apply for a SPNS grant, you must describe a housing need 
that is not currently addressed by other projects or programs in the 
area, including reference to the area's existing HOPWA programs. You 
must further describe how the planned activity will complement these in 
a manner that is consistent with the community's plan for a 
comprehensive and coordinated approach to housing needs of persons 
living with HIV/AIDS that establishes stable housing for clients and 
helps foster greater self sufficiency and independence. Also, describe 
any unresolved or emerging issues and the need to provide new or 
alternative forms of assistance that, if provided, would enhance your 
area's programs for housing and related care for persons living with 
HIV/AIDS and their families. You must also describe how your project 
will enhance the community's Consolidated Plan strategies for providing 
affordable housing and access to related mainstream services to HOPWA-
eligible persons; or
    (2) If you apply as a long-term project that will operate in a non-
formula area or balance-of-state area, you must describe the housing 
need that is not currently addressed by other projects or programs in 
the area including any HOPWA competitive grants or other HIV/AIDS 
housing projects and how the planned activity will complement these in 
a manner that is consistent with the community's plan for a 
comprehensive and coordinated approach to housing needs of persons 
living with HIV/AIDS. You must also describe any unresolved or emerging 
issues and/or the need to provide forms of assistance that enhances the 
community's strategy for providing housing and related services to 
eligible persons.
    HUD will evaluate your presentation of statistics and data sources 
based on soundness, reliability, and the specificity of information to 
the target population and the area to be served. If you propose to 
serve a subpopulation of eligible persons on the basis that these 
persons have been traditionally and are currently underserved (e.g., 
HOPWA eligible persons who are chronically homeless), your application 
must demonstrate the need for this targeted effort through statistics 
and data sources that support the need of this population in your 
service area. Programs may serve a qualified subpopulation of persons 
with AIDS based on the presence of another disability or group of 
disabilities, only if doing so is necessary to provide this 
subpopulation with housing, benefits, aid, or services as effective as 
that provided to others. See 24 CFR 8.4(b)(1)(iv).

Rating Factor 3: Soundness of Approach: Responsiveness, Coordination 
and Public Policy Priorities, and Model Qualities (45 Points)

    Address this factor on not more than ten (10) double-spaced, typed 
pages or similar chart or table. Include the HOPWA Budget forms 
identified in this NOFA. This factor addresses the method by which your 
plan meets your identified needs. HUD will award up to 45 points (15 
for responsiveness, 5 for coordination, 7 for public policy priorities, 
and 18 for model qualities) based on the extent to which your plan 
evidences a sound approach for conducting the HOPWA activities in a 
manner that is responsive to the needs of eligible persons and that 
your plan for project coordination will offer model

[[Page 11671]]

qualities in providing supportive housing opportunities for eligible 
persons with access to mainstream health and human welfare services, 
when compared to other applications and projects funded under previous 
HOPWA competitions.
    a. Responsiveness, Coordination, and Public Policy Priorities (27 
points). HUD will award up to 27 points (Responsiveness--15 points and 
Coordination--5 points and Public Policy Priorities--7 points) based on 
how well your project plans respond to the unmet needs in housing and 
related supportive services for the eligible population, including 
target populations outlined under Section V.A.1.b. You should 
demonstrate the extent to which you have coordinated your activities 
and the activities of your project sponsors with other organizations 
that are not directly participating in your proposed work activities. 
This involves organizations with which you share common goals and 
objectives in assisting eligible persons. In order to ensure that 
resources are used to their maximum effect within the community, it is 
important that you demonstrate collaboration and leveraging of other 
resources from state, local, and private funding resources.
    (1) Responsiveness (15 points). To receive the highest rating in 
this element, your application must address:
     The projected number of persons to be served through each 
activity for each year of your program;
     The projected number of housing units, by type, to be 
provided through your project, by year, over a 3-year period; and
     The specific organizations, either through an agreement 
with your organization or through funding from your project, that will 
provide housing, and agreements with organizations that will provide 
mainstream supportive services, or other activities. Include a 
description of the roles and responsibilities of your project sponsors 
and/or other organizations within your project plan and how these will 
be coordinated in conducting eligible activities. To receive the 
maximum points for your project plan, you must explain and describe the 
eligible housing activities you or your project sponsor intend to 
conduct, where these activities will take place (either on-site or at 
another location), and how those activities will benefit eligible 
persons. Please describe:
    (a) Housing Activities. You must demonstrate how the emergency, 
transitional, or permanent housing needs of eligible persons will be 
addressed through one or more of the HOPWA eligible activities and 
through any other resources and how such activities are coordinated 
with other available housing assistance. Your plan for housing 
assistance must include:
    (i) Access to permanent supportive housing for applicants. In 
proposing a housing project, you must describe how eligible persons 
will access permanent housing and/or use emergency, short-term and 
transitional housing support through your project and through any 
specific commitments with other community housing providers. If your 
project involves some initial emergency or transitional assistance for 
clients, please describe your plans to facilitate the movement of 
eligible persons receiving this emergency or transitional housing 
support to permanent housing or independent living arrangements within 
24 months.
    (ii) Permanent housing placement. If you use funds to help 
beneficiaries secure new housing units, please describe your plans to 
use funds and the related housing outputs for these permanent housing 
placement services (under that budget line item) such as costs for 
first month's rent and security deposits;
    (iii) Description of Housing Site. You must describe any 
appropriate site features including use of universal design, 
accessibility, visitability, and access to other community amenities 
associated with your project.
    (iv) Development and Operations Plan. You must describe a 
development and/or operations plan for the emergency, transitional, or 
permanent housing assistance you are proposing to provide. For rental 
assistance programs, this will include your plan for providing rental 
assistance, proposed housing sites if project-based, and length of stay 
if less than ongoing permanent supportive housing. If you are proposing 
to use HOPWA funds for the acquisition, rehabilitation, or new 
construction of a housing facility, your plan must also document that 
you have secured other funding sources, including plans for 
coordinating the use of other resources that are committed to 
undertaking the development activities. Please identify the planned 
site or structure and describe any progress on securing the identified 
project site(s) or structure(s), to demonstrate that the development 
activities will be undertaken consistent with the related benchmarks 
for those activities. The project must be cost-effective, including 
costs not deviating substantially from the norm in that locale for the 
type of structure or kind of activity. The highest rated projects 
involving development costs will demonstrate that HOPWA funds will not 
be used as the initial or sole funding source for capital development 
housing projects and significant progress has been made to identify and 
secure the proposed project site or structure.
    (v) Operational Procedures. Describe your outreach, intake, 
engagement and assessment procedures, as well as how eligible persons 
will receive housing support with access to medical care and other 
supportive services provided by other organizations. Describe the use 
of housing being funded from other sources, and how your project 
provides for ongoing assessments of the housing service benefits 
received by eligible persons. Include a description of how a client 
moves through the housing program from outreach, intake, client 
assessment, the delivery of housing services, the use of emergency, 
transitional, or permanent housing, and when appropriate, the 
outplacement to more self-sufficient independent housing. If persons 
who are homeless are to be assisted, including persons who are 
chronically homeless, describe the housing activities and necessary 
support to identify, prioritize and respond to their supportive housing 
needs in coordination with other area assistance for persons who are 
homeless. Also address the number of permanent housing beds for the 
chronically homeless that would become available for occupancy during 
each of your project operating years.
    (b) Supportive Service Activities. You must describe how you will 
address the supportive service needs of eligible persons with HOPWA 
assistance (subject to applicable limitations) and the use of any 
additional leveraged resources by describing the type of supportive 
services that will be offered directly by the program and/or how 
agreements and project plans will assure that services will be accessed 
and coordinated from other mainstream health and human welfare sources. 
Explain the connection of these services in helping eligible persons 
obtain and/or maintain stable housing. Supportive service costs may 
represent no more than 35 percent of your proposed budget for program 
activities. In describing your supportive services delivery plan 
explain:
    (i) How agreements provide that eligible persons will have access 
to mainstream programs that offer health care and other supportive 
services;
    (ii) How project plans ensure that eligible persons will 
participate in decision-making in the project operations and 
management; and
    (iii) Your plan for delivering supportive services through a 
comprehensive plan that shows how

[[Page 11672]]

agreements provide that eligible persons access medical care and other 
mainstream supportive services to address their needs.
    (c) Additional HOPWA Activities. You must describe your plan for 
utilizing other requested HOPWA funds (described at 24 CFR 574.300(b)). 
Explain how these activities will be integrated into your overall plan 
in the provision of housing and related supportive services to eligible 
persons.
    (d) Other Approvable Activities. As authorized by statute, HUD may 
approve other activities that are in addition to the activities at 24 
CFR 574.300(b). You may propose other activities in your application, 
which can be undertaken only if approved by HUD due to their relevance 
in addressing the housing needs of eligible persons. You must describe 
the reason for the need to request authorization for ``other 
activities'' and the benefits likely to occur if the activities are 
authorized. Also, address how the project would operate, or not, if 
such request were not approved.
    (2) Coordination (5 points). You should demonstrate the extent to 
which you have coordinated your planned application activities and the 
activities of your project sponsors with other organizations that are 
not directly participating in your proposed work activities. This 
involves organizations for which you share common goals and objectives. 
You may provide information on your primary decision-making group in 
providing leadership to your efforts as well as other organizations 
participating in planning activities, such as committees, workgroups, 
public meetings, forums etc. and the frequency of meetings. You will be 
rated on the extent to which you demonstrate you have:
    (a) Coordinated your proposed application activities with those of 
other groups or organizations within the community or region prior to 
submission, to best complement, support, and coordinate all housing and 
supportive service activities including specific reference to how the 
proposal is coordinated with existing HOPWA programs in that area 
(formula and competitive) and how the planned efforts complement the 
existing programs;
    (b) Developed your project through consultation with other 
stakeholders, such as organizations, groups, or consumers involved with 
area HIV/AIDS housing and service planning, including planning under 
the Ryan White CARE Act and other federal planning. The highest rated 
applications will demonstrate that the project is closely and fully 
integrated with HUD's planning processes, such as the jurisdiction's 
Consolidated Planning process or the community's Continuum of Care 
Homeless Assistance planning process (if homeless persons are to be 
served by proposed activities and related use of Homeless Management 
Information Systems (HMIS) to coordinate benefits for clients);
    (c) Coordinated with other HUD-funded programs outside of the 
Consolidated Planning process; for example, accessing additional 
housing resources through a local public housing authority; and
    (d) Coordinated with mainstream resources including private, other 
public, and mainstream services and housing programs. To achieve the 
maximum points, applicants must evidence explicit agency strategies to 
coordinate client assistance with mainstream health, social service, 
and employment programs for which eligible persons may benefit.
    (3) Public Policy Priorities (7 points). Applications for HOPWA 
funding will receive rating point(s) for each applicable Department 
policy priority initiative addressed through the proposed program 
activities and performance goals and objectives. Applicants must make a 
specific statement on their commitment to address each priority or to 
otherwise demonstrate how these priorities will be addressed:
    (a) In accordance with the General Section, for applicants seeking 
HOPWA funds or uses related leveraged funds for capital development 
activities, including rehabilitation or new construction, for one 
rating point under project soundness of approach, your application 
describes the use of universal design and visitability standards in 
development activities undertaken with HOPWA or leveraged funds and 
incorporate universal design in the construction or rehabilitation of 
housing undertaken with HOPWA funds. Visitability standards allow a 
person with mobility impairments access into the home, but do not 
require that all features be made accessible. Universal design provides 
housing that is usable by all without the need for adaptation or 
specialized design.
    (b) For one rating point under project soundness of approach, your 
application involves participation as the grantee, or as a project 
sponsor(s), by a nonprofit grassroots community-based organization, 
including faith-based organizations, as defined in the General Section.
    (c) For one rating point under project soundness of approach, the 
grantee, or project sponsor(s), commits to promote energy efficiency by 
adopting or following the Energy Star standard in any new construction 
or rehabilitation activity or in maintaining housing or community 
facilities to be undertaken in the proposed project with HOPWA or other 
funds. This would also apply to undertaking 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. The Energy 
Star standard is as defined in the General Section.
    (d) For two rating points under project soundness of approach, your 
application involves a state or local government agency as the grantee, 
or as a project sponsor(s), and that agency completes the regulatory 
barriers policy questionnaire, including providing the required 
documentation, as defined in the General Section.
    (4) Economic Opportunities for Low- and Very-Low Income Persons--
Section 3. For up to two rating points under project soundness of 
approach, your application demonstrates how you are incorporating 
Section 3 principles into your project with goals for expanding 
employment and other opportunities in your service area for Section 3 
residents who are low and very-low income persons, and related business 
concerns, as defined in Section III.C.4 of the General Section,
    b. Model Qualities (18 points). HUD will award up to 18 points 
based on your service delivery plan and how well it will serve as a 
model for a housing project during the operating period. HUD expects 
the proposed project to show exemplary and/or innovative qualities that 
address the ongoing housing needs of eligible persons by establishing 
or maintaining stable housing arrangements by project activities that 
will be undertaken within a replicable operational framework. To 
receive the maximum points, you must offer a housing plan that 
describes the following:
    (1) Policy Priorities. If applicable to your application, describe 
how you will meet the Departmental policy priorities for assisting the 
special population of HOPWA-eligible persons who are chronically 
homeless persons with HIV/AIDS. HUD is encouraging applications that 
strive to create additional models for permanent housing for persons 
living with HIV/AIDS that are experiencing chronic homelessness. 
Applicants addressing this population must work collaboratively with 
the local Continuum of Care plans to create this

[[Page 11673]]

permanent housing for persons living with HIV/AIDS and their families.
    (2) Project Management and Oversight. Describe your method for 
managing and overseeing activities, including those of your 
organization, your project sponsor, and any other organization. 
Identify staff members who are responsible for management and oversight 
of the project and activity implementation and sustainability plans.
    (3) Evaluation Plan. In addition to required HOPWA outputs and 
outcomes your evaluation plan should identify what you are going to 
measure, how you are going to measure it, the steps you have in place 
to make adjustments to your work plan if performance targets are not 
met within established timeframes, and how you plan to share successes 
and lessons learned in undertaking your activities with other 
communities.
    (4) Model Features. Describe how the planned efforts for the type 
of proposed project, Long-term or SPNS, will represent model or 
exemplary qualities in service delivery, management, or other features 
in connection with other HOPWA-funded projects in your community 
including any local assessment of these features. For a Long-term 
project, the features must involve housing activities to be undertaken 
in a non-formula area. A SPNS project must involve a plan and 
commitments to establish or maintain stable housing arrangements by 
showing exemplary and/or innovative qualities. If you propose a new 
program, or an alternative method of meeting the needs of your eligible 
population, describe how the innovative qualities of your activities 
will result in knowledge gained or lessons learned for achieving 
greater housing opportunities and supportive services for persons 
living with HIV/AIDS. HUD will rate your application higher if you 
provide strong evidence that your methods will yield qualities that 
will benefit or expand knowledge in serving eligible persons, when 
compared to other applications and HOPWA projects. To learn about 
qualities of previously funded and ongoing HOPWA projects, you may 
review the HOPWA Executive Summaries for HOPWA grantees at http://www.hud.gov/offices/cpd/aidshousing.
    (5) Model Descriptive Budget. HUD will review your budget under the 
HOPWA budget form (HUD-40110-B) in describing:
    (a) How each amount of requested funding for you and your project 
sponsors will be used and the related use of leveraged resources;
    (b) How each line item will relate to your description of planned 
eligible HOPWA activities; and
    (c) The clarity and completeness of your summary statement of the 
planned activities for your project by budget line item and the use of 
any leveraged funds or other resources by the grantee and sponsor(s).
    You must complete the HOPWA Project Budget Form as described above.

Rating Factor 4: Leverage and Sustainability (10 Points) (Minimum for 
Funding Eligibility 1 Point)

    This factor addresses your ability to secure community resources 
that can be combined with HUD's funds to achieve program purposes and 
to ensure sustainability of the housing efforts. HUD will award up to 
10 points based on the extent to which resources from other state, 
local, federal, or private resources are listed with the required 
elements to demonstrate that these funds are committed at the time of 
application to support and sustain your project. To receive the highest 
leveraging points based on the amount of commitments, up to 8 points, 
you must provide information on the commitment of other resources that 
at least equal the amount of the HOPWA request for program activities 
(not including administrative costs) as part of your plan to operate 
this project over the next 3 year period. Applications must receive a 
minimum of 1 point in this Rating Factor to demonstrate the commitment 
of other resources to be eligible for funding under this NOFA with the 
standards described in Section IV (B)4 on Leveraging. Applicants will 
be awarded points based on the content of a list or chart for the 
commitments with the following information: the name and address of the 
organization(s) providing the commitment(s) (note if the organization 
will serve as a project sponsor); the type of commitment (applicant or 
third party cash resources, non-cash resources, volunteer time, 
contribution of a building, contribution of lease hold interest); the 
dollar value of the commitment; the date of the commitment letter or 
other document; the source of the funding, such as federal, state, 
local, private or in-kind contributions; and the organization's 
authorized representative's name, title, and contact information who 
has made this commitment. For up to two additional points, the 
application must address the project's sustainability as shown in a 
plan for obtaining and coordinating identified resources to be more 
financially self-sustaining. The highest rated plan will show how the 
project will decrease dependency on federal funding at the end of the 
operating period and rely more on state, local, and private funding to 
continue support for beneficiaries.

Factor 5: Achieving Results and Program Evaluation (Maximum 10 points)

    Address this factor in your Logic Model (and optionally in a 
supplemental related narrative if performance elements are added to 
those available on this form) on not more than three additional double-
spaced, typed pages or similar chart or table. Under this factor, HUD 
will award 10 points based on how well your application demonstrates a 
commitment to ensuring that the goals that you set forth and your 
performance will be assessed in a clear and effective manner. HUD will 
analyze how well you have clearly implemented the required HOPWA 
program output and outcome goals and identified other stated benefits 
or outcomes of your program including your activities, benchmarks, and 
interim activities or performance indicators with timelines. HUD will 
award the highest points to applications that demonstrate an evaluation 
plan that will objectively measure actual achievements against 
anticipated achievements.
    The highest-rated applications will have a clear plan to address 
the HOPWA client outcome goals increase the amount of housing 
assistance provided to eligible persons, to establish or maintain 
housing stability, reduce the risks of homelessness for eligible 
persons, and improve access to health care and other support. The 
application may also optionally address other related indicators of 
relevant outcomes.
    The highest rated applications will also have a clear plan to use 
the HOPWA housing output measures--the projected number of households 
to be assisted in HOPWA-supported housing units by type (tenant-based 
rental assistance, STRMU payments and assistance in housing facilities) 
to be provided to eligible households through your project during each 
project-operating year. The application may also optionally address 
other related outputs. Your application must include the Logic Model 
form (HUD-96010) to receive any points under this factor.

B. Reviews and Selection Process

1. HOPWA Project Applications
    a. Threshold Reviews. HUD will review your HOPWA application to 
ensure that it meets the threshold requirements found in the General 
Section and Section III.C of this NOFA

[[Page 11674]]

pertaining to a request for a Long-term project or an SPNS project.
    b. HUD Reviews. HUD staff will conduct this review, including HUD 
staff from Community Planning and Development (CPD) at Headquarters and 
HUD's state and area field offices.
    c. Procedures for the Rating and Selection of Applications. HUD 
will rate all HOPWA applications based on the factors listed above. The 
points awarded for the factors total 100. In addition, HUD will award 
two bonus points to each application that includes a valid form HUD-
2990 certifying that the proposed activities/projects in the 
application are consistent with the strategic plan for an empowerment 
zone (EZ) designated by HUD or the United States Department of 
Agriculture (USDA), the tax incentive utilization plan for an urban or 
rural renewal community designated by HUD (RC), or the strategic plan 
for an enterprise community designated in Round II by USDA (EC-II) and 
that the proposed activities/projects will be located within the RC/EZ/
EC-II identified above and are intended to serve the residents. A 
listing of the RC/EZ/EC-IIs is available on the Internet at http://www.hud.gov/offices/cpd/economicdevelopment/programs/rc/tour/roundnumber.cfm. This notice contains the certification form HUD-2990 
that must be completed for the applicant to be considered for RC/EZ/EC-
II bonus points. Whether your HOPWA application is conditionally 
selected will depend on your overall ranking compared to other 
applications within each of the two categories of assistance, long-term 
projects or SPNS projects, and the amount of funds that are available 
to be awarded by this competition. Funds made available from federal 
Fiscal Year 2007 must first be used to fund the priority selection of 
expiring competitive projects that undertake permanent supportive 
housing activities (as a change from prior years, renewal applicants 
are not part of this NOFA process and will be conducted by HUD by a 
separate action). If any such funds remain after renewal actions are 
funded, then the funds will be used under this NOFA competition to fund 
additional projects. HUD will select applications in rank order in each 
category of assistance (Long-term and SPNS) to the extent that funds 
are available, except as outlined in this Program NOFA, where HUD 
reserves the right to select two projects addressing the housing needs 
of persons who are chronically homeless as the target population 
established under program policies. In allocating amounts to the 
categories of assistance, HUD reserves the right to ensure that 
sufficient funds are available for the selection of at least one 
application with the highest ranking under each category of assistance. 
HUD will not select an application that is rated below 75 points, nor 
will an application be funded if it receives a Rating Factor 1--
Capacity score lower than 14 points or Rating Factor 4--Leveraging 
score lower than 1 point.
    In the event of a tie between applications in a category of 
assistance, HUD reserves the right to break the tie by selecting the 
proposal that was scored higher on a rating criterion in the following 
order: Rating Factor 3; Rating Factor 5; Rating Factor 1; Rating Factor 
2; and Rating Factor 4.

C. Anticipated Announcement and Award Dates

    The anticipated announcement of the projects selected under this 
notice is no later than August 31, 2007.

VI. Award Administration Information

A. Award Notices

    1. Applicant Notification. HUD will notify the eligible applicants 
of their conditional selection or rejection for awards by e-mail or by 
a letter to be mailed to the applicant's authorized official at the 
address or e-mail address provided in your application. For 
conditionally selected applicants, the CPD Division of HUD's state or 
area office will provide a second letter with a copy of a proposed 
grant agreement along with instructions on any adjustments to the grant 
amount requested and other conditions identified during the review for 
conducting planned activities and on the close out of the current 
grant.
    2. Award Modifications. After reviewing each application, HUD 
reserves the right to take each of the following actions:
    a. HUD reserves the right to make award adjustments as outlined in 
Section VI.A.2, Adjustments to Funding, of the General Section.
    b. In the event that a conditionally selected applicant is unable 
to meet any conditions for funding within the specified time, HUD 
reserves the right not to make an award to that applicant. In the event 
that a conditionally selected applicant is continuing to operate under 
the prior grant, and has sufficient funds to continue current 
operations for at least six months following the date of notification 
of selection, HUD may take any of the following actions: (i) Follow 
procedures to terminate the prior grant and recapture remaining funds 
after this date, consistent with the terms of the applicable grant 
agreement and 24 CFR 574.500(c); or (ii) adjust the amount of the new 
award by the amount of funds remaining after this date in the prior 
grant.
    c. In making an award to the final selected project (by order of 
ranking), HUD may offer less than the full amount requested by an 
applicant that had received sufficient points to be selected, but for 
which there are insufficient funds remaining to provide the full 
funding request. HUD may also use funds from an award reduced under 
item b, above, to restore amounts to a funding request that had been 
reduced in this competition due to the application's lower rating 
status;
    d. If an applicant turns down an award, an award is not made, or if 
there are sufficient award adjustments to make additional awards 
feasible, HUD reserves the right to: (a) offer an award to the next 
highest rated application(s) in this competition in their ranked order; 
(b) add remaining or recaptured amounts to the funds that become 
available for a future competition; or (c) restore amounts to a funding 
request that had been reduced in this competition.
    3. Applicant Debriefing. Applicants requesting to be debriefed must 
send a written request to: Department of Housing and Urban Development; 
Attention: Office of HIV/AIDS Housing; 451 Seventh Street, SW., Room 
7212; Washington, DC 20401-7000. Telephone number is (202) 708-1934. 
Persons with hearing or speech challenges may access the above number 
via TTY (text telephone) by calling the Federal Information Relay 
Service at 800-877-8339 (this is a toll-free number). Additional 
information regarding debriefing can be found in the General Section.

B. Administrative and National Policy Requirements

    1. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Toward Government Contractors' Labor Relations on 
Federal and Federally Funded Contract Projects. See the General Section 
for the information on how to meet this requirement.
    2. Procurement of Recovered Materials. See the General Section for 
the information on how to meet this requirement.

C. Reporting

    1. Six-Month Report. For any new project (i.e., a conditionally 
selected applicant that has not previously received a HOPWA competitive 
grant), you must provide an initial report to the

[[Page 11675]]

field office and HUD Headquarters on the startup of the planned 
activities within six months of your selection. Your report must 
outline your accomplishments and identify any barriers or issues for 
which the Department may provide assistance on the start-up on your new 
award.
    2. Measuring Performance. You must report after each year of 
operation on the annual accomplishments of your projects under the 
HOPWA annual progress report (form HUD-40110-B), comparing your results 
to proposed plans, including reporting under the required HOPWA 
Performance Goals including reporting on annual housing outputs and 
client outcomes in achieving housing stability, reduced risks of 
homelessness, and improved access to health care and other needed 
support. For each reporting period, you must provide a completed Logic 
Model showing progress to date against projected outputs and outcomes 
contained in your approved grant agreement. In addition, on an annual 
basis, you must respond to the management questions in the Program 
Logic Model found as an appendix to this program Section. HUD will use 
these reports and information obtained from HUD financial systems, 
along with any remote or on-site monitoring, to measure your progress 
and achievements in evaluating your performance on your HOPWA grant.
    3. Beneficiary Information. HUD requires that funded recipients 
collect racial and ethnic beneficiary data. It has adopted the Office 
of Management and Budget's (OMB) Standards for the collection of Racial 
and Ethnic Data. In view of these requirements, you should use one of 
the following:
     HUD-27061, Racial and Ethnic Data Reporting Form 
(instructions for its use) found on www.HUDclips.org;
     A comparable program form (HOPWA--Annual Progress Report 
(APR) form HUD-40110-C); or
     A comparable electronic data system for this purpose.

VII. Agency Contacts

    A. For Further Information and Technical Assistance (TA). For 
technical assistance in downloading an application package from 
Grants.gov/Apply, contact the Grant.gov help desk at 800-518-Grants or 
send an e-mail to [email protected]. For programmatic information, you 
may contact the HUD field office serving your area. You can find the 
telephone number for the State or Area Office of Community Planning and 
Development on HUD's Web site at: www.hud.gov/offices/adm/grants/ 
fundsavail.cfm. HUD staff can assist with program questions, but may 
not assist in preparing your application. Persons with hearing or 
speech impairments may access the above number via TTY (text telephone) 
by calling the toll-free Federal Information Relay Service at 800-877-
8339.
    B. Seeking Technical Assistance (TA) in Developing a HOPWA 
Application. HOPWA TA providers may not provide technical assistance in 
the drafting of responses to HUD's NOFA due to the unfair advantage 
such assistance gives to one organization over another. If HUD 
determines that HOPWA technical assistance has been used to draft a 
HOPWA application, HUD reserves that right to reject the application 
for funding. If, after your application has been selected for an award, 
HUD determines that HOPWA technical assistance was used to draft your 
application, the award will be withdrawn and you may be liable to 
return to HUD any funds already spent.
    C. Satellite Broadcast. HUD will hold information broadcasts via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD Web site at 
www.hud.gov/grants.

VIII. Other Information

    Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by OMB under the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB 
control number 2506-0133. In accordance with the Paperwork Reduction 
Act, HUD may not conduct or sponsor, and a person is not required to 
respond to, a collection of information unless the collection displays 
a currently valid OMB control number. Public reporting burden for the 
collection of information is estimated to average 413 hours per annum 
per respondent for the application and grant administration. This 
includes the time collecting, reviewing, and reporting the data for the 
application, semi-annual reports, and final report. The information 
will be used for grantee selection and monitoring the administration of 
funds. Response to this request for information is required in order to 
receive the benefits to be derived.

[[Page 11676]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.023


[[Page 11677]]



Assisted Living Conversion Program (ALCP) for Eligible Multifamily 
Housing Projects

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of the Assistant Secretary for Housing-Federal 
Housing Commissioner.
    B. Funding Opportunity Title: The Assisted Living Conversion 
Program for Eligible Multifamily Projects.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The OMB Approval Number is: 2502-
0542. The Federal Register number for this NOFA is FR-5100-N-28.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: The 
Assisted Living Conversion Program for Eligible Multifamily Housing 
Projects is 14.314.
    F. Dates: Applications must be received and validated by Grants.gov 
no later than 11:59:59 p.m. Eastern Time on June 7, 2007. See the 
General Section for specific instructions regarding application 
submission.
    G. Optional, Additional Overview Content Information: The purpose 
of this program is to provide grants for the conversion of some or all 
of the dwelling units in an eligible project into assisted living 
facilities (ALFs) for frail elderly persons. Private nonprofit owners 
of eligible developments interested in applying for funding under this 
grant program should carefully review the General Section and the 
detailed information listed in this NOFA. Funding will only be provided 
for those items related to the conversion.
    The ALCP will fund those applications that may impact federal 
problem solving and policymaking and that are relevant to HUD's policy 
priorities and annual goals and objectives. Refer to the General 
Section for discussion of these priorities and annual goals and 
objectives.

Full Text of Announcement

I. Funding Opportunity Description

    A. Program Description. Assisted living facilities (ALFs) are 
designed to accommodate frail elderly persons and people with 
disabilities who need certain support services (e.g., assistance with 
eating, bathing, grooming, dressing, and home management activities). 
ALFs must provide support services such as personal care, 
transportation, meals, housekeeping, and laundry. Frail elderly person 
means an individual 62 years of age or older who is unable to perform 
at least three activities of daily living (ADLs) as defined by the 
regulations for HUD's Section 202 Program (Supportive Housing for the 
Elderly) at 24 CFR 891.205. Assisted living is defined in section 
232(b)(6) of the National Housing Act (12 U.S.C. 1715w).
    The ALCP provides funding for the physical costs of converting some 
or all of the units of an eligible multifamily development into an ALF, 
including unit configuration and related common and services space and 
any necessary remodeling, consistent with HUD or the state's statute/
regulations (whichever is more stringent). Typical funding will cover 
basic physical conversion of existing project units, as well as related 
common and services space. There must be sufficient community space to 
accommodate a central kitchen or dining facility, lounges, recreation, 
and other multiple-areas available to all residents of the project, 
and/or office/staff spaces in the ALF. When food is prepared at an off-
site location, the preparation area of the facility must be of 
sufficient size to allow for the installation of a full kitchen, if 
necessary. You must provide supportive services for the residents 
either directly or through a third party. Your application must include 
a firm commitment for the supportive services to be offered within the 
ALF. You may charge assisted living residents for meals and/or service 
fees. Residents may contract with third party agencies directly for 
nursing, therapy, or other services not offered by the ALF.
    B. Authority. The Assisted Living Conversion Program is authorized 
by Section 202b of the Housing Act of 1959 (12 U.S.C. 1701q-2) and the 
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5, 
approved February 15, 2007) which provides $24.8 for the conversion of 
eligible projects to assisted-living or related use and for emergency 
repairs, and the government-wide rescissions pursuant to the Department 
of Defense Appropriations Act.

II. Award Information

    A. Available Funds. This NOFA makes available approximately $30 
million including carryover funds. The funds will be used for the 
physical conversion of eligible multifamily assisted housing projects 
or portions of projects to ALFs.
    Under the ALCP, the 18 HUD Multifamily Hubs are grouped into four 
geographical areas so that the amount of fair-shared grant funds will 
be sufficient to enable reasonable competition, and insure projects of 
feasible size and quality. The four geographical areas and the lead Hub 
under the ALCP for each are:
    The lead Hub for the East Geographic Area is Buffalo (the other 
Hubs which feed into Buffalo for the ALCP are Boston, New York, 
Philadelphia and Baltimore).
    The lead Hub for the South Geographic Area is Fort Worth (the other 
Hubs which feed into Fort Worth for the ALCP are Greensboro, 
Jacksonville, and Atlanta).
    The lead Hub for the Central Geographic Area is Kansas City (the 
other Hubs which feed into Kansas City for the ALCP are Chicago, 
Columbus, Detroit, and Minneapolis).
    The lead Hub for the West Geographic Area is San Francisco (the 
other Hubs which feed into San Francisco for the ALCP are Seattle, Los 
Angeles, and Denver).
    The allocation formula used to fair share the $30 million for the 
ALCP reflects demographic characteristics of age and incidence of 
frailty that would be expected for program participants. The FY2007 
formula consists of one data element from the 2000 decennial census: 
The number of non-institutional elderly population aged 75 years or 
older with a disability. A fair share factor for each state was 
developed by taking the sum of the persons aged 75 or older with a 
disability within each state as a percentage of the sum of the same 
number of persons for the total United States. The resulting percentage 
for each state was then adjusted to reflect the relative difference in 
the cost of providing housing among the states. The total of the grant 
funds available was multiplied by the adjusted fair share percentage 
for each state, and the resulting funds for each state were totaled for 
each Hub.
    The ALCP grant funds fair share allocations, based on the formula 
above, for the four geographical areas are as shown on the following 
chart:

B. FY 2007 Allocation

 FY 2007 Allocation for the Assisted Living Conversion Program (ALCP) of
                 Eligible Assisted Multifamily Projects
------------------------------------------------------------------------
                                                                Grant
                            Area                              authority
------------------------------------------------------------------------
East.......................................................   $7,530,990
South......................................................    9,504,338
Central....................................................    7,043,100
West.......................................................    5,921,572
                                                            ------------
    Total..................................................   30,000,000
------------------------------------------------------------------------


[[Page 11678]]

    The ALCP Grant Agreement, when fully executed, obligates the HUD 
funds. This Agreement establishes the legal relationship between HUD 
and the ALCP award recipient. The period of performance will be based 
on the scope of work but shall not exceed 18 months.

III. Eligibility Information

    A. Eligible Applicants. Only private nonprofit owners of eligible 
multifamily assisted housing developments specified in section 
683(2)(B), (C), (D), (E), (F), and (G) of the Housing and Community 
Development Act of 1992 (Pub. L. 102-550, approved October 28, 1992) 
may apply for an ALCP grant.

    Note: If your eligibility status changes during the course of 
the grant term, making you ineligible to receive the grant (e.g., 
prepayment of mortgage, sale/TPA of property, opting out of a 
Section 8 Housing Assistance Payment (HAP) contract, or the transfer 
of the grant to a single asset entity), HUD retains the right to 
terminate the grant and recover funds made available through this 
NOFA.

    1. Ineligible Applicants. Ineligible applicants are:
    a. Owners of developments designed specifically for people with 
disabilities.
    b. Owners of Section 232 developments.
    c. Property management companies and agents of property management 
companies.
    d. Limited dividend partnerships.
    e. Nonprofit Public Agencies.
    f. Owners of hospitals or other health-related facility which are 
considered to be eleemosynary institutions.
    g. Owner of an existing insured or privately owned Assisted Living 
Facility.
    h. Owners of commercial structures.
    2. Eligible Developments. Eligible projects must be owned by a 
private, nonprofit entity and designated primarily for occupancy by 
elderly persons. Projects must have been in occupancy for at least five 
years from the date the form HUD-92485, Permission to Occupy Project 
Mortgage, was approved by HUD and have completed final closing. 
Eligible projects may only receive one grant award. Additionally, 
eligible projects must meet one of the following criteria:
    a. Section 202 direct loan projects with or without Section 8 
rental assistance,
    b. Section 202 capital advance projects receiving rental assistance 
under their Project Rental Assistance Contract (PRAC),
    c. Section 515 rural housing projects receiving Section 8 rental 
assistance,
    d. Other projects receiving Section 8 project-based rental 
assistance,
    e. Projects subsidized with Section 221(d)(3) below-market interest 
mortgage,
    f. Projects assisted under Section 236 of the National Housing Act.
    B. Cost Sharing or Matching. No matching required.

C. Eligibility Requirements

    1. Eligible conversion activities are:
     a. Retrofitting to meet Section 504 accessibility requirements, 
minimum property standards for accessibility and/or building codes and 
health and safety standards for ALFs in that jurisdiction. Examples are 
items such as addition of:
    (1) Upgrading to accessible units for the ALF with moveable 
cabinetry, accessible appliances, sinks, bathroom and kitchen fixtures, 
closets, hardware and grab bars, widening of doors, etc.;
    (2) An elevator or upgrades thereto;
    (3) Lighting upgrades;
    (4) Major physical or mechanical systems of projects necessary to 
meet local code or assisted living requirements;
    (5) Sprinkler systems;
    (6) Upgrades to safety and emergency alert systems;
    (7) Addition of hallway railings; and
    (8) Medication storage and workstations.
    b. Retrofitting to add, modify and/or outfit common space, office 
or related space for ALF staff including a service coordinator and file 
security, and/or a central kitchen/dining facility to support the ALF 
function (e.g., outfit lounge/common space/dining furniture, kitchen 
equipment for cooking/serving and dishware).
    c. Retrofitting to upgrade a regular unit to an accessible unit for 
a person/family with disabilities who is being displaced from an 
accessible unit in the portion of the project that is being converted 
to the ALF, where another accessible unit is not available.
    d. Temporary relocation.
    e. Consultant, architectural, and legal fees.
    f. Vacancy payments limited to 30 days after conversion to an ALF.
    g. Any excess Residual Receipts (over $500/unit) and Reserve for 
Replacement funds (over $1000/unit) in Project Accounts that are not 
approved for another use at the time of application to HUD under this 
NOFA are considered available funds and must be applied toward the cost 
of conversion activities. Before making this determination, however, 
HUD staff will consider the extent of repair/replacement needs 
indicated in the most recent Real Estate Assessment Center (REAC) 
physical inspection and not yet approved and any ongoing commitments 
such as non-grant-based service coordinator or other funding, where 
existing, deduct the estimated costs of such items from the reserve for 
replacement and residual receipts balances to determine the extent of 
available residual receipts and reserve for replacement funds for the 
ALCP.
    2. Threshold Requirements. In addition to the threshold criteria 
outlined in the General Section, applicants must meet the following 
requirements to receive funding for this program.
    a. Be an eligible applicant.
    b. DUNS Requirement. All ALCP applicants must have a DUN and 
Bradstreet Universal Data Numbering Systems (DUNS) number. The DUNS 
number must be included in the data entry field labeled 
``organizational DUNS'' on the form SF-424. Instructions for obtaining 
a DUNS number can be found at either www.hud.gov/offices/adm/grants/duns.cfm or http://www.grants.gov/applicants/request_duns_number.jsp.
    c. You cannot request more funds than allocated for your 
geographical area. (See the allocation chart above in Section II.B.)
    d. You must provide commitment and funding support letters from the 
appropriate funding organizations and the appropriate licensing 
agency(ies). HUD will reject your application if the commitment and 
support letter(s) from the appropriate funding organizations and the 
appropriate licensing agency(ies):
    (1) Are not submitted by the application submission date as part of 
your application for financial assistance;
    (2) Indicate that the ALF units, facilities, meals and supportive 
services to be provided are not designed to meet the special needs of 
the residents who will reside in the ALF as defined in this NOFA,
    (3) Do not show commitment for funding the meals and supportive 
services proposed; or
    (4) Indicate that the project as proposed will not meet the 
licensing requirements of the appropriate state/local agency(ies).
    e. You must comply with all applicable statutory requirements 
specified in Section 202b and statutory requirements under Section 
232(b)(6).
    f. Minimum Size Limits for an ALF. An ALF must be economically 
feasible. Consistent with HUD Handbook 4600.1, CHG-1, the minimum size 
for an ALF is five units.
    g. You must submit the required number of copies of your completed 
ALCP application by the deadline date, if you requested and received a 
waiver

[[Page 11679]]

of the electronic submission requirement. The notification granting 
your waiver request will specify requirements for paper application 
submission, including the required number of copies and where to submit 
the application.
    h. If you submit a substantially deficient application, that is, an 
application missing six or more exhibits, the application will be 
considered non-responsive to the NOFA, thus leaving your application 
ineligible for review. Refer to Section IV.B, Content and Form of 
Application Submission for further information.
3. Program Requirements
    a. You must have a residual receipts account separate from the 
Reserve for Replacement account, or agree to establish this account as 
a condition for getting an award(s).
    b. You must be in compliance with your Loan Agreement, Capital 
Advance Agreement, Regulatory Agreement, Housing Assistance Payment 
contract, Project Rental Assistance Contract, Rent Supplement or Loan 
Management Set-Aside (LMSA) contract, or any other HUD grant or 
contract document.
    c. If selected, you must file a form HUD-2530 for all construction 
contractors, architects, consultants, and service provider 
organizations under direct contract with you that will be engaged under 
this NOFA within 30 days of execution of the grant award.
    d. Your project must meet HUD's Uniform Physical Conditions 
Standards at 24 CFR part 5, subpart G. Meeting these standards, based 
on the most recent REAC physical inspection report and responses 
thereto, means that the project, must have a ``satisfactory'' rating as 
evidenced by a score of 60 or better or a HUD-approved and on schedule 
repair plan for developments scoring less than 60. Additionally, the 
project must have no uncorrected and outstanding Exigent Health and 
Safety violations. Finally, the project must not have a management 
review with a rating of ``minimally satisfactory'' or 
``unsatisfactory'' with open and unresolved findings.
    e. You must submit, with your application, an agreement to pursue 
appropriate ALF licensing in a timely manner.
    f. Meals and Supportive Services. You must develop and submit a 
Supportive Services Plan (SSP) for the services and coordination of the 
supportive services, which will be offered in the ALF to the 
appropriate state or local organization(s), which are expected to fund 
those supportive services. (See Section IV.B. below for information, 
which must be in the SSP.) You must submit one copy of your SSP to each 
appropriate state or local service funding organizations well in 
advance of the application deadline, for appropriate review. The state 
or local funding organization(s) must return the SSP to you with 
appropriate comments and an indication of the funding commitment, which 
you will then include with the application you submit to HUD.
    g. Licensing Requirements. You must ALSO submit the SSP to the 
appropriate organization(s), which license(s) ALFs in your 
jurisdiction. The licensing agency(ies) must approve your plan, and 
must also certify that the ALF and the proposed supportive services 
identified in your SSP, are consistent with local statute and 
regulations and well designed to serve the needs of the frail elderly 
and people with disabilities who will reside in the ALF portion of your 
project.
    h. Your ALF must be licensed and regulated by the state (or if 
there is no state law providing such licensing and regulation, by the 
municipality or other subdivision in which the facility is located). 
Each assisted living unit must include its own kitchen, bathroom, 
bedroom, living/dining area (1 bedroom unit) or kitchen, bathroom, 
bedroom/living/dining area (efficiency unit) and must meet the state 
and/or local licensing, building, zoning, and other requirements for an 
ALF.
    i. Your ALF must be available to qualified elderly persons and 
persons with disabilities, consistent with the rules and payment plans 
of the state, who need and want the supportive services in order to 
remain independent and avoid premature institutionalization.
    j. Your ALF's residents must be tenants or residents of the 
multifamily project and must comply with the requirements applicable to 
the project. Thus, you cannot charge additional rent over what is 
charged to residents in the non-ALF portion of the project. All 
admissions to the ALF must be through the applicable project admissions 
office. However, persons accepted into the ALF also must sign an ALF 
admissions agreement, which shall be an addendum to the applicable 
project lease.
    k. At a minimum, your ALF must provide room, board, and continuous 
protective oversight (CPO). CPO involves a range of activities and 
services that may include such things as awareness by management and 
staff of the occupant's condition and location as well as an ability to 
intervene in a crisis for ALF occupants on a 24-hour basis. The two 
occupant groups in an ALF are:
    (1) Independent Occupants. Awareness by management and staff of the 
occupant's condition and whereabouts as well as the availability of 
assistance for the occupants as needed.
    (2) Dependent occupants. Supervision of nutrition, assistance with 
medication and continuous responsibility for the occupants' welfare.
    l. Anyone moving into an ALF unit must agree to accept as a 
condition of occupancy the board and services required for the purpose 
of complying with state and local law and regulation.
    m. Your ALF must provide three meals per day.
    (1) Residents whose apartments have kitchens must take at least the 
number of meals a day provided by the facility, per their mandatory 
meals requirement, or as required by state or local rules, if more 
stringent. If the facility does not have a mandatory meals plan, then 
state and local rules govern.
    (2) Residents in projects which were originally constructed without 
kitchens in their units must take such meals as required by their 
mandatory meals agreement, if applicable, or by the state's mandated 
requirements if more stringent (e.g., two meals, two snacks daily).
    In either case, ALF management must coordinate meal requirements 
with the needs of residents who are out part of the day (e.g., in day 
care). The meal program may not be operated at a profit by the project 
owner.
    n. Priority admissions for ALF units are as follows:
    (1) Current residents desiring an ALF unit and meeting the program 
requirements (no resident can be required to accept an ALF unit).
    (2) Qualified individuals or families needing ALF services who are 
already on the project's waiting list;
    (3) Qualified individuals or families in the community needing ALF 
services wanting to be added to the project's waiting list.
    (4) Qualified disabled non-elderly persons needing assisted living 
services are eligible to occupy these units on the same basis as 
elderly persons, except for section 202 project rental assistance 
contracts (PRAC) projects.
    o. The management of the project must set up a separate waiting 
list for ALF units. ALF units must be for eligible residents who meet 
the admissions/discharge requirements as established for assisted 
living by state and local licensing, or HUD frailty requirements under 
24 CFR 891.205 if more stringent.
    p. Upon receipt of a grant under this program, all project owners

[[Page 11680]]

participating in the ALCP must provide a Declaration of Restrictive 
Covenants (DRC), which will be recorded with the land, to retain the 
low income character of the housing, and to maintain the project 
(including the ALF), as a moderate-, low-, or very low-income facility 
(as appropriate) for at least 20 years beyond the current 40- to 50-
year term of the mortgage loan or capital advance.
    q. The ALCP requires service coordination for linking the ALF to 
available services in the community for low-income persons. All 
projects funded under this NOFA must have sufficient service 
coordination in place, or request additional funds, if appropriate, to 
ensure that services meeting licensing requirements are available to 
ALF residents on an ongoing basis. Service coordination must be 
described in the application (see Section IV.B. of this NOFA). If you 
need to enhance an existing service coordination program or add one 
where it does not exist, you may apply for funding through the Service 
Coordinator NOFA, published elsewhere in the SuperNOFA. If a funds 
request for service coordination for the ALF and/or the whole project 
is included as part of this application, the Form SF-424 under Exhibit 
11, must indicate the dollars requested. Do NOT attach the whole 
service coordinator application. You may also show evidence that 
funding for the enhanced service coordination is provided by other 
sources by indicating such funding on the form SF-424. If you are 
funded under this NOFA and requested new or enhanced service 
coordination you will be funded first under the service coordinator 
NOFA.
    (1) The ALF must be staffed either directly or through coordination 
with local agencies, depending on state regulations or local 
requirements. These may also serve non-ALF residents of the project on 
a time available and appropriate fee basis.
    (2) If you are a Section 202 PRAC project owner, you are NOT 
eligible to request funding under the service coordinator NOFA. Section 
202 PRAC owners can pay for the service coordinator out of PRAC funds.
    (3) The ALF may cater to the special needs of residents depending 
on their condition or diagnosis, such as Alzheimer's disease. If it 
does so, the design/environment of such facilities must accommodate 
those needs, e.g., dementia special care unit. However, the ALF cannot 
provide a service it is not licensed by the state or locality to 
provide.
    (4) Owners of Section 202/PRAC projects are reminded that they may 
include a PRAC payment of up to $15/unit/month not to exceed 15 percent 
of the total program cost, consistent with 24 CFR 891.225(b)(2) to 
cover part of the cost of meals and/or supportive services for frail 
elderly residents, including residents of the ALF.
    (5) Training for ALF staff is an eligible project cost under 
existing operating procedures. For further information on ALFs, please 
refer to Handbook 4600.1, CHG-1, ``Mortgage Insurance for Residential 
Care Facilities,'' Chapter 13. This Handbook and recent ALF program 
Notices are accessible through HUDCLIPS on HUD's Web site at http://www.hudclips.org/cgi/index.cgi. These notices are in the Handbooks and 
Notices--Housing Notices database. Enter only the number without the 
letter prefix (e.g., 99-16) in the ``Document number'' to retrieve the 
program notice.
    For further guidance on service coordinators, please refer to 
Handbook 4381.5 REV-2, CHANGE-2, Chapter 8, ``The Management Agent's 
Handbook,'' which is also available through the HUDCLIPS database.
    r. Your ALF's operation must be part of the project owner's 
management organization. Some or all of its functions may be contracted 
out. The ALF must predicate its budget on a two-tiered structure under 
which board and supportive service income and expenses must be 
maintained separately and independently from the regular income and 
expenses of the applicable project. The two components of ALF costs 
are:
    (1) Charges/payment for board, (not including rent for the unit) 
which may be on a sliding scale or any other equitable fee system; and
    (2) Charges/payment for necessary supportive services, which may 
include a combination of resident fees, Medicaid and/or other third 
party payments.
    s. Prohibition Against Lobbying Activities. The Byrd Amendment 
prohibits ALCP recipients of federal contracts, grants, or loans from 
using appropriated funds for lobbying activities. (Refer to Section 
III.C. of the General Section for further instructions regarding this 
requirement.)
    t. Economic Opportunities for Low and Very Low-Income Persons 
(Section 3). You must comply with Section 3 of the Housing and Urban 
Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for 
Low and Very Low-Income Persons), and implementing regulations at 24 
CFR part 135. You must ensure that training, employment, and other 
economic opportunities shall, to the greatest extent feasible, be 
directed toward low- and very low-income persons, particularly those 
who are recipients of government assistance for housing and to business 
concerns which provide economic opportunities to low- and very low-
income persons and including people with disabilities.
    4. Additional Non-discrimination and Other Requirements. Comply 
with the requirements of the Fair Housing Act, Executive Order 11063, 
Title VI of the Civil Rights Act, the Age Discrimination Act of 1975, 
the affirmative fair housing marketing requirements of 24 CFR part 200, 
subpart M, and the implementing regulations at 24 CFR part 108, which 
requires that the project be marketed to those least likely to apply, 
including those who are not generally served by the agency 
administering the program, and other applicable federal, state, and 
local laws prohibiting discrimination and promoting equal opportunity, 
including affirmatively furthering fair housing, and other 
certifications listed in the application. (Refer to Section III.C. of 
the General Section for additional requirements and information.)
    a. Comply with section 232 of the National Housing Act, as 
applicable; the Uniform Federal Accessibility Standards (24 CFR 40.7); 
section 504 of the Rehabilitation Act of 1973 and HUD's implementing 
regulations at 24 CFR part 8; and the Americans with Disabilities Act 
of 1990 for all portions of the development physically affected by this 
proposal.
    b. Comply with the Davis-Bacon requirements and the Contract Work 
Hours and Safety Standards Act as applied to this program. While it has 
been determined that Davis-Bacon does not apply statutorily to the 
ALCP, the Department has administratively determined that Davis-Bacon 
standards and overtime rates in accordance with the Contract Work Hours 
and Safety Standards Act will be adhered to in any ALCP conversion 
grant in which the total cost of the physical conversion to an ALF (and 
including any additional renovation work undertaken at the same time) 
is $500,000 or more (this includes ALCP grant funds, owner funds, or 
any third party funds loaned or granted in support of the conversion or 
other renovation for the project associated with this grant), AND in 
which the ALF portion of the project is 12 units or more.
    c. Ensuring the Participation of Small Business, Small 
Disadvantaged Businesses, and Woman-Owned Businesses. HUD is committed 
to ensuring that small businesses, small disadvantage businesses, and 
woman-owned businesses participate fully in HUD's direct contracting 
and in contracting opportunities generated by HUD's financial 
assistance. (Refer to the

[[Page 11681]]

General Section for further instructions regarding this requirement.)
    d. Executive Order 13166, Improving Access to Persons with Limited 
English Proficiency (LEP). ALCP applicants must seek to improve access 
to persons with limited English proficiency by providing materials and 
information in languages other than English. Make applications and 
other materials available in languages other than English that are 
common in the community, if speakers of these languages are found in 
significant numbers and come into frequent contact with the program. 
For further guidance on serving persons with Limited English 
Proficiency (LEP) in HUD assisted programs, see HUD's LEP guidance, 
``Notice of Guidance to Federal Assistance Recipients Regarding Title 
VI Prohibition Against National Origin Discrimination Affecting Limited 
English Proficient Persons,'' 72 FR 2732 (January 22, 2007) or see the 
following web site, http://www.lep.gov/recip.html.
    e. Executive Order 13279, Equal Protection of the Laws for Faith-
Based and Community Organizations. HUD has undertaken a review of all 
policies and regulations that have implications for faith-based and 
community organizations, and has established a policy priority to 
provide full and equal access to grassroots faith-based and other 
community-based organizations. (Refer to the General Section for 
specific instructions regarding this requirement.)
    f. Accessible Technology. The Rehabilitation Act Amendments of 1998 
apply to all electronic information technology (EIT) used by an ALCP 
recipient for transmitting, receiving, using, or storing information to 
carry out the responsibilities of the ALCP awards. (Refer to Section 
III.C. of the General Section for specific instructions regarding this 
requirement.)
    g. Participation in HUD-Sponsored Program Evaluation. As a 
condition of the receipt of ALCP funds, successful applicants are 
required to cooperate with all HUD staff or contractors performing HUD-
funded research and evaluation studies.
    h. Comply with Executive Order 13202, Preservation of Open 
Competition and Government Neutrality toward Government Contractors' 
Labor Relations on Federal and Federally Funded Construction Projects. 
(Refer to the General Section for additional information on this 
requirement).
    i. OMB Circulars and Government-wide Regulations Applicable to 
Financial Assistance. ALCP applicants are subject to the Administrative 
Requirements of OMB Circular A-133, Audits of States, Local Governments 
and Non-Profit Organizations; OMB Circular A-122, Cost Principles for 
Non-Profit Institutions; the administrative requirements of 24 CFR Part 
84; and the procurement requirements of 24 CFR 84.44. (Refer to the 
General Section for additional information on this requirement).
    j. Environmental Requirements. Your ALCP application is subject to 
the National Environmental Policy Act of 1969 and applicable related 
federal environmental authorities. (See 24 CFR part 50, as applicable.) 
An environmental review will be completed by HUD before awarding any 
grant under this program. ALCP projects are `critical actions' for 
purposes of 24 CFR part 55 and must comply with requirements applicable 
to `critical actions,' including floodplain management review 
requirements, if proposed to be carried out in the 500-year floodplain.

IV. Application and Submission Information

    A. Addresses to Request Application Package. All information for 
requesting an application is included in this NOFA and Section IV.A. of 
the General Section. The application for the ALCP is available on the 
Internet from the grants.gov Web site at http://www.grants.gov/applicants/apply--for--grants.jsp. If you have difficulty accessing the 
information, you can receive customer support from Grants.gov by 
calling the help line at (800) 518-Grants or by sending an e-mail to 
[email protected]. If you do not have access, you may obtain an ALCP 
application by calling the NOFA Information Center at (voice) 800-HUD-
8929 (800-483-8929). Persons with a hearing or speech impairment access 
this number via TTY by calling the Federal Information Relay Service at 
800-877-8339. Please be sure to provide your name, address (including 
zip code), and telephone number (including area code).
    1. Multiple Applications. Owners may not submit multiple 
applications for the same elderly housing development. HUD will only 
accept one ALCP application per project.
    2. For Technical Assistance. Before the ALCP application deadline 
date, HUD staff will be available to provide you with general guidance 
and technical assistance. However, HUD staff is not permitted to assist 
in preparing your application. For technical support for downloading 
the ALCP application or submitting the application, call the toll free 
Grants.gov Customer Support line at 1-800-518-Grants or send an e-mail 
message to [email protected].
    3. Satellite Broadcast. HUD will provide a satellite broadcast for 
potential applicants. For more information about the date and time of 
the broadcast, you should contact your local HUD Office or go to HUD's 
Web site at: www.hud.gov/webcasts/index.cfm.
    B. Content and Form of Application Submission. There are eleven 
required exhibits under the ALCP, including prescribed forms and 
certifications. In cases where your articles of incorporation and by-
laws have NOT changed since the project was originally approved by HUD, 
your signature on the SF-424 signifies that you are self-certifying to 
that effect--that the documents on file with HUD are current--is 
sufficient. Exhibits for which self-certification of currency is 
possible are Exhibits 2(a) and (b).
    In addition to the relief of paperwork burden, you will not have to 
submit certain information and exhibits you have previously prepared. 
See individual item descriptions below to identify such items. An 
example of such an item may be the FY2007 Annual Financial Statement. 
Your application must include all of the information, materials, forms, 
and exhibits listed below (Please see the General Section for 
instructions on how to submit third party and other documents such as 
Articles of Incorporation; by-laws; copies of original plans; evidence 
of financial commitment; letter(s) from zoning officials; etc.):
    1. Application Summary for the Assisted Living Conversion Program, 
Form HUD-92045.
    2. Evidence that you are a private nonprofit organization or 
nonprofit consumer cooperative and have the legal ability to operate an 
ALF program, per the following:
    a. Articles of Incorporation, constitution, or other organizational 
documents, or self-certification of these documents if there has been 
no change in the Articles since they were originally filed with HUD and
    b. By-laws, or self-certification of by-laws, if there has been no 
change in the by-laws since they were originally filed with HUD.
    3. A description of your community support:
    a. A description of your links to the community at large and to the 
minority and elderly communities in particular; and
    b. A description of your efforts to involve elderly persons, 
including minority elderly persons and persons with disabilities in:
    (1) The development of the application;

[[Page 11682]]

    (2) The development of the ALF operating philosophy;
    (3) Review of the application prior to submission to HUD; and
    (4) Your intent whether or not to involve eligible ALF residents in 
the operation of the project.
    c. A description of your involvement in your community's 
Consolidated Planning and Analysis of Impediments to Fair Housing (AI) 
processes including:
    (1) An identification of the lead/facilitating agency(ies) that 
organizes and/or administers the process;
    (2) A listing of the Consolidated Plan/AI issue areas in which you 
participate; and
    (3) The level of your participation in the process, including 
active involvement with any neighborhood-based organizations, 
associations, or any committees that support programs and activities 
that enhance projects or the lives of residents of the projects, such 
as the one proposed in your application.
    If you are not currently active, describe the specific steps you 
will take to become active in the Consolidated Planning and AI 
processes. (Consult the local HUD office for the identification of the 
Consolidated Plan community process for the appropriate area.)
    d. A description of how the assisted living facility will implement 
practical solutions that will result in assisting residents in 
achieving independent living and improved living environment.
    e. A description of how you have supported state and local efforts 
to streamline processes and procedures in the removal of regulatory 
barriers to affordable housing. To obtain up to 2 points for this 
policy priority you must complete the Form HUD-27300, Questionnaire for 
HUD's Initiative on Removal of Regulatory Barriers, complete Part A or 
Part B (not both), provide the required documentation, where requested, 
and include a point of contact. See Rating Factor 3 in Section V.A. of 
this NOFA for more details.
    4. Evidence of your project being occupied for at least five years 
prior to the date of application to HUD.
    5. A market analysis of the need for the proposed ALF units, 
including information from both the project and the housing market, 
containing:
    a. Evidence of need for the ALF by current project residents:
    (1) A description of the demographic characteristics of the elderly 
residents currently living in the project, including the current number 
of residents, distribution of residents by age, race, and sex, an 
estimate of the number of residents with frailties/limitations in 
activities of daily living, and an estimate of the number of residents 
in need of assisted living services.
    (2) A description of the services currently available to the 
residents and/or provided on or off-site and what services are lacking;
    b. Evidence of the need for ALF units by very low-income elderly 
and disabled households in the market area; a description of the trend 
in elderly and disabled population and household change; data on the 
demographic characteristics of the very low-income elderly in need of 
assisted living services (age, race, sex, household size, and tenure) 
and extent of residents with frailty/limitations in existing federally 
assisted housing for the elderly (HUD and Rural Housing Service); and 
an estimate of the very low-income elderly and disabled in need of 
assisted living taking into consideration any available state or local 
data.
    c. A description of the extent, types, and availability and cost of 
alternate care and services locally, such as home health care; adult 
day care; housekeeping services; meals programs; visiting nurses; on-
call transportation services; health care; and providers of supportive 
services who address the needs of the local low income population.
    d. A description of how information in the community's Analysis of 
Impediments to Fair Housing Choice was used in documenting the need for 
the ALF (covering items in c. above).
    6. A description of the physical construction aspects of the ALF 
conversion, including the following:
    a. How you propose to carry out the physical conversion (including 
a timetable and relocation planning). Completion of the Logic Model 
will assist in completing your response to this Exhibit.
    b. A short narrative stating the number of units, special design 
features, community and office space/storage, dining and kitchen 
facility and staff space, and the physical relationship to the rest of 
the project. Also, you must describe how this design will facilitate 
the delivery of services in an economical fashion in the most 
integrated setting appropriate to the needs of the participating 
residents with disabilities and accommodate the changing needs of the 
residents over at least the next 10 years.
    c. A description on how the project will promote energy efficiency, 
including any plans to incorporate energy efficiency features in the 
design and operation of the ALF through the use of Energy Star labeled 
products and appliances. Applicants that meet this policy priority will 
receive two points under Rating Factor 3 in Section V.A. of this NOFA. 
Refer to the General Section for further information on this 
requirement or for further information about Energy Star see http://www.energystar.gov.
    d. A copy of the original plans for all units and other areas of 
the development, which will be included in the conversion.
    e. A description of the conversion must clearly address how the 
units will conform to the accessibility requirements described in the 
Uniform Federal Accessibility Standards (UFAS). (For example, all door 
openings must have a minimum clear opening of 32 inches; and, all 
bathrooms and kitchens must be accessible to and functional for persons 
in wheelchairs.)
    f. Architectural sketches of the conversion to a scale of \1/4\ 
inch to one foot that indicate the following:
    (1) All doors being widened;
    (2) Typical kitchen and bathroom reconfiguration: show all 
wheelchair clearances, wall reinforcing, grab bars, and elevations of 
counters and work surfaces;
    (3) Bedroom/living/dining area modification, if needed;
    (4) Any reconfigured common space;
    (5) Added/reconfigured office and storage space;
    (6) Monitoring stations, and
    (7) The kitchen and dining facility.
    All architectural modifications must meet section 504 and ADA 
requirements as appropriate.
    g. A budget showing estimated costs for materials, supplies, 
fixtures, and labor for each of the items listed in Section IV.B.6.f, 
items (1) through (7), above.
    h. Include firm financial commitment letters with specific dollar 
amounts from appropriate organization(s) for conversion needs (within 
the scope of the ALF conversion NOFA) which will be supported by non-
HUD funding.
    i. A description of any relocation of current tenants including a 
statement that:
    (1) Indicates the estimated cost of temporary relocation payments 
and other related services;
    (2) Identifies the staff organization that will carry out the 
relocation activities; and
    (3) Identifies all tenants that will have to be temporarily moved 
to another unit within the development OR from the development during 
the period that the physical conversion of the project is under way.
    (4) Temporary relocation should not extend beyond one year before 
the person is returned to his or her previous

[[Page 11683]]

unit or location. The grantee must contact any residential tenant who 
has been temporarily relocated for a period beyond one year and offer 
all permanent relocation assistance. This assistance would be in 
addition to any assistance the person has already received for 
temporary relocation, and may be reduced by the amount of any temporary 
relocation assistance.

    Note: If any of the relocation costs will be funded from sources 
other than the ALCP grant, you must provide evidence of a firm 
financial commitment of these funds. When evaluating applications, 
HUD will consider the total cost of proposals (i.e., cost of 
conversion, temporary relocation, service coordinator, and other 
project costs).

    j. Address how training, employment, and economic opportunities 
will be directed to low- and very low-income persons that receive 
government assistance for housing and to business concerns which 
provide economic opportunities to low- and very-low-income persons and 
people with disabilities.
    7. A description of any retrofit or renovation that will be done at 
the project (with third party funds) that is separate and distinct from 
the ALF conversion. With such description, include as part of your 
application submission firm commitment letters from third party 
organizations in specific dollar amounts that will cover the cost of 
any work outside the scope of this NOFA.
    8. A letter from the local zoning official indicating evidence of 
permissive zoning. Also, showing that the modifications to include the 
ALF into the project as proposed are permissible under applicable 
zoning ordinances or regulations.
    9. A supportive services plan (SSP), a copy of which must be 
submitted to the appropriate state and/or local agency as instructed in 
Section III.C. above. For those applicants needing to contact state 
Medicaid offices, a list is provided on the Internet at 
www.cms.hhs.gov/medicaid. The SSP must include:
    a. A description of the supportive services needed for the frail 
elderly the ALF is expected to serve. This must include at least (1) 
meals and such other supportive services required locally or by the 
state, and (2) such optional services or care to be offered on an ``as 
needed'' basis.
    Examples of both mandatory and optional services (which will vary 
from state to state) are: two meals and two snacks or three meals 
daily; 24-hour protective oversight; personal care; housekeeping 
services; personal counseling, and transportation.
    b. A description of how you will provide the supportive services to 
those who are frail and have disabilities (i.e., on or off-site or 
combination of on or off-site), including an explanation of how the 
service coordination role will facilitate the adequate provision of 
such services to ALF residents, and how the services will meet the 
identified needs of the residents. Also indicate how you intend to fund 
the service coordinator role.
    c. A description of how the operation of your ALF will work. 
Address: (1) general operating procedures; (2) ALF philosophy and how 
it will promote the autonomy and independence of the frail elderly and 
persons with disabilities; (3) what will the service coordination 
function do and the extent to which this function already exists, or 
will be augmented or new; (4) ALF staff training plans; and (5) the 
degree to which and how the ALF will relate to the day-to-day 
operations of the rest of the project.
    d. The monthly individual rate for board and supportive services 
for the ALF listing the total fee and components of the total fee for 
the items required by state or local licensing, and list the 
appropriate rate for any optional services you plan to offer to the ALF 
residents. Provide an estimate of the total annual costs of the 
required board and supportive services you expect to provide and an 
estimate of the amount of optional services you expect to provide.
    e. List who will pay for the board and supportive services and the 
amount. For example, include such items as:
    (1) Meals by sponsors--$20
    (2) Housekeeping services by the City government--$30
    (3) Personal care by State Department of Health--$60
    (4) Service paid for by state program--$40
    (5) Fees paid by tenants--$83
    The amounts and commitments from both tenants and/or providers must 
equal the estimated amounts necessary to cover the monthly rates for 
the number of people expected to be served. If you include tenant fees 
in the proposal, list and show any proposed scaling mechanism. All 
amounts committed/collected must equal the annualized cost of the 
monthly rates calculated by the expected percentage of units filled.
    f. A support/commitment letter from EACH listed proposed funding 
source per paragraph e. above, for the planned meals and supportive 
services listed in the application. The letter must cover the total 
planned annual commitment (and multiyear amount total, if different), 
length of time for the commitment, and the amounts payable for each 
service covered by the provider/paying organization. There must be a 
letter from EACH participating organization listed in paragraph e, 
above.
    g. A support letter from EACH governmental agency that provides 
licensing for ALFs in that jurisdiction.
    h. A description of your relevant experience in arranging for and/
or delivering supportive services to frail residents. The description 
should include any supportive services facilities owned/operated; your 
past or current involvement in any project-based programs that 
demonstrates your management capabilities. The description should 
include data on the facilities and specific meals and/or supportive 
services provided on a regular basis, the racial/ethnic composition of 
the populations served, if available, and information and testimonials 
from residents or community leaders on the quality of the services.
    10. A description of your project's resources:
    a. A copy of the most recent project Reserve and Replacement 
account statement, and a Reserve for Replacement analysis showing plans 
for its use over the next five years, and any approvals received from 
the HUD field office to date.
    b. A copy of the most recent Residual Receipts Account statement. 
Indicate any approvals for the use of such receipts from the field 
office for over $500/unit.
    c. Annual Financial Statement (AFS). If your FY2007 AFS was due to 
REAC more than 120 days BEFORE the deadline date for this application, 
in the interest of reducing work burden, only include the date that it 
was sent to REAC. If the AFS was due to REAC 120 days or less from the 
deadline date of this application, you MUST include a paper copy of 
your AFS in the application. See Section IV.F.5. of this NOFA for 
information on addresses to submit paper applications.
    11. Forms and Certifications. The electronic version of the NOFA 
contains all forms required for submitting the ALCP application. The 
following exhibits, forms, certifications, and assurances are required.
    a. Form HUD-92045, Multifamily Housing Assisted Living Conversion 
Program Application Summary Sheet.
    b. Form SF-424, Application for Federal Assistance, and compliance 
with Executive Order 12372 (a certification that you have submitted a 
copy of your application, if required, to the state agency (Single 
Point of

[[Page 11684]]

Contact) for state review in accordance with Executive Order 12372 
(refer to the General Section for instructions in submitting this 
form).
    c. SF-424 Supplement, Survey for Ensuring Equal Opportunity for 
Applicants (``Faith Based EEO survey (SF-424SUPP)'' on Grants.gov);
    d. Form HUD-424-CB, Grant Applications Detailed Budget (HUD 
Detailed Budget Form'' on Grants.gov);
    e. Form HUD-424-CBW, Grant Application Detailed Budget worksheet;
    f. Form HUD-2880, Applicant/Recipient Disclosure/Update Report 
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov), 
including Social Security and Employment Identification numbers. A 
disclosure of assistance from other government sources received in 
connection with the project.
    g. Form HUD-2991, Certification of Consistency with the 
Consolidated Plan for the jurisdiction in which the proposed ALF will 
be located. The certification must be made by the unit of general local 
government if it is required to have, or has, a complete Plan. 
Otherwise, the certification may be made by the state, or by the unit 
of general local government if the project will be located within the 
jurisdiction of the unit of general local government authorized to use 
an abbreviated strategy, and if it is willing to prepare such a Plan.
    All certifications must be made by the public official responsible 
for submitting the plan to HUD. The certifications must be submitted by 
the application submission deadline date set forth herein. The Plan 
regulations are published in 24 CFR part 91.
    h. Form HUD 2994-A, You Are Our Client Grant Application Survey, 
optional.
    i. Standard Form-LLL, Disclosure of Lobbying Activities, if 
applicable.
    j. Form HUD-96010, Program Outcome Logic Model.
    k. Form HUD-27300, America's Affordable Communities Initiative/
Removal of Regulatory Barriers (and supporting documentation) (``HUD 
Communities Initiative Form'' on Grants.gov).
    l. Certification of Consistency with RC/EZ/EC-II Strategic Plan 
(HUD-2990), if applicable.
    m. HUD-96011, ``Third Party Documentation Facsimile Transmittal'' 
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used 
as the cover page to transmit third party documents and other 
information as described in the General Section as part of your 
electronic application submittal (if applicable).

C. Submission Date and Time

    Application Submission Date. Unless you received a waiver to the 
electronic application submission requirements, your completed ALCP 
application must be submitted via http://www.grants.gov/applicants/applyfor_grants.jsp and must be received and validated by Grants.gov 
no later than 11:59:59 eastern time on the application deadline date 
(June 7, 2007). (Refer to Section IV. of the General Section for 
further instructions on the delivery and receipt of applications.

D. Intergovernmental Review

    1. Executive Order 12372. ALCP applicants are subject to the 
Executive Order 12372 process. Refer to Section IV.D. of the General 
Section for instructions on the intergovernmental review process.)
    2. You must submit a Supportive Services Plan (SSP) for the 
services and coordination of the supportive services that will be 
offered in the assisted living facility (ALF) to the appropriate state 
or local organization(s), which are expected to fund those supportive 
services. You must submit one copy of your SSP to each appropriate 
state or local service funding organizations well in advance of the 
application deadline, for appropriate review. The state or local 
funding organization(s) must return the SSP to you with appropriate 
comments and an indication of the funding commitment, which you will 
then include with the application you submit to HUD.
    You must ALSO submit the SSP to the appropriate organization(s) 
that license ALFs in your jurisdiction. The licensing agency(ies) must 
approve your plan, and must also certify that the ALF and the proposed 
supportive services identified in your SSP, are consistent with local 
statute and regulations and well designed to serve the needs of the 
frail elderly and people with disabilities who will reside in the ALF 
portion of your project.

E. Funding Restrictions

    1. This program does NOT cover the cost of meals and supportive 
services. These items must be paid for through other sources (e.g., a 
mix of resident fees and/or third party providers). Evidence of third 
party commitment(s) must be included as part of the application. The 
assisted living supportive services program must promote independence 
and provide personal care assistance based on individual needs in a 
home-like environment. In accordance with Section 504 of the 
Rehabilitation Act of 1973 and HUD's regulations at 24 CFR 8.4(d), the 
project must deliver services in the most integrated setting 
appropriate to the needs of qualified individuals with disabilities.
    2. This program does NOT allow permanent displacement of any 
resident living in the project at the time the application was 
submitted to HUD. (HUD will only provide temporary relocation costs for 
current tenants if they must vacate their unit while conversion work is 
underway (normal temporary relocation costs include increases in rent, 
reconnection of telephones, moving costs, and appropriate out-of-pocket 
expenses).
    3. Applicants will not be awarded multiple grant funds for the same 
elderly housing development.
    4. Ineligible Activities. You may not use funds available through 
this NOFA to:
    a. Add additional dwelling units to the existing project
    b. Pay the costs of any of the necessary direct supportive services 
needed to operate the ALF;
    c. Purchase or lease additional land;
    d. Rehabilitate (see definition at 24 CFR 891.105) the project for 
needs unrelated directly to the conversion of units and common space 
for assisted living.
    e. Use the ALCP to reduce the number of accessible units in the 
project that are not part of the ALF
    f. Permanently displace any resident out of the project (permanent 
relocation is prohibited under this program)
    g. Increase the management fee.
    h. Cover the cost of activities not directly related to the 
conversion of the units and common space. (i.e., if an applicant is 
applying to convert 24 units on 2 floors of a 5-story elderly housing 
development and the inspection by the Fire Marshal reveals that 
sprinklers must be installed in the entire building, ALCP funds will be 
used only to install sprinklers for the 24 units on the 2 floors 
requested in the application. The cost to install sprinklers in the 
remaining units must be paid for out of other resources.

F. Other Submission Requirements

    Application Submission and Receipt Procedures. Refer to Section 
IV.F. of the General Section for additional information on application 
submission requirements.
1. Electronic Delivery
    a. The Grants.gov Web site offers a simple, unified application 
process. There are several registration steps applicants need to 
complete. Further information is contained in the General Section 
published on January 18, 2007

[[Page 11685]]

(72 FR 2396). ALCP applicants should also read HUD's Federal Register 
Notice on Early Registration published in the Federal Register on 
October 31, 2006 (71 FR 64070).
    b. Electronic signature. ALCP applications submitted through 
Grants.gov constitute submission as an electronically signed 
application.
    2. Instructions on how to submit electronically are outlined in 
HUD's ``Desktop User's Guide'' located on HUD's Grants Web site at: 
http://www.hud.gov/grants/index.cfm.
    3. Waiver of Electronic Submission Requirement. Applicants 
interested in applying for funding under this NOFA must submit their 
applications electronically or request a waiver of the electronic 
submission process. Waiver requests must be submitted by mail or by 
fax. For this program NOFA, e-mail requests will not be considered. 
Waiver requests submitted by mail or fax should be submitted on the 
applicant's letterhead and signed by an official with the legal 
authority to request a waiver from the Department. Waiver requests must 
be submitted no later than 15 days prior to the application deadline 
date and should be sent to Brian D. Montgomery, Assistant Secretary for 
Housing-Federal Housing Commissioner, Department of Housing and Urban 
Development, 451 Seventh Street, SW., Room 9100, Washington, DC 20410-
8000. Waiver requests submitted by fax must be sent to (202) 708-3104. 
If you are granted a waiver to the electronic submission process, your 
application must be received by HUD no later than 11:59:59 PM eastern 
time on the application deadline date. See the General Section for 
additional information.
    4. Proof of Timely Submission. ALCP applicants must submit their 
applications via grants.gov (http://www.grants.gov/applicants/apply--
for--grants.jsp) in time for receipt and validation by 11:59:59 p.m. 
eastern time on the application deadline date of June 7, 2007. 
Validation can take up to 72 hours so applicants should submit with 
ample time for the process to be completed. Applicants are also advised 
to submit with sufficient time to correct any deficiencies that would 
prevent the acceptance of your application by Grants.gov. (Refer to the 
General Section for specific procedures regarding proof of timely 
submission of applications.)
    5. Hubs and Field Offices addresses. If you are granted a waiver to 
the electronic application submission requirement, your waiver approval 
will provide the information on the number of copies of the application 
you are required to submit and where to submit the application. If you 
send your application to the wrong Hub Office, it will be rejected. 
Therefore, upon receiving your waiver approval, if you are uncertain as 
to which lead HUD Multifamily Hub to submit your application, you are 
encouraged to contact the local HUD Office that is closest to your 
project's location to ascertain the lead HUD Multifamily Hub to ensure 
that you submit your application to the correct local lead HUD 
Multifamily Hub Office. Paper applications must be received in the 
appropriate lead HUD Multifamily Hub by the application deadline date.

V. Application Review Information

    A. Criteria. HUD will rate ALCP applications that successfully 
complete technical processing using the Rating Factors set forth below 
and in accordance with the application submission requirements 
identified in Section IV.B. above. The maximum number of points an 
application may receive under this program is 100 plus 2 bonus points 
as described in the General Section and Section V.A. below.

1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (20 Points)

    This factor addresses your capacity to carry out the conversion in 
a timely, cost-conscious and effective manner. It also addresses your 
experience at providing the proposed supportive services you intend to 
make available at the ALF for elderly residents, especially in such 
areas as meals, 24-hour staffing, and on-site health care. Submit 
information responding to this factor in accordance with Application 
Submission Requirements in Sections IV.B.6.a. and b. and 9.a. through c 
and h. of this NOFA.
    In rating this factor, HUD will consider the extent to which your 
application demonstrates your ability to carry out a successful 
conversion of the project and to implement the plan to deliver the 
supportive services on a long-term basis, considering the following:
    a. (9 points). The time frame planned for carrying out the physical 
conversion of the development to the ALF. Examples are: Timeframe for 
completion of the project in 9 months or less (9 points); completion in 
13 months (5 points); completion in 13-18 months (3 points); completion 
in more than 18 months (0 points).
    b. (10 points). Describe your past experience in providing or 
arranging for supportive services either on or off site for those who 
are frail. Examples are: Meals delivered to apartment of resident or in 
a congregate setting (2 points), arranging for or providing personal 
care (3 points), providing 24-hour staffing (1 point), providing or 
making available on-site preventive health care (2 points) and other 
support services (2 points).
    c. (1 point). The Department will provide 1 point to those 
applicants who currently or propose to partner, fund, or subcontract 
with grassroots organizations. HUD will consider an organization a 
``grassroots organization'' if the organization is headquartered in the 
local community and has a social services budget of $300,000 or less; 
or has six or fewer full-time equivalent employees. (Refer to the 
General Section for further information on policy priority points for 
activities related to grassroots organizations.)

2. Rating Factor 2: Need/Extent of the Problem (20 Points)

    This factor addresses the extent to which the conversion is needed 
by the categories of elderly persons and persons with disabilities that 
the ALF is intended to serve. The application must include evidence of 
current needs among project residents and needs of potential residents 
in the housing market area for such persons including economic and 
demographic information on very low-income, frail, elderly, and persons 
with disabilities and information on current assisted living resources 
in the market area.
    The factor also addresses your inability to fund the repairs or 
conversion activities from existing financial resources. In making this 
determination, HUD will consider the project's financial information. 
Submit information responding to this factor in accordance with 
Application Submission Requirements in Sections IV.B.3.c., 5. a. 
through d., and 10. a. through c. of this NOFA. In evaluating this 
factor, HUD will consider:
    a. (7 points). The need for assisted living among the elderly and 
disabled residents of the project taking into consideration those 
currently in need and the depth of future needs given aging in place.
    b. (3 points). The need for assisted living among very low-income 
elderly persons and persons with disabilities in the housing market 
area.
    c. (9 points). Insufficient funding for any needed conversion work, 
as evidenced by the project's financial statements and specifically the 
lack of excess Reserve for Replacement dollars and residual receipts. 
If the available Reserve for Replacement and residual receipts are less 
than 10 percent of the total funds needed = 9 points; if the available 
Reserve for Replacement and

[[Page 11686]]

residual receipts are 10-50 percent of need = 5 points; and, if the 
available Reserve for Replacement and residual receipts are 51 percent 
or more of the total funds needed = 0 points).
    d. (1 point). The Department will provide one point to those 
applications which establish a connection between the proposed ALF and 
the community's Analysis of Impediments to Fair Housing Choice (AI) or 
other planning document that analyzes fair housing issues and is 
prepared by a local planning or similar organization.

3. Rating Factor 3: Soundness of Approach (40 Points)

    This factor addresses the quality and effectiveness of your 
proposal in addressing the proposed conversion, effectiveness of 
service coordination and management planning and the meals and 
supportive services which the ALF intends to provide, whether the 
jurisdiction in which the ALF is located has taken successful efforts 
to remove regulatory barriers to affordable housing, whether you will 
incorporate energy efficiency in the design and operation of the 
assisted living facility, provide training, employment, and economic 
opportunities to low- and very low-income persons, and the extent to 
which you have evidenced general support for conversion by 
participating in your community's Consolidated Planning Process, 
involving the residents in the planning process. Submit information 
responding to this factor in accordance with Application Submission 
Requirements in Sections IV.B.3.a. through c. and e., IV. B.5.e., 
IV.B.6.b. through e., IV. B.9.a. through e., g., and h. of this NOFA. 
In evaluating this factor, HUD will consider the following:
    a. (10 points). The extent to which the proposed ALF design will 
meet the special physical needs of frail elderly persons or persons 
with disabilities (ALF design: meets needs = 10 points; ALF design 
partially meets needs = 5 points; and ALF design does not meet needs = 
0 points).
    b. (10 points). The extent to which the ALF's proposed management 
and operational plan ensures that the provision of both meals and 
supportive services planned will be accomplished upon completion of the 
conversion and receipt of license for the operation of the facility. 
(Consider ALF design/management plan: meets needs of management 
operations = 10 points; ALF design/management plan partially meets 
needs of management operations = 5 points; and ALF design/management 
plan does not meet needs of management operations = 0 points.)
    c. (7 points). The extent to which the proposed supportive services 
meet the anticipated needs of the frail elderly and disabled residents 
(does meet = 7 points; partially meets needs = 4 points; and, does not 
meet needs = 0 points); and
    d. (7 points). The extent to which the service coordination 
function is addressed and explained as augmented or new, and addresses 
the ongoing procurement of needed services for the residents of the ALF 
(does meet = 7 points, partially meets = 4 points, does not meet = 0 
points).
    e. (2 points). The steps you have in support of State and local 
efforts in streamlining processes and procedures that eliminate 
redundant requirements, statutes, regulations and codes which impede 
the availability of affordable housing. To receive points for removal 
of regulatory barriers, applicants must complete Part A or B (not 
both), include some form of documentation, where requested, and include 
a point of contact in their response using the completed Questionnaire 
HUD Form 27300. (Refer to the General Section for further information.)
    f. (2 points). Describe how you plan to incorporate energy 
efficiency activities in the design or the operation of the assisted 
living facility through the use of Energy Star labeled products and 
appliances. (Refer to the General Section for further information.)
    g. (2 points). To the greatest extent feasible, describe how you 
propose to provide opportunities to train and employ low- and very low-
income persons in the project area; and how you plan to award contracts 
to business concerns which provide economic opportunities to low- and 
very low-income persons and people with disabilities in the project 
area.

4. Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure other community 
resources that can be combined with HUD's grant funds to achieve 
program purposes. For the ALCP to succeed, you must generate local 
funding for the necessary supportive services to operate the ALF. HUD 
also encourages local funding for some of the necessary conversion 
work, or other work needed in the project (e.g., general modernization) 
which is NOT specifically linked to the ALF).
    Submit information responding to this factor in accordance with 
Application Submission Requirements in Section IV.B.6.h. and i., B.7., 
and B.9.e. through g. of this NOFA.
    a. (5 points). The extent to which there are commitments for the 
funding needed for the meals and the supportive services planned for 
the ALF and that the total cost of the estimated budget of the ALF is 
covered. Consider 90 percent or more commitment of the total budget 
with no more than 10 percent for meals and services = 5 points; 80-89.9 
percent with no more than 20 percent for meals and services = 4 points; 
65-79.9 percent with no more than 35 percent for meals and services = 3 
points; 40-64.9 percent with no more than 60 percent for meals and 
services = 2 points; less than 40 percent commitment of the total 
budget with no more than 60 percent support for meals and services = 0 
points.
    b. (3 points). The extent of local organizations' support, which is 
firmly committed to providing at least 50 percent of the total cost of 
ALF conversion (consider 50% or more = 3 points, 20-49.9 percent = 2 
points, and under 20 percent = 0 points).
    c. (2 points). The extent of local organizational support which is 
firmly committed to providing funds for additional repair or retrofit 
necessary for the project NOT specifically directed to activities 
eligible under this NOFA (funds firmly committed = 2 points, funds not 
committed = 0 points).

5. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points)

    This factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability. This factor emphasizes HUD's 
commitment to ensure that promises you make in the application are 
kept; and to ensure performance goals with outcomes are established and 
are met (refer to Section V.B. of the General Section for more detail). 
Outcomes may include the extent to which your project will implement 
practical solutions that will result in assisting residents in 
achieving independent living and an improved living environment, as 
well as the extent to which the project will be viable absent HUD funds 
but rely more on state, local, and private funds. Submit information 
responding to this factor in accordance with Application Submission 
Requirements in Section IV.B.3.d., 6.a. through g., and 9.a. through e. 
of this NOFA. Applicants must complete Form HUD-96010, Program Outcome 
Logic Model in responding to this Rating Factor.
    a. (4 points). Describe the extent to which your conversion time 
frame reflects the length of time it will take to convert the units 
describing how residents will benefit from the conversion of the units; 
and how the converted units will result in ALF residents being able to 
age in place;

[[Page 11687]]

    b. (2 points). Describe the extent to which your assisted living 
facility will implement practical solutions that will result in 
assisting residents in achieving independent living and improved living 
environment.
    c. (2 points). Demonstrate how the project will be viable absent 
HUD funds while relying more on state, local, and private funds.
    d. (2 points). Describe the extent to which the ALFs operating 
philosophy promotes the autonomy and independence of the frail elderly 
persons it is intended to serve (is fully addressed = 2 points, ``no'' 
or not addressed = 0 points).
    6. Bonus Points (2 bonus points). The project to be converted is 
located in an RC/EZ/EC-II area, as described in the General Section.

B. Reviews and Selection Process

    1. The ALCP will fund those applications that may impact federal 
problem solving and policymaking and that are relevant to HUD's policy 
priorities and annual goals and objectives. (Refer to the General 
Section for discussion of these priorities and annual goals and 
objectives).
    2. Review for Curable Deficiencies. You should ensure that your 
application is complete before submitting it to HUD electronically via 
grants.gov. If you received a waiver of the electronic submission 
requirement, you must submit an original and four copies to the 
appropriate lead HUD Multifamily Hub Office. Submitting fewer than the 
original and four copies of the application is not a curable deficiency 
and will cause your application to be considered non-responsive to the 
NOFA and returned to you.
    HUD will screen all applications received by the deadline for 
curable deficiencies. With respect to correction of deficient 
applications, HUD may not, after the application deadline date and 
consistent with HUD's regulations in 24 CFR part 4, subpart B, consider 
any unsolicited information an applicant may want to provide. HUD may 
contact an applicant to clarify an item in the application or to 
correct curable deficiencies. Please note, however, that HUD may not 
seek clarification of items or responses that improve the substantive 
quality of a response to any rating factors. In order not to 
unreasonably exclude applications from being rated and ranked, HUD may 
contact applicants to ensure proper completion of the application and 
will do so on a uniform basis for all applicants. A curable deficiency 
is a missing Exhibit or portion of an Exhibit that will not affect the 
rating of the application. In each case, under this NOFA, the 
appropriate lead HUD Multifamily Hub office will notify you in writing 
by describing the clarification or curable deficiency. You must submit 
clarifications or responses to curable deficiencies in accordance with 
the information provided by the Hub office within 14 calendar days of 
the date of HUD notification. (If the due date falls on a Saturday, 
Sunday, or federal holiday, your correction must be received by HUD on 
the next day that is not a Saturday, Sunday, or federal holiday.) If 
the deficiency is not corrected within this time period, HUD will 
reject the application as incomplete, and it will not be considered for 
funding. The following is a list of the deficiencies that will be 
considered curable in ALCP applications:

Exhibits/Forms

     *Application Summary
     *Articles of Incorporation, or certification of Articles 
of Incorporation
     *By-laws, or certification of by-laws
     Evidence of occupancy for at least five years
     Original project plans
     Relocation Plan
     Evidence of Permissive Zoning
     Form SF-424 Supplement, Survey for Ensuring Equal 
Opportunity for Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on 
Grants.gov);
     Form HUD-424-CB, Grant Applications Detailed Budget ``HUD 
Detailed Budget Form'' on Grants.gov);
     Form HUD-424-CBW, Grant Application Detailed Budget 
worksheet
     Form HUD-2880, Applicant/Recipient Disclosure/Update 
Report (``HUD Applicant Recipient Disclosure Report'' on Grants.gov);
     Form HUD-2991, Certification of Consistency with the 
Consolidated Plan
     Form HUD-2994-A, You Are Our Client Grant Applicant 
Survey, optional;
     Standard Form-LLL, Disclosure of Lobbying Activities, if 
applicable
     HUD-96011, ``Third Party Documentation Facsimile 
Transmittal'' (``Facsimile Transmittal Form on Grants.gov) (For use 
with electronic applications as the cover sheet to provide third party 
documentation.)
    The appropriate Hub office will notify you in writing if your 
application is missing any of the exhibits listed above and you will be 
given 14 days from the date of the HUD notification to submit the 
information required to cure the noted deficiencies. The exhibits 
identified by an asterisk (*) must be dated on or before the 
application deadline date. If not so dated the application will be 
rejected.
    After the completeness review, HUD staff will review your 
application to determine whether the application meets the threshold 
requirements.
    3. Threshold Review. Only those ALCP applications that meet all 
threshold requirements will be eligible to receive an award. 
Applications that do not pass threshold will be rejected. (See Section 
III.C 2. above for threshold requirements).
    4. Appeal Process. Upon rejection of an ALCP application, HUD must 
send a letter to the Owner outlining all reasons for rejection. The 
Owner has 14 calendar days from the date of the letter to appeal the 
rejection. If the Owner submits an appeal, which causes the rejection 
to be overturned, the application will be rated, ranked, and submitted 
to the selection panel for consideration. If the Owner does not appeal 
or does appeal but the rejection is not overturned, the application 
will remain rejected.
    5. Review Panels. The Office of Housing's Multifamily Hubs will 
establish panels to review all eligible applications that have passed 
threshold.
    6. Rating of Applications. HUD staff teams will review and rate 
ALCP applications in accordance with the Ranking and Selection 
procedures outlined below. All applications will be either rated or 
technically rejected at the end of technical review. If your 
application meets all program eligibility requirements after completion 
of technical review, it will be rated according to the rating selection 
factors in Section V.A. above of this NOFA. HUD reserves the right to 
reduce the amount requested in the application if any proposed 
components are ineligible or if the cost of items is not deemed 
reasonable. HUD will NOT reject an ALCP application based on technical 
review without notifying you of that rejection with all the reasons for 
the rejection, and providing you an opportunity to appeal. You will 
have 14 calendar days from the date of HUD's written notice to appeal a 
technical rejection to the Multifamily Hub where the applications were 
sent originally. HUD staff will make a determination on an appeal 
before finalizing selection recommendations.
    7. Ranking and Selection Procedures. Applications submitted in 
response to this NOFA that are eligible, pass threshold and have a 
total score of 75 points (or more) are eligible for ranking and 
selection.
    a. Hub staff teams will be established for ALCP review in each 
geographical area to do the application ratings. After the team's 
ratings are finalized, the team

[[Page 11688]]

will place all rated applications within that geographical area in rank 
order.
    b. From within rank order, Hub staff teams in each of the four 
geographical areas will select the highest ranked applications from 
within that geographical area in rank order, without regard to which 
Hub the application was submitted which can be funded from within the 
dollars available.
    c. After making the initial selections, however, HUD may use any 
residual funds in each geographical area to select the next rank-
ordered application by reducing the dollars requested by no more than 
10 percent and reducing the number of units proposed, but in no case 
reducing the number of units below the financial threshold feasibility 
of five ALF units.
    d. Funds remaining after these processes are completed will be 
returned to HUD Headquarters. HUD Headquarters will use these funds to 
restore units to any project reduced as a result of using the residual 
grant funds in a geographical area. Finally, HUD will use these funds 
for selecting one or more additional applications based on the field 
staff rating and rankings, beginning with the highest rated application 
nationwide. Only one application will be selected per geographical area 
from the national residual amount. If there are no approvable 
applications in other geographical areas, the process will begin again 
with the selection of the next highest rated application nationwide. 
This process will continue until all approvable applications are 
selected using the available remaining funds. If there is a tie score 
between two or more applications, and there are insufficient residual 
funds to cover all tied applications, HUD Headquarters staff will 
choose the winning application(s) by lottery and/or reduction of grant 
requests consistent with the instructions above.

VI. Award Administration Information

A. Award Notices

    1. The Grant Agreement, and the Form HUD-1044, signed by both the 
Recipient and Grant Officer, shall serve as the authorizing award 
documents. Unsuccessful applicants will be notified, by mail, within 30 
days of the announcement of the awards.
    2. Adjustments to Funding. HUD will not fund any portion of your 
application that is not eligible for funding under specific program 
statutory or regulatory requirements; does not meet the requirements of 
this notice; or may be duplicative of other funded programs or 
activities. Only the eligible portion of your application will be 
funded.
    3. Applicant Debriefing. All requests for debriefing must be made 
in writing and submitted to the lead HUD Multifamily Hub in which you 
applied for assistance. Materials provided to you during your 
debriefing will include the final scores you received for each rating 
factor, final evaluator comments for each rating factor, and the final 
assessment indicating the basis upon which assistance was provided or 
denied. Information regarding this procedure may be found in the 
General Section.
    B. Administrative and National Policy Requirements. See Section 
III.C. of this NOFA and the General Section.

C. Reporting

    Recipients of funding under this program NOFA shall submit a 
progress report every six months after the effective date of the Grant 
Agreement. Every six months owners must report their progress in 
attaining the goals and objectives they proposed in their ALCP Logic 
Model that was included in their application. Each semi-annual report 
must identify any deviations (positive or negative) from outputs and 
outcomes proposed and approved by HUD, by providing the information in 
the reporting TAB of the approved Logic Model. For FY 2007, HUD is 
considering a new concept for the Logic Model. The new concept is a 
Return on Investment statement. HUD will be publishing a separate 
notice on the ROI concept.

VII. Agency Contacts

    A. For Further Information and Technical Assistance. You should 
contact the HUD Multifamily Hub in your geographical area. For a list 
of HUD Multifamily Hub Offices, see HUD's Web site at http://www.hud.gov/offices/adm/ grants/fundsavail.cfm.
    You also may contact Faye Norman, Housing Project Manager at (202) 
708-3000, extension 2482 or Aretha Williams, Director, Grant Policy and 
Management Division, Room 6138 at (202) 708-3000, extension 2480 for 
questions regarding the ALF grant award process. These are not toll-
free numbers. Ms. Norman can be reached by e-mail at Faye-- L.-- 
[email protected] and Ms. Williams at [email protected]. If you 
have a hearing or speech impairment, you may access the telephone 
number via TTY by calling the Federal Information Relay Service at 800-
877-8339.

VIII. Other Information

    A. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(4 U.S.C. 3501-3520) and assigned OMB control number 2502-0542. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 2,550 hours per annum per 
respondent for the application and grant administration. This includes 
the time for collecting, reviewing, and reporting data for the 
application, semi-annual reports, and final report. The information 
will be used for grantee selection and monitoring the administration of 
funds. Response to this request for information is required in order to 
receive the benefits to be derived.
    B. Appendix. Appendix 1 provides a list of HUD Multifamily Hub 
Offices. Appendix 1 may be found at HUD's Web site at http://www.hud.gov/offices/adm/ grants/fundsavail.cfm.

[[Page 11689]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.024


[[Page 11690]]



Service Coordinators In Multifamily Housing; Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of the Assistant Secretary for Housing-Federal 
Housing Commissioner.
    B. Funding Opportunity Title: Service Coordinators In Multifamily 
Housing.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number is FR-
5100-N-03. The OMB approval number is 2502-0447.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.191, 
Multifamily Housing Service Coordinators.
    F. Dates: The application deadline date is June 8, 2007. (All 
applications must be received and validated by www.grants.gov no later 
than 11:59:59 p.m. Eastern Time on the application deadline date. See 
submission details in the General Section.)

G. Optional, Additional Overview Information

    1. Available Funds. Approximately $51.6 million in fiscal year 2007 
funds are available for the Service Coordinator program. Of these 
funds, approximately $3.5 million are available in this NOFA for 
funding new Service Coordinator programs.
    2. Purpose of the program. The Service Coordinator program allows 
multifamily housing owners to assist elderly individuals and nonelderly 
people with disabilities living in HUD-assisted housing and in the 
surrounding area to obtain needed supportive services from the 
community, to enable them to continue living as independently as 
possible in their homes.
    3. Eligible Applicants. Only owners of eligible multifamily 
assisted developments may apply.

Full Text of Announcement

I. Funding Opportunity Description

    A. The Service Coordinator Program. The Service Coordinator Program 
provides funding for the employment and support of Service Coordinators 
in insured and assisted housing developments that were designed for the 
elderly or nonelderly persons with disabilities and continue to operate 
as such. Service Coordinators help residents obtain supportive services 
from the community that are needed to enable independent living and 
aging in place.
    A Service Coordinator is a social service staff person hired or 
contracted by the development's owner or management company. The 
Service Coordinator is responsible for assuring that elderly residents, 
especially those who are frail or at risk, and those non-elderly 
residents with disabilities are linked to the supportive services they 
need to continue living independently in their current homes. All 
services should meet the specific desires and needs of the residents 
themselves. The Service Coordinator may not require any elderly 
individual or person with a disability to accept any specific 
supportive service(s).
    You may want to review the Management Agent Handbook 4381.5 
REVISION-2, CHANGE-2, Chapter 8 for further guidance on service 
coordinators. This Handbook is accessible through HUDCLIPS on HUD's Web 
site at http://www.hudclips.org. The Handbook is in the Handbooks and 
Notices--Housing Notices database. Enter the Handbook number in the 
``Document Number'' field to retrieve the Handbook.
    B. Authority. Section 808 of the Cranston-Gonzalez National 
Affordable Housing Act (Pub. L. 101-625, approved November 28, 1990), 
as amended by sections 671, 674, 676, and 677 of the Housing and 
Community Development Act of 1992 (Pub. L. 102-550, approved October 
28, 1992), and section 851 of the American Homeownership and Economic 
Opportunity Act of 2000 (Pub. L. 106-569, approved December 27, 2000).

C. Definition of Terms Used in This Program NOFA

    1. ``Activities of daily living (ADLs)'' means eating, dressing, 
bathing, grooming, and household management activities, as further 
described below:
    a. Eating--May need assistance with cooking, preparing, or serving 
food, but must be able to feed self;
    b. Bathing--May need assistance in getting in and out of the shower 
or tub, but must be able to wash self;
    c. Grooming--May need assistance in washing hair, but must be able 
to take care of personal appearance;
    d. Dressing--Must be able to dress self, but may need occasional 
assistance; and
    e. Home management activities--May need assistance in doing 
housework, grocery shopping, laundry, or getting to and from activities 
such as going to the doctor and shopping, but must be mobile. The 
mobility requirement does not exclude persons in wheelchairs or those 
requiring mobility devices.
    2. ``At-risk elderly person'' is an individual 62 years of age or 
older who is unable to perform one or two ADLs, as defined in the above 
paragraph.
    3. ``Frail elderly person'' means an individual 62 years of age or 
older who is unable to perform at least three ADLs as defined in the 
above paragraph.
    4. ``People with disabilities'' means those individuals who:
    a. Have a disability as defined in Section 223 of the Social 
Security Act;
    b. Have a physical, mental, or emotional impairment expected to be 
of long, continued, and indefinite duration that substantially impedes 
the individual's ability to live independently; or
    c. Have a developmental disability as defined in Section 102 of the 
Developmental Disabilities Assistance and Bill of Rights Act of 2000, 
(42 U.S.C. Section 15002).
    5. ``Reasonable costs'' mean that costs are consistent with 
salaries and administrative costs of similar programs in your Field 
office's jurisdiction.

D. Basic Qualifications of Service Coordinators and Aides

    1. Service Coordinator qualifications include the following:
    a. A Bachelor of Social Work or degree in Gerontology, Psychology 
or Counseling is preferable; a college degree is fully acceptable. You 
may also consider individuals who do not have a college degree, but who 
have appropriate work experience.
    b. Knowledge of the aging process, elder services, disability 
services, eligibility for and procedures of federal and applicable 
state entitlement programs, legal liability issues relating to 
providing Service Coordination, drug and alcohol use and abuse by the 
elderly, and mental health issues.
    c. Two to three years experience in social service delivery with 
senior citizens and/or people with disabilities. Some supervisory or 
management experience may be desirable if the Service Coordinator will 
work with aides.
    d. Demonstrated working knowledge of supportive services and other 
resources for senior citizens and/or non-elderly people with 
disabilities available in the local area.
    e. Demonstrated ability to advocate, organize, problem-solve, and 
provide results for the elderly and people with disabilities.
    2. Aides working with a Service Coordinator should have appropriate 
education or experience in working with the elderly and/or people with 
disabilities. An example of an aide position could be an internship or 
work-study program with local colleges and universities to assist in 
carrying out

[[Page 11691]]

some of the Service Coordinator's functions.

II. Award Information

    A. Available Funding. The Revised Continuing Appropriations 
Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007) provides 
approximately $51.6 million to fund Service Coordinators and the 
continuation of existing Congregate Housing Services Program (CHSP) 
grants. Approximately $3.5 million of the available $51.6 million will 
be used to fund new Service Coordinator programs. The remaining amount 
of $48.1 million will be used to fund one-year extensions to expiring 
Service Coordinator and CHSP grants.
    B. Maximum Grant Award. There is no maximum grant amount. The grant 
amount you request will be based on the Service Coordinator's salary 
and the number of hours worked each week by that Service Coordinator 
(and/or aide). You should base your determination of the appropriate 
number of weekly work hours on the number of people in the development 
who are frail or at-risk elderly or non-elderly people with 
disabilities. Under normal circumstances, a full-time Service 
Coordinator should be able to serve about 50-60 frail or at-risk 
elderly or non-elderly people with disabilities on a continuing basis. 
Your proposed salary must also be supported by evidence of comparable 
salaries in your area. Gather data from programs near you to compare 
your estimates with the salaries and administrative costs of currently 
operating programs. HUD Field staff can provide you with contacts at 
local program sites.
    C. HUD provides funding in the form of three-year grants. HUD may 
renew grants subject to the availability of funds and the grantee's 
acceptable performance and compliance with program requirements. HUD 
will determine performance based on the information given in the 
grantee's semi-annual performance reports, financial status reports, 
and Logic Model forms.

III. Eligibility Information

A. Eligible Applicants

    1. You must meet all of the applicable threshold requirements of 
Section III.C of the General Section.
    2. You must be an owner of a development assisted under one of the 
following programs:
    a. Section 202 Direct Loan;
    b. Project-based Section 8 (including Section 8 Moderate 
Rehabilitation), or
    c. Section 221(d)(3) below-market interest rate, and 236 
developments that are insured or assisted.
    3. Additionally, developments listed in paragraph III.A.2, above, 
are eligible only if they meet the following criteria:
    a. Have frail or at-risk elderly residents and/or non-elderly 
residents with disabilities who together total at least 25 percent of 
the building's residents. (For example, in a 52-unit development, at 
least 13 residents must be frail, at-risk, or non-elderly people with 
disabilities.)
    b. Were designed for the elderly or persons with disabilities and 
continue to operate as such. This includes any building within a mixed-
use development that was designed for occupancy by elderly persons or 
persons with disabilities at its inception and continues to operate as 
such, or consistent with title VI, subtitle D of the Housing and 
Community Development Act of 1992 (Pub. L. 102-550). If not so 
designed, a development in which the owner gives preferences in tenant 
selection (with HUD approval) to eligible elderly persons or nonelderly 
persons with disabilities, for all units in that development.
    c. If FHA insured or financed with a Section 202 Direct Loan, are 
current in mortgage payments or are current under a workout agreement.
    d. Meet HUD's Uniform Physical Conditions Standards (codified in 24 
CFR part 5, subpart G), based on the most recent physical inspection 
report and responses thereto, as evidenced by a score of 60 or better 
on the last physical inspection or by an approved plan for developments 
scoring less than 60.
    e. Are in compliance with their regulatory agreement, Housing 
Assistance Payment (HAP) Contract, and any other outstanding HUD grant 
or contract document.
    f. Have no available project funds (i.e., Section 8 operating 
funds, residual receipts, or excess income) that could pay for a 
Service Coordinator program. (``Available funds'' are those that 
require HUD approval for their use and are not needed to meet critical 
project needs.) Field office staff will make this determination based 
on financial records maintained by the Department and information 
provided by the applicant in the grant application.
    g. You may use funds to continue a Service Coordinator program that 
has previously been funded through other sources. To be deemed 
eligible, you must provide evidence that these resources have already 
ended or will discontinue within six months following the application 
deadline date and that no other funding mechanism is available to 
continue the program. (This applies only to funding sources other than 
the subsidy awards and grants provided by the Department through 
program Notices beginning in FY 1992. HUD currently provides one-year 
extensions to these subsidy awards and grants through a separate 
funding action.)
    4. If your eligibility status changes during the course of the 
grant term, making you ineligible to receive a grant (e.g., due to 
prepayment of mortgage, sale of property, or opting out of a Section 8 
HAP contract), HUD has the right to terminate your grant.
5. Ineligible Applicants and Developments
    a. Property management companies, area agencies on aging, and other 
like organizations are not eligible applicants for Service Coordinator 
funds.
    b. Developments not designed for the elderly, nonelderly people 
with disabilities, or those no longer operating as such;
    c. Section 221(d)(4) and Section 515 developments without project-
based Section 8 assistance;
    d. Section 202 and 811 developments with a Project Rental 
Assistance Contract (PRAC). Owners of Section 202 PRAC developments may 
obtain funding by requesting an increase in their PRAC payment 
consistent with Handbook 4381.5 REVISION-2, CHANGE-2, Chapter 8;
    e. Conventional public housing, as such term is defined in section 
3(b) of the United States Housing Act of 1937), and units assisted by 
project-based Housing Choice Vouchers, as set forth in 24 CFR Part 983.
    f. Renewals of existing Section 8 Service Coordinator subsidy 
awards or grants. HUD currently provides one-year extensions to these 
subsidy awards and grants through a separate funding action.
    B. Cost Sharing or Matching Requirement. None required.

C. Other

    1. Eligible Activities. The functions of a Service Coordinator 
position are considered the program's eligible activities. The major 
functions of the Service Coordinator include the following:
    a. Refer and link the residents of the development to supportive 
services provided by the general community. Such services may include 
case management, personal assistance, homemaker, meals-on-wheels, 
transportation, counseling, occasional visiting nurse, preventive 
health screening/wellness, and legal advocacy.

[[Page 11692]]

    b. Educate residents on service availability, application 
procedures, client rights, etc.
    c. Establish linkages with agencies and service providers in the 
community. Shop around to determine/develop the best ``deals'' in 
service pricing, to assure individualized, flexible, and creative 
services for the involved resident. Provide advocacy as appropriate.
    d. Provide case management when such service is not available 
through the general community. This might include evaluation of health, 
psychological and social needs, development of an individually tailored 
case plan for services, and periodic reassessment of the resident's 
situation and needs. Service Coordinators can also set up a 
Professional Assessment Committee (PAC) to assist in performing initial 
resident assessments. (See the guidance in the Congregate Housing 
Services Program (CHSP) regulations at 24 CFR 700.135 (or 7 CFR 
1944.258 for Rural Housing developments)).
    e. Monitor the ongoing provision of services from community 
agencies and keep the case management and provider agency current with 
the progress of the individual. Manage the provision of supportive 
services where appropriate.
    f. Help the residents build informal support networks with other 
residents, family and friends.
    g. Work and consult with tenant organizations and resident 
management corporations. Provide training to the development's 
residents in the obligations of tenancy or coordinate such training.
    h. Create a directory of providers for use by both development 
staff and residents.
    i. Educate other staff of the management team on issues related to 
aging in place and Service Coordination, to help them to better work 
with and assist the residents.
    j. Provide service coordination to low-income elderly individuals 
or nonelderly people with disabilities living in the vicinity of an 
eligible development. Community residents should come to your housing 
development to meet with and receive service from the Service 
Coordinator, but you must make reasonable accommodations for those 
individuals unable to travel to the housing site.
2. Eligible Program Costs
    a. Service Coordinator Program grant funds may be used to pay for 
the salary, fringe benefits, and related support costs of employing a 
service coordinator. Support costs may include quality assurance, 
training, travel, creation of office space, purchase of office 
furniture, equipment, and supplies, computer hardware, software, and 
Internet service, and indirect administrative costs.
    b. You may use grant funds to pay for Quality Assurance (QA) in an 
amount that does not exceed ten percent of the Service Coordinator's 
salary. Eligible QA activities are those that evaluate your program to 
assure that the position and program are effectively implemented. A 
qualified, objective third party must perform the program evaluation 
work and must have work experience and education in social or health 
care services. Your QA activities must identify short- and long-term 
program outcomes and performance indicators that will help you measure 
your performance. On-site housing management staff cannot perform QA 
and you may not augment current salaries of in-house staff for this 
purpose.
    c. You may propose reasonable costs associated with setting up a 
confidential office space for the Service Coordinator. Such expenses 
must be one-time only start-up costs. Such costs may involve 
acquisition, leasing, rehabilitation, or conversion of space. The 
office space must be accessible to people with disabilities and meet 
the Uniform Federal Accessibility Standards (UFAS) requirements of 
accessibility. HUD field office staff must approve both the proposed 
costs and activity and must perform an environmental assessment on such 
proposed work prior to grant award.
    d. Only ALCP applicants may use funds to augment a current Service 
Coordinator program, by increasing the hours of a currently employed 
Service Coordinator, or hiring an additional Service Coordinator or 
aide on a part- or full-time basis. The additional hours and/or staff 
must work only with ALCP residents.
3. Threshold Requirements
    a. At the time of submission, grant applications must contain the 
materials in Section IV.B.2.a and c of this NOFA in order to be 
considered for funding. If any of these items are missing, HUD will 
immediately reject your application.
    b. In cases where field office staff request information in 
response to technical deficiencies in applications, applicants must 
submit the response by the designated deadline date. If requested 
responses are not received by this date, HUD will reject the 
application.
    c. DUNS Number Requirement. Refer to the General Section for 
information regarding the DUNS requirement. You will need to obtain a 
DUNS number to receive an award from HUD.
    4. Program Requirements. In managing your Service Coordinator 
grant, you must meet the requirements of this Section. These 
requirements apply to all activities, programs, and functions used to 
plan, budget, and evaluate the work funded under your program.
    a. You must make sufficient separate and private office space 
available for the Service Coordinator and/or aides to meet with 
residents, without adversely affecting normal activities.
    b. The Service Coordinator must maintain resident files in a 
secured location. Files must be accessible ONLY to the Service 
Coordinator, unless residents provide signed consent otherwise. These 
policies must be consistent with maintaining confidentiality of 
information related to any individual per the Privacy Act of 1974.
    c. Grantees must ensure that the Service Coordinator receives 
appropriate supervision, training, and ongoing continuing education, 
consistent with statutory and HUD administrative requirements. This 
includes 36 hours of training in age-related and disability issues 
during the first year of employment, if the Service Coordinator has not 
received recent training in these areas, and 12 hours of continuing 
education each year thereafter.
    d. Grantees are responsible for any budget shortfalls during the 
three-year grant term.
    e. As a condition of receiving a grant, Section 202 developments 
without a dedicated residual receipts account must amend their 
regulatory agreement and open such an account, separate from their 
Reserve for Replacement account.
    f. Subgrants and Subcontracts. You may directly hire a Service 
Coordinator or you may contract with a qualified third party to provide 
this service.
    g. Environmental Requirements. It is anticipated that most 
activities under this program are categorically excluded from the 
National Environmental Policy Act (NEPA) and related environmental 
authorities under 24 CFR 50.19(b)(3), (4), (12), or (13). If grant 
funds will be used to cover the cost of any activities which are not 
exempt from environmental review requirements--such as acquisition, 
leasing, construction, or building rehabilitation, HUD must perform an 
environmental review to the extent required by 24 CFR part 50, prior to 
grant award. HUD Field office staff will determine the need for

[[Page 11693]]

an environmental assessment, based on the proposed program activities.

IV. Application and Submission Information

    A. Obtaining Grant Application Packages. Applicants may download 
the Instructions to the application found on the grants.gov Web site at 
http://www.grants.gov/applicants/apply--for--grants.jsp. The 
instructions contain the General Section and Program Section of the 
published NOFA as well as forms that you must complete and attach as a 
zip file to your application submission. If you have difficulty 
accessing the information, you may call the Grants.gov Support desk 
toll free at 800-518-GRANTS or e-mail your questions to 
Grants.gov">Support@Grants.gov. The Support Desk staff will assist you in accessing 
the information. Persons with hearing or speech impairments may access 
this number via TTY by calling the Federal Information Relay Service at 
(800) 877-8339.
    B. Content and Form of Application Submission. Your application 
must contain the items listed in paragraphs 1 and 2, below. These items 
include the standard forms listed in Section IV.B.2.b(4) of the General 
Section that are applicable to this funding Notice (collectively 
referred to as the ``standard forms''). The standard forms and other 
required forms are part of the electronic application found at http://www.grants.gov/apply_for_grants.jsp. The items are as follows:
1. Standard Forms
    a. Application for Federal Assistance (SF-424)
    b. Faith Based EEO Survey (SF-424 SUPP).
    c. If engaged in lobbying, the Disclosure of Lobbying Activities 
Form (SF-LLL)
    d. Applicant/Recipient Disclosure/Update Report (HUD-2880)
    e. Logic Model, (HUD-96010). The Logic Model for the Service 
Coordinator NOFA is contained in the application instructions download. 
Applicants may select the items from the download menu in each column 
that reflect their anticipated activity outputs and outcomes and select 
the activities and outcomes that reflect your program into the 
appropriate column in the Logic Model form. You must enter the 
appropriate outcomes in the outcome column related to the output list 
provided. The Master Logic Model listing also identifies the unit of 
measure that HUD is interested in collecting for the outputs and 
outcomes selected. In making the selections, you must identify the 
appropriate predicted number of units of measure to be accomplished for 
each out put and outcome. Use the space next to the output and outcome 
to identify the anticipated units of measure. You may select multiple 
outputs and outcomes.
    f. Acknowledgment of Application Receipt (HUD-2993), for applicants 
submitting paper applications only.
    g. You Are Our Client Grant Applicant Survey (HUD 2994-A), 
optional.
    h. Facsimile Transmittal (HUD-96011). This form must be used as 
part of the electronic application to transmit third party documents 
and other information as described in the General Section.
    2. Other Application Items. All applications for funding under the 
Service Coordinator Program must include the following documents and 
information:
    a. Service Coordinator First-Time Funding Request, form HUD-91186.
    b. Evidence of comparable salaries in your local area.
    c. Narrative Statements Describing Your Program.
    (1) Explain your method of estimating how many residents of your 
development are frail or at-risk elderly or non-elderly people with 
disabilities. Please document that individuals meeting these criteria 
make up at least 25 percent of your resident population. (Do not 
include elderly individuals or people with disabilities who do not live 
in the eligible developments included in your application.)
    (2) Explain how you will provide on-site private office space for 
the Service Coordinator, to allow for confidential meetings with 
residents. If construction is planned, also include a plan and a cost-
estimate.
    (3) Describe your quality assurance program evaluation activities 
and itemized list of estimated expenses for this activity if included 
in your request for funding. Indicate the type of professional or 
entity that will perform the work if known at this time or the criteria 
you will use to select the provider.
    (4) Describe your plan to address community resident needs, if 
applicable to your program.
    (5) If you are applying for an ALCP grant in conjunction with your 
Service Coordinator application, describe how the new or additional 
Service Coordinator hours will support your proposed assisted living 
program. Indicate if you want your Service Coordinator application 
entered into the lottery if your ALCP application is not selected to 
receive an award. In this instance, your SC application will be 
eligible only if the concerned housing development currently has no SC 
program.
    d. Evidence that no project funds are available to fund a Service 
Coordinator program. You must include a copy of your development's most 
recent bank statement (or the equivalent thereof), showing the 
project's current residual receipts or excess income balance (if any). 
It is incumbent upon the applicant to demonstrate that no such project 
funds are available.
    e. If applicable, provide evidence that prior funding sources for 
your development's Service Coordinator program are no longer available 
or will expire within six months following the application deadline 
date.
    f. Agents may prepare applications and sign application documents 
if they provide authorization from the owner corporation as part of the 
application. In such cases, the owner corporation must be indicated on 
all forms and documents as the funding recipient.
    (1) If an agent is preparing an electronic application for an 
owner, the owner must authorize the agent as the Authorized 
Organization Representative (AOR) in the Grants.gov Registration 
process. HUD will recognize this authority if the DUNS number included 
in the application belongs to the owner corporation and the name of the 
agent is listed as the AOR. Refer to Section IV.B. of the General 
Section for more detailed registration information.
    (2) If you are applying in paper copy format, you must provide a 
letter from the owner authorizing the submission by the agent on their 
behalf.
3. Single and Joint Applications
    a. Single Applications.
    (1) You may submit one application that contains one or more 
developments that your corporation owns. Submitting one application for 
each project you own will increase your chances of selection in the 
lottery. You may also submit one application that contains multiple 
projects you own, to reduce preparation time and resources. Each 
application must propose a stand-alone program at separate 
developments. The developments must all be located in the same field 
office jurisdiction.
    (2) If you wish to apply on behalf of developments located in 
different field office jurisdictions, you must submit a separate 
application to each field office.
    b. Joint Applications. You may join with one or more other eligible 
owners to share a Service Coordinator and submit a joint application. 
Small developments often join together to hire and share a part or 
full-time Service Coordinator and submit a joint

[[Page 11694]]

application. If more than one owner is proposing to share a Service 
Coordinator, one agency must designate itself the ``lead''. When the 
legal signatory for the owner corporation signs the application, the 
owner agrees to administer grant funds for all the housing developments 
listed in the application.
4. Application Submission Requirements for ALCP Applicants
    a. If you are an ALCP applicant and you request new or additional 
Service Coordinator funds specifically for your proposed Assisted 
Living Program, you must submit an application containing all required 
documents listed in Section IV.B of this NOFA. You may include a copy 
of all standard forms submitted as part of your ALCP application.
    b. If you currently do not have a Service Coordinator working at 
the development proposed in your ALCP application and your ALCP 
application is selected to receive an award, HUD will fund a Service 
Coordinator to serve either ALCP residents only or all residents of the 
development dependent upon your request. If your development currently 
has a Service Coordinator, you may request additional hours for the 
Service Coordinator to serve the Assisted Living residents only. If you 
request additional hours, you must specify the number of additional 
hours per week and provide an explanation based on the anticipated 
needs of the Assisted Living residents. If you request Service 
Coordinator funding to serve all residents of your development, 
indicate whether or not your request should be entered into the 
national lottery if your ALCP application is not selected to receive an 
award. Provide this information in your related narrative, pursuant to 
paragraph IV.B.2.c(5) of this NOFA.
    C. Submission Dates and Times. The application deadline date is 
June 8, 2007. (All applications must be received and validated by 
www.grants.gov no later than 11:59:59 p.m. eastern time on the 
application deadline date. See submission details in the General 
Section.)
    D. Intergovernmental Review. Not applicable to this program.

E. Funding Restrictions

    1. Alternative Funding for Service Coordinators. If your 
development has available Section 8 operating funds, residual receipts, 
or excess income (i.e. ``project funds''), not needed for critical 
project expenses, you must use these project funds prior to receiving 
grant monies. Owners may submit requests to use Section 8 operating 
funds, residual receipts, or excess income pursuant to instructions in 
Housing's Management Agent Handbook 4381.5, REVISION-2, CHANGE-2, 
Chapter 8 and Housing Notice H 02-14. HUD field staff may approve use 
of these project funds at any time, consistent with current policy. You 
should discuss the use of project funds with your field office staff 
prior to submitting a grant application.
2. Ineligible Activities and Program Costs
    a. You may not use funds available through this NOFA to replace 
currently available funding from other sources for a Service 
Coordinator or for some other staff person who performs service 
coordinator functions.
    b. Owners with existing service coordinator subsidy awards or 
grants may not apply for renewal or extension of those programs under 
this NOFA. HUD will provide extension funds through a separate funding 
process.
    c. Non-ALCP applicants may not use funds to augment a current 
Service Coordinator program, by increasing the hours of a currently 
employed Service Coordinator, or hiring an additional Service 
Coordinator or aide on a part-or full-time basis. HUD will award grants 
only to eligible projects that do not currently have (or are served by) 
an SC program, regardless of the funding source used to operate that 
program.
    d. Grant recipients may not use grant funds to pay for supervision 
performed by property management staff. (Management fees already pay 
for such supervision.)
    e. Cost overruns associated with creating private office space and 
usual audit and legal fees are not eligible uses of grant funds.
    f. The cost of application preparation is not eligible for 
reimbursement.
    g. Grant funds cannot be used to increase a project's management 
fee.
    h. Grant funds may not cover the cost of Service Coordinator-
related training courses for members of a development's management 
staff who do not directly provide Service Coordination. Owners must use 
their management fees to pay this expense.
    i. Owners/managers cannot use Reserve for Replacement funds to pay 
costs associated with a Service Coordinator program.
    j. CHSP grantees may not use these funds to meet statutory program 
match requirements and may not use these funds to replace current CHSP 
program funds to continue the employment of a service coordinator.
    k. Grantees cannot use grant funds to pay PAC members for their 
services.
    l. The grant amount allowed for QA may not exceed ten percent of 
the Service Coordinator's salary.
    3. Prohibited Service Coordinator Functions. Service Coordinators 
may not perform the following activities: a. Act as a recreational or 
activities director;
    b. Provide supportive services directly;
    c. Act as a Neighborhood Networks program director or coordinator; 
and
    d. Perform property management work, regardless of the funding 
source used to pay for these activities.

F. Other Submission Requirements

    1. Application Submission and Receipt Procedures. Carefully review 
the procedures presented in Section IV.B and F of the General Section. 
All applicants submitting Service Coordinator applications must submit 
applications electronically.
    2. Waiver of Electronic Submission Requirement. Applicants that are 
unable to submit their application electronically must seek a waiver of 
the electronic grant submission requirement. Requests for waivers must 
be submitted to HUD no later than 15 days before the application 
deadline date. Waiver requests must be submitted by mail or by fax. For 
this program NOFA, e-mail requests will not be considered. Waiver 
requests submitted by mail or fax should be submitted on the 
applicant's letterhead and signed by an official with the legal 
authority to request a waiver from the Department. The request must be 
addressed to the Assistant Secretary for Housing at the following 
address: Brian D. Montgomery, Assistant Secretary for Housing--Federal 
Housing Commissioner, Department of Housing and Urban Development, 451 
Seventh Street, SW., Room 9100, Washington, DC 20410-8000. Waiver 
requests submitted by fax must be sent to (202) 708-3104. If a waiver 
is granted, you will receive notification that provides specific 
instructions on how and where to submit the paper application. You must 
submit the required number of copies of your application (an original 
and two copies) by no later than the local HUD office's close of 
business on the application deadline date.
    3. Application Copies. Applicants submitting electronic 
applications must submit just one application to http://www.grants.gov/applicants/apply--for--grants.jsp. Applicants who receive a waiver for 
electronic submission will receive submission instructions in the 
waiver approval notification as to where the application should be 
submitted and the number of

[[Page 11695]]

copies to be provided. If you do not follow the instructions provided 
in your waiver approval, your application will be rejected. Therefore, 
if you are uncertain to which local office to submit your application, 
you should contact the local HUD office representative listed in the 
notification as a local contact for clarification. Paper applications 
received without a waiver will not be considered.
    4. Field Office Addresses. For a list of field office addresses, 
see HUD's Web site at http://www.hud.gov/localoffices.cfm.

V. Application Review Information

A. Criteria

    1. HUD will not award Service Coordinator Program grant funds 
through a rating and ranking process. Instead, the Department will hold 
one national lottery for all applications determined to be eligible by 
Multifamily Hub and Multifamily Program Center staffs.
    2. Threshold Eligibility Review. HUD Multifamily field office staff 
will review applications for completeness and compliance with the 
eligibility criteria set forth in Section III of this NOFA. Field 
office staff will deem an application eligible if the electronic 
application was received and validated by www.grants.gov no later than 
11:59:59 PM on June 8, 2007. Paper applications are eligible if 
received by the field office on or before the deadline date. Paper 
applications not received by the deadline date will not be considered. 
To be eligible for the lottery, in addition to meeting the timely 
submission requirements, an applicant must meet all eligibility 
criteria; propose reasonable costs for eligible activities, and, if 
technical corrections are requested during the review process, provide 
the technical correction(s) by the timeframe stated in the request.

B. Review and Selection Process

1. Funding Priorities
    a. Prior to the lottery, HUD will fund Service Coordinator 
applications submitted by FY2007 ALCP applicants, whose ALCP 
applications are selected for funding under that program's NOFA. HUD 
estimates that approximately $500,000 will be used to fund ALCP Service 
Coordinator applications. Any funds not used by the ALCP program to 
fund service coordinators will be added to the funds available for the 
National Lottery.
    b. After setting aside funds for ALCP applicants, and prior to the 
lottery, HUD will next fund all applications submitted by owners who 
are applying for grant funds to continue a currently operating program 
previously funded through project funds. As stated in paragraph 
III.A.3.f of this NOFA, such applications are eligible only if project 
funds are no longer available to continue the program.
2. Selection Process
    a. HUD will use remaining funds to make grant awards through the 
use of a national lottery. A computer program performs the lottery by 
randomly selecting eligible applications.
    b. HUD will fully fund as many applications as possible with the 
given amount of funds available. After all fully fundable applications 
have been selected by lottery, HUD may make an offer to partially fund 
the next application on the lottery's list, in order to use the entire 
amount of funds allocated. If the applicant selected for partial 
funding turns down the offer, HUD will make an offer to partially fund 
the next application on the lottery list. HUD will continue this 
process until an applicant accepts the partial funding offer.
    3. Reduction in Requested Grant Amount. HUD may make an award in an 
amount less than requested, if:
    a. HUD determines that some elements of your proposed program are 
ineligible for funding;
    b. There are insufficient funds available to make an offer to fully 
fund the application;
    c. HUD determines that reduced grant amount would prevent 
duplicative federal funding.
    4. Corrections to Deficient Applications. Section V.B. of the 
General Section provides the procedures for corrections to deficient 
applications.

VI. Award Administration Information

    A. Award Notices. HUD field staff will send, by postal or overnight 
mail, selection letters and grant agreements to the award recipient 
organization. The grant agreement is the obligating document and funds 
are obligated once the HUD grant officer signs the agreement. Field 
staff will send non-selection letters during this same period of time. 
If your application is rejected, field staff may notify you by letter 
any time during the application review process.
    B. Administrative and National Policy Requirements. None.
    C. Reporting. All award recipients must submit the following 
reports each year of their period of performance:
    1. Two Semi-Annual Financial Status Reports (SF-269-A), for each 
half-year period of the federal fiscal year;
    2. Two Semi-Annual Service Coordinator Performance Reports, (HUD-
92456), for each half-year period of the federal fiscal year;
    3. Two completed Logic Model forms, HUD-96010, submitted as an 
attachment to each Semi-Annual Performance Report. The Logic Model must 
present performance information corresponding to each six-month 
reporting period, annually, and results for the entire grant term. The 
reports should reflect achievements related to program outputs and 
outcomes as specified in your approved Logic Model incorporated into 
your grant agreement. The objectives of the Service Coordinator program 
are to enhance a resident's quality of life and ability to live 
independently and to age in place. The data that HUD collects on the 
performance report and Logic Model measure, in a quantitative form, the 
grantee's success in meeting these intended program outcomes. HUD is 
also considering a new concept for the Logic Model, the Return on 
Investment (ROI) Statement. HUD will be publishing a separate notice on 
the ROI concept.
    4. Periodic reimbursement requests (i.e., Payment Voucher, form 
HUD-50080-SCMF), providing program expenses for the associated time 
period, and submitted in accordance with the due dates stated in the 
grant agreement. Grantees must request grant payments directly 
following the end of each agreed-upon time period and the funds must 
reimburse those program costs already incurred.
    5. If your grant includes Quality Assurance activities, you must 
provide a copy of at least one annual report that your QA provider 
submits to you each year. You must submit this copy along with the 
semi-annual reports that are due on October 30 of each year. The QA 
provider's report that you submit to HUD must include the following 
information: who performed the QA work, when the review(s) was 
conducted, and the results of the evaluation. The results should 
include such information as how many residents were served, the types 
of services they receive, the training sessions attended by the Service 
Coordinator, and the extent of resident satisfaction with the program. 
HUD will use this report, in tandem with other reports and performance 
data, to determine a grantee's acceptable program performance.

VII. Agency Contacts

    You may contact your local HUD field office staff for questions you 
have regarding this NOFA and your

[[Page 11696]]

application. Please contact the Multifamily Housing Service Coordinator 
contact person in your local office. If you are an owner of a Section 
515 development, contact the HUD field office that monitors your 
Section 8 contract. If you have a question that the field staff is 
unable to answer, please call Carissa Janis, Housing Project Manager; 
Office of Housing Assistance and Grants Administration; Department of 
Housing and Urban Development; 451 Seventh Street, SW., Room 6146; 
Washington, DC 20410-8000; (202) 402-2487 (this is not a toll-free 
number). If you are hearing-or speech-impaired, you may access this 
number via TTY by calling the Federal Information Relay Service at 800-
877-8339.

VIII. Other Information

    A. Satellite Broadcast. HUD will hold an information program for 
potential applicants via satellite broadcast to learn more about the 
program and preparation of the application. For more information about 
the date and time of the broadcast, you should contact your local field 
office staff or consult the HUD Web site at http://www.hud.gov.
    B. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2502-0477. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 50.25 hours per annum per 
respondent for the application and grant administration. This includes 
the time for collecting, reviewing, and reporting the data for the 
application, semi-annual reports and final report. The information will 
be used for grantee selection and monitoring the administration of 
funds. Response to this request for information is required in order to 
receive the benefits to be derived.

[[Page 11697]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.025


[[Page 11698]]



Section 202 Supportive Housing for the Elderly Program (Section 202 
Program)

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Housing.
    B. Funding Opportunity Title: Section 202 Supportive Housing for 
the Elderly.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR-5100-N-07; OMB Approval Number is 
2502-0267.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.157, 
Section 202 Supportive Housing for the Elderly.
    F. Dates: The application deadline date is on or before May 25, 
2007. Applications must be received and validated by Grants.gov by 
11:59:59 p.m. eastern time on the deadline date. Please be sure to read 
the General Section for electronic application submission and receipt 
requirements.

G. Optional, Additional Overview Content Information

    1. Purpose of the Program. This program provides funding for the 
development and operation of supportive housing for very low-income 
persons 62 years of age or older.
    2. Available Funds. Approximately $431.5 million in capital advance 
funds, plus associated project rental assistance contract (PRAC) funds 
and any carryover funds available.
    3. Types of Funds. Capital advance funds will cover the cost of 
developing the housing. PRAC funds will cover the difference between 
the HUD-approved operating costs of the project and the tenants' 
contributions toward rent (30 percent of their adjusted monthly 
income).
    4. Eligible Applicants. Private nonprofit organizations and 
nonprofit consumer cooperatives. (See Section III.C.3.k of this NOFA 
for further details and information regarding the formation of the 
Owner corporation).
    5. Eligible Activities. New construction, rehabilitation, or 
acquisition (with or without rehabilitation) of housing. See Section 
III.C.1 below of this NOFA for further information.
    6. Match Requirements. None required.
    7. Local HUD Offices. The local HUD office structure, for the 
purpose of implementing the Section 202 program, consists of 18 
Multifamily Hub Offices. Within the Multifamily Hubs, there are 
Multifamily Program Centers with the exception of the New York Hub, the 
Buffalo Hub, the Denver Hub and the Los Angeles Hub. All future 
references shall use the term ``local HUD office'' unless a more 
detailed description is necessary as in Limitations on Applications and 
Ranking and Selection Procedures, below.

Full Text of Announcement

I. Funding Opportunity Description

    A. Program Description. HUD provides capital advances and contracts 
for project rental assistance in accordance with 24 CFR part 891. 
Capital advances may be used for the construction or rehabilitation of 
a structure, or acquisition of a structure with or without 
rehabilitation. Capital advance funds bear no interest and are based on 
development cost limits in Section IV.E.3. Repayment of the capital 
advance is not required as long as the housing remains available for 
occupancy by very low-income elderly persons for at least 40 years.
    PRAC funds are used to cover the difference between the tenants' 
contributions toward rent (30 percent of adjusted income) and the HUD-
approved cost to operate the project. PRAC funds may also be used to 
provide supportive services and to hire a service coordinator in those 
projects serving frail elderly residents. The supportive services must 
be appropriate to the category or categories of frail elderly residents 
to be served.
    B. Authority. The Section 202 Supportive Housing for the Elderly 
Program is authorized by section 202 of the Housing Act of 1959 (12 
U.S.C. 1701q), as amended by section 801 of the Cranston-Gonzalez 
National Affordable Housing Act (Pub. L. 101-625; approved November 28, 
1990); the Housing and Community Development Act of 1992 (Pub. L. 102-
550; approved October 28, 1992); the Rescissions Act (Pub. L. 104-19; 
enacted on July 27, 1995); the American Homeownership and Economic 
Opportunity Act of 2000 (Pub. L. 106-569; approved December 27, 2000); 
and the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 
110-5; approved February 15, 2007).
    C. Calculation of Fund Reservation. If selected, you will receive a 
fund reservation that will consist of both a reservation of capital 
advance funds and a reservation of three years for project rental 
assistance.
    1. Capital Advance Funds. The reservation of capital advance funds 
is based on a formula which takes the development cost limit for the 
appropriate building type (elevator, non-elevator) and unit size(s) and 
multiplies it by the number of units of each size (including a unit for 
a resident manager, if applicable) and then multiplies the result by 
the high cost factor for the area. The development cost limits can be 
found in Section IV.E.3. of this NOFA.
    2. PRAC Funds. The initial PRAC award covers three years. The 
amount awarded is determined by multiplying the number of revenue units 
for elderly persons by the appropriate operating cost standard times 3. 
The operating cost standards will be published by Notice.

II. Award Information

    A. Available Funds. For FY2007, approximately $431.5 million is 
available for capital advances for the Section 202 Supportive Housing 
for the Elderly Program. The Revised Continuing Appropriations 
Resolution, 2007 (Pub. L. 110-5; approved February 15, 2007) provides 
approximately $742 million for capital advances, including amendments 
to capital advance contracts, for supportive housing for the elderly as 
authorized by Section 202 of the Housing Act of 1959 (12 U.S.C. 1701q), 
as amended by section 801 of the Cranston-Gonzalez National Affordable 
Housing Act (Pub. L. 101-625, approved November 28, 1990), for project 
rental assistance, amendments to contracts for project rental 
assistance, and the renewal of expiring contracts for such assistance 
for up to a one-year term, for supportive housing for the elderly under 
section 202(c)(2) of the Housing Act of 1959 as well as the amount of 
$400,000 to be transferred to the Working Capital Fund. Additionally, 
of the amount appropriated, approximately $51,600,000 is provided for 
Service Coordinators and the continuation of Congregate Services 
grants, up to $24,800,000 is provided for Assisted Living Conversion 
grants and Emergency Capital Repairs, and approximately $20,000,000 is 
provided for a Section 202 Demonstration Pre-Development Grant Program.
    The announcement of the availability of the funds for the Service 
Coordinators and the continuation of Congregate Services as well as the 
Assisted Living Conversion program is covered elsewhere in this NOFA.
    The announcement of the availability of funds for Emergency Capital 
Repairs will be addressed in a separate Federal Register publication.
    In accordance with the waiver authority provided in the Department 
of Housing and Urban Development Appropriations Act, 2006 (Pub. L. 109-
115; approved November 30, 2005), the Secretary is waiving the 
following statutory and regulatory provision: The term of the project 
rental assistance

[[Page 11699]]

contract is reduced from 20 years to 3 years. HUD anticipates that at 
the end of the contract terms, renewals will be approved subject to the 
availability of funds. In addition to this provision, HUD will reserve 
project rental assistance contract funds based on 75 percent rather 
than on 100 percent of the current operating cost standards for 
approved units in order to take into account the average tenant 
contribution toward rent.
    The allocation formula used for Section 202 reflects the ``relevant 
characteristics of prospective program participants,'' as specified in 
24 CFR 791.402(a). The FY2007 formula consists of one data element from 
the 2000 Census: number of one-person elderly renter households 
(householder age 62 and older) with incomes at or below the applicable 
Section 8 very low-income limit, and with housing conditions. Housing 
conditions are defined as paying more than 30 percent of income for 
gross rent, or occupying a unit lacking some or all kitchen or plumbing 
facilities, or occupying an overcrowded unit (1.01 persons per room or 
more).
    Under Section 202, 85 percent of the total capital advance amount 
is allocated to metropolitan areas and 15 percent to nonmetropolitan 
areas. In addition, each local HUD office jurisdiction receives 
sufficient capital advance funds for a minimum of 20 units in 
metropolitan areas and 5 units in nonmetropolitan areas. The total 
amount of capital advance funds to support these minimum set-asides are 
subtracted from the respective (metropolitan or nonmetropolitan) total 
capital advance amounts available. The remainder is fair shared to each 
local HUD office jurisdiction whose fair share exceeds the minimum set-
aside based on the allocation formula fair share factors described 
below.

    Note: The allocations for metropolitan and nonmetropolitan 
portions of the local HUD office jurisdictions reflect the 
definitions of metropolitan and nonmetropolitan areas as of the June 
2003 definitions by the Office of Management and Budget.

    A fair share factor is developed for each metropolitan and 
nonmetropolitan portion of each local HUD office jurisdiction by 
dividing the number of elderly renter households in the respective 
metropolitan and nonmetropolitan portion of the jurisdiction by the 
total number of elderly rental households in the metropolitan and 
nonmetropolitan portions of the United States. The resulting percentage 
for each local HUD office jurisdiction is then adjusted to reflect the 
relative cost of providing housing among the local HUD office 
jurisdictions. The adjusted needs percentage for the applicable 
metropolitan or nonmetropolitan portion of each jurisdiction is then 
multiplied by the respective total remaining capital advance funds 
available nationwide. Based on the allocation formula, HUD has 
allocated the available capital advance funds as shown on the following 
chart:

                                 FY 2007 SECTION 202 ALLOCATION BY FIELD OFFICE
----------------------------------------------------------------------------------------------------------------
                                      Metropolitan              Non-Metropolitan                  Totals
                               ---------------------------------------------------------------------------------
            Offices                          Capital                         Capital                  Capital
                                 Units       advance          Units          advance      Units       advance
----------------------------------------------------------------------------------------------------------------
                               BOSTON HUB
----------------------------------------------------------------------------------------------------------------
BOSTON........................      107     $14,777,154               5        $688,957      112     $15,466,111
HARTFORD......................       56       7,970,321               5         713,661       61       8,683,982
MANCHESTER....................       36       4,005,849              19       2,044,752       55       6,050,601
PROVIDENCE....................       36       4,988,499  ..............  ..............       36       4,988,499
    TOTAL.....................      235      31,741,823              29       3,447,370      264      35,189,193
----------------------------------------------------------------------------------------------------------------
                                                  NEW YORK HUB
----------------------------------------------------------------------------------------------------------------
NEW YORK......................      252      35,904,226               5         713,661      257      36,617,887
----------------------------------------------------------------------------------------------------------------
                                                   BUFFALO HUB
----------------------------------------------------------------------------------------------------------------
BUFFALO.......................       73       8,909,520              20       2,475,872       93      11,385,392
----------------------------------------------------------------------------------------------------------------
                                                PHILADELPHIA HUB
----------------------------------------------------------------------------------------------------------------
PHILADELPHIA..................      105      14,097,914              15       1,963,717      120      16,061,630
CHARLESTON....................       20       2,130,004              10        1,024,03       30       3,154,037
NEWARK........................      120      17,044,604  ..............  ..............      120      17,044,604
PITTSBURGH....................       55       6,182,034              12       1,376,023       67       7,558,057
          TOTAL...............      300      39,454,555              37       4,363,773      337      43,818,328
----------------------------------------------------------------------------------------------------------------
                                                  BALTIMORE HUB
----------------------------------------------------------------------------------------------------------------
BALTIMORE.....................       54       5,980,970               5         551,715       59       6,532,685
RICHMOND......................       50       5,132,026              12       1,260,724       62       6,392,750
WASHINGTON....................       52       6,403,632  ..............  ..............       52       6,403,632
    TOTAL.....................      156      17,516,628              17       1,812,439      173      19,329,067
----------------------------------------------------------------------------------------------------------------
                                                 GREENSBORO HUB
----------------------------------------------------------------------------------------------------------------
GREENSBORO....................       55       7,164,697              24       3,081,337       79      10,246,034
COLUMBIA......................       38       4,138,685              11       1,188,664       49       5,327,349
    TOTAL.....................       93      11,303,382              35       4,270,001      128      15,573,383
----------------------------------------------------------------------------------------------------------------

[[Page 11700]]

 
                                                JACKSONVILLE HUB
----------------------------------------------------------------------------------------------------------------
JACKSONVILLE..................      149      14,433,608              10         983,871      159      15,417,479
BIRMINGHAM....................       42       3,924,098              14       1,321,771       56       5,245,869
JACKSON.......................       20       1,833,560              15       1,354,360       35       3,187,920
    TOTAL.....................      211      20,191,266              39       3,660,002      250      23,851,268
----------------------------------------------------------------------------------------------------------------
                                                   ATLANTA HUB
----------------------------------------------------------------------------------------------------------------
ATLANTA.......................       57       5,544,601              17       1,639,350       74       7,183,951
LOUISVILLE....................       37       3,837,544              17       1,744,670       54       5,582,214
KNOXVILLE.....................       20       1,943,354               8         778,828       28       2,722,182
NASHVILLE.....................       38       3,765,207              12       1,201,262       50       4,966,469
SAN JUAN......................       20       2,437,427               5         609,357       25       3,046,784
    TOTAL.....................      172      17,528,133              59       5,973,467      231      23,501,600
----------------------------------------------------------------------------------------------------------------
                                                   CHICAGO HUB
----------------------------------------------------------------------------------------------------------------
CHICAGO.......................      124      16,651,845              19       2,552,786      143      19,204,631
INDIANAPOLIS..................       59       6,096,281              15       1,604,961       74       7,701,242
    TOTAL.....................      183      22,748,126              34       4,157,747      217      26,905,873
----------------------------------------------------------------------------------------------------------------
                                                  COLUMBUS HUB
----------------------------------------------------------------------------------------------------------------
COLUMBUS......................       36       3,657,755              13       1,297,567       49       4,955,322
CINCINNATI....................       45       4,590,843               5         510,542       50       5,101,385
CLEVELAND.....................       68       7,700,033              12       1,358,297       80       9,058,330
    TOTAL.....................      149      15,948,631              30       3,166,406      179      19,115,037
----------------------------------------------------------------------------------------------------------------
                                                   DETROIT HUB
----------------------------------------------------------------------------------------------------------------
DETROIT.......................       72       8,526,033               9       1,024,695       81       9,550,728
GRAND RAPIDS..................       40       3,471,521              12       1,079,547       52       4,551,068
    TOTAL.....................      112      11,997,554              21       2,104,242      133      14,101,796
----------------------------------------------------------------------------------------------------------------
                                                 MINNEAPOLIS HUB
----------------------------------------------------------------------------------------------------------------
MINNEAPOLIS...................       54       6,634,004              19       2,308,510       73       8,942,514
MILWAUKEE.....................       62       7,585,608              19       2,345,943       81       9,931,551
    TOTAL.....................      116      14,219,612              38       4,654,453      154      18,874,065
----------------------------------------------------------------------------------------------------------------
                                                  FT WORTH HUB
----------------------------------------------------------------------------------------------------------------
FT WORTH......................       79       7,192,861              20       1,815,184       99       9,008,045
HOUSTON.......................       53       4,713,363               8         753,322       61       5,466,685
LITTLE ROCK...................       20       1,767,683              14       1,230,048       34       2,997,731
NEW ORLEANS...................       44       4,111,108              12       1,114,371       56       5,225,479
SAN ANTONIO...................       45       3,981,971               9         799,046       54       4,781,017
    TOTAL.....................      241      21,766,986              63       5,711,971      304      27,478,957
----------------------------------------------------------------------------------------------------------------
                                                 KANSAS CITY HUB
----------------------------------------------------------------------------------------------------------------
KANSAS CITY...................       47       5,035,917              17       1,802,135       64       6,838,052
OKLAHOMA CITY.................       35       3,169,210              14       1,262,681       49       4,431,891
DES MOINES....................       20       1,833,560              17       1,520,159       37       3,353,719
OMAHA.........................       20       2,053,148              12       1,194,837       32       3,247,985
ST LOUIS......................       40       4,779,064              12       1,448,490       52       6,227,554
    TOTAL.....................      162      16,870,899              72       7,228,302      234      24,099,201
----------------------------------------------------------------------------------------------------------------
                                                   DENVER HUB
----------------------------------------------------------------------------------------------------------------
DENVER........................       65       6,914,077              25       2,280,793       90       9,194,870
----------------------------------------------------------------------------------------------------------------
                                                SAN FRANCISCO HUB
----------------------------------------------------------------------------------------------------------------
SAN FRANCISCO.................      122      16,644,130               9       1,145,500      131      17,789,630
HONOLULU......................       20       3,952,584               5         988,146       25       4,940,730
PHOENIX.......................       49       4,700,558               8         813,731       57       5,514,289
SACRAMENTO....................       43       5,944,251               8       1,121,909       51       7,066,160
    TOTAL.....................      234      31,241,523              30       4,069,286      264      35,310,809
----------------------------------------------------------------------------------------------------------------

[[Page 11701]]

 
                                                 LOS ANGELES HUB
----------------------------------------------------------------------------------------------------------------
LOS ANGELES...................      191      25,334,365               5         661,509      196      25,995,874
----------------------------------------------------------------------------------------------------------------
                                                   SEATTLE HUB
----------------------------------------------------------------------------------------------------------------
SEATTLE.......................       64       8,048,338              11       1,388,476       75       9,436,814
ANCHORAGE.....................       20       3,952,584               5         988,146       25       4,940,730
PORTLAND......................       48       5,214,272              15       1,602,644       63       6,816,916
    TOTAL.....................      132      17,215,194              31       3,979,266      163      21,194,460
----------------------------------------------------------------------------------------------------------------
          NATIONAL TOTAL......    3,077    $366,806,500             590     $64,730,560    3,667    $431,537,060
----------------------------------------------------------------------------------------------------------------

    B. Type of Award. Capital Advance and Project Rental Assistance 
Contract Funds for new Section 202 applications.
    C. Type of Assistance Instrument. The Agreement Letter stipulates 
the terms and conditions for the Section 202 fund reservation award as 
well as the submission requirements following the fund reservation 
award. The duration of the fund reservation award for the capital 
advance is 18 months from the date of issuance of the fund reservation.
    D. Anticipated Start and Completion Date. Immediately upon your 
acceptance of the Agreement Letter, you are expected to begin work 
toward the submission of a Firm Commitment Application, which is the 
next application submission stage. You are required to submit a Firm 
Commitment Application to the local HUD office within 180 days from the 
date of the Agreement Letter. Initial closing of the capital advance 
and start of construction of the project are expected to be 
accomplished within the duration of the fund reservation award period 
as indicated in the above paragraph regarding the Type of Assistance 
Instrument. Final closing of this capital advance is expected to occur 
no later than six months after completion of project construction.

III. Eligibility Information

    A. Eligible Applicants. Private nonprofit organizations and 
nonprofit consumer cooperatives that meet the threshold requirements 
contained in the General Section and Section III.C.2. of this NOFA are 
the only eligible applicants under this Section 202 program. Neither a 
public body nor an instrumentality of a public body is eligible to 
participate in the program.
    Applicant eligibility for purposes of applying for a Section 202 
fund reservation under this NOFA has not changed; i.e., all Section 202 
Sponsors and Co-Sponsors must be private nonprofit organizations and 
nonprofit consumer cooperatives. However, the Owner corporation, when 
later formed by the Sponsor, may be (1) a single-purpose private 
nonprofit organization that has tax-exempt status under Section 
501(c)(3) or Section 501(c)(4) of the Internal Revenue Code of 1986, 
(2) nonprofit consumer cooperative, or (3) for purposes of developing a 
mixed-finance project pursuant to the statutory provision under Title 
VIII of the American Homeownership and Economic Opportunity Act of 
2000, a for-profit limited partnership with a private nonprofit 
organization as the sole general partner.
    See Section III.C.3.b. regarding limits on the total number of 
units and projects for which you may apply for funding.
    B. Cost Sharing or Matching. No cost sharing or match is required; 
however, you are required to make a commitment to cover the estimated 
start-up expenses, the minimum capital investment of one-half of one 
percent of the HUD-approved capital advance, not to exceed $10,000 or 
for a national Sponsor not to exceed $25,000, and any funds required in 
excess of the capital advance, including the estimated cost of any 
amenities or features (and operating costs related thereto) which are 
not covered by the capital advance. You make such a commitment by 
signing the Form HUD-92042, Sponsor's Resolution for Commitment to 
Project in Exhibit 8(g) of the application found in Section IV.B.
    C. Other.
    1. Eligible Activities. Section 202 capital advance funds must be 
used to finance the development of housing through new construction, 
rehabilitation, or acquisition with or without rehabilitation. Capital 
advance funds may also be used in combination with other non-Section 
202 funding sources leveraged by a for-profit limited partnership (of 
which a single-purpose private nonprofit organization is the sole 
general partner) to develop a mixed-finance project, including a mixed-
finance project for additional units for the elderly over and above the 
Section 202 units. The development of a mixed-use project in which the 
Section 202 units are mortgaged separately from the other uses of the 
structure is not considered a mixed-finance project. Project rental 
assistance funds are provided to cover the difference between the HUD-
approved operating costs and the amount the residents pay (each 
resident pays 30 percent of adjusted income) as well as to provide 
supportive services to frail elderly residents.

    Note: For purposes of approving Section 202 capital advances, 
HUD will consider proposals involving mixed-financing for additional 
units over and above the Section 202 units. However, you must obtain 
funds to assist the additional units with other than PRAC funds. HUD 
will not provide PRAC funds for non-Section 202 units.

    A portion of the PRAC funds (not to exceed $15 per unit/per month) 
may be used to cover some of the cost of any supportive services for 
those frail elderly or those elderly determined to be at-risk of being 
institutionalized. The balance of the cost for services must be paid 
for from sources other than the capital advance or PRAC funds. Also, 
the cost of employing a service coordinator for those projects serving 
principally the frail elderly (when at least 25 percent of the 
residents will be frail or determined to be at-risk of being 
institutionalized) is an eligible use of PRAC funds. Section 202 
projects receiving Congregate Housing Services assistance under Section 
802 of the National Affordable Housing Act are not eligible to use 
capital advance or PRAC

[[Page 11702]]

funds for supportive services or the cost of a service coordinator.
    2. Threshold Requirements for Funding Consideration. In addition to 
the threshold criteria outlined in the General Section, the following 
threshold requirements must be met:
    a. Non-Responsive Application. Your application will be considered 
non-responsive to the NOFA and will not be accepted for processing if 
you:
    (1) requested and received approval to submit a paper application 
and you submit less than the required number of paper copies. 
Applicants receiving waiver approval to submit a paper application must 
follow the instructions in the approval notification regarding where to 
submit the application and the number of copies required. All paper 
applications granted a waiver to the electronic application submission 
requirement must be received by HUD at the proper location no later 
than the deadline date.
    (2) submit paper copies of the application if you have not received 
approval from HUD for a waiver of the electronic submission 
requirements;
    (3) submit a substantially deficient application (i.e., a majority 
of the required exhibits are not submitted with your application, 
particularly, but not limited to, those exhibits which are not 
curable). HUD reserves the right to determine whether your application 
is substantially deficient for purposes of determining whether the 
application is non-responsive to the NOFA. Refer to Section IV.B., 
Content of Form of Application Submission, for information on the 
required exhibits for submission with your application to ensure that 
your application is complete at time of submission;
    (4) request more units than were allocated in either the 
metropolitan or nonmetropolitan allocation category to the local HUD 
office that will be reviewing your application or 125 units, whichever 
is less (see the allocation chart in Section II.A. above);
    (5) request less than the minimum number of 5 units per site;
    (6) request assistance for an ineligible activity as defined in 
Section IV.E., Funding Restrictions, of this program NOFA; or
    (7) are an ineligible applicant (see Section III.A, Eligible 
Applicants of this program NOFA).
    b. Other Criteria
    (1) You, or a co-Sponsor, must have experience in providing housing 
or services to elderly persons.
    (2) You and any co-Sponsor must be eligible private nonprofit 
organizations or nonprofit consumer cooperatives with tax exempt status 
under Internal Revenue Service code.
    (3) Your application must contain acceptable evidence of the 
following:
    (a) Evidence of Site Control. You must provide evidence of site 
control as described in this section and Exhibit 4(d)(i) of Section 
IV.B. of this NOFA).
    (b) Historic Preservation. You are required to send a letter to the 
State/Tribal Historic Preservation Officer (SHPO/THPO) that attempts to 
initiate consultation with their office and requests their review of 
your determinations and findings with respect to the historical 
significance of your proposed project. A sample letter to the SHPO/THPO 
that you may adapt for your use, if you so choose, is available on 
HUD's Web site at http://www.hud.gov/offices/adm/ grants/
fundsavail.cfm. You must include a copy of your letter to the SHPO/THPO 
in your application and a statement that you have not received a 
response letter(s) from the SHPO/THPO or a copy of the response 
letter(s) received from the SHPO/THPO.
    (c) Contamination. HUD must determine if a proposed site contains 
contamination, such as hazardous waste, petroleum, or petroleum 
products, and, if so, HUD must be satisfied that it is eliminated to 
the extent necessary to meet non site-specific federal, state or local 
health standards. You must assist HUD by doing the following:
    (i) Phase I Environmental Site Assessment (ESA). You must undertake 
and submit a Phase I ESA, prepared in accordance with the ASTM Standard 
E 1527-05, as amended, using the table of contents and report format 
specified at Appendix X4 thereto, completed or updated as specified at 
Section 4.6 thereto no earlier than 180 days prior to the application 
deadline date. The Phase I ESA must be completed and submitted with the 
application. Therefore, it is important that you start the Phase I ESA 
process as soon after publication of the SuperNOFA as possible.

    Note: A Phase I ESA that is not properly updated, does not use 
the report format specified at Appendix X4 of ASTM Standard E 1527-
05, or that is prepared in accordance with an older version of ASTM 
E 1527 will result in a technical rejection of your application.

    To help you choose an environmentally safe site, HUD invites you to 
review the documents ``Choosing an Environmentally Safe Site'' and 
``Supplemental Guidance, Environmental Information'', which are 
available on the HUD Web site at http://www.hud.gov/offices/adm/ 
grants/fundsavail.cfm.
    (ii) Phase II ESA. If the Phase I ESA indicates the possible 
presence of contamination and/or hazards, you must decide whether to 
continue with this site or choose another site. Should you choose 
another site, the same Phase I ESA process identified above must be 
followed for the new site. However, if you choose to continue with the 
original site on which the Phase I ESA indicated contamination or 
hazards, you must undertake a detailed Phase II ESA by an appropriate 
professional. In order for your application to be considered for review 
under this FY2007 funding competition, the Phase II must be received by 
the local HUD office on or before June 25, 2007.
    (iii) Clean-up--If the Phase II ESA reveals site contamination, the 
extent of the contamination and a plan for clean-up of the site must be 
submitted to the local HUD office. The plan for clean-up must include a 
contract for remediation of the problem(s) and an approval letter from 
the applicable federal, state, and/or local agency with jurisdiction 
over the site. In order for your application to be considered for 
review under this FY2007 funding competition, this information must be 
received by the local HUD office on or before June 25, 2007. If the 
above information is not received by the local HUD office by that date, 
the application will be rejected.

    Note: Clean-up could be an expensive undertaking. You must pay 
for the cost of any clean-up and/or remediation with sources other 
than the capital advance funds. If the application is approved, 
clean-up must be completed prior to initial closing. Completion of 
clean-up means that HUD must be satisfied that the contamination has 
been eliminated to the extent necessary to meet non site-specific 
federal, state or local health standards, with no active or passive 
remediation still taking place, no capping over of any 
contamination, and no monitoring wells. However, it is acceptable if 
contamination remains solely in groundwater that is at least 25 feet 
below the surface.

    (d) Asbestos. Asbestos is a hazardous substance commonly used in 
building products until the late 1970s. Therefore, you must submit one 
of the following with your application:
    (i) If there are no pre-1978 structures on the site or if there are 
pre-1978 structures, that most recently consisted of solely four or 
fewer units of single-family housing including appurtenant structures 
thereto, a statement to this effect, or
    (ii) If there are pre-1978 structures on the site, other than for a 
site that most recently consisted of solely four or fewer units of 
single-family housing

[[Page 11703]]

including appurtenant structures thereto, a comprehensive building 
asbestos survey that is based on a thorough inspection to identify the 
location and condition of asbestos throughout any structures. In those 
cases where suspect asbestos is found, it would either be assumed to be 
asbestos or would require confirmatory testing. If the asbestos survey 
indicates the presence of asbestos or the presence of asbestos is 
assumed, and if the application is approved, HUD will condition the 
approval on an appropriate mix of asbestos abatement and an asbestos 
Operations and Maintenance Plan.
    (4) There must be a market need for the number of units proposed in 
the area of the project location.
    (5) You are required to include a Supportive Services Plan that 
describes the supportive services proposed to be provided to the 
anticipated occupants, including a description of the public or private 
funds that are expected to fund the proposed services and the manner in 
which the services will be provided to the proposed residents (see 
Exhibit 5 in Section IV.B. of this NOFA). You must not require 
residents to accept any supportive services as a condition of occupancy 
or admission.
    (6) Delinquent Federal Debt. Refer to the General Section for 
information regarding delinquent federal debt.
    3. Program Requirements. By signing Form HUD-92015-CA, Supportive 
Housing for the Elderly Section 202, Application for Capital Advance 
Summary Information, you are certifying that you will comply with all 
program requirements listed in the General Section as well as the 
following requirements:
    a. Statutory and Regulatory Requirements. In addition to the 
statutory, regulatory, threshold and public policy requirements listed 
in the General Section, you must comply with all statutory and 
regulatory requirements listed in this NOFA.
    b. Application/Project Size Limits.
    (1) Application Limits Applicable to Sponsors or Co-Sponsors. A 
Sponsor or Co-Sponsor may not apply for more than 200 units of housing 
for the elderly in a single Hub or more than 10 percent of the total 
units allocated to all HUD offices. Affiliated entities (organizations 
that are branches or offshoots of a parent organization) that submit 
separate applications are considered a single entity for the purpose of 
this limit.
    (2) Maximum Project Size. No single application may propose the 
development of a project for more than the number of units allocated to 
a local HUD office (in either the metropolitan or nonmetropolitan 
allocation category, depending on the location of your proposed 
project) or 125 units, whichever is less. For example, the local HUD 
office, which has jurisdiction over the area of your proposed project, 
was allocated 80 units (metropolitan) and 20 units (nonmetropolitan) 
for a total of 100 units. You cannot apply for more than 80 units if 
your proposed project is in a metropolitan area and no more than 20 
units if the project is in a nonmetropolitan area. The maximum project 
size includes a resident manager's unit, if proposed.
    (3) Minimum Project Size. The minimum number of units that can be 
applied for in one application is five units. If the proposed project 
will be a scattered-site development, the five-unit minimum requirement 
will apply to each site.
    c. Minimum Capital Investment. If selected, you must provide a 
minimum capital investment of one-half of one percent of the HUD-
approved capital advance amount, not to exceed $10,000 in accordance 
with 24 CFR 891.145, with the following exception: If you, as Sponsor 
or Co-Sponsor, have one or more Section 202 or one or more Section 811 
project(s) under reservation, construction, or management in two or 
more different HUD geographical regions (Hubs), the minimum capital 
investment shall be one-half of one percent of the HUD-approved capital 
advance amount, not to exceed $25,000.
    d. Accessibility. Your project must meet accessibility requirements 
published at 24 CFR 891.120, 24 CFR 891.210, and Section 504 of the 
Rehabilitation Act of 1973 and its implementing regulations at 24 CFR 
Part 8, and, if new construction, the design and construction 
requirements of the Fair Housing Act and HUD's implementing regulations 
at 24 CFR part 100. In addition, 24 CFR 8.4(b)(5) prohibits the 
selection of a site or location which has the purpose or effect of 
excluding persons with disabilities from the federally assisted program 
or activity. Refer to Section V.A. below and the General Section for 
information regarding the policy priority of encouraging accessible 
design.
    e. Conducting Business in Accordance with HUD Core Values and 
Ethical Standards. You are not subject to the requirements of 24 CFR 
parts 84 and 85 as outlined in the General Section, except that the 
disposition of real property may be subject to 24 CFR part 84. However, 
you are still subject to the core values and ethical standards as they 
relate to the conflict of interest provisions in 24 CFR 891.130. To 
ensure compliance with the program's conflict of interest provisions, 
you are required to sign a Conflict of Interest Resolution and include 
it in your Section 202 application. Further, if awarded a Section 202 
fund reservation, the officers, directors, board members, trustees, 
stockholders and authorized agents of the Section 202 Sponsor and Owner 
entities will be required to submit to HUD individual certifications 
regarding compliance with HUD's conflict of interest requirements.
    f. National Environmental Policy Act. You must comply with the 
National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321) and 
applicable related environmental authorities at 24 CFR 50.4, HUD's 
programmatic implementing regulations at 24 CFR part 50 and 24 CFR 
891.155(b), especially, but not limited to, the provision of 
information to HUD at 24 CFR 50.31(b), and you must comply with any 
environmental ``conditions and safeguards'' at 24 CFR 50.3(c).
    Under 24 CFR Part 50, HUD has the responsibility for conducting the 
environmental reviews. HUD will commence the environmental review of 
your project upon receipt of your completed application. However, HUD 
cannot approve any site unless it first completes the environmental 
review and finds that the site meets its environmental requirements. In 
rare cases where HUD is not able to complete the environmental review, 
it is due to a complex environmental issue that could not be resolved 
during the time period allocated for application processing. Thus, HUD 
requires you to attempt to obtain comments from the State/Tribal 
Historic Preservation Officer (see Exhibit 4(d)(ix) of Section IV.B. 
below) to help HUD complete the environmental review on time. It is 
also why HUD may contact you for additional environmental information. 
So that you can review the type of information that HUD needs for its 
preparation of the environmental review, the type of information 
requests that HUD may make to you, and the criteria that HUD uses to 
determine the environmental acceptability of a site, you are invited to 
go to the following Web site to view the HUD form 4128, including the 
Sample Field Notes Checklist, which HUD uses to record the 
environmental review: www.hud.gov/utilities/intercept.cfm?/offices/cpd/energyenviron/environment/compliance/forms/4128.pdf.
    g. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally

[[Page 11704]]

Funded Construction Projects. Refer to the General Section.
    h. Fair Housing Requirements. Refer to the General Section for 
information regarding fair housing requirements.
    i. Economic Opportunities for Low and Very Low-Income Persons 
(Section 3). You must comply with Section 3 of the Housing and Urban 
Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for 
Low and Very Low-Income Persons) and its implementing regulations at 24 
CFR part 135. You must ensure that training, employment and other 
economic opportunities shall, to the greatest extent feasible, be 
directed toward low and very low-income persons, particularly those who 
are recipients of government assistance for housing and to business 
concerns which provide economic opportunities to low and very low-
income persons in the area in which the proposed project will be 
located. To comply with Section 3 requirements you are hereby 
certifying that you will strongly encourage your general contractor and 
subcontractors to participate in local apprenticeship programs or 
training programs registered or certified by the Department of Labor's 
Office of Apprenticeship, Training, Employer and Labor Services or 
recognized State Apprenticeship Agency. Although not a NOFA 
requirement, you are encouraged to submit with your application a 
description on how you plan to incorporate the Section 3 requirements 
into your proposed project with goals for expanding training and 
employment opportunities for low and very low-income (Section 3) 
residents as well as business concerns. You will receive up to two (2) 
points if you provide a description of your plans for doing so under 
Exhibit 3(k) of this program NOFA.
    j. Design and Cost Standards. You must comply with HUD's Section 
202 design and cost standards (24 CFR 891.120 and 891.210), the Uniform 
Federal Accessibility Standards (24 CFR 40.7), Section 504 of the 
Rehabilitation Act of 1973 and HUD's implementing regulations at 24 CFR 
part 8, and for covered multifamily dwellings designed and constructed 
for first occupancy after March 13, 1991, the design and construction 
requirements of the Fair Housing Act and HUD's implementing regulations 
at 24 CFR part 100, and, where applicable, the Americans with 
Disabilities Act of 1990.
    k. Formation of Owner Corporation. You must form an Owner entity 
(in accordance with 24 CFR 891.205) after issuance of the capital 
advance fund reservation and must cause the Owner entity to file a 
request for determination of eligibility and a request for capital 
advance, and must provide sufficient resources to the Owner entity to 
ensure the development and long-term operation of the project, 
including capitalizing the Owner entity at firm commitment processing 
in an amount sufficient to meet its obligations in connection with the 
project over and above the capital advance amount.
    l. Davis-Bacon. You must comply with the Davis-Bacon requirements 
(12 U.S.C. 1701q(j)(5)) and the Contract Work Hours and Safety 
Standards Act in accordance with 24 CFR 891.155(d).
    4. Energy Efficiency. HUD has adopted a wide-ranging energy action 
plan for improving energy efficiency in all program areas. As a first 
step in implementing the energy plan, HUD, the Environmental Protection 
Agency (EPA) and the Department of Energy (DoE) have signed a joint 
partnership to promote energy efficiency in HUD's affordable housing 
efforts and programs. The purpose of the Energy Star partnership is not 
only to promote energy efficiency of the affordable housing stock, but 
also to help protect the environment.
    Although it is not a requirement, you are encouraged to promote 
energy efficiency in design and operation of your proposed project and 
your application will receive one (1) point if you describe your plans 
for doing so in the proposed project. You are urged especially to 
purchase and use Energy Star-labeled products. For further information 
about Energy Star, see http://www.energystar.gov or call 1-888-STAR-YES 
(1-888-782-7937) or for the hearing-impaired, 1-888-588-9920 TTY.

IV. Application and Submission Information

    Applicants are required to submit an electronic application unless 
they receive a waiver of the requirement in accordance with the 
procedures in Section IV.C. of this NOFA. See the General Section for 
information on electronic application submission and timely submission 
and receipt requirements.
    A. Address to Request Application Package. All information required 
to complete and return a valid application is included in the General 
Section and this NOFA, including other related documents. Applicants 
may download the application and instructions from the Grants.gov Web 
site at http://www.grants.gov/applicants/apply--for--grants.jsp. If you 
have difficulty accessing the information you may call the Grants.gov 
Support Desk toll free 800-518-GRANTS or e-mail your questions to 
Grants.gov">Support@Grants.gov. See the General Section for information regarding 
the registration process or ask for registration information from the 
Grants.gov Support Desk.
    You may request general information, copies of the General Section 
and NOFA (including related documents), from the NOFA Information 
Center (800-HUD-8929) Monday through Friday, except on federal 
holidays. Persons with hearing and speech impairments may access the 
above number via TTY by calling the toll-free Federal Relay Service at 
800-877-8339. When requesting information, please refer to the name of 
the program in which you are interested.
    B. Content and Form of Application Submission. The exhibits to be 
included in your application are contained in the body of this NOFA. 
Before preparing your application, you should carefully review the 
requirements of the regulations (24 CFR Part 891) and general program 
instructions in Handbook 4571.3 REV-1, Section 202 Capital Advance 
Program for Housing the Elderly. Note: Section 1001 of Title 18 of the 
United States Code (Criminal Code and Criminal Procedure, 72 Stat. 967) 
applies to all information supplied in the application submission. (18 
U.S.C. 1001, among other things, provides that whoever knowingly and 
willfully makes or uses a document or writing containing any false, 
fictitious, fraudulent statement or entry, in any matter within the 
jurisdiction of any department or agency of the United States, shall be 
fined not more than $10,000 or imprisoned for not more than five years, 
or both.)
    The Application for a Section 202 Capital Advance consists of four 
parts with a total of eight Exhibits. Included with the eight Exhibits 
are prescribed forms, certifications and resolutions. The components of 
the Application are:
     Part 1--Application Form for Section 202 Supportive 
Housing--Capital Advance (Exhibit 1).
     Part 2--Your Ability to Develop and Operate the Proposed 
Project (Exhibits 2 and 3).
     Part 3--The Need for Supportive Housing for the Target 
Population in the Area to be Served, Site Control and Suitability of 
Site, Adequacy of the Provision of Supportive Services and of the 
Proposed Project (Exhibits 4 and 5).
     Part 4--General Application Requirements, Certifications 
and Resolutions (Exhibits 6 through 8).
    The following additional information, which may assist you in 
preparing your application, is available on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm:

[[Page 11705]]

     Listing of Local HUD Offices.
     Letter Requesting SHPO/THPO Review.
     Choosing an Environmentally Safe Site.
     Supplemental to Choosing an Environmentally Safe Site.
    Your application must include all of the information, materials, 
forms, and exhibits listed below (unless you were selected for a 
Section 202 fund reservation within the last three funding cycles). If 
you qualify for this exception, you are not required to submit the 
information described in Exhibits 2(a), (b), and (c), which are the 
articles of incorporation, (or other organizational documents), by-
laws, and the IRS tax exemption, respectively. If there has been a 
change in any of these documents since your previous HUD approval, you 
must submit the updated information in your application. The local HUD 
office will verify your previous HUD approval by checking the project 
number and approval status with the appropriate local HUD office based 
on the information submitted.
    In addition to this relief of paperwork burden in preparing 
applications, you will be able to use information and exhibits 
previously prepared for prior applications under Section 202, Section 
811, or other funding programs. Examples of exhibits that may be 
readily adapted or amended to decrease the burden of application 
preparation include, among others, those on previous participation in 
the Section 202 or Section 811 programs, your experience in the 
provision of housing and services, supportive services plans, community 
ties, and experience serving minorities.
    For programmatic information, you MUST contact the appropriate 
local HUD office about the submission of applications within the 
jurisdiction of that Office. A listing of the local HUD offices is 
available on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
    Please submit your application using the following format provided 
in this NOFA. For applications to be submitted electronically, in which 
you have created files to be attached to the electronic application, 
you should number the pages of the attached file and include a header 
that identifies the exhibit that it relates to. Please be sure to 
follow the file labeling and file format instructions in the General 
Section.
    For applicants that have received a waiver of the electronic 
application submission, you must number the pages of each file, 
narratives and other attached files. Include the name of your 
organization, your DUNS number, and the exhibit number that you are 
responding to on the header of each document.
1. Table of Contents
a. Part I--Application Form.
    (1) Exhibit 1: Form HUD-92015-CA Application for Capital Advance 
Summary Information.
b. Part II--Ability to Develop/Operate Project.
    (1) Exhibit 2: Legal Status.
    (a) Organizational Documents.
    (b) By-Laws.
    (c) IRS Tax Exemption Ruling.
    (3) Exhibit 3: Purpose/Community Ties/Experience.
    (a) Purpose(s), current activities, etc.
    (b) Community ties, description of area.
    (c) Other Funding Sources.
    (d) Letters of support.
    (e) Housing/Services experience.
    (f) Involvement of target population.
    (g) Practical solutions.
    (h) Project Development Timeline.
    (i) How project will remain viable:
    (i) If services are depleted;
    (ii) If State-funded services changes;
    (iii) If need for project changes.
    (j) Form HUD-27300, America's Affordable Communities Initiative/
Removal of Regulatory Barriers (HUD Communities Initiative Form on 
Grants.gov), with supporting documentation.
    (k) Section 3 requirements.
c. Part III--Need for Housing, Site Requirements, Proposed Services.
    (1) Exhibit 4: Project Information.
    (a) Evidence of need for project.
    (b) Benefit to population/community.
    (c) Narrative project description:
    (i) Building design;
    (ii) Energy efficiency features;
    (iii) Mixed-financing for additional units.
    (d) Site control and zoning:
    (i) Site control documents;
    (ii) Freedom of site from restrictions;
    (iii) Zoning requirements;
    (iv) URA site notification requirements;
    (v) Topographical/demographical description of site/area and 
opportunities for minorities;
    (vi) Racial composition/map of site;
    (vii) Phase I ESA;
    (viii) Asbestos Statement/Survey;
    (ix) SHPO/THPO requirements.
    (2) Exhibit 5: Supportive Services Plan.
    (a) Description of services.
    (b) Other funding sources.
    (c) How services will be provided.
d. Part IV--Requirements/Certifications/Resolutions.
    (1) Exhibit 6: Other Applications.
    (a) FY07 Sections 202/811 applications to other Offices.
    (b) Information on FY06 and prior years' Sections 202/811 
applications
    (2) Exhibit 7: Required information on:
    (a) All property occupants;
    (b) Relocation costs/services;
    (c) Staff to carry out relocation;
    (d) Occupant move-outs within past 12 months.
    (3) Exhibit 8: Forms/Certifications/Resolutions.
    (a) SF-424 Application for Federal Assistance
    (b) SF-424 Supplement ``Survey on Ensuring Equal Opportunities 
for Applicants'' (Faith Based EEO Survey (SF-424 SUPP) on 
Grants.gov).
    (c) SF-LLL, Disclosure of Lobbying Activities.
    (d) HUD-2880 ``Applicant/Recipient Disclosure/Update Report'' 
(HUD Applicant Recipient Disclosure Report on Grants.gov).
    (e) HUD-2991 Certification of Consistency with the Consolidated 
Plan.
    (f) HUD-92041 Sponsor's Conflict of Interest Resolution.
    (g) HUD-92042 Sponsor's Resolution for Commit to Project.
    (h) HUD-2990 Certification of Consistency with the RC/EZ/EC-II 
Strategic Plan (if applicable).
    (i) HUD-96010 Program Outcome Logic Model.
    (j) HUD-96011 ``Third Party Documentation Facsimile 
Transmittal'' (Facsimile Transmittal Form on Grants.gov). This is to 
be used as the cover page for faxing third party information for 
electronic applications only. See the General Section.
    (k) HUD-2994-A Form HUD-2994A--You are Our Client! Grant 
Applicant Survey (Optional).
2. Programmatic Applications Requirements

a. Part I--Application Form for Section 202 Supportive Housing--Capital 
Advance

    (1) EXHIBIT 1--Form HUD-92015-CA, Supportive Housing for the 
Elderly Section 202, Application for Capital Advance Summary 
Information. A copy of the form is available in the instructions 
download at http://www/grants.gov/applicants/apply--for--grants.jsp.

b. Part II--Your Ability To Develop and Operate the Proposed Project

    (1) EXHIBIT 2--Evidence of your legal status (i.e., evidence of 
your status as a private nonprofit organization or nonprofit consumer 
cooperative). If another organization(s) is co-sponsoring the 
application with you, each co-sponsor must also submit the following:
    (a) Articles of Incorporation, constitution, or other 
organizational documents;
    (b) By-laws;
    (c) IRS tax exemption ruling (this must be submitted by all 
Sponsors, including churches).

    Note: Based on a HUD review of your articles of incorporation, 
constitution, or other organizational documents, HUD must determine, 
among other things, that (1) you are an eligible private nonprofit 
entity and are not a public body or an instrumentality of a public 
body, (2) your corporate purposes are sufficiently broad to provide 
you the legal

[[Page 11706]]

authority to sponsor the proposed project for the elderly, to assist 
the Owner, and to apply for a capital advance, (3) no part of the 
Sponsor's net earnings inures to the benefit of any private party, 
and (4) that you are not controlled by or under the direction of 
persons seeking to derive profit or gain therefrom.

    [Exception: If you received a section 202 fund reservation within 
the last three funding cycles, you are not required to submit the 
documents described in (a), (b), and (c) above. Instead, submit the 
project number of the latest application and the local HUD office to 
which it was submitted. If there have been any modifications or 
additions to the subject documents, indicate such, and submit the new 
material.]
(2) EXHIBIT 3--Your purpose, community ties and experience
    (a) A description of your purpose(s), current activities, including 
your ability to enlist volunteers and raise private and local funds, 
and how long you have been in existence.
    (b) A description of your ties to the community in which your 
project will be located and to the minority and elderly communities in 
particular, including a description of the specific geographic area(s) 
in which you have served.
    (c) A description of other funding sources for the project 
(including financial assistance, donation of land, provision of 
services, etc.).
    (d) Letters of support for your organization and for the proposed 
project from organizations familiar with the housing and supportive 
services needs of the target population that you expect to serve in the 
proposed project.
    (e) A description of your housing and/or supportive services 
experience. The description should include any rental housing projects 
and/or supportive services facilities that you sponsored, own and/or 
operate, your past or current involvement in any programs other than 
housing that demonstrates your management capabilities (including 
financial management) and experience, your experience in serving the 
target population (the elderly and/or families and minorities); and the 
reasons for receiving any increases in fund reservations for developing 
and/or operating previously funded Section 202 or Section 811 projects. 
The description should include data on the facilities and services 
provided, the racial/ethnic composition of the populations served, if 
available, and information and testimonials from residents or community 
leaders on the quality of the activities. Examples of activities that 
could be described include housing counseling, nutrition and food 
services, special housing referral, screening and information projects.
    (f) A description of your efforts to involve members of the target 
population (elderly persons, including minority elderly persons) in the 
development of the application as well as your intent to involve the 
target population in the development and operation of the project.
    (g) A description of the practical solutions you will implement 
which will enable residents of your project to achieve independent 
living. In addition, describe the educational opportunities you will 
provide for the residents and how you will provide them. This 
description should include any activities that will enhance the quality 
of life for the residents. And, finally, describe how your proposed 
project will be an improved living environment for the residents when 
compared to their previous place of residence.
    (h) Describe your plan for completing the proposed project. Include 
a project development timeline which lists the major development stages 
for the project with associated dates that must be met in order to get 
the project to initial closing and start of construction within the 18-
month fund reservation period as well as the full completion of the 
project, including final closing. Completion of Exhibit 8(i), Program 
Outcome Logic Model, will assist you in completing your response to 
this Exhibit.
    (i) Describe how you will ensure that your proposed project will 
remain viable as housing with the availability of supportive services 
for the target population for the 40-year capital advance period. This 
description should address the measures you would take should any of 
the following occur:
    (i) funding for any of the needed supportive services becomes 
depleted;
    (ii) if, for any state-funded services for your project, the state 
changes its policy regarding the provision of supportive services to 
projects such as the one you propose; or
    (iii) if the need for housing for the population you will be 
serving wanes over time, causing vacancies in your project.
    (j) A description of the successful efforts the jurisdiction in 
which your project will be located has taken in removing regulatory 
barriers to affordable housing. To obtain up to 2 points for this 
policy priority, you must complete the optional Form HUD-27300, 
``Questionnaire for HUD's Initiative on Removal of Regulatory 
Barriers'' AND provide the necessary URL references or submit the 
documentary evidence. This exhibit is optional, but to obtain up to 2 
points for this policy priority, you must submit this information using 
Form HUD-27300 and include the necessary URL references or other 
documentary evidence and contact information. When providing documents 
in support of your responses to the questions on the form, please 
provide the applicant name and project name and whether you were 
responding under column A or B, then identify the number of the 
question and the URL or document name and attach using the attachment 
function at the end of the electronic form. This exhibit will be used 
to rate your application under Rating Factor 3(j).
    (k) A description on how you plan to incorporate the Section 3 
requirements into your proposed project with goals for expanding 
training and employment opportunities for low- and very low-income 
(Section 3) persons as well as business concerns in the area in which 
the proposed project will be located. This exhibit is optional, but to 
obtain up to 2 points for this policy priority, you must submit this 
exhibit and adequately address your plans to provide opportunities to 
train and employ low- and very low-income residents of the project area 
and award substantial contracts to persons residing in the project 
area.

c. Part III--The Need for Supportive Housing for the Target Population, 
Site Control and Suitability of Site, Adequacy of the Provision Of 
Supportive Services and of the Proposed Project

(1) EXHIBIT 4--Need and Project Information
    (a) Evidence of need for supportive housing. Include a description 
of the category or categories of elderly persons the housing is 
intended to serve and evidence demonstrating sustained effective demand 
for supportive housing for that population in the market area to be 
served, taking into consideration the occupancy and vacancy conditions 
in existing federally assisted housing for the elderly (HUD and the 
Rural Housing Service (RHS)) e.g., public housing, state or local data 
on the limitations in activities of daily living among the elderly in 
the area; aging in place in existing assisted rentals; trends in 
demographic changes in elderly population and households; the numbers 
of income eligible elderly households by size, tenure and housing 
condition; the types of supportive

[[Page 11707]]

services arrangements currently available in the area; and the use of 
such services as evidenced by data from local social service agencies 
or agencies on aging. Also, a description of how information in the 
community's or (where applicable) the state's Consolidated Plan, 
Analysis of Impediments to Fair Housing Choice (AI) or other planning 
document that analyzes fair housing issues was used in documenting the 
need for the project.
    (b) A description of how the proposed project will benefit the 
target population and the community in which it will be located.
    (c) Description of the project.
    (i) Narrative description of the building design including a 
description of the number of units with bedroom distribution, any 
special design features, including any features that incorporate 
visitability standards and universal design, amenities, and/or 
commercial and community spaces, and how this design will facilitate 
the delivery of services in an economical fashion and accommodate the 
changing needs of the residents over the next 10-20 years.

    Note: If the community spaces, amenities, or features do not 
comply with the project design and cost standards of 24 CFR 
891.120(a) and (c), the special standards of 24 CFR 891.210, and the 
limitation on bedroom unit sizes as required by paragraph 1-11.B.4. 
of HUD Handbook 4571.3 REV-1, you must demonstrate your ability and 
willingness to contribute both the incremental development cost and 
continuing operating cost associated with the community spaces, 
amenities, or features;

    (ii) Describe whether and how the project will promote energy 
efficiency (in accordance with the requirements set forth in Section 
III.C.4.of this NOFA), including any plans to incorporate energy 
efficiency features in the operation of the project through the use of 
Energy Star labeled products and appliances and, if applicable, 
innovative construction or rehabilitation methods or technologies to be 
used that will promote efficient construction.
    (iii) If you are proposing to develop a mixed-finance project by 
developing additional units for the elderly (i.e., in addition to the 
202 units), a description of any plans and actions you have taken to 
create such a mixed-finance project with the use of Section 202 capital 
advance funds, in combination with other funding sources. Provide the 
number of non-Section 202 units to be included in the mixed-finance 
project (also provide the number of additional units in the appropriate 
space on Form HUD-92015-CA). Also, provide copies of any letters you 
have sent seeking outside funding for the non-Section 202 units and any 
responses thereto. You also must demonstrate your ability to proceed 
with the development of a Section 202 project that will not involve 
mixed-financing, as proposed in your application, in the event you are 
later unable to obtain the necessary outside funding or HUD disapproves 
your proposal for a mixed-finance project for additional non-Section 
202 units for the elderly.

    Notes: (1) A proposal to develop a mixed-finance project for 
additional units must occur at the application for fund reservation 
stage. You cannot decide after selection that you want to do a 
mixed-finance project for additional units. (2) Section 202 capital 
advance amendment money will not be approved for projects proposing 
mixed-financing. (3) If approved for a reservation of capital 
advance funds, you will be required to submit, with your Firm 
Commitment Application, the additional documents required by HUD for 
mixed-finance proposals. (4) A mixed-finance project does not 
include the development of a mixed-use project in which the Section 
202 units are mortgaged separately from the other uses of the 
structure.

    (d) Evidence of site control and permissive zoning.
    (i) Acceptable evidence of site control is limited to any one of 
the following:
    (A) Deed or long-term leasehold which evidences that you have title 
to or a leasehold interest in the site. If a leasehold, the term of the 
lease must be at least 50 years with renewable provisions for 25 years, 
except for sites on Indian trust land, in which case, the term of the 
lease must be at least 50 years with no requirement for extensions;
    (B) Contract of sale for the site that is free of any limitations 
affecting the ability of the seller to deliver ownership to you after 
you receive and accept a notice of Section 202 capital advance. (The 
only condition for closing on the sale can be your receipt and 
acceptance of the capital advance.) The contract of sale cannot require 
closing earlier than the Section 202 closing;
    (C) Option to purchase or for a long-term leasehold, which must 
remain in effect for six months from the date on which the applications 
are due, must state a firm price binding on the seller, and be 
renewable at the end of the six-month period. The only condition on 
which the option may be terminated is if you are not awarded a fund 
reservation;
    (D) If the site is covered by a mortgage under a HUD program, 
(e.g., a previously funded Section 202 or Section 811 project or an 
FHA-insured mortgage) you must submit evidence of site control as 
described above AND evidence that consent to release the site from the 
mortgage has been obtained or has been requested from HUD (all required 
information in order for a decision on the request for a partial 
release of security must have been submitted to the local HUD office) 
and from the mortgagee, if other than HUD. Approval to release the site 
from the mortgage must be done before the local HUD office makes its 
selection recommendations to HUD Headquarters. Refer to Chapter 16 of 
HUD Handbook 4350.1 REV-1, Multifamily Asset Management and Project 
Servicing, for instructions on submitting requests to the local HUD 
office for partial release of security from a mortgage under a HUD 
program; or
    (E) For sites to be acquired from a public body, evidence is needed 
that the public body possesses clear title to the site and has entered 
into a legally binding agreement to lease or convey the site to you 
after you receive and accept a notice of Section 202 capital advance. 
Where HUD determines that time constraints of the funding round will 
not permit you to obtain all of the required official actions (e.g., 
approval of Community Planning Boards) that are necessary to convey 
publicly-owned sites, you may include in your application a letter from 
the mayor or director of the appropriate local agency indicating that 
conveyance or leasing of the site is acceptable without imposition of 
additional covenants or restrictions, and only contingent on the 
necessary approval action. Such a letter of commitment will be 
considered sufficient evidence of site control.
    (ii) Whether you have title to the site, a contract of sale, an 
option to purchase, or are acquiring a site from a public body, you 
must provide evidence (a current title policy or other acceptable 
evidence) that the site is free of any limitations, restrictions, or 
reverters which could adversely affect the use of the site for the 
proposed project for the 40-year capital advance period under HUD's 
regulations and requirements (e.g., reversion to seller if title is 
transferred). If the title evidence contains restrictions or covenants, 
copies of the restrictions or covenants must be submitted with the 
application. If the site is subject to any such limitations, 
restrictions, or reverters, the application will be rejected. Purchase 
money mortgages that will be satisfied from capital advance funds are 
not considered to be limitations or restrictions that would adversely 
affect the use of the site. If the contract of sale or option agreement 
contains provisions that allow a Sponsor not to purchase the property 
for reasons such as environmental problems, failure of the

[[Page 11708]]

site to pass inspection, or the appraisal is less than the purchase 
price, then such provisions are not objectionable and a Sponsor is 
allowed to terminate the contract of sale or the option agreement.

    Note: A proposed project site may not be acquired or optioned 
from a general contractor (or its affiliate) that will construct the 
Section 202 project or from any other development team member.

    (iii) Evidence that the project, as proposed, is permissible under 
applicable zoning ordinances or regulations or a statement of the 
proposed action required to make the proposed project permissible AND 
the basis for the belief that the proposed action will be completed 
successfully before the submission of the firm commitment application 
(e.g., a summary of the results of any requests for rezoning and/or the 
procedures for obtaining special or conditional use permits on land in 
similar zoning classifications and the time required for such rezoning, 
or preliminary indications of acceptability from zoning bodies, etc.).
    (iv) Evidence of compliance with the URA requirement that the 
seller has been provided, in writing, with the required information 
regarding a voluntary, arm's length purchase transaction (i.e., (1) 
applicant does not have the power of eminent domain and, therefore, 
will not acquire the property if negotiations fail to result in an 
amicable agreement, and (2) of the estimate of the fair market value of 
the property).

    Note: A certification for this requirement is not sufficient. 
Evidence must be submitted to meet this requirement. This 
information should have been provided before making the purchase 
offer. However, in those cases where there is an existing option or 
contract, the seller must be provided the opportunity to withdraw 
from the agreement or transaction, without penalty, after this 
information is provided.

    (v) Narrative describing topographical and demographic aspects of 
the site, the suitability of the site and area (as well as a 
description of the characteristics of the neighborhood), how use of the 
site will promote greater housing opportunities for minority elderly 
and elderly persons with disabilities (if applicable), and how use of 
the site will affirmatively further fair housing.

    Note: You can best demonstrate your commitment to affirmatively 
furthering fair housing by describing how your proposed activities 
will assist the jurisdiction in overcoming impediments to fair 
housing choice identified in the applicable jurisdiction's Analysis 
of Impediments (AI) to Fair Housing Choice, which is a component of 
the jurisdiction's Consolidated Plan or any other planning document 
that addresses fair housing issues. The applicable Consolidated Plan 
and AI may be the community's, the county's, or the state's, to 
which input should have been provided by local community 
organizations, agencies in the community and residents of the 
community. Alternatively, a document that addresses fair housing 
issues and remedies to barriers to fair housing in the community 
that was previously prepared by a local planning, or similar 
organization, may be used. Applicable impediments could include the 
need for improved housing quality and services for elderly minority 
families, lack of affirmative marketing and outreach to minority 
elderly persons, and the need for quality eldercare services within 
areas of minority concentration when compared with the type and 
quality of similar services and housing in nonminority areas.

    (vi) A map showing the location of the site, the racial composition 
of the neighborhood, and any areas of racial concentration.

    Note: For this competition, when determining the racial and 
ethnic composition of the neighborhood surrounding the proposed 
site, use data from the 2000 Census of Population. Data from the 
2000 Census may be found at: www.factfinder.census.gov/servlet/BasicFactsServlet.

    (vii) A Phase I Environmental Site Assessment (ESA), in accordance 
with the ASTM Standard E 1527-05, as amended, using the table of 
contents and report format specified at Appendix X4 thereto and 
completed or updated as specified at Section 4.6 thereto, must be 
undertaken and completed by you and submitted with the application. In 
order for the Phase I ESA to be acceptable, it must have been completed 
or updated no earlier than 180 days prior to the application deadline 
date. Therefore, it is important to start the site assessment process 
as soon after the publication of the NOFA as possible.

    Note: A Phase I ESA that is not properly updated, does not use 
the report format specified at Appendix X4 of ASTM Standard E 1527-
05, or that is prepared in accordance with an older version of ASTM 
E 1527 will result in a technical rejection of your application.

    If the Phase I ESA indicates possible presence of contamination 
and/or hazards, you must decide whether to continue with this site or 
choose another site. Should you choose another site, the same Phase I 
ESA process identified above must be followed for the new site. If you 
choose to continue with the original site on which the Phase I ESA 
indicated contamination or hazards, you must undertake a detailed Phase 
II ESA by an appropriate professional. If the Phase II Assessment 
reveals site contamination, you must submit the extent of the 
contamination and a plan for clean-up of the site including a contract 
for remediation of the problem(s) and an approval letter from the 
applicable federal, state, and/or local agency with jurisdiction over 
the site to the local HUD office. The Phase II ESA and any necessary 
plans for clean-up do not have to be submitted with the application but 
must be received by the local HUD office by June 25, 2007. If it is not 
received by that date, the application will be rejected.

    Note: You must pay for the cost of any clean-up or remediation 
which can be very expensive. See Note at Section 
III.C.2.b.(3)(c)(iii).

    (viii) You must submit one of the following:
    (A) If there is no pre-1978 structures on the site or if there are 
pre-1978 structures, that most recently consisted of solely four or 
fewer units of single-family housing including appurtenant structures 
thereto, a statement to this effect, or
    (B) If there are pre-1978 structures on the site, other than for a 
site that most recently consisted of solely four or fewer units of 
single-family housing including appurtenant structures thereto, a 
comprehensive building asbestos survey that is based on a thorough 
inspection to identify the location and condition of asbestos 
throughout any structures.

    Note: In those cases where suspect asbestos is found, it would 
either be assumed to be asbestos or would require confirmatory 
testing. If the asbestos survey indicates the presence of asbestos, 
or the presence of asbestos is assumed, and if the application is 
approved, HUD will condition the approval on an appropriate mix of 
asbestos abatement and an asbestos Operations and Maintenance Plan.

    (ix) Letter to State/Tribal Historic Preservation Officer (SHPO/
THPO) and a statement that SHPO/THPO failed to respond to you OR a copy 
of the response letter received from SHPO/THPO.
(2) EXHIBIT 5--Supportive Services Plan
    (a) A detailed description of the supportive services proposed to 
be provided to the anticipated occupancy.
    (b) A description of public or private sources of assistance that 
reasonably could be expected to fund the proposed services.
    (c) The manner in which such services will be provided to such 
persons (i.e., on or off-site), including whether a service coordinator 
will facilitate the adequate provision of such

[[Page 11709]]

services, and how the services will meet the identified needs of the 
residents.

    Note: You may not require residents, as a condition of admission 
or occupancy, to accept any supportive services.

d. Part IV--General Application Requirements, Certifications and 
Resolutions

(1) EXHIBIT 6: Other Applications
    (a) A list of the applications, if any, you are submitting to any 
other local HUD office in response to the FY2007 Section 202 or Section 
811 NOFA. Indicate by local HUD office, the proposed location by city 
and state and the number of units requested in each application.
    (b) Include a list of all FY2006 and prior years approved Section 
202 and Section 811 capital advance projects to which you are a party. 
Identify each by project number and local HUD office and include the 
following information:
    (i) Whether the project has initially closed and, if so, when;
    (ii) If the project was older than 24 months when it initially 
closed (specify how old) or if older than 24 months now (specify how 
old) and has not initially closed, provide the reasons for the delay in 
closing;
    (iii) Whether amendment money was or will be needed for any project 
in (ii) above, including the amount of the amendment money; and,
    (iv) Those projects that have not been finally closed.
(2) EXHIBIT 7: A Statement That
    (a) Identifies all persons (families, individuals, businesses and 
nonprofit organizations) by race/minority group, and status as owners 
or tenants occupying the property on the date of submission of the 
application for a capital advance.
    (b) Indicates the estimated cost of relocation payments and other 
services.
    (c) Identifies the staff organization that will carry out the 
relocation activities.
    (d) Identifies all persons that have moved from the site within the 
past 12 months and the reason for such a move.
    (e) Indicates that all persons occupying the site have been issued 
the appropriate required General Information Notice and advisory 
services information receipt required, either at the time the option to 
acquire the property is executed, or at the time the application is 
submitted.

    Note: If any of the relocation costs will be funded from sources 
other than the section 202 capital advance, you must provide 
evidence of a firm commitment of these funds. When evaluating 
applications, HUD will consider the total cost of proposals (i.e., 
cost of site acquisition, relocation, construction and other project 
costs).

Exhibit 7 Is Required for All Section 202 Applications
    (3) EXHIBIT 8: Standard Forms, Certifications and Resolutions. You 
are required to submit completed copies of the following forms, which 
are available in the instructions download at http://www.grants.gov/applicants/apply--for--grants.jsp.
    (a) Standard Form 424--Application for Federal Assistance, 
including a DUNS number, an indication of whether you are delinquent on 
any federal debt, and compliance with Executive Order 12372 (a 
certification that you have submitted a copy of your application, if 
required, to the State agency (Single Point of Contact/(SPOC)) for 
state review in accordance with Executive Order 12372). If the SPOC 
requires a review of your application, you must include in your Section 
202 application, a copy of the cover letter sent to the SPOC. Refer to 
Section IV.D. of this NOFA for additional information on compliance 
with Executive Order 12372.

    Note: For Section 202 program purposes, in Item 12, Areas 
Affected by Project, of SF-424, provide the names of the City, 
County and State where the project will be located (not the largest 
political entities as indicated on the instructions page of SF-424).

    (b) Standard Form 424 Supplement, Survey on Ensuring Equal 
Opportunity for Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on 
Grants.gov). Although the information on this form will not be 
considered in making funding decisions, it will assist the federal 
government in ensuring that all qualified applicants have an equal 
opportunity to compete for federal funding.
    (c) Standard Form LLL--Disclosure of Lobbying Activities (if 
applicable). A disclosure of activities conducted that may influence 
any federal transactions.
    (d) Form HUD-2880, Applicant/Recipient Disclosure/Update Report 
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov), 
including Social Security and Employee Identification Numbers. A 
disclosure of assistance from other government sources received in 
connection with the project.
    (e) Form HUD-2991, Certification of Consistency with the 
Consolidated Plan (Plan) for the jurisdiction in which the proposed 
project will be located. The certification must be made by the unit of 
general local government if it is required to have, or has, a complete 
Plan. Otherwise, the certification may be made by the state or by the 
unit of general local government if the project will be located within 
the jurisdiction of the unit of general local government authorized to 
use an abbreviated strategy, and if it is willing to prepare such a 
Plan. All certifications must be made by a public official responsible 
for submitting the Plan to HUD. The certifications must be submitted as 
part of the application by the application submission deadline date set 
forth in the NOFA. The Plan regulations are published in 24 CFR part 
91.
    (f) Form HUD-92041, Sponsor's Conflict of Interest Resolution. A 
certified Board Resolution that no officer or director of the Sponsor 
or Owner has or will have any financial interest in any contract with 
the Owner or in any firm or corporation that has or will have a 
contract with the Owner, including a current listing of all duly 
qualified and sitting officers and directors by title and the beginning 
and ending dates of each person's term.
    (g) Form HUD-92042, Sponsor's Resolution for Commitment to Project. 
A certified Board Resolution acknowledging responsibilities of 
sponsorship, long-term support of the project(s), your willingness to 
assist the Owner to develop, own, manage and provide appropriate 
services in connection with the proposed project, and that it reflects 
the will of your membership. Also, it shall indicate your willingness 
to fund the estimated start-up expenses, the Minimum Capital Investment 
(one-half of one-percent of the HUD-approved capital advance, not to 
exceed $10,000 or for national Sponsors, not to exceed $25,000), and 
the estimated cost of any amenities or features (and operating costs 
related thereto) that would not be covered by the approved capital 
advance.
    (h) Form HUD-2990, Certification of Consistency with the RC/EZ/EC-
II Strategic Plan. A certification that the project is consistent with 
the RC/EZ/EC-IIs strategic plan, is located within the RC/EZ/EC-II, and 
serves RC/EZ/EC-II residents. (This certification is not required if 
the project site(s) will not be located in a RC/EZ/EC-II.) .
    (i) Form HUD-96010, Program Outcome Logic Model. In addition to the 
Project Development Timeline to be submitted in Exhibit 3(h) above, the 
information provided in the Logic Model will be used in rating your 
application for Rating Factor 5, Achieving Results and Program 
Evaluation.
    (j) Form HUD-96011, Facsimile Transmittal (``Facsimile Transmittal 
Form'' on Grants.gov), is only required if you are using the facsimile 
method to

[[Page 11710]]

fax third party letters and other documents for your electronic 
application in accordance with the instructions in the General Section.

    Note: HUD will not accept entire applications by fax. If you 
submit the application entirely by fax, it will be disqualified.

    (k) Form HUD-2994-A, You Are Our Client Grant Applicant Survey. 
This is an optional form, which may be used to provide suggestions and 
comments to the Department regarding your application submission 
experience.
    C. Submission Dates and Time. Your application must be received and 
validated electronically by Grants.gov no later than 11:59:59 p.m. 
eastern time on the application deadline date, unless a waiver of the 
electronic delivery process has been approved by HUD in accordance with 
the following procedures. Applicants that are unable to submit their 
application electronically must seek a waiver of the electronic grant 
submission requirement. Waiver requests must be submitted no later than 
15 days before the application deadline date. Waiver requests must be 
submitted by mail or by fax. For this program NOFA, e-mail requests 
will not be considered. Waiver requests submitted by mail or fax should 
be submitted on the applicant's letterhead and signed by an official 
with the legal authority to request a waiver from the Department. The 
request must be addressed to the Assistant Secretary for Housing at the 
following address: Brian D. Montgomery, Assistant Secretary for 
Housing--Federal Housing Commissioner, Department of Housing and Urban 
Development, 451 Seventh Street, SW., Room 9100, Washington, DC 20410-
8000. Waiver requests submitted by fax must be sent to (202) 708-3104.
    If a waiver is granted, you must submit the required number of 
copies of your application to the Director of the appropriate local HUD 
office, and the application must be received no later than that HUD 
office's close of business on the application deadline date. The waiver 
approval notification will identify the appropriate HUD office where 
the application should be submitted and the required number of copies 
that must be submitted.

D. Intergovernmental Review

    1. State Review. This funding opportunity is subject to Executive 
Order (EO) 12372, ``Intergovernmental Review of Federal Programs.'' You 
must contact your State's Single Point of Contact (SPOC) to find out 
about and comply with the state's process under EO 12372. The names and 
addresses of the SPOCs are listed in the Office of Management and 
Budget's home page at http://www.whitehouse.gov/omb/grants/spoc.html. 
If required by the state, the submission to the state needs to occur 
before the Section 202 application deadline date, but in no event later 
than the application deadline date. It is recommended that you provide 
the state with sufficient time to review the application. Therefore, it 
is important that you consult with the SPOC for State review timeframes 
and take that into account when submitting the application. If the SPOC 
requires a review of your application, you must include a copy of the 
cover letter you sent to the SPOC in Exhibit 8(a) of your Section 202 
application.
    2. HUD/RHS Agreement. HUD and the Rural Housing Service (RHS) have 
an agreement to coordinate the administration of the agencies' 
respective rental assistance programs. As a result, HUD is required to 
notify RHS of applications for housing assistance it receives. This 
notification gives RHS the opportunity to comment if it has concerns 
about the demand for additional assisted housing and possible harm to 
existing projects in the same housing market area. HUD will consider 
RHS' comments in its review and application selection process.

E. Funding Restrictions

    1. Ineligible Activities. Section 202 funds may not be used for:
    a. Nursing homes;
    b. Infirmaries;
    c. Medical facilities;
    d. Mobile homes;
    e. Community centers;
    f. Headquarters for organizations for the elderly;
    g. Nonhousekeeping accommodations (e.g., central dining, but 
without private kitchens and/or bathrooms in the residential units);
    h. Refinancing of sponsor-owned facilities without rehabilitation;
    i. Housing that you currently own or lease that is occupied by 
elderly persons; and
    j. Projects licensed or to be licensed as assisted living 
facilities.

    Note: You may propose to rehabilitate an existing currently-
owned or leased structure that does not already serve elderly 
persons, except that the refinancing of any federally-funded or 
assisted project or project insured or guaranteed by a federal 
agency is not permissible under this Section 202 NOFA. HUD does not 
consider it appropriate to utilize scarce program resources to 
refinance projects that have already received some form of 
assistance under a federal program. (For example, Section 202 or 
Section 202/8 direct loan projects cannot be refinanced with capital 
advances and project rental assistance.)

    2. Application Limits (Units/Projects). Refer to Section III.C. of 
this NOFA for information applicable to the limitations on the number 
of units you may apply for in a single application and the project 
sizes.
    3. Development Cost Limits.
    a. The following development cost limits, adjusted by locality as 
described in Section IV.E.3.b. below must be used to determine the 
capital advance amount to be reserved for projects for the elderly.

    Note: The capital advance funds awarded for this project are to 
be considered the total amount of funds that the Department will 
provide for the development of this project. Amendment funds will 
only be provided in exceptional circumstances (e.g., to cover 
increased costs for construction delays due to litigation or 
unforeseen environmental issues resulting in a change of sites) that 
are clearly beyond your control. Otherwise, you are responsible for 
any costs over and above the capital advance amount provided by the 
Department as well as any costs associated with any excess amenities 
and design features.

    (1) The capital advance amount for the project attributable to 
dwelling use (less the incremental development cost and the capitalized 
operating costs associated with any excess amenities and design 
features and other costs you must pay for) may not exceed:
    Non-elevator structures:
    $45,507 per family unit without a bedroom;
    $52,470 per family unit with one bedroom;
    $63,279 per family unit with two bedrooms.
    For elevator structures:
    $47,890 per family unit without a bedroom;
    $54,897 per family unit with one bedroom;
    $66,755 per family unit with two bedrooms
    (2) These cost limits reflect those costs reasonable and necessary 
to develop a project of modest design that complies with HUD minimum 
property standards; the accessibility requirements of Sec.  891.120(b); 
and the project design and cost standards of Sec.  891.120 and Sec.  
891.210.
    b. Increased development cost limits.
    (1) HUD may increase the development cost limits set forth above, 
by up to 140 percent in any geographic area where the cost levels 
require, and may increase the development cost limits by up to 160 
percent on a project-by-project basis. This increase may include 
covering additional costs to make dwelling units accessible through 
rehabilitation.


[[Page 11711]]


    Note: In applying the applicable high cost percentage, the local 
HUD Office may use a percentage that is higher or lower than that 
which is assigned to the local HUD Office if it is needed to provide 
a capital advance amount that is comparable to what it typically 
costs to develop a Section 202 project in that area.

    (2) If HUD finds that high construction costs in Alaska, Guam, the 
Virgin Islands, or Hawaii make it infeasible to construct dwellings, 
without the sacrifice of sound standards of construction, design, and 
livability, within the development cost limits provided in sections 
IV.E.3.a.(1) and IV.E.3.b.(1) above, the amount of the capital advances 
may be increased to compensate for such costs. The increase may not 
exceed the limits established under this section (including any high 
cost area adjustment) by more than 50 percent.
    4. Commercial Facilities. A commercial facility for the benefit of 
the residents may be located and operated in the Section 202 project. 
However, the commercial facility cannot be funded with the use of 
Section 202 capital advance or PRAC funds. The maximum amount of space 
permitted for a commercial facility cannot exceed 10 percent of the 
total project floor space. An exception to this 10 percent limitation 
is if the project involves acquisition or rehabilitation and the 
additional space was incorporated in the existing structure at the time 
the proposal was submitted to HUD. Commercial facilities are considered 
public accommodations under Title III of the Americans with 
Disabilities Act of 1990 (ADA), and thus must comply with all the 
accessibility requirements of the ADA.
    5. Expiration of Section 202 Funds. The Revised Continuing 
Appropriations Resolution, 2007 (Pub. L. 110-5; approved February 15, 
2007), requires HUD to obligate all Section 202 funds appropriated for 
FY 2007 by September 30, 2010. Under 31 U.S.C. Section 1551, no funds 
can be disbursed from this account after September 30, 2015. Under 
Section 202, obligation of funds occurs for both capital advances and 
project rental assistance upon fund reservation and acceptance. If all 
funds are not disbursed by HUD and expended by the project Owner by 
September 30, 2015, the funds, even though obligated, will expire and 
no further disbursements can be made from this account. In submitting 
an application you need to carefully consider whether your proposed 
project can be completed through final capital advance closing no later 
than September 30, 2015. Furthermore, all unexpended balances, 
including any remaining balance on PRAC contracts, will be cancelled as 
of October 1, 2015. Amounts needed to maintain PRAC payments for any 
remaining term on the affected contracts beyond that date will have to 
be funded from other current appropriations.

F. Other Submission Requirements:

    1. Address for Submitting Applications. Applications must be 
submitted electronically through the http://www.grants.gov/applicants/apply--for--grants.jsp Web site, unless the applicant receives a waiver 
from the electronic application submission requirement. See the General 
Section, Application Submission and Receipt Procedures and Section 
IV.C. of this NOFA for additional information. Refer to HUD's Web site 
at http://www.hud.gov/offices/adm/grants/fundsavail.cfm for a listing 
of local HUD offices. All applications submitted electronically via 
http://www.grants.gov/applicants/apply--for--grants.jsp will be 
downloaded and forwarded to the appropriate local HUD office.
    2. Special Instructions for Section 202 Applications That Will Have 
More Than One Applicant, i.e., Co-Sponsors. The applicants must 
designate a single individual to act as the authorized representative 
for all co-Sponsors of the application. The designated authorized 
representative of the organization submitting the application must be 
registered with Grants.gov, the Federal Central Contractor Registry and 
with the credential provider for E-Authentication. Information on the 
Grants.gov registration process is found in Section IV.B. of the 
General Section. When the application is submitted through Grants.gov, 
the name of the designated authorized representative will be inserted 
into the signature line of the application. Please note that the 
designated authorized representative must be able to make legally 
binding commitments for each co-Sponsor to the application.
    Each co-Sponsor must complete the documents required of all co-
sponsoring organizations to permit HUD to make a determination on the 
eligibility of the co-Sponsor(s) and the acceptability of the 
application based on the assistance and commitments the co-Sponsor(s) 
has pledged to the project. Therefore, each co-Sponsor must submit the 
following information using the scanning and/or faxing method described 
in Section IV. of the General Section: Standard Form-424, Application 
for Federal Assistance; Standard Form-424 Supplement, Survey on 
Ensuring Equal Opportunity for Applicants; Standard Form LLL, 
Disclosure of Lobbying Activities (if applicable); Form HUD-92015-CA, 
Section 202 Application for Capital Advance, Summary Information; Form 
HUD-92041, Sponsor's Conflict of Interest Resolution; and Form HUD-
92042, Sponsor's Resolution for Commitment to Project. The forms 
identified above are discussed in the Program instructions package and 
can be downloaded from Grants.gov under the program application 
download at http://www.grants.gov/applicants/apply--for--grants.jsp. 
The downloaded and completed forms should be saved as separate 
electronic files and attached to the electronic application submission 
following the requirements of Section IV.
    As stated in the General Section, Section IV, scanning documents to 
create electronic files increases the size of the file. Therefore, 
applicants may not submit scanned files unless using the facsimile 
method as stated in the General Section will not work due to the nature 
of the document. If the facsimile method does not work, forms and other 
documents from co-Sponsors may be scanned to create an electronic file 
and submitted as an attachment to the application. These documents 
should be labeled and numbered so the HUD reviewer can identify the 
file and its contents. If the applicant is creating an electronic file, 
the file should contain a header that identifies the name of the 
Sponsor submitting the electronic application, that Sponsor's DUNS 
number, and the unique ID that is found at the top of the Facsimile 
Transmission form found in the electronic application package. The 
naming convention for each electronic file should correspond to the 
labeling convention used in the application Table of Contents found in 
Section IV.B.1. of this program NOFA and the General Section. For 
example, the organizational documents of a co-Sponsor would be included 
under Part II, Exhibit 2(a) of the Section 202 application.
    The signed documents and other information required to be submitted 
with the electronic application should be transmitted via fax using 
Form HUD-96011, Facsimile Transmittal found in the electronic 
application package. Co-Sponsors should use the form HUD-96011 provided 
by the Sponsor that is submitting the electronic application. The 
submitting Sponsor should fill in the SF-424 form prior to giving the 
Form HUD-96011 to the co-Sponsors. By following these directions, the 
Form HUD-96011 will be pre-populated with the submitting Sponsor's 
organizational information exactly as the submitting Sponsor has 
provided it on the

[[Page 11712]]

electronic application. In addition, HUD will be using the unique 
identifier associated to the downloaded application package as a means 
of matching the faxes submitted with the applications received via 
Grants.gov. The Facsimile Transmittal form also has space to provide 
the number of pages being faxed and information on the type of 
document. Co-Sponsors or the submitting applicant can insert the 
document name in the space labeled Program Component.

    Note: Do not insert any additional or other cover pages as it 
will cause problems in electronically matching the pieces of the 
application. See the General Section for further instructions.

V. Application Review Information

A. Criteria

    Policy Priorities. HUD encourages applicants to undertake specific 
activities that will assist the Department in implementing its policy 
priorities and which help the Department achieve its strategic goals 
for FY2007. Refer to the General Section for information regarding 
HUD's Strategic Goals and Policy Priorities. For the Section 202 
program, applicants who include work activities that specifically 
address the policy priorities of encouraging accessible design features 
by incorporating visitability standards and universal design, removing 
barriers to affordable housing, promoting energy efficiency in design 
and operations, and expanding training and employment opportunities for 
low- and very low-income persons and business concerns (Section 3 
requirements), will receive additional points. A Notice pertaining to 
the removal of barriers to affordable housing was published in the 
Federal Register and may be downloaded from the HUD web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
    Rating Factors. HUD will rate applications that successfully 
complete technical processing using the Rating Factors set forth below 
and in accordance with the application submission requirements in this 
NOFA. The maximum number of points an application may receive under 
this program is 102. This includes two (2) RC/EZ/EC-II bonus points, as 
described in the General Section and Section V.A.6. below.

1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (23 Points)

    This factor addresses the extent to which you have the 
organizational resources to successfully implement the proposed 
activities in a timely manner. Submit information responding to this 
factor in accordance with Application Submission Requirements in 
Exhibits 3(a), 3(b), 3(e), 5 and 6 of Section IV.B. of this NOFA. In 
rating this factor, HUD will consider the extent to which your 
application demonstrates your ability to develop and operate the 
proposed housing on a long-term basis, considering the following:
    a. (13 points). The scope, extent, and quality of your experience 
in providing housing or related services to those proposed to be served 
by the project and the scope of the proposed project (i.e., number of 
units, services, relocation costs, development, and operation) in 
relationship to your demonstrated development and management capacity 
as well as your financial management capability.
    b. (10 points) The scope, extent and quality of your experience in 
providing housing or related services to minority persons or minority 
families and your ties to the community at large and to the minority 
and elderly communities in particular.
    (1) (5 points). The scope, extent, and quality of your experience 
in providing housing or related services to minority persons or 
minority families.
    (2) (5 points). The scope, extent, and quality of your ties to the 
community at large and to the minority and elderly communities in 
particular.
    To earn the maximum number of points under sub-criteria (b)(1) 
above, you must describe significant previous experience in providing 
housing and/or supportive services to minorities generally and to 
minority elderly in particular. For the purpose of this competition, 
``significant previous experience'' means that the previous housing 
assistance or related services to minorities (i.e., the percentage of 
minorities being provided housing or related services in your current 
developments) was equal to or greater than the percentage of minorities 
in the housing market area where the previous housing or services 
occurred. To earn the maximum number of points under sub-criteria 
(b)(2) above, you should submit materials that demonstrate your efforts 
to make housing available to the community at large and the minority 
and elderly communities in particular and your relationships over time 
with the minority and elderly communities. Examples of documents that 
may be submitted to earn the maximum number of points under sub-
criteria (b)(2) include letters of support from community leaders 
(including minority community leaders) that give information about the 
applicant's relationship over time with the community (including the 
minority community). You may also submit copies of your affirmative 
marketing plan and the advertising/outreach materials you utilize to 
attract minority communities (including limited English proficient 
communities), elderly communities, and the community at large. 
Regarding your advertising/outreach materials, you should identify when 
advertising/outreach materials are circulated, to whom they are 
circulated, where they are circulated and how they are circulated. 
Descriptions of other advertising/outreach efforts to the minority 
(including limited English proficient communities) and elderly 
communities and the dates and places of such advertising/outreach 
efforts should also be included.
    c. (-3 to -5 points). HUD will deduct (except if the delay was 
beyond your control) 3 points if a fund reservation you received under 
either the Section 202 Program of Supportive Housing for the Elderly or 
the Section 811 Program of Supportive Housing for Persons with 
Disabilities in FY2002 or later has been extended beyond 24 months, 4 
points if beyond 36 months, or 5 points if beyond 48 months. Examples 
of such delays beyond your control include, but are not limited to, 
initial closing delays that are: (1) directly attributable to HUD, (2) 
directly attributable to third party opposition, including litigation, 
and (3) due to a disaster, as declared by the President of the United 
States.
    d. (-3 to -5 points). HUD will deduct from 3 points to 5 points if 
HUD amendment money was required in connection with a fund reservation 
you received under either the Section 202 Program of Supportive Housing 
for the Elderly or the Section 811 Program of Supportive Housing for 
Persons with Disabilities in FY2002 or later based on the following.
    (1) (-3 points). The amount of the amendment money required was 25 
percent or less of the original capital advance amount approved by HUD.
    (2) (-4 points). The amount of the amendment money required was 
between 26 percent and 50 percent of the original capital advance 
amount approved by HUD.
    (3) (-5 points). The amount of the amendment money required was 
over 50 percent of the original capital advance amount approved by HUD.

2. Rating Factor 2: Need/Extent of the Problem (13 Points)

    This factor addresses the extent to which there is a need for 
funding the proposed activities to address a documented problem in the 
target area.

[[Page 11713]]

Submit information responding to this factor in accordance with 
Application Submission Requirements in Exhibits 4(a) and 4(b) of 
Section IV.B. of this NOFA. HUD will take into consideration the 
following in evaluating this factor:
    The extent of the need for the project in the area based on a 
determination by the local HUD Office. In making this determination, 
HUD will consider your evidence of need in the area, as well as other 
economic, demographic, and housing market data available to the local 
HUD office. The data should include but is not limited to:
     a general assessment of the current conditions in the 
market for the type of housing proposed,
     an estimate of the demand for additional housing of the 
type proposed in the applicable housing market area,
     information on the numbers and types of existing 
comparable Federally assisted housing units for the elderly (HUD and 
RHS) and current occupancy in such housing and recent market 
experience,
     comparable assisted housing for the elderly under 
construction or for which fund reservations have been issued, and
     in accordance with an agreement between HUD and RHS, 
comments from RHS on the demand for additional comparable subsidized 
housing and the possible harm to existing projects in the same housing 
market areas.
    The Department will also review more favorably those applications 
that establish a connection between the proposed project and the 
community's Analysis of Impediments to Fair Housing Choice (AI) or 
other planning document that analyzes fair housing issues and is 
prepared by a local planning or similar organization. You must show how 
your proposed project will address an impediment to fair housing choice 
described in the AI or meet a need identified in the other type of 
planning document.
    For all Section 202 projects that are determined to have sufficient 
demand, HUD will rate your application based on the ratio of the number 
of units in the proposed project to the estimate of unmet need for 
housing assistance by the income eligible elderly households with 
selected housing conditions. Unmet need is defined as the number of 
very low-income elderly one-person renter households age 75 and older 
with housing conditions problems, as of the 2000 Census, minus the 
number of project-based subsidized rental housing units (HUD, RHS, or 
LIHTC) that are affordable to very low-income elderly provided in the 
area since 1999. Units to be occupied by resident managers are not 
counted. After HUD determines the estimate of unmet need and whether a 
connection has been made between the project and community's 
Consolidated Plan, Analysis of Impediments to Fair Housing Choice, or 
other planning document, HUD will rate your application as follows:
    a. (10 points). The area of the project has an unmet needs ratio of 
15 percent or less; OR (5 points). The area of the project has an unmet 
needs ratio of greater than 15 percent; OR (0 points). The area of the 
proposed project has no unmet needs for housing assistance.
    b. (3 points). The extent that a connection has been established 
between the project and the community's Consolidated Plan, Analysis of 
Impediments to Fair Housing Choice (AI) or other planning document that 
analyzes fair housing issues and is prepared by a local planning or 
similar organization.

3. Rating Factor 3: Soundness of Approach (47 Points)

    This factor addresses the quality and effectiveness of your 
proposal and the extent to which you involved elderly persons, 
including elderly minority persons, in the development of the 
application and will involve them in the development and operation of 
the project, whether the jurisdiction in which your project will be 
located has undertaken successful efforts to remove regulatory barriers 
to affordable housing, whether you will promote energy efficiency in 
the design and operation of the proposed housing, and your plans to 
expand economic opportunities for low- and very low-income persons as 
well as certain business concerns (Section 3 requirements). There must 
be a clear relationship between your proposed design, proposed 
activities, the community's needs and purposes of the program funding 
for your application to receive points for this factor. Submit 
information responding to this factor in accordance with Application 
Submission Requirements in Exhibits 3(f), 3(j), 3(k), 4(c)(i), 
4(c)(ii), 4(d)(iii), 4(d)(v), 4(d)(vi), and 5 of Section IV.B. of this 
NOFA. In evaluating this factor, HUD will consider the following:
    a. (20 points). The proximity or accessibility of the site to 
shopping, medical facilities, transportation, places of worship, 
recreational facilities, places of employment, and other necessary 
services to the intended occupants; adequacy of utilities and streets; 
freedom of the site from adverse environmental conditions; compliance 
with site and neighborhood standards (24 CFR 891.125(a), (d) and (e)).
    b. (-1 point). The site(s) is not permissively zoned for the 
intended use.
    c. (10 points). The suitability of the site from the standpoint of 
promoting a greater choice of housing opportunities for minority 
elderly persons/families and affirmatively furthering fair housing. In 
reviewing this criterion, HUD will assess whether the site meets the 
site and neighborhood standards at 24 CFR 891.125(b) and (c) by 
examining relevant data in your application or in the local HUD Office. 
Where appropriate, HUD may visit the site.
    (1) The site will be deemed acceptable if it increases housing 
choice and opportunity by expanding housing opportunities in non-
minority neighborhoods (if located in such a neighborhood). The term 
``nonminority area'' is defined as one in which the minority population 
is lower than 10 percent. If the site will be in a minority 
neighborhood, the site will be deemed acceptable if it contributes to 
the revitalization of and reinvestment in the minority neighborhood, 
including improvement of the level, quality and affordability of 
services furnished to minority elderly. You should refer to the Site 
and Neighborhood Standards provisions of the regulations governing the 
Section 202 Supportive Housing for the Elderly program (24 CFR 
891.125(b) and (c)) when considering sites for your project.
    (2) For the purpose of this competition, the term ``minority 
neighborhood (area of minority concentration)'' is defined as one where 
any one of the following statistical conditions exists:
    (a) The percentage of persons of a particular racial or ethnic 
minority is at least 20 points higher than the percentage of that 
minority's or a combination of minorities' in the housing market area 
as a whole;
    (b) The neighborhood's total percentage of minority persons is at 
least 20 points higher than the total percentage of minorities for the 
housing market as a whole; or,
    (c) In the case of a metropolitan area, the neighborhood's total 
percentage of minority persons exceeds 50 percent of its population.
    d. (2 points). The extent to which your proposed design will meet 
the special physical needs of elderly persons.
    e. (2 points). The extent to which the proposed size and unit mix 
of the housing will enable you to manage and operate the housing 
efficiently and ensure that the provision of supportive services will 
be accomplished in an economical fashion.

[[Page 11714]]

    f. (2 points). The extent to which the proposed design of the 
housing will accommodate the provision of supportive services that are 
expected to be needed, initially and over the useful life of the 
housing, by the category or categories of elderly persons the housing 
is intended to serve.
    g. (3 points). The extent to which the proposed supportive services 
meet the identified needs of the anticipated residents and that the 
identified supportive services will be provided on a consistent, long-
term basis.
    h. (1 point). The extent to which the proposed design incorporates 
visitability standards and/or universal design in the construction or 
rehabilitation of the project. Refer to the General Section for further 
information.
    i. (2 points). Your involvement of elderly persons, particularly 
minority elderly persons, in the development of the application and 
your intent to involve elderly persons, particularly minority elderly 
persons, in the development and operation of the project.
    j. (2 points). The extent to which the jurisdiction in which your 
project will be located has undertaken successful efforts to remove 
regulatory barriers to affordable housing. (Note: This is an optional 
requirement, but to receive up to 2 points, the applicant must have 
submitted the Form HUD-27300, Questionnaire for HUD's Initiative on 
Removal of Regulatory Barriers, AND provided some form of documentation 
where requested, including point of contact and URL references or 
submitted the required documentary evidence.) Refer to the General 
Section for further information.
    k. (1 point) The extent to which you will promote energy efficiency 
in the design and operation of the proposed housing. Refer to Section 
III.C.4. of this NOFA.
    l. (2 points). The extent to which you have described your plans 
for expanding economic opportunities for low- and very-low income 
persons (provisions of Section 3). (Note: This is an optional 
requirement, but to receive up to 2 points, the applicant must have 
adequately addressed the following in Exhibit 3(k) of the application.) 
Refer to the General Section for further information.
    (1) (1 point) Provide opportunities to train and employ low- and 
very low-income residents of the project area.
    (2) (1 point). Award substantial contracts to persons residing in 
the project area.

4. Rating Factor 4: Leveraging Resources (5 Points)

    This factor addresses your ability to secure other funding sources 
and community resources that can be combined with HUD's program 
resources to achieve program purposes. Submit information responding to 
this factor in accordance with Application Submission Requirements in 
Exhibits 3(a), 3(b), 3(c), 3(d), 3(e), and 5(b) of Section IV.B. of 
this NOFA.
    a. (0 point). The application contains general support and/or 
written evidence of firm commitments towards the development and 
operation of the proposed project (including, financial assistance, 
donation of land, provision of services, etc.) from other funding 
sources (e.g., private, local community, and government sources) where 
the dollar value totals 5 percent or less of the capital advance amount 
as determined by HUD.
    b. (1 point). The application contains written evidence of firm 
commitments towards the development and operation of the proposed 
project (including, financial assistance, donation of land, provision 
of services, etc.) from other funding sources (e.g., private, local 
community, and government sources) where the dollar value totals 
between 6 percent and 10 percent of the capital advance amount as 
determined by HUD.
    c. (2 points). The application contains written evidence of firm 
commitments towards the development and operation of the proposed 
project (including, financial assistance, donation of land, provision 
of services, etc.) from other funding sources (e.g., private, local 
community, and government sources) where the dollar value totals 
between 11 percent and 15 percent of the capital advance amount as 
determined by HUD.
    d. (3 points). The application contains written evidence of firm 
commitments towards the development and operation of the proposed 
project (including, financial assistance, donation of land, provision 
of services, etc.) from other funding sources (e.g., private, local 
community, and government sources) where the dollar value totals 
between 16 percent and 20 percent of the capital advance amount as 
determined by HUD.
    e. (4 points). The application contains written evidence of firm 
commitments towards the development and operation of the proposed 
project (including, financial assistance, donation of land, provision 
of services, etc.) from other funding sources (e.g., private, local 
community, and government sources) where the dollar value totals 
between 21 percent and 25 percent of the capital advance amount as 
determined by HUD.
    f. (5 points). The application contains written evidence of firm 
commitments towards the development and operation of the proposed 
project (including, financial assistance, donation of land, provision 
of services, etc.) from other funding sources (e.g., private, local 
community, and government sources) where the dollar value totals over 
25 percent of the capital advance amount as determined by HUD.

5. Rating Factor 5: Achieving Results and Program Evaluation (12 
Points)

    This factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability and, as such, emphasizes HUD's 
commitment to ensuring that you keep the promises made in your 
application. This factor requires that you clearly identify the 
benefits or outcomes of your project and develop an evaluation plan to 
measure performance, which includes what you are going to measure, how 
you are going to measure it, and the steps you will have in place to 
make adjustments to your project development timeline should you not be 
able to achieve any of the major milestones. Completion of Exhibit 
8(i), Project Outcome Logic Model (HUD-96010), will assist you in 
completing your response to this rating factor. This rating factor also 
addresses the extent to which your project will implement practical 
solutions that result in residents achieving independent living, 
educational opportunities, and improved living environments. Finally, 
this factor addresses the extent to which the long-term viability of 
your project will be sustained for the duration of the 40-year capital 
advance period. Submit information responding to this factor in 
accordance with Application Submission Requirements in Exhibits 3(e), 
3(g), 3(h), 3(i), 6(b) and 8(i) of Section IV.B.
    a. (5 points). The extent to which your project development 
timeline is indicative of your full understanding of the development 
process and will, therefore, result in the timely development of your 
project.
    b. (2 points). The extent to which your past performance evidences 
that the proposed project will result in the timely development of the 
project. Evidence of your past performance could include the 
development of previous construction projects, including but not 
limited to Section 202 and Section 811 projects.
    c. (2 points). The extent to which your project will implement 
practical solutions that will result in assisting residents in 
achieving independent living, educational opportunities,

[[Page 11715]]

outreach regarding telemarketing fraud, and improved living 
environments.
    d. (3 points). The extent to which you demonstrated that your 
project will remain viable as housing with the availability of 
supportive services for very low-income elderly persons for the 40-year 
capital advance period.
    6. Bonus Points (2 bonus points). Location of proposed site in an 
RC/EZ/EC-II area, as described in the General Section. Submit the 
information responding to the bonus points in accordance with the 
Application Submission Requirements in Exhibit 8(h) of Section IV.B. of 
this NOFA.
B. Reviews and Selection Process
    1. Review for Curable Deficiencies. Upon receipt of the application 
by HUD staff, HUD will screen all applications to determine if there 
are any curable deficiencies. For applicants receiving a waiver to 
submit a paper application, submitting fewer than the required original 
and four copies of the application is not a curable deficiency and will 
cause your application to be considered non-responsive to the NOFA and 
returned to you. A curable deficiency is a missing Exhibit or portion 
of an Exhibit that will not affect the rating of the application. Refer 
to the General Section for additional information regarding procedures 
for corrections to deficient applications. The following is a list of 
the only deficiencies that will be considered curable in a Section 202 
application:

------------------------------------------------------------------------
            Curable exhibit                        Description
------------------------------------------------------------------------
1......................................  Form 92015-CA (Application
                                          Form)*
2(a)...................................  Articles of Incorporation*
(b)....................................  By-laws*
(c)....................................  IRS tax exemption ruling*
4(c)(iii)..............................  Description of mixed-financing
                                          plans for additional units, if
                                          applicable
4(d)(i)................................  Evidence of site control
(d)(ii)................................  Evidence site is free of
                                          limitations, restrictions or
                                          reverters
(d)(iv)................................  Evidence of compliance with URA
                                          site notification requirement
(d)(vii)...............................  Phase I ESA
(d)(viii)..............................  Asbestos Statement or Survey
(d)(ix)................................  Letter to the State/Tribal
                                          Historic Preservation Officer
                                          (SHPO/THPO) and a statement
                                          that the SHPO/THPO failed to
                                          respond OR the Letter from the
                                          SHPO/THPO
7......................................  Relocation
8(a)...................................  Letter sent to the State Point
                                          of Contact (SPOC)*
(b)....................................  Standard Form 424 Supplement,
                                          Survey on Ensuring Equal
                                          Opportunity for Applicants
(c)....................................  Standard Form LLL, Disclosure
                                          of Lobbying Activities, if
                                          applicable
(d)....................................  Form HUD-2880, Applicant/
                                          Recipient Disclosure/Update
                                          Report
(e)....................................  Form HUD-2991, Certification of
                                          Consistency with Consolidated
                                          Plan
(f)....................................  Form HUD-92041, Sponsor's
                                          Conflict of Interest
                                          Resolution
(g)....................................  Form HUD-92042, Sponsor's
                                          Resolution for Commitment to
                                          Project*
(j)....................................  Form HUD-96011 Facsimile
                                          Transmittal (Required Only for
                                          Transmittal of Faxes)*
(k)....................................  Form HUD-2994-A, You are Our
                                          Client! Grant Applicant Survey
                                          (optional)
------------------------------------------------------------------------

    The local HUD office will notify you in writing if your application 
is missing any of the above exhibits or portions of exhibits and will 
provide you with a specified deadline to submit the information 
required to cure the noted deficiencies. The items identified by an 
asterisk (*) must be dated on or before the application submission 
date. If an Exhibit or portion of an Exhibit listed above as curable is 
not discovered as missing until technical processing, HUD will provide 
you with a deadline to cure the deficiency.
    2. Rating. HUD will review and rate your application in accordance 
with the Reviews and Selection Process in the General Section except as 
described in ``3. Appeal Process'' found below. Your application will 
be either rated or technically rejected at the end of technical review. 
If your application meets all program eligibility requirements after 
completion of technical review, it will be rated according to the 
rating factors in Section V.A. above.
    3. Appeal Process. HUD will not reject your application based on 
technical review without notifying you of the rejection with all the 
reasons for rejection and providing you an opportunity to appeal. You 
will have 14 calendar days from the date of HUD's written notice to 
appeal a technical rejection to the local HUD office. In HUD's review 
of any appeal, it should be noted that in conformance with its 
regulations at 24 CFR part 4, subpart B, HUD will not consider any 
unsolicited information that you, the applicant, may want to provide. 
The local HUD office will make a determination on any appeals before 
making its selection recommendations.
    4. Ranking and Selection Procedures. Applications submitted in 
response to the advertised metropolitan allocations or nonmetropolitan 
allocations that have a total base score of 75 points or more (without 
the addition of RC/EZ/EC-II bonus points) and meet all of the 
applicable threshold requirements of the General Section and this NOFA 
will be eligible for selection, and HUD will place them in rank order 
per metropolitan or nonmetropolitan allocation. These applications, 
after adding any bonus points for RC/EZ/EC-II, will be selected based 
on rank order, up to and including the last application that can be 
funded out of each HUD Multifamily Program Center's metropolitan or 
nonmetropolitan allocation. HUD Multifamily Program Centers will not 
skip over any applications in order to select one based on the funds 
remaining. After making the initial selections in each allocation area, 
however, HUD Multifamily Program Centers may use remaining available 
funds to select the next highest rank-ordered application by reducing 
the number of units by no more than 10 percent, rounded to the nearest 
whole number, provided the reduction will not render the project 
infeasible. For this purpose, however, HUD will not reduce the number 
of units in projects of five units or less.
    Once this process has been completed, HUD Multifamily Program 
Centers may combine their unused metropolitan and nonmetropolitan funds 
in order to select the next highest ranked application in either 
category, using the unit reduction policy described above, if 
necessary.
    After the HUD Multifamily Program Centers have funded all possible 
projects based on the process above, combined metropolitan and 
nonmetropolitan residual funds from all HUD Multifamily Program Centers 
within each Multifamily Hub will be combined. First, these funds will 
be used to restore units to projects reduced by HUD Multifamily Program 
Centers based on the above instructions. Second, additional 
applications within each Multifamily Hub will be selected in Hub-wide 
rank order with only one application selected per HUD Multifamily 
Program Center. More than one application may be selected per HUD 
Multifamily Program Center if there are no approvable applications in 
other HUD Multifamily Program Centers within the Multifamily Hub. This 
process will continue until there are no more approvable applications 
within the Multifamily Hub that can be selected with the remaining 
funds. Applications may not be skipped over to select one based on 
funds remaining. However, the Multifamily Hub may use any remaining 
residual funds to select the next highest rated application by reducing 
the number of units by no

[[Page 11716]]

more than 10 percent rounded to the nearest whole number, provided the 
reduction will not render the project infeasible or result in the 
project being less than five units.
    Funds remaining after the Multifamily Hub selection process is 
completed will be returned to Headquarters. HUD Headquarters will use 
these residual funds first to restore units to projects reduced by HUD 
Multifamily Program Centers or Multifamily Hubs as a result of the 
instructions for using their residual funds. Second, HUD Headquarters 
will use these funds for selecting applications based on HUD 
Multifamily Program Centers' rankings, beginning with the highest rated 
application nationwide. However, after restoring units to projects 
where necessary, priority will be given to those applications for 
projects in non-metropolitan areas, if necessary to meet the statutory 
requirement of Section 202 of the Housing Act of 1959 pertaining to 
Section 202 funding in nonmetropolitan areas. Only one application will 
be selected per HUD Multifamily Program Center from the national 
residual amount. If there are no approvable applications in other HUD 
Multifamily Program Centers, the process will begin again with the 
selection of the next highest rated application nationwide. This 
process will continue until all approvable applications are selected 
using the available remaining funds. HUD Headquarters may skip over a 
higher-rated application in order to use as much of the available 
remaining funds as possible.
    5. HUD Error. In the event HUD commits an error that, when 
corrected, would have resulted in the selection of an otherwise 
eligible applicant during the funding round of this NOFA, HUD may 
select that applicant when sufficient funds become available.

VI. Award Administration Information

A. Award Notices

    1. Agreement Letter. If you are selected to receive a Section 202 
fund reservation, you will receive an Agreement Letter that stipulates 
the terms and conditions for the Section 202 fund reservation award as 
well as the submission requirements following the fund reservation 
award. The duration of the fund reservation award for the capital 
advance is 18 months from the date of issuance of the fund reservation.
    Immediately upon your acceptance of the Agreement Letter, you are 
expected to begin work towards the submission of a Firm Commitment 
Application, which is the next application submission stage. You are 
required to submit a Firm Commitment Application to the local HUD 
office within 180 days from the date of the Agreement Letter. Initial 
closing of the capital advance and start of construction of the project 
are expected to be accomplished within the duration of the fund 
reservation award. Final closing of the capital advance is expected to 
occur no later than six months after completion of project 
construction.
    2. Non-Selection Letter. If your application is approvable but 
unfunded due to insufficient funds or receives a rating that is below 
the minimum threshold score established for funding eligibility, you 
will receive a letter to this effect.
    3. Debriefing. Refer to the General Section for further information 
regarding debriefings, except that the request for a debriefing must be 
made to the Director of Multifamily Housing in the appropriate local 
HUD office.

B. Administrative and National Policy Requirements

    1. Ensuring the Participation of Small Businesses, Small 
Disadvantaged Businesses, and Women-Owned Businesses. Although the 
Section 202 program is not subject to the provisions of 24 CFR 85.36(e) 
as described in the corresponding paragraph in the General Section, you 
are required to comply with Executive Order 12432, Minority Business 
Enterprise Development and Executive Order 11625, Prescribing 
Additional Arrangements for Developing and Coordinating a National 
Program for Minority Business Enterprise as they relate to the 
encouragement of HUD grantees to utilize minority business enterprises.
    2. Acquisition and Relocation. You must comply with the Uniform 
Relocation Assistance and Real Property Acquisition Policies Act of 
1970, as amended (49 CFR part 24, and 24 CFR 891.155(e)) (URA), which 
covers the acquisition of sites, with or without existing structures, 
and with 24 CFR 8.4(b)(5) of the Section 504 regulations which 
prohibits discrimination based on disability in determining the site or 
location of a federally-assisted facility. However, you are exempt from 
complying with the site acquisition requirements of the URA if you do 
not have the power of eminent domain and prior to entering into a 
contract of sale, option to purchase or any other method of obtaining 
site control, you inform the seller of the land in writing (1) that you 
do not have the power of eminent domain and, therefore, you will not 
acquire the property if negotiations fail to result in an amicable 
agreement, and (2) of the estimate of the fair market value of the 
property. An appraisal is not required to meet this requirement, 
however, your files must include an explanation (with reasonable 
evidence) of the basis for the estimate. Evidence of compliance with 
this advance notice requirement must be included in Exhibit 4(d)(iv) of 
your application.
    3. Flood Disaster Protection Act of 1973 and Coastal Barrier 
Resources Act. You must comply with the requirements under the Flood 
Disaster Protection Act of 1973 (42 U.S.C. 4001-4128) and the Coastal 
Barrier Resources Act (16 U.S.C. 3601).

C. Reporting

    1. The Program Outcome Logic Model (Form HUD-96010) must be 
completed indicating the results achieved against the proposed output 
goal(s) and proposed outcome(s) which you stated in your approved 
application and agreed upon by HUD. Based on the information you 
provided in the Program Outcome Logic Model, you also are required to 
submit to HUD a statement reporting the Return on Investment as a 
result of HUD's Section 202 funding award to you to develop and operate 
a Section 202 housing project with supportive services for the very 
low-income elderly. HUD is considering a new concept for the Logic 
Model. The new concept is a Return on Investment (ROI) statement. HUD 
will be publishing a separate notice on the ROI concept.
    These reporting requirements are to be submitted to HUD as follows:
    Program Outcome Logic Model. You, as the Sponsor, and the Owner, 
when formed, are required to report annually, beginning from the date 
of the Agreement Letter, on the results achieved against the output 
goal(s) and outcome(s), which you proposed in the Program Outcome Logic 
Model that was submitted in your application.
    2. The Regulatory Agreement (Form HUD-92466-CA) requires the Owner 
of the Section 202 project to submit an annual financial statement for 
the project. This financial statement must be audited by an Independent 
Public Accountant who is a Certified Public Accountant or other person 
accepted by HUD and filed electronically with HUD's Real Estate 
Assessment Center (REAC) through the Financial Assessment Subsystem for 
Multifamily Housing (MF-FASS). The submission of annual financial 
statements is required throughout the 40-year term of the mortgage.

VII. Agency Contact(s)

    For Technical Assistance. For technical assistance in downloading 
an

[[Page 11717]]

application package from www.Grants.gov, contact the Grants.gov help 
desk at 800-518-Grants or by sending an e-mail to [email protected]. 
For programmatic information, you may contact the appropriate local HUD 
office, or Alicia Anderson at HUD Headquarters at (202) 708-3000 (this 
is not a toll-free number), or access the Internet at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Persons with hearing and 
speech impairments may access the above number via TTY by calling the 
Federal Relay Service at 800-877-8339 (this is a toll-free number).

VIII. Other Information

    A. Field Office Workshop. HUD encourages minority organizations and 
grassroots organizations (e.g., civic organizations, faith-communities 
and grassroots faith-based and other community-based organizations) to 
participate in this program and strongly recommends that prospective 
applicants attend the local HUD office workshop. At the workshops, HUD 
will explain application procedures and requirements, as well as 
address concerns such as local market conditions, building codes and 
accessibility requirements, contamination identification and 
remediation, historic preservation, floodplain management, other 
environmental requirements, displacement and relocation, zoning, and 
housing costs. If you are interested in attending the workshop, make 
sure that your name, address and telephone number are on the 
appropriate local HUD office's mailing list so that you will be 
informed of the date, time and place of the workshop. Persons with 
disabilities should call the appropriate local HUD Office to assure 
that any necessary arrangements can be made to enable their attendance 
and participation in the workshop.
    If you cannot attend the workshop, call the appropriate local HUD 
office if you have any questions concerning the submission of 
applications to that particular office and to request any materials 
distributed at the workshop.
    B. Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. It is strongly recommended that 
potential applicants, especially those who may be applying for Section 
202 funding for the first time, tune in to this broadcast, if at all 
possible. Copies of the broadcast tapes are also available from the 
NOFA Information Center. For more information about the date and time 
of the broadcast, you should consult the HUD Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
    C. Related Programs. Funding for a related program, Section 202 
Demonstration Pre-Development Grant Program, is available to provide 
predevelopment grants to private nonprofit organizations and consumer 
cooperatives in connection with the development of housing under the 
Section 202 program. The announcement of the availability of funding 
under this program will be addressed in a separate NOFA.

D. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2502-0267. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 37.42 hours per annum per respondent for the application and 
grant administration. This includes the time for collecting, reviewing, 
and reporting the data for the application. The information will be 
used for grantee selection and monitoring the administration of funds. 
Response to this request for information is required in order to 
receive the benefits derived.

[[Page 11718]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.026


[[Page 11719]]



Section 811 Program of Supportive Housing for Persons With Disabilities 
(Section 811 Program)

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Housing.
    B. Funding Opportunity Title: Section 811 Supportive Housing for 
Persons with Disabilities.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR-5100-N-05; OMB Approval Number is 
2502-0462.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.181, 
Section 811 Supportive Housing for Persons with Disabilities.
    F. Dates: Application deadline date: May 24, 2007. Application must 
be received and validated by Grants.gov by 11:59:59 p.m. eastern time 
on the deadline date. Refer to Section IV. below and the General 
Section for information on application submission requirements.
    G. Optional, Additional Overview Content Information:
    1. Purpose of the Program. This program provides funding for the 
development and operation of supportive housing for very low-income 
persons with disabilities who are at least 18 years old. If you receive 
funding through this program, you must assure that supportive services 
are identified and available.
    2. Available Funds. Approximately $88.3 million in capital advance 
funds plus associated project rental assistance contract (PRAC) funds 
and any carryover funds available.
    3. Types of Funds. Capital advance funds will cover the cost of 
developing the housing. PRAC funds will cover the difference between 
the HUD-approved operating costs of the project and the tenants' 
contributions toward rent (30 percent of their adjusted monthly 
income).
    4. Eligible Applicants. Nonprofit organizations that have a section 
501(c)(3) tax exemption from the Internal Revenue Service. (See Section 
III.C.3.m. below of this NOFA for further details and information 
regarding the formation of the Owner corporation.)
    5. Eligible Activities. New construction, rehabilitation, or 
acquisition (with or without rehabilitation) of housing. (See Section 
III.C.1. below of this NOFA for further information.)
    6. Match Requirements. None required.
    7. Local HUD Offices. The local HUD office structure, for the 
purpose of implementing the Section 811 program, consists of 18 
Multifamily Hub Offices. Within the Multifamily Hubs, there are 
Multifamily Program Centers with the exception of the New York Hub, the 
Buffalo Hub, the Denver Hub and the Los Angeles Hub. All future 
references shall use the term ``local HUD office'' unless a more 
detailed description is necessary as in Limitations on Applications and 
Ranking and Selection Procedures, below.

Full Text of Announcement

I. Funding Opportunity Description

    A. Program Description. HUD provides capital advances and contracts 
for project rental assistance in accordance with 24 CFR part 891. 
Capital advances may be used for the construction or rehabilitation of 
a structure or acquisition of a structure with or without 
rehabilitation, to be developed into a variety of housing options 
described in Section III.C. Capital advance funds bear no interest and 
are based on development cost limits in Section IV.E.3. Repayment of 
the capital advance is not required as long as the housing remains 
available for occupancy by very low-income persons with disabilities 
for at least 40 years. PRAC funds are used to cover the difference 
between the tenants' contributions toward rent (30 percent of adjusted 
income) and the HUD-approved cost to operate the project.
    B. Authority. 42 U.S.C. 8013 (Section 811 of the Cranston-Gonzalez 
National Affordable Housing Act (Pub. L. 101-625, approved November 28, 
1990) (NAHA), as amended by the Housing and Community Development Act 
of 1992) (Pub. L. 102-550, approved October 28, 1992) (HCD Act of 
1992); the Rescissions Act (Pub. L. 104-19, approved July 27, 1995); 
the American Homeownership and Economic Opportunity Act of 2000 (Pub. 
L. 106-569, approved December 27, 2000) and the Revised Continuing 
Appropriations Resolution, 2007 (Pub. L. 110-5; approved February 15, 
2007) authorized a new supportive housing program for persons with 
disabilities, and replaced assistance for persons with disabilities 
previously covered by section 202 of the Housing Act of 1959 (section 
202 continues, as amended by section 801 of the NAHA, and the HCD Act 
of 1992, to authorize supportive housing for the elderly).
    C. Eligible Occupancy. You may propose a Section 811 project to 
serve persons with physical disabilities, developmental disabilities, 
chronic mental illness, or any combination of the three as defined in 
24 CFR 891.305. In addition, you may request HUD approval to restrict 
occupancy to a subcategory of one of these three defined categories 
(e.g., HIV/AIDS is a subcategory of physical disability). If restricted 
occupancy is approved, however, you cannot deny occupancy to any 
otherwise qualified person that meets the definition of the overall 
category of disability under which the subcategory falls.
    D. Calculation of Fund Reservation. If selected, you will receive a 
fund reservation that will consist of both a reservation of capital 
advance funds and a reservation of three years for project rental 
assistance.
    1. Capital advance funds. The reservation of capital advance funds 
is based on a formula which, for an independent living project 
(including condominiums), takes the development cost limit for the 
appropriate building type (elevator, non-elevator) and unit size(s) and 
multiplies it by the number of units of each size (including a unit for 
a resident manager, if applicable) and then multiplies the result by 
the high cost factor for the area. For a group home, the formula is 
based on the number of persons with disabilities in the appropriate 
disability category (excluding any unit for a resident manager since 
such a unit is already incorporated in the development cost limit) 
multiplied by the high cost factor for the area. The development cost 
limits can be found in Section IV.E.3. of this NOFA.
    2. PRAC funds. The initial PRAC award covers three years. The 
amount awarded is determined by multiplying the number of units for 
residents with disabilities in an independent living project or the 
number of residents with disabilities in a group home by the 
appropriate operating cost standard times three (3). The operating cost 
standards will be published by Notice.

II. Award Information

    A. Available Funds. For FY2007, $88.3 million is available for 
capital advances for the Section 811 Program of Supportive Housing for 
Persons with Disabilities. The Revised Continuing Appropriations 
Resolution, 2007 (Pub. L. 110-5; approved February 15, 2007) provides 
$239,000,000 for capital advances, including amendments to capital 
advance contracts, for supportive housing for persons with disabilities 
as authorized by section 811 of the National Affordable Housing Act of 
1990 (NAHA); for project rental assistance for supportive housing for 
persons with disabilities under section 811 of the NAHA, including 
amendments to contracts for such

[[Page 11720]]

assistance and renewal of expiring contracts for such assistance for up 
to a one-year term and for tenant-based rental assistance contracts and 
renewal of expiring contracts for such assistance entered into pursuant 
to section 811 of the NAHA, and $400,000 to be transferred to the 
Working Capital Fund. Approximately $5,000,000 will be provided for 
tenant-based rental assistance for persons with disabilities 
administered through public housing agencies (PHAs) and nonprofit 
organizations under the Mainstream Housing Opportunities for Persons 
with Disabilities Program and $78,300,000 will be provided for one-year 
renewal costs of Section 811 rental assistance.
    In accordance with the waiver authority provided in the Department 
of Housing and Urban Development Appropriations Act, 2007, the 
Secretary is waiving the following statutory and regulatory provision: 
The term of the project rental assistance contract is reduced from 20 
years to 3 years. HUD anticipates that at the end of the contract 
terms, renewals will be approved subject to the availability of funds. 
In addition to this provision, HUD will reserve project rental 
assistance contract funds based on 75 percent rather than on 100 
percent of the current operating cost standards for approved units in 
order to take into account the average tenant contribution toward rent.
    The allocation formula used for Section 811 reflects the ``relevant 
characteristics of prospective program participants,'' as specified in 
24 CFR 791.402(a). The FY2007 formula consists of the following data 
element from the 2000 Census: the number of non-institutionalized 
persons age 16 to 64 with a disability. The data on disability status 
were derived from answers to a two-part question that asked about the 
existence of the following long-lasting conditions: (a) blindness, 
deafness, or a severe vision or hearing impairment (sensory disability) 
and (b) a condition that substantially limits one or more basic 
physical activities, such as walking, climbing stairs, reaching, 
lifting, or carrying (physical disability); and a four-part question 
that asked if the individual had a physical, mental, or emotional 
condition lasting 6 months or more that made it difficult to perform 
certain activities. The four activity categories were: (a) learning, 
remembering, or concentrating (mental disability); (b) dressing, 
bathing, or getting around inside the home (self-care disability); (c) 
going outside the home alone to shop or visit a doctor's office (going 
outside the home disability); and (d) working at a job or business 
(employment disability).
    Under the Section 811 Program, each local HUD office jurisdiction 
receives sufficient capital advance funds for a minimum of 10 units. 
The total amount of capital advance funds to support this minimum set-
aside is then subtracted from the total capital advance available. The 
remainder is fair shared to each local HUD office jurisdiction whose 
fair share would exceed the set-aside based on the allocation formula 
fair share factors described below.
    The fair share factors were developed by taking the number of 
persons with disabilities in the data element for each state, or state 
portion, of each local HUD office jurisdiction as a percent of the data 
element from the 2000 Census, described above, for the total United 
States. The resulting percentage for each local HUD office is then 
adjusted to reflect the relative cost of providing housing among the 
local HUD office jurisdictions. The adjusted needs percentage for each 
local HUD office is then multiplied by the total amount of capital 
advance funds available nationwide.
    The Section 811 capital advance funds have been allocated, based on 
the formula above, to 51 local HUD offices as shown on the following 
chart:

 FY 2007 Section 811 Allocations for Supportive Housing for Persons With
                              Disabilities
------------------------------------------------------------------------
                                                              Capital
                 Offices                       Units          advance
------------------------------------------------------------------------
BOSTON HUB
------------------------------------------------------------------------
BOSTON..................................              17      $2,296,605
HARTFORD................................              10       1,364,220
MANCHESTER..............................              10       1,075,415
PROVIDENCE..............................              10       1,342,183
                                         -------------------------------
    TOTAL...............................              47       6,078,423
------------------------------------------------------------------------
NEW YORK HUB
------------------------------------------------------------------------
NEW YORK................................              28       3,812,372
------------------------------------------------------------------------
BUFFALO HUB
------------------------------------------------------------------------
BUFFALO.................................              17       1,961,062
------------------------------------------------------------------------
PHILADELPHIA HUB
------------------------------------------------------------------------
CHARLESTON..............................              10       1,034,708
NEWARK..................................              19       2,576,996
PHILADELPHIA............................              20       2,576,410
PITTSBURGH..............................              10       1,081,931
                                         -------------------------------
    TOTAL...............................              59       7,270,045
------------------------------------------------------------------------
BALTIMORE HUB
------------------------------------------------------------------------
BALTIMORE...............................              10       1,073,536
RICHMOND................................              16       1,595,661
WASHINGTON..............................              10       1,201,563
                                         -------------------------------

[[Page 11721]]

 
    TOTAL...............................              36       3,870,760
------------------------------------------------------------------------
GREENSBORO HUB
------------------------------------------------------------------------
COLUMBIA................................              16       1,645,470
GREENSBORO..............................              20       2,584,393
                                         -------------------------------
    TOTAL...............................              36       4,229,863
------------------------------------------------------------------------
ATLANTA HUB
------------------------------------------------------------------------
ATLANTA.................................              20       1,908,196
KNOXVILLE...............................              10         947,608
LOUISVILLE..............................              16       1,592,146
NASHVILLE...............................              15       1,388,636
SAN JUAN................................              16       1,944,381
                                         -------------------------------
    TOTAL...............................              77       7,780,967
------------------------------------------------------------------------
JACKSONVILLE HUB
------------------------------------------------------------------------
BIRMINGHAM..............................              16       1,485,461
JACKSON.................................              10         890,941
JACKSONVILLE............................              31       2,894,379
                                         -------------------------------
    TOTAL...............................              57       5,270,781
------------------------------------------------------------------------
CHICAGO HUB
------------------------------------------------------------------------
CHICAGO.................................              23       3,018,814
INDIANAPOLIS............................              17       1,698,474
                                         -------------------------------
    TOTAL...............................              40       4,717,288
------------------------------------------------------------------------
COLUMBUS HUB
------------------------------------------------------------------------
CINCINNATI..............................              10         994,831
CLEVELAND...............................              16       1,739,750
COLUMBUS................................              10         982,238
                                         -------------------------------
    TOTAL...............................              36       3,716,819
------------------------------------------------------------------------
DETROIT HUB
------------------------------------------------------------------------
DETROIT.................................              17       1,986,025
GRAND RAPIDS............................              10         846,866
                                         -------------------------------
    TOTAL...............................              27       2,832,891
------------------------------------------------------------------------
MINNEAPOLIS HUB
------------------------------------------------------------------------
MINNEAPOLIS.............................              14       1,710,717
MILWAUKEE...............................              15       1,768,524
                                         -------------------------------
    TOTAL...............................              29       3,479,241
------------------------------------------------------------------------
FT. WORTH HUB
------------------------------------------------------------------------
FT. WORTH...............................              25       2,105,842
HOUSTON.................................              17       1,513,059
LITTLE ROCK.............................              10         859,459
NEW ORLEANS.............................              16       1,441,667
SAN ANTONIO.............................              17       1,436,753
                                         -------------------------------
    TOTAL...............................              85       7,356,780
------------------------------------------------------------------------
KANSAS CITY HUB
------------------------------------------------------------------------
DES MOINES..............................              10         890,941
KANSAS CITY.............................              15       1,610,158
OKLAHOMA CITY...........................              14       1,283,491
OMAHA...................................              10       1,000,078

[[Page 11722]]

 
ST. LOUIS...............................              10       1,162,735
                                         -------------------------------
    TOTAL...............................              59       5,947,403
------------------------------------------------------------------------
DENVER HUB
------------------------------------------------------------------------
DENVER..................................              19       1,937,395
------------------------------------------------------------------------
SAN FRANCISCO HUB
------------------------------------------------------------------------
SAN FRANCISCO...........................              24       3,170,932
HONOLULU................................              10       1,888,920
PHOENIX.................................              16       1,499,753
SACRAMENTO..............................              10       1,329,590
                                         -------------------------------
    TOTAL...............................              60       7,889,195
------------------------------------------------------------------------
LOS ANGELES HUB
------------------------------------------------------------------------
LOS ANGELES.............................              36       4,608,427
------------------------------------------------------------------------
SEATTLE HUB
------------------------------------------------------------------------
SEATTLE.................................              17       2,034,377
ANCHORAGE...............................              10       1,888,920
PORTLAND................................              15       1,580,209
                                         -------------------------------
    TOTAL...............................              42       5,503,506
------------------------------------------------------------------------
    NATIONAL TOTAL......................             790      88,263,218
------------------------------------------------------------------------

    B. Type of Award. Capital Advance and Project Rental Assistance 
Contract Funds for new Section 811 applications.
    C. Type of Assistance Instrument. The Agreement Letter stipulates 
the terms and conditions for the Section 811 fund reservation award as 
well as the submission requirements following the fund reservation 
award. The duration of the fund reservation award for the capital 
advance is 18 months from the date of issuance of the fund reservation.
    D. Anticipated Start and Completion Date. Immediately upon your 
acceptance of the Agreement Letter, you are expected to begin work 
toward the submission of a Firm Commitment Application, which is the 
next application submission stage. You are required to submit a Firm 
Commitment Application to the local HUD office within 180 days from the 
date of the Agreement Letter. Initial closing of the capital advance 
and start of construction of the project are expected to be 
accomplished within the duration of the fund reservation award as 
indicated in the above paragraph regarding the Type of Assistance 
Instrument. Final closing of this capital advance is expected to occur 
no later than six months after completion of project construction.

III. Eligibility Information

    A. Eligible Applicants: Nonprofit organizations with a section 
501(c)(3) tax exemption from the Internal Revenue Service and who meet 
the threshold requirements contained in the General Section NOFA and 
Section III.C.2 below are the only eligible applicants for this 
program.
    Applicant eligibility for purposes of applying for a Section 811 
fund reservation under this NOFA has not changed; i.e., all Section 811 
Sponsors and Co-Sponsors must be nonprofit organizations. However, the 
Owner corporation, when later formed by the Sponsor, may be (1) a 
single-purpose nonprofit organization that has tax-exempt status under 
Section 501(c)(3) of the Internal Revenue Code (IRS) of 1986, OR (2) 
for purposes of developing a mixed-finance project pursuant to the 
statutory provision under Title VIII of the American Homeownership and 
Economic Opportunity Act of 2000, a for-profit limited partnership with 
a nonprofit organization that has tax exempt status under Section 
501(c)(3) of the IRS code as the sole general partner.
    See Section IV.E.2 below regarding limits on the total number of 
units and projects for which you may apply for funding.
    B. Cost Sharing or Matching: No cost sharing or match is required; 
however, you are required to make a commitment to cover the estimated 
start-up expenses, the minimum capital investment of one half of one 
percent of the HUD-approved capital advance, not to exceed $10,000, and 
any funds required in excess of the capital advance, including the 
estimated cost of any amenities or features (and operating costs 
related thereto) which are not covered by the capital advance. You must 
make such a commitment by signing the form HUD-92042, Sponsor's 
Resolution for Commitment to Project, in Exhibit 8(g) of the 
application found in Section IV.B. below.

C. Other

    1. Eligible Activities. Section 811 capital advance funds must be 
used to finance the development of housing through new construction, 
rehabilitation, or acquisition with or without rehabilitation. Capital 
advance funds may also be used in combination with other non-Section 
811 funding sources leveraged by a for-profit limited partnership (of 
which a single-purpose nonprofit organization with a 501(c)(3) tax 
exemption is the sole general partner) to develop a mixed-finance 
project, including a mixed-finance project for additional units over 
and above the Section 811 units. The development of a mixed-use project 
in

[[Page 11723]]

which the Section 811 units are mortgaged separately from the other 
uses of the structure is not considered a mixed-finance project. 
Project rental assistance funds are provided to cover the difference 
between the HUD-approved operating costs and the amount the residents 
pay (each resident pays 30 percent of adjusted income). The types of 
housing that can be developed with Section 811 capital advance funds 
include independent living projects, dwelling units in multifamily 
housing developments, condominium and cooperative housing and small 
group homes.

    Note: For purposes of approving Section 811 capital advances, 
HUD will consider proposals involving mixed-financing for additional 
units over and above the Section 811 units if you have legal control 
of an approvable site and the additional units do not cause the 
project, as a whole, to exceed the project size limits if the 
additional units will also house persons with disabilities (unless 
your project will be an independent living project and you request 
and receive HUD approval to exceed the project size limits (See 
IV.B.2.c.(1)(d)(xi)). However, you must obtain funds to assist the 
additional units with other than PRAC funds. HUD will not provide 
PRAC funds for non-Section 811 units.

    2. Threshold Criteria for Funding Consideration. In addition to the 
threshold criteria outlined in the General Section of the SuperNOFA, 
the following threshold requirements must be met:
    a. Non-Responsive Application. Your application will be considered 
non-responsive to the NOFA and will not be accepted for processing if 
you:
    (1) submit less than the required number of copies if you requested 
and received approval for a waiver of the electronic submission 
requirement. Applicants receiving waiver approval to submit a paper 
application must follow the instructions in the approval notification 
regarding where to submit the application and the number of copies 
required. All paper applications granted a waiver to the electronic 
application submission requirement must be received by HUD at the 
proper location no later than the deadline date.
    (2) submit paper copies of the application if you have not received 
approval from HUD for a waiver of the electronic submission 
requirements;
    (3) submit a substantially deficient application (i.e., a majority 
of the required exhibits are not submitted with your application, 
particularly, but not limited to, those exhibits which are not 
curable). HUD reserves the right to determine whether your application 
is substantially deficient for purposes of determining whether the 
application is non-responsive to the NOFA. Refer to Section IV.B., 
Content and Form of Application Submission, for information on the 
required exhibits for submission with your application to ensure that 
your application is complete at time of submission;
    (4) request more units than were allocated to the local HUD office 
that will be reviewing your application (See the allocation chart in 
Section II.A. above);
    (5) request less than the minimum number of units for persons with 
disabilities in an independent living project (5 units) or a group home 
(2 units);
    (6) request more than the maximum number of units for a group home 
(6 units); or
    (7) request assistance for housing that you currently own or lease 
that has been occupied by people with disabilities for longer than one 
year prior to the application deadline date;
    (8) request assistance for an ineligible activity as defined in 
Section IV.E., Funding Restrictions, of this program NOFA;
    (9) are an ineligible applicant (see Section III.A., Eligible 
Applicants of this program NOFA).
    b. Other Criteria.
    (1) You, or a Co-Sponsor, must have experience in providing housing 
or services to persons with disabilities.
    (2) You and any Co-Sponsor must be eligible nonprofit organizations 
with tax-exempt status under Section 501(c)(3) of the Internal Revenue 
Service code.
    (3) Your application must contain evidence of site control or the 
identification of a site. Section 811(d)(3) of the National Affordable 
Housing Act requires you to provide either evidence of site control or 
a reasonable assurance that you will have control of a site within six 
months of the date of the Agreement Letter notifying you that you have 
been selected to receive a Section 811 fund reservation. Accordingly, 
you must include in your application the required information specified 
below for evidence of site control, or the required information 
specified below under site identification as a reasonable assurance 
that site control will be obtained within six months of the date of the 
Agreement Letter. If you submit the required information for an 
identified site(s), you must include a specific street address for each 
identified site or the application will be rejected.
    (a) Evidence of Site Control--If you have control of a site at the 
time you submit your application, you must provide the information in 
Exhibit 4(d) in IV.B. of this NOFA relative to site control.
OR
    (b) Site Identification--If you do not have site control of one or 
more of your sites, you must provide the information required in 
Exhibit 4(e) in IV.B. of this NOFA under ``Identification of a Site'' 
for any site not under control as a reasonable assurance that site 
control will be obtained within six months of fund reservation 
notification.
    If your application contains evidence of site control where either 
the evidence or the site is not approvable, your application will not 
be rejected provided you indicate in your application that you are 
willing to seek an alternate site and provide an assurance that site 
control will be obtained within six months of fund reservation 
notification. During the selection process, all applications with 
acceptable evidence of site control for all proposed sites and all 
proposed sites that have been found approvable will be grouped in 
Category A. All applications that are submitted as ``site identified'' 
as well as those that are submitted with site control but the evidence 
of control and/or site(s) are not approvable (if the Sponsor indicates 
that it is willing to seek a different site if the proposed site is not 
approvable) will be grouped in Category B. All applications in Category 
A will be selected before any applications are selected from Category 
B. See Section V.B.4. for further information on the selection process.
    (c) Historic Preservation. If you submit an application with 
evidence of site control, you are required to send a letter to the 
State/Tribal Historic Preservation Officer (SHPO/THPO) that attempts to 
initiate consultation with their office and requests their review of 
your determinations and findings with respect to the historical 
significance of your proposed project. A HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm contains a sample letter 
to the SHPO/THPO that you may adapt for your use, if you so choose. You 
must include a copy of your letter to the SHPO/THPO in your 
application. You must then also include in your application either:
    (i) The response letter(s) from the SHPO/THPO, or
    (ii) A statement from you that you have not received a response 
letter(s) from the SHPO/THPO.
    (d) Contamination. HUD must determine if a proposed site contains 
contamination such as hazardous waste, petroleum, or petroleum 
products, and, if so, HUD must be satisfied that it is eliminated to 
the extent necessary to

[[Page 11724]]

meet non site-specific Federal, State or local health standards. If you 
submit an application with evidence of site control, you must assist 
HUD by doing the following:
    (i) Phase I Environmental Site Assessment (ESA)--You must undertake 
and submit a Phase I ESA, prepared in accordance with the ASTM Standard 
E 1527-05, using the table of contents and report format specified at 
Appendix X4, completed or updated as specified at Section 4.6 no 
earlier than 180 days prior to the application deadline date in order 
for the application to be considered as an application with site 
control. The Phase I ESA must be completed and included in your 
application. Therefore, it is important that you start the Phase I ESA 
process as soon after publication of the SuperNOFA as possible. To help 
you choose an environmentally safe site, HUD invites you to review the 
document ``Choosing An Environmentally Safe Site'' and ``Supplemental 
Guidance, Environmental Information'', which are available on HUD's Web 
site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.

    Note: An application with a phase I That is not properly 
updated, does not use the format specified at appendix X4 of ASTM 
Standard E 1527-05 or that is prepared in accordance with an older 
version of ASTM E 1527 will result in being a technical reject.

    (ii) Phase II ESA--If the Phase I ESA indicates the possible 
presence of contamination and/or hazards, you must decide whether to 
continue with this site or choose another site. Should you choose 
another site, the same Phase I ESA process identified above must be 
followed for the new site. However, if you choose to continue with the 
original site on which the Phase I ESA indicated contamination or 
hazards, you must undertake a detailed Phase II ESA by an appropriate 
professional. In order for your application to be considered as an 
application with site control, the Phase II must be received in the 
local HUD office on or before June 25, 2007.
    (iii) Clean-up--If the Phase II ESA reveals site contamination, the 
extent of the contamination and a plan for clean-up of the site must be 
submitted to the local HUD office. The plan for clean-up must include a 
contract for remediation of the problem(s) and an approval letter from 
the applicable federal, state, and/or local agency with jurisdiction 
over the site. In order for your application to be considered as an 
application with site control, this information must be received by the 
appropriate local HUD office on or before June 25, 2007.

    Note: Clean-up could be an expensive undertaking. You must pay 
for the cost of any clean-up and/or remediation with sources other 
than the capital advance funds. If the application is approved, 
clean-up must be completed prior to initial closing. Completion of 
clean-up means that HUD Must be satisfied that the contamination has 
been eliminated to the extent necessary to meet non site-specific 
federal, state or local health standards, with no active or passive 
remediation still taking place, no capping over of any 
contamination, and no monitoring wells. However, it is acceptable if 
contamination remains solely in groundwater that is at least 25 feet 
below the surface.

    (e) Asbestos. Asbestos is a hazardous substance commonly used in 
building products until the late 1970s. Therefore, if you submit an 
application with evidence of site control, you must submit one of the 
following with your application:
    (i) If there are no pre-1978 structures on the site or if there are 
pre-1978 structures that most recently consisted of solely four or 
fewer units of single-family housing including appurtenant structures 
thereto, a statement to this effect, or
    (ii) If there are pre-1978 structures on the site, other than for a 
site that most recently consisted of solely four or fewer units of 
single-family housing including appurtenant structures thereto, a 
comprehensive building asbestos survey that is based on a thorough 
inspection to identify the location and condition of asbestos 
throughout any structures. In those cases where suspect asbestos is 
found, it would either be assumed to be asbestos or would require 
confirmatory testing. If the asbestos survey indicates the presence of 
asbestos or the presence of asbestos is assumed, and if the application 
is approved, HUD will condition the approval on an appropriate mix of 
asbestos abatement and an asbestos Operations and Maintenance Plan.
    (4) There must be a market need for the number of units proposed in 
the area of the project location.
    (5) Your application must contain a Supportive Services Plan and a 
Certification from the appropriate state or local agency that the 
Supportive Services Plan is well designed to address the individual 
health, mental health and other needs of persons with disabilities who 
will live in your proposed project. Exhibit 5 in Section IV.B. below 
outlines the information that must be in the Supportive Services Plan. 
You must submit one copy of your Supportive Services Plan to the 
appropriate State or local agency well in advance of the application 
submission deadline date for the state or local agency to review your 
Supportive Services Plan and complete the Supportive Services 
Certification and return it to you so that you can include it in the 
application you submit to HUD.
    (a) HUD will reject your application if the Supportive Services 
Certification:
    (i) Is not submitted with your application and is not submitted to 
HUD within the 14-day cure period; or
    (ii) Indicates that the provision of supportive services is not 
well designed to address the individual health, mental health and other 
needs of persons with disabilities who will live in your project; or
    (iii) Indicates that the provision of supportive services will not 
enhance independent living success or promote the dignity of the 
persons with disabilities who will live in your proposed project.
    (b) In addition, if the agency completing the certification will be 
a major funding or referral source for your proposed project or be 
responsible for licensing the project, HUD will reject your application 
if either the agency's Supportive Services Certification indicates--or, 
where the agency fails to complete item 3 or 4 of the certification, 
HUD determines that:
    (i) You failed to demonstrate that supportive services will be 
available on a consistent, long-term basis; and/or
    (ii) The proposed housing is not consistent with state or local 
agency plans/policies addressing the housing needs of people with 
disabilities.
    Any prospective resident of a Section 811 project who believes he/
she needs supportive services must be given the choice to be 
responsible for acquiring his/her own services or to take part in your 
Supportive Services Plan which must be designed to meet the individual 
needs of each resident.
    You must not require residents to accept any supportive services as 
a condition of occupancy or admission.
    (6) Delinquent Federal Debt. Refer to the General Section for 
information regarding delinquent federal debt.
    3. Program Requirements. By signing Form HUD-92016-CA, Supportive 
Housing for Persons with Disabilities Section 811, Application for 
Capital Advance Summary Information, you are certifying that you will 
comply with the program requirements listed in the General Section as 
well as the following requirements:
    a. Statutory and Regulatory Requirements. In addition to the 
statutory, regulatory, threshold and public policy requirements listed 
in the General Section, you must comply with all statutory and 
regulatory requirements listed in this NOFA.

[[Page 11725]]

    b. Project Size Limits.
    (1) Independent living project. The minimum number of units for 
persons with disabilities that can be applied for in one application is 
five units for persons with disabilities. All of the units are not 
required to be in one structure and they may be on scattered sites. The 
maximum number of persons with disabilities that can be housed in an 
independent living project on one or adjacent sites is 14 plus one 
additional one-or two-bedroom unit for a resident manager, if 
necessary. If the proposed independent living project will be located 
on a site already containing housing for persons with disabilities or 
on an adjacent site containing such housing, the total number of 
persons with disabilities housed in both the existing and the proposed 
project cannot exceed 14.
    (2) Exception to project size limit for an independent living 
project. If you are submitting an application for an independent living 
project with site control, you may request an exception to the above 
project size limit by providing the information required in Exhibit 
4(d)(xi) of Section IV.B. below NOFA.
    (3) Group home. The minimum number of persons with disabilities 
that can reside in a group home is two, and the maximum number is six. 
There are no exceptions to the maximum project size limit for a group 
home. An additional one-bedroom unit can be provided for a resident 
manager. Only one person per bedroom is allowed, unless two residents 
choose to share one bedroom or a resident determines he/she needs 
another person to share his/her bedroom. If you are applying for more 
than one group home, they cannot be located on the same or adjacent 
sites.
    (4) Condominium Units. Condominium units are treated the same as 
units in an independent living project except that you cannot request 
an additional condominium unit for a resident manager.
    c. Minimum Capital Investment. If selected, you must provide a 
minimum capital investment of one-half of one percent of the HUD-
approved capital advance amount, not to exceed a maximum of $10,000 in 
accordance with 24 CFR 891.145.
    d. Accessibility. Your project must meet accessibility requirements 
published at 24 CFR 891.120, 24 CFR 891.310 and Section 504 of the 
Rehabilitation Act of 1973, and, if new construction, the design and 
construction requirements of the Fair Housing Act and HUD's 
implementing regulations at 24 CFR part 100. In addition, 24 CFR 
8.4(b)(5) prohibits the selection of a site or location which has the 
purpose or effect of excluding persons with disabilities from the 
Federally assisted program or activity. Refer to Section V.A. below and 
the General Section for information regarding the policy priority of 
encouraging accessible design.
    e. Conducting Business in Accordance With Core Values and Ethical 
Standards. You are not subject to the requirements of 24 CFR parts 84 
and 85 as outlined in the General Section except for the disposition of 
real property, which may be subject to 24 CFR Part 84. However, you are 
still subject to the core values and ethical standards as they relate 
to the conflict of interest provisions in 24 CFR 891.130. To ensure 
compliance with the program's conflict of interest provisions, you are 
required to sign a Conflict of Interest Resolution and include it in 
your Section 811 application. Further, if awarded a Section 811 fund 
reservation, the officers, directors, board members, trustees, 
stockholders and authorized agents of the Section 811 Sponsor and Owner 
entities will be required to submit to HUD individual certifications 
regarding compliance with HUD's conflict of interest requirements.
    f. National Environmental Policy Act. You must comply with the 
National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321) and 
applicable related environmental authorities at 24 CFR 50.4, HUD's 
programmatic implementing regulations at 24 CFR part 50 and 24 CFR 
891.155(b), especially, but not limited to, the provision of 
information to HUD at 24 CFR 50.31(b), and you must comply with any 
environmental ``conditions and safeguards'' at 24 CFR 50.3(c).
    Under 24 CFR Part 50, HUD has the responsibility for conducting the 
environmental reviews. HUD will commence the environmental review of 
your project upon receipt of your completed application. However, HUD 
cannot approve any site for which you have site control unless it first 
completes the environmental review and finds that the site(s) meets its 
environmental requirements. In rare cases where HUD is not able to 
complete the environmental review, it is due to a complex environmental 
issue that could not be resolved during the time period allocated for 
application processing. Thus, if you submit an application with 
evidence of site control, HUD requires you to attempt to obtain 
comments from the State/Tribal Historic Preservation Officer (see 
Exhibit 4(d)(ix) of Section IV.B. below) to help HUD complete the 
environmental review on time. It is also why HUD may contact you for 
additional environmental information. So that you can review the type 
of information that HUD needs for its preparation of the environmental 
review, the type of information requests that HUD may make to you, and 
the criteria that HUD uses to determine the environmental acceptability 
of a site, you are invited to go to the following Web site to view the 
HUD form 4128, including the Sample Field Notes Checklist, which HUD 
uses to record the environmental review: www.hud.gov/utilities/intercept.cfm?/offices/cpd/energyenviron/environment/compliance/forms/4128.pdf.
    g. Lead-Based Paint. You must comply with the requirements of the 
Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846) and 
implementing regulations at 24 CFR part 35.
    h. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects. Refer to the 
General Section.
    i. Fair Housing Requirements. Refer to the General Section.
    j. Economic Opportunities for Low and Very Low-Income Persons 
(Section 3). You must comply with Section 3 of the Housing and Urban 
Development Act of 1968, U.S.C. 1701u (Economic Opportunities for Low 
and Very Low-Income Persons) and its implementation regulations at 24 
CFR part 135. You must ensure that training, employment and other 
economic opportunities shall, to the greatest extent feasible, be 
directed toward low and very low-income persons, particularly those who 
are recipients of government assistance for housing and to business 
concerns which provide economic opportunities to low and very-low 
income persons in the area in which the proposed project will be 
located. To comply with Section 3 requirements you are hereby 
certifying that you will strongly encourage your general contractor and 
subcontractors to participate in local apprenticeship programs or 
training programs registered or certified by the Department of Labor's 
Office of Apprenticeship, Training, Employer and Labor Services or 
recognized State Apprenticeship Agency. Although not a NOFA 
requirement, you are nonetheless encouraged to submit with your 
application a description on how you plan to incorporate the Section 3 
requirements into your proposed project with goals for expanding 
training and employment opportunities for low and very low-income 
(Section 3) residents as

[[Page 11726]]

well as business concerns. You will receive up to two (2) points if you 
provide a description of your plans for doing so under Exhibit 3(m) of 
this program NOFA
    k. Design and Cost Standards. You must comply with HUD's Section 
811 project design and cost standards (24 CFR 891.120 and 891.310), the 
Uniform Federal Accessibility Standards (24 CFR 40.7), Section 504 of 
the Rehabilitation Act of 1973 and HUD's implementing regulations at 24 
CFR part 8, and for covered multifamily dwellings designed and 
constructed for first occupancy after March 13, 1991, the design and 
construction requirements of the Fair Housing Act and HUD's 
implementing regulations at 24 CFR part 100, and, where applicable, the 
Americans with Disabilities Act of 1990.
    l. Energy Efficiency. HUD has adopted a wide-ranging energy action 
plan for improving energy efficiency in all program areas. As a first 
step in implementing the energy plan, HUD, the Environmental Protection 
Agency (EPA) and the Department of Energy (DOE) have signed a joint 
partnership to promote energy efficiency in HUD's affordable housing 
efforts and programs. The purpose of the Energy Star partnership is not 
only to promote energy efficiency of the affordable housing stock, but 
also to help protect the environment. Although it is not a requirement, 
you are nonetheless encouraged to promote energy efficiency in design 
and operations and your application will receive one (1) point if you 
describe your plans for doing so in the proposed project. You are 
especially urged to purchase and use Energy Star-labeled products. For 
further information about Energy Star, see http://www.energystar.gov or 
call 888-STAR-YES (1-888-782-7937) or for the hearing-impaired, 888-
588-9920 TTY.
    m. Formation of Owner Corporation. You must form an ``Owner'' 
entity (in accordance with 24 CFR 891.305) after issuance of the 
capital advance fund reservation and must cause the Owner entity to 
file a request for determination of eligibility and a request for 
capital advance, and must provide sufficient resources to the Owner 
entity to ensure the development and long-term operation of the 
project, including capitalizing the Owner entity at firm commitment 
processing in an amount sufficient to meet its obligations in 
connection with the project over and above the capital advance amount. 
n. Davis-Bacon. You must comply with the Davis-Bacon Requirements (42 
U.S.C. 8013(j)(6)) and the Contract Work Hours and Safety Standards Act 
in accordance with 24 CFR 891.155(d).

IV. Application and Submission Information

    A. Address to Request Application Package. Applicants are required 
to submit an electronic application unless they receive a waiver of the 
requirement in accordance with the procedures in Section IV.C. of this 
NOFA. See the General Section for information on electronic application 
submission and timely submission and receipt requirements. Copies of 
the General Section, this NOFA, the required forms, and other related 
documents are available and may be downloaded from the Grants.gov Web 
site at http:/www.grants.gov/applicants/apply--for--grants.jsp. Search 
for the program using the CFDA Number, Competition ID OR Funding 
Opportunity Number. If you have difficulty accessing the information, 
you may call the Grants.gov Support Desk toll free @ 800-518-GRANTS or 
e-mail your questions to Grants.gov">Support@Grants.gov. See the General Section 
for information regarding the registration process or ask for 
registration information from the Grants.gov Support Desk.
    You may request general information, copies of the General Section 
and this NOFA (including related documents), and required forms from 
the NOFA Information Center (800-HUD-8929) Monday through Friday, 
except on federal holidays. Persons with hearing or speech impairments 
may access this number via TTY by calling the Federal Information Relay 
Service at (800) 877-8339. When requesting information, please refer to 
the name of the program you are interested in.
    B. Content and Form of Application Submission. The exhibits to be 
included in your application are contained in the body of this NOFA 
below. Before preparing your application, you should carefully review 
the requirements of the regulations (24 CFR Part 891) and general 
program instructions in Handbook 4571.2, Section 811 Capital Advance 
Program for Housing Persons with Disabilities. Note: Section 1001 of 
Title 18 of the United States Code (Criminal Code and Criminal 
Procedure, 72 Stat. 967) applies to all information supplied in the 
application submission. (18 U.S.C. 1001, among other things, provides 
that whoever knowingly and willfully makes or uses a document or 
writing containing any false, fictitious, fraudulent statement or 
entry, in any matter within the jurisdiction of any department or 
agency of the United States, shall be fined not more than $10,000 or 
imprisoned for not more than five years, or both.)
    The Application for a Section 811 Capital Advance consists of four 
parts with a total of eight Exhibits. Included with the eight Exhibits 
are prescribed forms, certifications and resolutions. The components of 
the Application are:
     Part 1--Application Form for Section 811 Supportive 
Housing--Capital Advance (Exhibit 1).
     Part 2--Your Ability to Develop and Operate the Proposed 
Project (Exhibits 2 and 3).
     Part 3--The Need for Supportive Housing for the Target 
Population in the Area to be Served, Site Control and/or Identification 
of Site, Suitability of Site, Adequacy of the Provision of Supportive 
Services and of the Proposed Project (Exhibits 4 and 5).
     Part 4--General Application Requirements, Certifications 
and Resolutions (Exhibits 6 through 8).
    The following additional information, which may assist you in 
preparing your application, is available on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm:
     Listing of Local HUD Offices
     Letter Requesting SHPO/THPO Review
     Choosing an Environmentally Safe Site
     Supplemental to Choosing an Environmentally Safe Site
    Your application must include all of the information, materials, 
forms, and exhibits listed below (unless you were selected for a 
Section 811 fund reservation within the last three funding cycles). If 
you qualify for this exception, you are not required to submit the 
information described in Exhibit 2(a), (b), and (c), which are the 
articles of incorporation (or other organizational documents), by-laws, 
and the IRS tax exemption, respectively. If there has been a change in 
any of these documents since your previous HUD approval, you must 
submit the updated information in your application. The local HUD 
office will verify your previous HUD approval by checking the project 
number and approval status with the appropriate local HUD office based 
on information submitted.
    In addition to this relief of paperwork burden in preparing 
applications, you are able to use information and exhibits previously 
prepared for prior applications under Section 811, Section 202, or 
other funding programs. Examples of exhibits that may be readily 
adapted or amended to decrease the burden of application preparation 
include, among others, those on previous participation in the Section 
202 or Section 811 programs, your experience in the provision of 
housing and services, supportive services plans,

[[Page 11727]]

community ties, and experience serving minorities.
    For programmatic information, you MUST contact the appropriate 
local HUD office about the submission of applications within the 
jurisdiction of that office. A listing of the local HUD offices is 
available on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
    Please submit your application using the following format provided 
in this NOFA. For applications to be submitted electronically in which 
you have created files to be attached to the electronic application, 
you should number the pages of the attached file and include a header 
that identifies the exhibit that it relates to. Please be sure to 
follow the file labeling and file format instructions in the General 
Section.
    For applicants that received a waiver of the electronic application 
submission requirement, you must number the pages of each file, 
narratives and other attached files. Include the name of your 
organization and your DUNS number, and the exhibit number that you are 
responding to on the header of each document.

1. Table of Contents

a. Part I--Application Form

    (1) Exhibit 1: Form HUD-92016-CA Application for Capital Advance 
Summary Information.

b. Part II--Ability to Develop/Operate Project

    (1) Exhibit 2: Legal Status.
    (a) Organizational Documents.
    (b) By-Laws.
    (c) IRS Tax Exemption Ruling.
    (d) Number of board members.
    (2) Exhibit 3: Purpose/Community Ties/Experience.
    (a) Purpose(s), current activities, etc.
    (b) Community ties, description of area.
    (c) Other Funding Sources.
    (d) Letters of support.
    (e) Housing/Services experience.
    (f) Involvement of target population.
    (g) Practical solutions.
    (h) Project Development Timeline.
    (i) How project will remain viable:
    (i) If services are depleted;
    (ii) If State-funded services change; and
    (iii) If need for project changes.
    (j) Coordination with other organizations.
    (k) Consultation with Continuum of Care organizations.
    (l) Form HUD-27300, America's Affordable Communities Initiative/
Removal of Regulatory Barriers (HUD Communities Initiative Form on 
Grants.gov), with supporting documentation.
    (m) Section 3 requirements.

c. Part III--Need for Housing, Site Requirements, Proposed Services

    (1) Exhibit 4: Project Information.
    (a) Evidence of need for project.
    (b) Benefit to population/community.
    (c) Narrative project description:
    (i) Building design;
    (ii) Energy efficiency features; and
    (iii) Mixed-financing for additional units.
    (d) Site control and zoning;
    (i) Site control documents;
    (ii) Freedom of site from restrictions;
    (iii) Zoning requirements;
    (iv) URA site notification requirements;
    (v) Topographical/demographical description of site/area and 
opportunities for minorities;
    (vi) Racial composition/map of site;
    (vii) Phase I ESA;
    (viii) Asbestos Statement/Survey;
    (ix) SHPO/THPO requirements;
    (x) Willingness to seek alternate site; and
    (xi) Exception to project size limit:
    (A) Preference/acceptance of people with disabilities to live in 
proposed housing;
    (B) Increase number of people;
    (C) Compatibility of project;
    (D) Increased number will not prohibit integration in community;
    (E) Project marketability;
    (F) Consistency of project size with State/local policies; and
    (G) Willingness to accept project size limit.
    (e) Site identification:
    (i) Site location;
    (ii) Steps to identify site/activities to obtain site control;
    (iii) Whether site is properly zoned;
    (iv) Status of sale of site; and
    (v) Whether site involves relocation.
    (2) Exhibit 5: Supportive Services Plan.
    (a) Description of occupancy.
    (b) Request to limit occupancy:
    (i) Population to which occupancy will be limited;
    (ii) Why necessary to limit occupancy:
    (A) Achievement of Section 811 goals;
    (B) Why unable to meet housing/services needs in an integrated 
setting;
    (iii) Housing/Services experience;
    (iv) Assurance of integrating occupants in neighborhood/
community.
    (c) Services needs of proposed population.
    (d) Community services providers with letters of intent.
    (e) Service providers' capabilities/experience.
    (f) State/local agency involvement in project.
    (g) Your commitment to make services available or coordinate 
their availability.
    (h) Employment opportunities for residents.
    (i) Whether a manager's unit will be included.
    (j) Statement that occupancy will not be conditioned on 
resident's acceptance of supportive services.

d. Part IV--Requirements/Certifications/Resolutions

    (1) Exhibit 6: Other Applications.
    (a) FY07 Sections 202/811 applications to other Offices.
    (b) Information on FY06 and prior years' Sections 202/811 
applications.
    (2) Exhibit 7: Required information on:
    (a) All property occupants;
    (b) Relocation costs/services;
    (c) Staff to carry out relocation;
    (d) Occupant move-outs within past 12 months.
    (3) Exhibit 8: Forms/Certifications/Resolutions.
    (a) SF-424, Application for Federal Assistance.
    (b) SF-424 Supplement, ``Survey on Ensuring Equal Opportunities 
for Applicants'' (Faith Based EEO Survey (SF-424 SUPP) on 
Grants.gov).
    (c) SF-LLL, Disclosure of Lobbying Activities.
    (d) HUD-2880, ``Applicant/Recipient Disclosure/Update Report'' 
(HUD Applicant/ Recipient Disclosure Report on Grants.gov).
    (e) HUD-2991, Certification of Consistency with the Consolidated 
Plan.
    (f) HUD-92041, Sponsor's Conflict of Interest Resolution.
    (g) HUD-92042, Sponsor's Resolution for Commit to Project.
    (h) HUD-2990, Certification of Consistency with the RC/EZ/EC-II 
Strategic Plan (if applicable).
    (i) HUD-92043, Certification for Provision of Supportive 
Services.
    (j) HUD-96010, Program Outcome Logic Model.
    (k) HUD-96011, ``Third Party Documentation Facsimile 
Transmittal'' (Facsimile Transmittal Form on Grants.gov). This is to 
be used as the cover page for faxing third party information for 
electronic applications only. See the General Section.
    (l) HUD-2994-A, You are Our Client! Grant Applicant Survey.

2. Programmatic Applications Requirements

a. Part I--Application Form for Section 811 Supportive Housing--Capital 
Advance
    Exhibit 1--Form HUD-92016-CA, Supportive Housing for Persons with 
Disabilities Section 811 Application for Capital Advance Summary 
Information. A copy of this form is available in the instructions 
download at http://www.grants.gov/applicants/apply--for--grants.jsp.
b. Part II--Your Ability To Develop and Operate the Proposed Project
    (1) Exhibit 2--Evidence of your legal status (i.e., evidence of 
your status as a nonprofit organization with 501(c)(3) IRS tax 
exemption). If another organization(s) is co-sponsoring the application 
with you, each Co-Sponsor must also submit the following:
    (a) Articles of incorporation, constitution, or other 
organizational documents
    (b) By-laws
    (c) IRS tax exemption ruling (this must be submitted by all 
Sponsors, including churches)

    Note: Based on a HUD review of your articles of incorporation, 
constitution, or other organizational documents, HUD must determine, 
among other things, that (1) you are an eligible nonprofit entity 
with a 501(c)(3) IRS tax exemption status, (2) your corporate 
purposes are sufficiently broad to

[[Page 11728]]

provide you the legal authority to sponsor the proposed project for 
the disabled, to assist the Owner, and to apply for a capital 
advance, (3) no part of the Sponsor's net earnings inures to the 
benefit of any private party, and (4) that you are not controlled by 
or under the direction of persons seeking to derive profit or gain 
therefrom. [Exception: If you received a Section 811 fund 
reservation within the last three funding cycles, you are not 
required to submit the documents described in (a), (b), and (c) 
above. Instead, submit the project number of the latest application 
and the local HUD office to which it was submitted. If there have 
been any modifications or additions to the subject documents, 
indicate such, and submit the new material.]

    (d) The number of people on your board and the number of board 
members who have disabilities.

(2) Exhibit 3--Your purpose, community ties, and experience

    (a) A description of your purpose(s), current activities, including 
your ability to enlist volunteers and raise private and local funds, 
and how long you have been in existence.
    (b) A description of your ties to the community in which your 
project will be located and to the minority and disability communities 
in particular, including a description of the specific geographic 
area(s) in which you have served.
    (c) A description of other funding sources for the project 
(including financial assistance, donation of land, provision of 
services, etc.).
    (d) Letters of support for your organization and for the proposed 
project from organizations familiar with the housing and supportive 
services needs of the target population (e.g., the local center for 
independent living, the Statewide Independent Living Council) that you 
expect to serve in the proposed project.
    (e) A description of your housing and/or supportive services 
experience. The description should include any rental housing projects 
(including any integrated housing developments) and/or supportive 
services facilities that you sponsored, own and/or operate, your past 
or current involvement in any programs other than housing that 
demonstrates your management capabilities (including financial 
management) and experience, your experience in serving the target 
population (persons with disabilities and minorities); and the reasons 
for receiving any increases in fund reservations for developing and/or 
operating previously funded Section 202 or Section 811 projects. The 
description should include data on the facilities and services 
provided, the racial/ethnic composition of the populations served, if 
available, and information and testimonials from residents or community 
leaders on the quality of the activities. Examples of activities that 
could be described include housing counseling, nutrition and food 
services, special housing referral, screening and information projects.
    (f) A description of your efforts to involve members of the target 
population (persons with disabilities including minority persons with 
disabilities and persons with disabilities similar to those of the 
prospective residents) in the development of the application as well as 
your intent to involve the target population in the development and 
operation of the project.
    (g) A description of the practical solutions you will implement 
which will enable residents of your project to achieve independent 
living and economic empowerment. In addition, describe the educational 
opportunities you will provide for the residents and how you will 
provide them. This description should include the activities you will 
undertake to improve computer access, literacy and employment 
opportunities (e.g., provide programs that can teach residents how to 
use computers to become educated as well as achieve economic self-
sufficiency through job training and placement). And, finally, describe 
how your proposed project will be an improved living environment for 
the residents when compared to their previous place of residence.
    (h) Describe your plan for completing the proposed project. Include 
a project development timeline which lists the major development stages 
for the project with associated dates that must be met in order to get 
the project to initial closing and start of construction within the 18-
month fund reservation period as well as the full completion of the 
project, including final closing. Completion of Exhibit 8(j), Logic 
Model, will assist you in completing your response to this Exhibit.
    (i) Describe how you will ensure that your proposed project will 
remain viable as housing with the availability of supportive services 
for the target population for the 40-year capital advance period. This 
description should address the measures you would take should any of 
the following occur:
    (i) funding for any of the needed supportive services becomes 
depleted;
    (ii) if, for any state-funded services for your project, the state 
changes its policy regarding the provision of supportive services to 
projects such as the one you propose; or
    (iii) if the need for housing for the population you will be 
serving wanes over time, causing vacancies in your project.
    (j) A description of the steps you took to coordinate your 
application with other organizations (e.g., the local center for 
independent living) that will not be directly involved in your project 
but with which you share common goals and objectives, to complement 
and/or support the proposed project so that the project will provide a 
comprehensive and holistic solution to the needs of persons with 
disabilities.
    (k) A description of your efforts to consult with Continuum of Care 
organizations in the community where the project will be located about 
the ways you can assist persons with disabilities who are chronically 
homeless as defined in the General Section.
    (l) A description of the successful efforts the jurisdiction in 
which your project will be located has taken in removing regulatory 
barriers to affordable housing. To obtain up to 2 points for this 
policy priority, you must complete the optional Form HUD-27300, 
``Questionnaire for HUD's Initiative on Removal of Regulatory 
Barriers'' AND provide the necessary URL references or submit the 
documentary evidence. This exhibit is optional, but to obtain up to 2 
points for this policy priority, you must submit this information using 
Form HUD-27300 and contact information. When providing documents in 
support of your responses to the questions on the form, please provide 
the applicant name and project name and whether you were responding 
under column A or B, then identify the number of the question and the 
URL or document name and attach using the attachment function at the 
end of the electronic form. This exhibit will be used to rate your 
application under Rating Factor 3(j).
    (m) A description on how you plan to incorporate the Section 3 
requirements into your proposed project with goals for expanding 
training and employment opportunities for low and very low-income 
(Section 3) persons as well as business concerns in the area in which 
the proposed project will be located. This exhibit is optional, but to 
obtain up to 2 points for this policy priority, you must submit this 
exhibit and adequately address your plans to provide opportunities to 
train and employ low and very low-income residents of the project area 
and award substantial contracts to persons residing in the project 
area.

[[Page 11729]]

c. Part III--The Need for Supportive Housing for the Target 
Population, Site Control and/or Identification of Site and 
Suitability of Site, Adequacy of The Provision of Supportive 
Services and of The Proposed Project

(1) EXHIBIT 4--Need and Project Information

    (a) Evidence of need for supportive housing. Include a description 
of the proposed population and evidence demonstrating sustained 
effective demand for supportive housing for the proposed population in 
the market area to be served, taking into consideration the occupancy 
and vacancy conditions in existing comparable subsidized housing for 
persons with disabilities, state or local needs assessments of persons 
with disabilities in the area, the types of supportive services 
arrangements currently available in the area, and the use of such 
services as evidenced by data from local social service agencies. Also, 
a description of how information in the community's or (where 
applicable) the State's Consolidated Plan, Analysis of Impediments to 
Fair Housing Choice (AI) or other planning document that analyzes fair 
housing issues was used in documenting the need for the project.
    (b) A description of how the proposed project will benefit the 
target population and the community in which it will be located.
    (c) Description of the project.
    (i) Narrative description of the building(s) including the number 
and type of structure(s), number of units with bedroom distribution if 
independent living units including dwelling units in multifamily 
housing developments, condominiums and cooperatives, number of bedrooms 
if group home, number of residents with disabilities, and any resident 
manager per structure; identification of all commercial and community 
spaces, amenities or features planned for the housing and a description 
of how the spaces, amenities, or features will be used, and the extent 
to which they are necessary to accommodate the needs of the proposed 
residents. A narrative description of the building design (both 
interior and exterior), including any special design features, as well 
as any features that incorporate visitability standards and universal 
design. Also include a description of how the design of the proposed 
project will facilitate the integration of the residents into the 
surrounding community and promote the ability of the residents to live 
as independently as possible.

    Note: If the community spaces, amenities, or features do not 
comply with the project design and cost standards of 24 CFR 891.120 
(a) and (c), the special project standards of 24 CFR 891.310 (a), 
and the limitations on bedroom sizes as required by paragraph 1-
11.E.2.a of HUD Handbook 4571.2 REV-1, you must demonstrate your 
ability and willingness to contribute both the incremental 
development cost and continuing operating cost associated with the 
community spaces, amenities, or features.

    (ii) Describe whether and how the project will promote energy 
efficiency (in accordance with the requirements set forth in Section 
III.C.3.l. of this NOFA), including any plans to incorporate energy 
efficiency features in the operation of the project through the use of 
Energy Star labeled products and appliances and, if applicable, 
innovative construction or rehabilitation methods or technologies to be 
used that will promote efficient construction.
    (iii) For site control applications, if you are proposing to 
develop a mixed-finance project by developing additional units (i.e., 
in addition to the 811 units), a description of any plans and actions 
you have taken to create such a mixed-finance project with the use of 
Section 811 capital advance funds, in combination with other funding 
sources. Provide the number of non-Section 811 units to be included in 
the mixed-finance project (also provide the number of additional units 
in the appropriate space on Form HUD-92016-CA). Also, provide copies of 
any letters you have sent seeking outside funding for the non-Section 
811 units and any responses thereto. You must also demonstrate your 
ability to proceed with the development of a Section 811 project that 
will not involve mixed-financing, as proposed in your application, in 
the event you are later unable to obtain the necessary outside funding 
or HUD disapproves your proposal for a mixed-finance project for 
additional non-Section 811 units for persons with disabilities.

    Notes: (1) A proposal to develop a mixed-finance project for 
additional units must occur at the application for fund reservation 
stage. You cannot decide after selection that you want to do a 
mixed-finance project for additional units. (2) Section 811 capital 
advance amendment money will not be approved for projects proposing 
mixed-financing. (3) If approved for a reservation of capital 
advance funds, you will be required to submit with your Firm 
Commitment Application, the additional documents required by HUD for 
mixed-finance proposals. (4) A mixed-finance project does not 
include the development of a mixed-use project in which the Section 
811 units are mortgaged separately from the other uses of the 
structure. (5) For a Section 811 mixed-finance project, the 
additional units cannot cause the project to exceed the project size 
limit for the type of project proposed, unless you request and 
receive HUD approval to exceed the project size limit if the project 
will be an independent living project (See IV.B.2.c.(1)(d)(xi)) or 
the additional units will house people who do not have a disability.

    (d) Evidence of site control and permissive zoning.

    Note: If you are applying for Section 811 funding without 
control of any or all of your proposed sites, you must provide the 
information under (e), Identification of a Site, below for any site 
you are submitting without evidence of control of that site.

    (i) Acceptable evidence of site control is limited to any one of 
the following:
    (A) Deed or long-term leasehold which evidences that you have title 
to or a leasehold interest in the site. If a leasehold, the term of the 
lease must be 50 years with renewable provisions for 25 years except 
for sites on Indian trust land, in which case, the term of the lease 
must be at least 50 years with no requirements for extensions;
    (B) Contract of sale for the site that is free of any limitations 
affecting the ability of the seller to deliver ownership to you after 
you receive and accept a notice of Section 811 capital advance. (The 
only condition for closing on the sale can be your receipt and 
acceptance of the capital advance.) The contract of sale cannot require 
closing earlier than the Section 811 closing;
    (C) Option to purchase or for a long-term leasehold, which must 
remain in effect for six months from the date on which the applications 
are due, must state a firm price binding on the seller, and be 
renewable at the end of the six-month period. The only condition on 
which the option may be terminated is if you are not awarded a fund 
reservation;
    (D) If the site is covered by a mortgage under a HUD program, 
(e.g., a previously funded Section 202 or Section 811 project or an 
FHA-insured mortgage) you must submit evidence of site control as 
described above AND evidence that consent to release the site from the 
mortgage has been obtained or has been requested from HUD (all required 
information in order for a decision on the request for a partial 
release of security must have been submitted to the local HUD office) 
and from the mortgagee, if other than HUD. Approval to release the site 
from the mortgage must be done before the local HUD office makes its 
selection recommendations to HUD Headquarters. Refer to Chapter 16 of 
HUD Handbook 4350.1 Rev-1, Multifamily Asset Management and Project 
Servicing, for instructions on submitting requests to the local HUD 
Office for partial release

[[Page 11730]]

of security from a mortgage under a HUD program; or
    (E) For sites to be acquired from a public body, evidence is needed 
that the public body possesses clear title to the site and has entered 
into a legally binding agreement to lease or convey the site to you 
after you receive and accept a notice of Section 811 capital advance. 
Where HUD determines that time constraints of the funding round will 
not permit you to obtain all of the required official actions (e.g., 
approval of Community of Planning Boards) that are necessary to convey 
publicly-owned sites, you may include in your application a letter from 
the mayor or director of the appropriate local agency indicating that 
conveyance or leasing of the site is acceptable without imposition of 
additional covenants or restrictions, and only contingent on the 
necessary approval action. Such a letter of commitment will be 
considered sufficient evidence of site control.
    (ii) Whether you have title to the site, a contract of sale, an 
option to purchase, or are acquiring a site from a public body, you 
must provide evidence (a current title policy or other acceptable 
evidence) that the site is free of any limitations, restrictions, or 
reverters which could adversely affect the use of the site for the 
proposed project for the 40-year capital advance period under HUD's 
regulations and requirements (e.g., reversion to seller if title is 
transferred). If the title evidence contains restrictions or covenants, 
copies of the restrictions or covenants must be submitted with the 
application. If the site is subject to any such limitations, 
restrictions, or reverters, the site will be rejected and the 
application will be considered a ``site identified'' application. 
Purchase money mortgages that will be satisfied from capital advance 
funds are not considered to be limitations or restrictions that would 
adversely affect the use of the site. If the contract of sale or option 
agreement contains provisions that allow a Sponsor not to purchase the 
property for reasons such as environmental problems, failure of the 
site to pass inspection, or the appraisal is less than the purchase 
price, then such provisions are not objectionable and a Sponsor is 
allowed to terminate the contract of sale or the option agreement.

    Note: A proposed project site may not be acquired or optioned 
from a general contractor (or its affiliate) that will construct the 
Section 811 project or from any other development team member.

    (iii) Evidence that the project, as proposed, is permissible under 
applicable zoning ordinances or regulations, or a statement of the 
proposed action required to make the proposed project permissible AND 
the basis for the belief that the proposed action will be completed 
successfully before the submission of the firm commitment application 
(e.g., a summary of the results of any requests for rezoning and/or the 
procedures for obtaining special or conditional use permits on land in 
similar zoning classifications and the time required for such rezoning, 
or preliminary indications of acceptability from zoning bodies, etc.).

    Note: You should be aware that under certain circumstances the 
Fair Housing Act requires localities to make reasonable 
accommodations to their zoning ordinances or regulations to offer 
persons with disabilities an opportunity to live in an area of their 
choice. If you are relying upon a theory of reasonable accommodation 
to satisfy the zoning requirement, then you must clearly articulate 
the basis for your reasonable accommodation theory.

    (iv) Evidence of compliance with the URA requirement that the 
seller has been provided, in writing, with the required information 
regarding a voluntary, arm's length purchase transaction (i.e., (1) 
applicant does not have the power of eminent domain and, therefore, 
will not acquire the property if negotiations fail to result in an 
amicable agreement, and (2) of the estimate of the fair market value of 
the property).

    Note: A certification for this requirement is not sufficient. 
Evidence must be submitted to meet this requirement. This 
information should have been provided before making the purchase 
offer. However, in those cases where there is an existing option or 
contract, the seller must be provided the opportunity to withdraw 
from the agreement or transaction, without penalty, after this 
information is provided.

    (v) Narrative describing topographical and demographic aspects of 
the site, the suitability of the site and area (as well as a 
description of the characteristics of the neighborhood), how use of the 
site will promote greater housing opportunities for minority persons 
with disabilities, and how use of the site will affirmatively further 
fair housing.

    Note: You can best demonstrate your commitment to affirmatively 
furthering fair housing by describing how your proposed activities 
will assist the jurisdiction in overcoming impediments to fair 
housing choice identified in the applicable jurisdiction's Analysis 
of Impediments (AI) to Fair Housing Choice, which is a component of 
the jurisdiction's Consolidated Plan or any other planning document 
that addresses fair housing issues. The applicable Consolidated Plan 
and AI may be the community's, the county's, or the state's, to 
which input should have been provided by local community 
organizations, agencies in the community and residents of the 
community. Alternatively, a document that addresses fair housing 
issues and remedies to barriers to fair housing in the community 
that was previously prepared by a local planning, or similar 
organization, may be used. Applicable impediments could include a 
lack of units that are accessible to persons with disabilities, a 
lack of transportation services or other assistance that would serve 
persons with disabilities, or the need for improved quality and 
services for all persons with disabilities.

    (vi) A map showing the location of the site, the racial composition 
of the neighborhood, and any areas of racial concentration.

    Note: For this competition, when determining the racial and 
ethnic composition of the neighborhood surrounding the proposed 
site, use data from the 2000 Census of Population. Data from the 
2000 Census may be found at www.factfinder.census.gov/servlet/BasicFactsServlet.

    (vii) A Phase I Environmental Site Assessment (ESA), in accordance 
with the ASTM Standard E 1527-05, as amended, using the table of 
contents and report format specified at Appendix X4 thereto and 
completed or updated as specified at Section 4.6 thereto, must be 
completed and submitted with the application. In order for the Phase I 
ESA to be acceptable, it must have been completed or updated no earlier 
than 180 days prior to the application deadline date. Therefore, it is 
important to start the site assessment process as soon after the 
publication of the NOFA as possible.

    Note: A Phase I ESA that is not properly updated, does not use 
the format specified at Appendix X4 of ASTM Standard E 1527-05, or 
that is prepared in accordance with an older version of ASTM E 1527 
will result in a technical rejection of your application.

    If the Phase I ESA indicates possible presence of contamination 
and/or hazards, you must decide whether to continue with this site or 
choose another site. Should you choose another site, the same Phase I 
ESA process identified above must be followed for the new site. If you 
choose to continue with the original site on which the Phase I ESA 
indicated contamination or hazards, you must undertake a detailed Phase 
II ESA by an appropriate professional. If the Phase II Assessment 
reveals site contamination, you must submit the extent of the 
contamination and a plan for clean-up of the site including a contract 
for remediation of the problem(s) and an approval letter from the 
applicable federal, state and/or local agency with jurisdiction over 
the site to the local HUD office. The Phase

[[Page 11731]]

II ESA and any necessary plans for clean-up do not have to be submitted 
with the application but must be received in the local HUD office by 
June 25, 2007. If it is not received by that date, the site will be 
rejected and the application will be placed in Category B for selection 
purposes.

    Note: You must pay for the cost of any clean-up or remediation 
which can be very expensive. [See Note at Section 
III.C.2.b.(3)(d)(iii)]

    (viii) If you submit an application with evidence of site control, 
you must submit one of the following:
    (A) If there are no pre-1978 structures on the site or if there are 
pre-1978 structures that most recently consisted of solely four or 
fewer units of single-family housing including appurtenant structures 
thereto, a statement to this effect, or
    (B) If there are pre-1978 structures on the site other than for a 
site that most recently consisted of solely four or fewer units of 
single-family housing including appurtenant structures thereto, a 
comprehensive building asbestos survey that is based on a thorough 
inspection to identify the location and condition of asbestos 
throughout any structures.

    Note: In those cases where suspect asbestos is found, it would 
either be assumed to be asbestos or would require confirmatory 
testing. If the asbestos report indicates the presence of asbestos, 
or the presence of asbestos is assumed, and if the application is 
approved, HUD will condition the approval on an appropriate mix of 
asbestos abatement and an asbestos Operations and Maintenance Plan.

    (ix) Letter to State/Tribal Historic Preservation Officer (SHPO/
THPO) and a statement that SHPO/THPO failed to respond to you OR a copy 
of the response letter received from SHPO/THPO.
    (x) A statement that you are willing to seek a different site if 
the preferred site is not approvable and that site control will be 
obtained within six months of notification of fund reservation.
    (xi) If an exception to the project size limits is being requested, 
describe why the site was selected and demonstrate the following: (Only 
for applications for independent living projects and condominium units 
[not group homes] with site control)
    (A) People with disabilities have indicated their acceptance or 
preference to live in housing with as many units/people as proposed for 
the project.
    (B) The increased number of units/people is warranted by the market 
conditions in the area in which the project will be located.
    (C) Your project is compatible with other residential development 
and the population density of the area in which the project is to be 
located.
    (D) The increased number of people will not prohibit their 
successful integration into the community.
    (E) The project is marketable in the community.
    (F) The size of the project is consistent with state and/or local 
policies governing similar housing for the proposed population.
    (G) A statement that you are willing to have your application 
processed at the project size limit should HUD not approve the 
exception.
    (e) Identification of a Site. If you have identified a site, but do 
not have it under control, you must submit the following information:

    Note: If an application is submitted without evidence of site 
control and does not provide a specific street address for the 
identified site(s) (e.g., only an indication that the project will 
be developed in a particular part of town but a site(s) has not been 
chosen) the application will be rejected.

    (i) A description of the location of the site, including its street 
address or block and lot number(s), its unit number (if condominium), 
neighborhood/community characteristics (to include racial and ethnic 
data), amenities, adjacent housing and/or facilities, how the site will 
promote greater housing opportunities for minority persons with 
disabilities and affirmatively further fair housing. You can best 
demonstrate your commitment to affirmatively furthering fair housing by 
describing how your proposed activities will assist the jurisdiction in 
overcoming impediments to fair housing choice identified in the 
community's AI or any other planning document that addresses fair 
housing issues. Examples of the applicable impediments include the need 
for improved housing quality and services for minority persons with 
disabilities and the need for quality services for persons with 
disabilities within the type and quality of similar services and 
housing in minority areas.
    (ii) A description of the activities undertaken to identify the 
site, as well as what actions must be taken to obtain control of the 
site, if approved for funding.
    (iii) An indication as to whether the site is properly zoned. If it 
is not, an indication of the actions necessary for proper zoning and 
whether these can be accomplished within six months of fund reservation 
award, if approved for funding.
    (iv) A status of the sale of the site.
    (v) An indication as to whether the site would involve relocation.

(2) EXHIBIT 5--Supportive Services Plan

    Note: Your supportive services plan and the Supportive Services 
Certification (Exhibit 8(i)) must be sent to the appropriate state 
or local agency (identified by the local HUD office) far enough in 
advance of the application deadline date so that the agency can 
review the plan, complete the certification and return both to you 
for inclusion in your application to HUD.

    (a) A detailed description of whether the housing is expected to 
serve persons with physical disabilities, developmental disabilities, 
or chronic mental illness or any combination of the three. Include how 
and from whom/where persons will be referred and admitted for occupancy 
in the project. You may, with the approval of the Secretary, restrict 
occupancy within housing developed under this NOFA to a subcategory of 
one of the three main categories of disability noted above (e.g., AIDS 
is a subcategory of physical disability). However, the Owner must 
permit occupancy by any qualified person with a disability that 
qualifies under the applicable main category of disability.
    (b) If requesting approval to restrict occupancy, also submit the 
following:
    (i) A description of the population of persons with disabilities to 
which occupancy will be limited.
    (ii) An explanation of why it is necessary to restrict occupancy of 
the proposed project(s) to the population described in (i) above, 
including the following:
    (A) An explanation of how restricting occupancy to a subcategory of 
persons with disabilities promotes the goals of the Section 811 
program.
    (B) An explanation of why the housing and/or service needs of this 
population cannot be met in a more integrated setting.
    (iii) A description of your experience in providing housing and/or 
supportive services to proposed occupants.
    (iv) A description of how you will ensure that occupants of the 
proposed project will be integrated into the neighborhood and 
community.
    (c) A detailed description of the supportive service needs of the 
persons with disabilities that the housing is expected to serve.
    (d) A list of community service providers, (including consumer-
controlled providers), including letters of intent to provide services 
to proposed residents from as many potential providers as possible.
    (e) The evidence of each service provider's capability and 
experience in providing such supportive services

[[Page 11732]]

(even if you will be the service provider).
    (f) Identification of the extent of state and/or local agency 
involvement in the project (i.e., funding for the provision of 
supportive services, referral of residents, or licensing the project). 
If there will be any state or local agency involvement, a description 
of the state/local agency's philosophy/policy concerning housing for 
the population to be served and a demonstration that your application 
is consistent with state and/or local agency plans and policies 
governing the development and operation of housing for persons with 
disabilities.
    (g) If you will be making any supportive services available to the 
residents or will be coordinating the availability of any supportive 
services, a letter providing:
    (i) A description of the supportive services that you will make 
available to the residents or, if you will be coordinating the 
availability of any supportive services, a description of the 
supportive service(s) and how the coordination will be implemented;
    (ii) An assurance that any supportive services that you will make 
available to the residents will be based on their individual needs; and
    (iii) A commitment to make the supportive services available or 
coordinate their availability for the life of the project.
    (h) A description of how the residents will be afforded 
opportunities for employment.
    (i) An indication as to whether the project will include a unit for 
a resident manager.
    (j) A statement that you will not condition admission or occupancy 
on the resident's acceptance of any supportive services.

d. Part IV-General Application Requirements, Certifications and 
Resolutions

(1) EXHIBIT 6: Other Applications

    (a) A list of the applications, if any, you are submitting to any 
other local HUD office in response to the FY 2007 Section 202 or 
Section 811 NOFA. Indicate by local HUD office, the proposed location 
by city and state and the number of units requested for each 
application.
    (b) Include a list of all FY2006 and prior years Section 202 and 
Section 811 capital advance projects to which you are a party. Identify 
each by project number and local HUD office and include the following 
information:
    (i) Whether the project has initially closed and, if so, when;
    (ii) If the project was older than 24 months when it initially 
closed (specify how old) or if older than 24 months now (specify how 
old) and has not initially closed, provide the reasons for the delay in 
closing;
    (iii) Whether amendment money was or will be needed for any project 
in (ii) above; including the amount of the amendment money and,
    (iv) Those projects which have not been finally closed.

(2) EXHIBIT 7: A statement that: (applicable to applications with site 
control only)

    Note: For site identified projects, exhibit 7 must be submitted 
once site control is obtained.

    (a) Identifies all persons (families, individuals, businesses and 
nonprofit organizations) by race/minority group, and status as owners 
or tenants occupying the property on the date of submission of the 
application for a capital advance.
    (b) Indicates the estimated cost of relocation payments and other 
services.
    (c) Identifies the staff organization that will carry out the 
relocation activities.
    (d) Identifies all persons who were required to move from the site 
within the past 12 months.

    Note: If any of the relocation costs will be funded from sources 
other than the section 811 capital advance, you must provide 
evidence of a firm commitment of these funds. When evaluating 
applications, hud will consider the total cost of proposals (i.e., 
cost of site acquisition, relocation, construction and other project 
costs).

(3) EXHIBIT 8: Certifications and Resolutions

    You are required to submit completed copies of the following forms 
which are included either in the General Section or with this NOFA and 
copies of the forms are available in the instructions download at 
http://www.grants.gov/applicants/apply--for--grants.jsp.
    (a) Standard Form 424--Application for Federal Assistance, 
including a DUNS number, an indication of whether you are delinquent on 
any federal debt, and compliance with Executive Order 12372 (a 
certification that you have submitted a copy of your application, if 
required, to the State agency (Single Point of Contact) for state 
review in accordance with Executive Order 12372). If required by the 
State's Single Point of Contact (SPOC), a copy of your application 
needs to be submitted to the SPOC before the application deadline date, 
but in no event later than the application deadline date. Refer to the 
General Section and Section IV.D. of this program NOFA to find out if 
your State has a SPOC and additional information on compliance with 
Executive Order 12372.

    Note: For Section 811 program purposes, item 12, Areas Affected 
by Project, of SF-424, provide the names of the City, County and 
State where the project will be located (not the largest political 
entities as indicated on the instructions page of SF-424).

    (b) Standard Form 424 Supplement, Survey on Ensuring Equal 
Opportunity for Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on 
Grants.gov). Although the information on this form will not be 
considered in making funding decisions, it will assist the federal 
government in ensuring that all qualified applicants have an equal 
opportunity to compete for federal funding.
    (c) Standard Form LLL--Disclosure of Lobbying Activities (if 
applicable). A disclosure of activities conducted to influence any 
federal transactions.
    (d) Form HUD-2880, Applicant/Recipient Disclosure/Update Report 
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov), 
including Social Security and Employee Identification Numbers. A 
disclosure of assistance from other government sources received in 
connection with the project.
    (e) Form HUD-2991, Certification of Consistency with the 
Consolidated Plan (Plan), for the jurisdiction in which the proposed 
project will be located. The certification must be made by the unit of 
general local government if it is required to have, or has, a complete 
Plan. Otherwise, the certification may be made by the state, or by the 
unit of general local government if the project will be located within 
the jurisdiction of the unit of general local government authorized to 
use an abbreviated strategy, and if it is willing to prepare such a 
Plan. All certifications must be made by a public official responsible 
for submitting the Plan to HUD. The certifications must be submitted as 
part of the application by the application submission deadline date set 
forth in this NOFA. The Plan regulations are published in 24 CFR part 
91.
    (f) Form HUD-92041, Sponsor's Conflict of Interest Resolution. A 
certified Board Resolution that no officer or director of the Sponsor 
or Owner has or will have any financial interest in any contract with 
the Owner or in any firm or corporation that has or will have a 
contract with the Owner, including a current listing of all duly 
qualified and sitting officers and directors by title and the beginning 
and ending dates of each person's term.

[[Page 11733]]

    (g) Form HUD-92042, Sponsor's Resolution for Commitment to Project. 
A certified Board Resolution acknowledging responsibilities of 
sponsorship, long-term support of the project(s), your willingness to 
assist the Owner to develop, own, manage and provide appropriate 
services in connection with the proposed project, and that it reflects 
the will of your membership. Also, it shall indicate your willingness 
to fund the estimated start-up expenses, the Minimum Capital Investment 
(one-half of one-percent of the HUD-approved capital advance, not to 
exceed $10,000), and the estimated cost of any amenities or features 
(and operating costs related thereto) that would not be covered by the 
approved capital advance.
    (h) Form HUD-2990, Certification of Consistency with the RC/EZ/EC 
Strategic Plan. A certification that the project is consistent with the 
RC/EZ/EC-IIs strategic plan, is located within the RC/EZ/EC-II, and 
serves RC/EZ/EC-II residents. (This certification is not required if 
the project site(s) will not be located in an RC/EZ/EC-II.) A copy of 
the RC/EZ/EC-II Certification form is contained in the online 
application; and
    (i) Form HUD-92043, Certification for Provision of Supportive 
Services. A certification from the appropriate state or local agency 
(identified in the application or obtained from the local HUD office), 
indicating whether the:
    (i) Provision of supportive services is well designed to serve the 
needs of persons with disabilities the housing is expected to serve;
    (ii) The provision of supportive services will enhance independent 
living success and promote the dignity of those who will access your 
proposed project;
    (iii) Supportive services will be available on a consistent, long-
term basis; and
    (iv) Proposed housing is consistent with state or local plans and 
policies addressing the housing needs of people with disabilities if 
the state or local agency will provide funding for the provision of 
supportive services, refer residents to the project or license the 
project. (The name, address, and telephone number of the appropriate 
agency can also be obtained from the appropriate local HUD Office.)
    (j) Form HUD-96010, Program Outcome Logic Model. In addition to the 
Project Development Timeline to be submitted in Exhibit 3(h) above, the 
information provided in the Logic Model will be used in rating your 
application for Rating Factor 5, Achieving Results and Program 
Evaluation.
    (k) Form HUD-96011, Third Party Documentation Facsimile Transmittal 
(``Facsimile Transmittal Form'' on Grants.gov) to be used for faxing 
third party letters and other documents for your electronic 
applications in accordance with the instructions in the General 
Section.

    Note: HUD will not accept entire applications by fax. If you 
submit the application entirely by fax, it will be disqualified.

    (l) Form HUD-2994-A, You Are Our Client Grant Applicant Survey. 
This is an optional form that may be used to provide suggestions and 
comments to the Department regarding your application submission 
experience.
    C. Submission Dates and Time. Your application must be received and 
validated electronically by Grants.gov no later than 11:59:59 PM 
eastern time on the application deadline date, unless a waiver of the 
electronic delivery process has been approved by HUD in accordance with 
the following procedures. Applicants that are unable to submit their 
application electronically must seek a waiver of the electronic grant 
submission requirement. Waiver requests must be submitted by mail or by 
fax. For this program NOFA, e-mail requests will not be considered. 
Waiver requests submitted by mail or fax should be submitted on the 
applicant's letterhead and signed by an official with the legal 
authority to request a waiver from the Department. The request must be 
addressed to the Assistant Secretary for Housing at the following 
address: Brian D. Montgomery, Assistant Secretary for Housing--Federal 
Housing Commissioner, Department of Housing and Urban Development, 451 
Seventh Street, SW., Room 9100, Washington, DC 20410-8000. Waiver 
requests submitted by fax must be sent to (202) 708-3104. Applicants 
that are granted a waiver of the electronic submission requirement will 
not be afforded additional time to submit their applications. 
Therefore, submit your waiver requests to the above address no later 
than 15 days before the application deadline date. If a waiver is 
granted, you must submit the required number of copies and the 
application must be received by the application deadline date. Your 
approval of the waiver request will provide instructions on the number 
of copies and where to submit the application.

D. Intergovernmental Review

    1. State Review. This funding opportunity is subject to Executive 
Order (EO) 12372, ``Intergovernmental Review of Federal Programs.'' You 
must contact your State's Single Point of Contact (SPOC) to find out 
about and comply with the state's process under EO 12372. The names and 
addresses of the SPOCs are listed in the Office of Management and 
Budget's Web site at http://www.whitehouse.gov/omb/grants/spoc.html. If 
required by the state, the submission to the state needs to occur 
before the Section 811 application deadline date, but in no event later 
than the application deadline date. It is recommended that you provide 
the state with sufficient time to review the application. Therefore, it 
is important that you consult with the SPOC for state review time 
frames and take that into account when submitting the application. If 
the SPOC requires a review of your application, you must include a copy 
of the cover letter you sent to the SPOC in Exhibit 8(a) of your 
Section 811 application.
    2. HUD/RHS Agreement. HUD and the Rural Housing Service (RHS) have 
an agreement to coordinate the administration of the agencies' 
respective rental assistance programs. As a result, HUD is required to 
notify RHS of applications for housing assistance it receives. This 
notification gives RHS the opportunity to comment if it has concerns 
about the demand for additional assisted housing and possible harm to 
existing projects in the same housing market area. HUD will consider 
RHS comments in its review and application selection process.

E. Funding Restrictions

    1. Ineligible Activities. Section 811 funds may not be used for any 
of the following:
    a. Supportive Services
    b. Housing that you currently own or lease that has been occupied 
by people with disabilities for longer than one year prior to the 
application deadline date;
    c. Nursing homes, infirmaries and medical facilities;
    d. Transitional housing;
    e. Mobile homes;
    f. Intermediate care facilities;
    g. Assisted living facilities;
    h. Community centers, with or without special components for use by 
persons with disabilities;
    i. Sheltered workshops and centers for persons with disabilities;
    j. Headquarters for organizations for persons with disabilities; 
and
    k. Refinancing of Sponsor-owned facilities without rehabilitation.

    Note: You may propose to rehabilitate an existing currently-
owned or leased structure (if the structure already serves persons 
with disabilities, it cannot have operated as housing for persons 
with disabilities for

[[Page 11734]]

longer than one year prior to the application deadline date); 
however, the refinancing of any federally funded or assisted project 
or project insured or guaranteed by a federal agency is not 
permissible under this Section 811 NOFA. HUD does not consider it 
appropriate to utilize scarce program resources to refinance 
projects that have already received some form of assistance under a 
federal program or that have been operating as housing for persons 
with disabilities for longer than one year prior to the application 
deadline date. (For example, Section 202, Section 202/8 or Section 
202/PAC direct loan projects cannot be refinanced with capital 
advances and project rental assistance.)

    2. Application Limits (Units/Projects). A Sponsor or Co-Sponsor may 
not apply for more than 70 units of housing or 4 projects (whichever is 
less) for persons with disabilities in a single Hub or more than 10 
percent of the total units allocated to all local HUD offices. 
Affiliated entities (organizations that are branches or offshoots of a 
parent organization) that submit separate applications are considered a 
single entity for the purpose of these limits. In addition, no single 
application may propose more units in a given local HUD office than 
allocated for the Section 811 program in that local HUD office. If the 
proposed project will be an independent living project, your 
application must request at least five units for persons with 
disabilities, not necessarily in one structure. If your proposed 
project will be a group home, you must request at least two units for 
persons with disabilities per group home. If your proposed project will 
be a combination of an independent living project and a group home, 
your application must request at least the minimum number of units for 
each project type (i.e., 5 units for an independent living project and 
2 units for a group home).

3. Development Cost Limits

    a. The following development cost limits, adjusted by locality as 
described in Section IV.E.3.b. below must be used to determine the 
capital advance amount reserved for projects for persons with 
disabilities.

    Note: The capital advance funds awarded for this project are to 
be considered the total amount of funds that the Department will 
provide for the development of this project. Amendment funds will 
only be provided in exceptional circumstances (e.g., to cover 
increased costs for construction delays due to litigation or 
unforeseen environmental issues resulting in a change of sites) that 
are clearly beyond your control. If amendment funds are not 
approved, you are responsible for any costs over and above the 
capital advance amount provided by the Department as well as any 
costs associated with any excess amenities and design features.

    (1) For independent living projects and dwelling units in 
multifamily housing developments, condominium and cooperative housing: 
The capital advance amount for the project attributable to dwelling use 
(less the incremental development cost and the capitalized operating 
costs associated with any excess amenities and design features and 
other costs you must pay for) may not exceed:
    Non-elevator structures:
    $45,507 per family unit without a bedroom
    $52,470 per family unit with one bedroom
    $63,279 per family unit with two bedrooms
    $80,998 per family unit with three bedrooms
    $90,235 per family unit with four bedrooms
    For elevator structures:
    $47,890 per family unit without a bedroom
    $54,897 per family unit with one bedroom
    $66,755 per family unit with two bedrooms
    $86,358 per family unit with three bedrooms
    $94,795 per family unit with four bedrooms
    (2) For group homes only (the development cost limits are capped by 
type of occupancy and number of person with disabilities):

                           Type of Disability
------------------------------------------------------------------------
                                             Physical/    Chronic mental
                Residents                  developmental      illness
------------------------------------------------------------------------
2.......................................        $172,303        $166,325
3.......................................         185,287         178,860
4.......................................         198,273         189,995
5.......................................         211,257         201,130
6.......................................         224,228         212,265
------------------------------------------------------------------------

    (3) These cost limits reflect those costs reasonable and necessary 
to develop a project of modest design that complies with HUD minimum 
property standards; the minimum group home requirements of 24 CFR 
891.310(a) (if applicable); the accessibility requirements of 24 CFR 
891.120(b) and 891.310(b); and the project design and cost standards of 
24 CFR 891.120.
    b. Increased development cost limits.
    (1) HUD may increase the development cost limits set forth above, 
by up to 140 percent in any geographic area where the cost levels 
require, and may increase the development cost limits by up to 160 
percent on a project-by-project basis. This increase may include 
covering additional costs to make dwelling units accessible through 
rehabilitation.

    Note: In applying the applicable high cost percentage, the local 
HUD office may use a percentage that is higher or lower than that 
which is assigned to the local HUD office if it is needed to provide 
a capital advance amount that is comparable to what it typically 
costs to develop a Section 811 project in that area.

    (2) If HUD finds that high construction costs in Alaska, Guam, the 
Virgin Islands or Hawaii make it unfeasible to construct dwellings, 
without the sacrifice of sound standards of construction, design, and 
livability, within the development cost limits provided in Section 
IV.E.3.a.(1) and IV.E.3.b.(1) above, the amount of capital advances may 
be increased to compensate for such costs. The increase may not exceed 
the limits established under this section (including any high cost area 
adjustment) by more than 50 percent.
    (3) For group homes only, local HUD offices may approve increases 
in the development cost limits in Section IV.E.3.a.(2), above, in areas 
where you can provide sufficient documentation that high land costs 
limit or prohibit project feasibility. An example of acceptable 
documentation is evidence of at least three land sales that have 
actually taken place (listed prices for land are not acceptable) within 
the last two years in the area where your project is to be built. The 
average cost of the documented sales must exceed ten percent of the 
development cost limit for your project in order for an increase to be 
considered.
    4. Commercial Facilities. A commercial facility for the benefit of 
the residents may be located and operated in the Section 811 project. 
However, the commercial facility cannot be funded with the use of 
Section 811 capital advance or PRAC funds. The maximum amount of space 
permitted for a commercial facility cannot exceed 10 percent of the 
total project cost. An exception to this 10 percent limitation is if 
the project involves acquisition or rehabilitation and the additional 
space was incorporated in the existing structure at the time the 
proposal was submitted to HUD. Commercial facilities are considered 
public accommodations under Title III of the Americans with 
Disabilities Act of 1990 (ADA), and thus must comply with all the 
accessibility requirements of the ADA.
    5. Expiration of Section 811 Funds. The Revised Continuing 
Appropriations Resolution, 2007 (Pub. L. 110-5; approved February 15, 
2007), requires HUD to obligate all Section 811 funds

[[Page 11735]]

appropriated for FY2007 by September 30, 2010. Under 31 U.S.C. 1551, no 
funds can be disbursed from this account after September 30, 2015. 
Under Section 811, obligation of funds occurs for both capital advances 
and project rental assistance upon fund reservation and acceptance. If 
all funds are not disbursed by HUD and expended by the project Owner by 
September 30, 2015, the funds, even though obligated, will expire and 
no further disbursements can be made from this account. In submitting 
an application, you need to carefully consider whether your proposed 
project can be completed through final capital advance closing no later 
than September 30, 2015. Furthermore, all unexpended balances, 
including any remaining balance on PRAC contracts, will be cancelled as 
of October 1, 2015. Amounts needed to maintain PRAC payments for any 
remaining term on the affected contracts beyond that date will have to 
be funded from other current appropriations.

F. Other Submission Requirements

    1. Address for Submitting Applications. Applications must be 
submitted electronically through the http://www.grants.gov/applicants/apply--for--grants.jsp Web site, unless the applicant receives a waiver 
from the electronic submission requirement. See the General Section, 
Application Submission and Receipt Procedures and Section IV.C. of this 
NOFA for additional information. Refer to HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm for a listing of local 
HUD offices. All applications submitted electronically via http://www.grants.gov/applicants/apply--for--grants.jsp will be downloaded and 
forwarded to the appropriate local HUD office.
    2. For Section 811 applications that have more than one applicant, 
i.e. Co-Sponsors. The applicants must designate a single individual to 
act as the authorized representative for all Co-Sponsors of the 
application. The designated authorized representative of the 
organization submitting the application must be registered with 
Grants.gov, the Federal Central Contractor Registry and with the 
credential provider for E-Authentication. Information on the Grants.gov 
registration process is found in Section IV.B. of the General Section. 
When the application is submitted through Grants.gov, the name of the 
designated authorized representative will be inserted into the 
signature line of the application. Please note that the designated 
authorized representative must be able to make legally binding 
commitments for each Co-Sponsor to the application.
    Each Co-Sponsor must complete the documents required of all co-
sponsoring organizations to permit HUD to make a determination on the 
eligibility of the Co-Sponsor(s) has pledged to the project. Therefore, 
each Co-Sponsor must submit the following information using the 
scanning and/or faxing method described in Section IV. of the General 
Section: Standard Form 424, Application for Federal Assistance; 
Standard Form 424 Supplement, Survey for Ensuring Equal Opportunity for 
Applicants; Standard Form LLL, Disclosure of Lobbying Activities (if 
applicable); Form HUD-92016-CA, Section 811 Application for Capital 
Advance, Summary Information; Form HUD-92041, Sponsor's Conflict of 
Interest Resolution; Form HUD-92042, and Sponsor's Resolution for 
Commitment to Project. The forms identified above are discussed in the 
Program instructions package and can be downloaded from http://www.grants.gov/applicants/apply--for--grants.jsp. The downloaded and 
completed forms should be saved as separate electronic files and 
attached to the electronic application submission following the 
requirements of Section IV.
    As stated in Section IV of the General Section, scanning documents 
to create electronic files increases the size of the file. Therefore, 
applicants may not submit scanned files unless using the facsimile 
method as stated in the General Section. If the facsimile method does 
not work, forms and other documents from Co-Sponsors may be scanned to 
create an electronic file and submitted as an attachment to the 
application. These documents should be labeled and numbered so the HUD 
reviewer can identify the file and its contents. If the applicant is 
creating an electronic file, the file should contain a header that 
identifies the name of the Sponsor submitting the electronic 
application, that Sponsor's DUNS Number, and the unique ID that is 
found at the top of the Facsimile Transmission form found in the 
electronic application package. The naming convention for each 
electronic file should correspond to the labeling convention used in 
the application Table of Contents found in Section IV.B.1. of this 
NOFA. For example, the organizational documents of a Co-Sponsor would 
be included under Part II, Exhibit 2(a) of the Section 811 application.
    The signed documents and other information required to be submitted 
with the electronic application should be transmitted via fax, using 
Form HUD-96011, Facsimile Transmittal as the cover page to the 
facsimile. The Form HUD-96011 is found in the electronic application 
package. Co-Sponsors should use the Form HUD-96011 provided by the 
Sponsor that is submitting the electronic application. The submitting 
Sponsor should fill in the SF 424 form prior to giving the Form 96011 
to the Co-Sponsors. By following these directions, the Form HUD-96011 
will be pre-populated with the submitting Sponsor's organizational 
information exactly as the submitting Sponsor has provided it on the 
electronic application. In addition, HUD will be using the unique 
identifier associated to the downloaded application package as a means 
of matching the faxes submitted with applications received via 
Grants.gov. The Facsimile Transmittal form also has space to provide 
the number of pages being faxed and information on the type of 
document. Co-Sponsors or the submitting applicant can insert the 
document name in the space provided labeled Program Component and 
should ensure that the form that is used is the cover sheet to the 
facsimile transmittal.
    Do not insert any additional or other cover pages as it will cause 
problems in electronically matching the pieces of the application.

V. Application Review Information

A. Criteria

    Policy Priorities. HUD encourages applicants to undertake specific 
activities that will assist the Department in implementing its policy 
priorities and which help the Department achieve its strategic goals 
for FY2007. Refer to the General Section for information regarding 
HUD's Strategic Goals and Policy Priorities. For the Section 811 
program, applicants who include work activities that specifically 
address the policy priorities of encouraging accessible design features 
by incorporating visitability standards and universal design, ending 
chronic homelessness, removing barriers to affordable housing, 
promoting energy efficiency in design and operations, and expanding 
training and employment opportunities for low and very low-income 
persons and business concerns (Section 3 requirements) will receive 
additional points. A Notice pertaining to the removal of barriers to 
affordable housing was published in the Federal Register and may be 
downloaded from the HUD Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
    Rating Factors. HUD will rate applications that successfully 
complete

[[Page 11736]]

technical processing using the Rating Factors set forth below and in 
accordance with the application submission requirements in this NOFA. 
The maximum number of points an application may receive under this 
program is 100 plus 2 bonus points. This includes two (2) RC/EZ/EC-II 
bonus points, as described in the General Section of the SuperNOFA and 
Section V.A.6 below.
1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (30 Points)
    This factor addresses the extent to which you have the 
organizational resources to successfully implement the proposed 
activities in a timely manner. Submit information responding to this 
factor in accordance with Application Submission Requirements in 
Exhibits 3(a), 3(b), 3(e), 5 and 6 of Section IV.B. of this NOFA. In 
rating this factor, HUD will consider the extent to which your 
application demonstrates your ability to develop and operate the 
proposed housing on a long-term basis, considering the following:
    a. (15 points) The scope, extent, and quality of your experience in 
providing housing or related services to those proposed to be served by 
the project and the scope of the proposed project (i.e., number of 
units, services, relocation costs, development, and operation) in 
relationship to your demonstrated development and management capacity 
as well as your financial management capability.
    b. (10 points) The scope, extent, and quality of your experience in 
providing housing or related services to minority persons or minority 
families and your ties to the community at large and to the minority 
and disability communities in particular.
    (1) (5 points) The scope, extent, and quality of your experience in 
providing housing or related services to minority persons or families.
    (2) (5 points) The scope, extent, and quality of your ties to the 
community at large and to the minority and disability communities in 
particular.
    To earn the maximum number of points under subcriteria (b)(1) 
above, you must describe significant previous experience in providing 
housing and/or supportive services to minorities generally and to 
minority persons with disabilities, in particular. For the purpose of 
this competition, ``significant previous experience'' means that the 
previous housing assistance or related services to minorities, i.e., 
the percentage of minorities being provided housing or related services 
in your current developments, was equal to or greater than the 
percentage of minorities in the housing market area where the previous 
housing or services occurred. To earn the maximum number of points 
under subcriteria (b)(2) above, you should submit materials that 
demonstrate your efforts to make housing available to the community at 
large and the minority and disability communities in particular and 
your relationships over time with the community, including the minority 
and disability communities. Examples of documents that may be submitted 
to earn the maximum number of points under subcriteria (b)(2), include 
letters of support from community leaders (including minority and 
disability community leaders) that give information about applicant's 
relationship over time with the community (including the minority and 
disability community). You may also submit copies of your affirmative 
marketing plan and the advertising/outreach materials you utilize to 
attract minority communities (including limited English proficient 
communities), disabled community and the community at large. Regarding 
your advertising/outreach materials, you should identify when 
advertising/outreach materials are circulated, whom they are circulated 
to, where they are circulated, and how they are circulated. 
Descriptions of other advertising/outreach efforts to the minority 
(including limited English proficient communities) and disabled 
communities and the dates and places of such advertising/outreach 
efforts should also be included.
    c. (-3 to -5 points) HUD will deduct (except if the delay was 
beyond your control) 3 points if a fund reservation you received under 
either the Section 811 program of Supportive Housing for Persons with 
Disabilities or the Section 202 program of Supportive Housing for the 
Elderly in FY2002 or later has been extended beyond 24 months, 4 points 
if beyond 36 months, and 5 points if beyond 48 months. Examples of 
delays beyond your control include, but are not limited to, initial 
closing delays that are: (1) directly attributable to HUD, (2) directly 
attributable to third party opposition, including litigation, and (3) 
due to a disaster, as declared by the President of the United States.
    d. (-3 to -5 points). HUD will deduct from 3 points to 5 points if 
HUD amendment money was required in connection with a fund reservation 
you received under either the Section 202 Program of Supportive Housing 
for the Elderly or the Section 811 Program of Supportive Housing for 
Persons with Disabilities in FY 2002 or later based on the following.
    (1) (-3 points). The amount of the amendment money required was 25 
percent or less of the original capital advance amount approved by HUD.
    (2) (-4 points). The amount of the amendment money required was 
between 26 percent and 50 percent of the original capital advance 
amount approved by HUD.
    (3) (-5 points). The amount of the amendment money required was 
over 50 percent of the original capital advance amount approved by HUD.
    e. (5 points) You have experience in developing integrated housing 
and/or the proposed project will be an integrated housing model 
(applies to condominium units scattered within one or more buildings or 
non-contiguous independent living units on scattered sites only).

2. Rating Factor 2: Need/Extent of the Problem (13 Points)

    This factor addresses the extent to which there is a need for 
funding the proposed activities to address a documented problem in the 
target area. Submit information responding to this factor in accordance 
with Application Submission Requirements in Exhibits 4(a) and 4(b) of 
Section IV.B. of this NOFA. HUD will consider the following in 
evaluating this factor:
    The extent of the need for the project in the area based on a 
determination by the local HUD office. In making this determination, 
HUD will consider your evidence of need in the area, as well as other 
economic, demographic, and housing market data available to the local 
HUD office. The data should include but is not limited to:
     a general assessment of the current conditions in the 
market for the type of housing proposed,
     an estimate of the demand for additional housing of the 
type proposed in the applicable housing market area,
     information on the numbers and types of existing 
comparable Federally assisted housing units for persons with 
disabilities (HUD and RHS) and current occupancy in such housing and 
recent market experience,
     comparable assisted housing for persons with disabilities 
under construction or for which fund reservations have been issued and,
     In accordance with an agreement between HUD and RHS, 
comments from RHS on the demand for additional comparable subsidized 
housing and the possible harm to existing projects in the same housing 
market areas.
    The Department also will review more favorably those applications 
which

[[Page 11737]]

establish a connection between the proposed project and the community's 
Analysis of Impediments to Fair Housing Choice (AI) or other planning 
document that analyzes fair housing issues and is prepared by a local 
planning or similar organization. You must show how the proposed 
project will address an impediment to fair housing choice described in 
the AI or meet a need identified in the other type of planning 
document.
    In evaluating this factor, HUD will rate your application as 
follows:
    a. (10 points) If a determination has been made that there is 
sufficient sustainable long-term demand for additional supportive 
housing for persons with disabilities in the area to be served, the 
project is to be awarded 10 points. If not, the project is to be 
awarded 0 points. No other point values are allowed under this 
subsection V.A.2.a.
    b. (3 points) The extent that a connection has been established 
between the project and the community's Consolidated Plan, Analysis of 
Impediments to Fair Housing Choice (AI) or other planning document that 
analyzes fair housing issues and is prepared by a local planning or 
similar organization.

3. Rating Factor 3: Soundness of Approach (40 Points)

    This factor addresses the quality and effectiveness of your 
proposal, the extent to which you involved persons with disabilities, 
including minority persons with disabilities, in the development of the 
application and will involve them in the development and operation of 
the project, the extent to which you coordinated your application with 
other organizations, including local independent living centers, with 
which you share common goals and objectives and are working toward 
meeting these objectives in a holistic and comprehensive manner, 
whether you consulted with Continuum of Care organizations to address 
efforts to assist persons with disabilities who are chronically 
homeless as defined in the General Section, whether the jurisdiction in 
which your project will be located has undertaken successful efforts to 
remove regulatory barriers to affordable housing, whether you will 
promote energy efficiency in the design and operation of the proposed 
housing, and your plans to expand economic opportunities for low and 
very low-income persons as well as certain business concerns (Section 
3). There must be a clear relationship between the proposed design, the 
proposed activities, the community's needs and purposes of the program 
funding for your application to receive points for this factor. Submit 
information responding to this factor in accordance with Application 
Submission Requirements in Exhibits 2(d), 3(f), 3(j), 3(k), 3(l), 3(m), 
4(c)(i), 4(c)(ii), 4(d)(iii), 4(d)(v), 4(d)(vi), 4(e)(i), and 5 of 
Section IV.B. of this NOFA. In evaluating this factor, HUD will 
consider the following:
    a. (14 points) Site approvability--The proximity or accessibility 
of the site to shopping, medical facilities, transportation, places of 
worship, recreational facilities, places of employment, and other 
necessary services to the intended occupants; adequacy of utilities and 
streets, and freedom of the site from adverse environmental conditions 
(based on site visit for site control projects only); and compliance 
with site and neighborhood standards in 24 CFR 891.125(a), (d), and (e) 
and 24 CFR 891.320. Sites where amenities are accessible other than by 
project residence or private vehicle will be rated more favorably;
    b. (-1 point) One or more of your proposed sites is not 
permissively zoned for the intended use.
    c. (8 points) The suitability of the site from the standpoint of 
promoting a greater choice of housing opportunities for minorities and 
persons with disabilities and affirmatively furthering fair housing. In 
reviewing this criterion, HUD will assess whether the site meets the 
site and neighborhood standards at 24 CFR 891.125(b) and (c) by 
examining relevant data in your application or in the local HUD office. 
If appropriate, HUD may visit the site.
    (1) The site will be deemed acceptable if it increases housing 
choice and opportunity by expanding housing opportunities in non-
minority neighborhoods (if located in such a neighborhood). The term 
``non-minority area'' is defined as one in which the minority 
population is lower than 10 percent. If the site will be in a minority 
neighborhood, the site will be deemed acceptable if it contributes to 
the revitalization of and reinvestment in the minority neighborhood, 
including improvement of the level, quality and affordability of 
services furnished to minority persons with disabilities. You should 
refer to the Site and Neighborhood Standards provisions of the 
regulations governing the Section 811 Supportive Housing Program (24 
CFR 891.125(b) and (c)) when considering sites for your projects.
    (2) For the purpose of this competition, the term ``minority 
neighborhood (area of minority concentration)'' is defined as one where 
any one of the following statistical conditions exists:
    (a) The neighborhood's percentage of persons of a particular racial 
or ethnic minority is at least 20 percentage points higher than the 
percentage of that particular racial or ethnic minority in the housing 
market area;
    (b) The neighborhood's total percentage of minority persons is at 
least 20 percentage points higher than the total percentage of 
minorities for the housing market area; or
    (c) In the case of a metropolitan area, the neighborhood's total 
percentage of minority persons exceeds 50 percent of its population.
    d. (2 points) Site and Neighborhood Standards and Persons with 
Disabilities: The extent to which the proposed design of the project 
(exterior and interior) and its placement in the neighborhood will meet 
the individual needs of the residents and will facilitate their 
integration into the surrounding community and promote their ability to 
live as independently as possible.
    e. (1 point) The extent to which the proposed design incorporates 
visitability standards and universal design in the construction or 
rehabilitation of the project. Refer to the General Section for further 
information.
    f. (4 points) Your board is comprised of persons with disabilities.
    g. (3 points) You involved persons with disabilities (including 
minority persons with disabilities) in the development of the 
application, and will involve persons with disabilities (including 
minority persons with disabilities) in the development and operation of 
the project.
    h. (2 points) The extent to which you coordinated your application 
with other organizations (including local independent living centers; a 
list of such can be obtained from the local HUD office) that will not 
be directly participating in your project, but with which you share 
common goals and objectives and are working toward meeting these goals 
and objectives in a holistic and comprehensive manner.
    i. (1 point) You consulted with the Continuum of Care organizations 
in the community in which your proposed project will be located and 
have developed ways in which the proposed project will assist persons 
with disabilities who have been experiencing chronic homelessness 
become more productive members of society. Refer to the General Section 
for further information.
    j. (2 points) The extent to which the jurisdiction in which your 
project will be located has undertaken successful efforts to remove 
regulatory barriers to

[[Page 11738]]

affordable housing. (Note: This is an optional requirement, but to 
receive up to 2 points, the applicant must have submitted the Form HUD-
27300, Questionnaire for HUD's Initiative on Removal of Regulatory 
Barriers, AND provided some form of documentation where requested, 
including point of contact and URL references or submitted the required 
documentary evidence.) Refer to the General Section for further 
information.
    k. (1 point) The extent to which you will promote energy efficiency 
in the design and operation of the proposed housing. (Note: Optional, 
but to receive the 1 point, the applicant must have adequately 
addressed their plans to promote energy efficiency in the design and 
operation of the proposed project.) Refer to Section III.C.4 of this 
NOFA.
    l. (2 points). The extent to which you have described your plans 
for expanding economic opportunities for low and very low-income 
persons (provisions of Section 3). Note: This is an optional 
requirement, but to receive up to 2 points, the applicant must have 
adequately addressed the following in Exhibit 3(m) of the application. 
Refer to the General Section for further information.
    (1) (1 point). Provide opportunities to train and employ low and 
very low-income residents of the project area.
    (2) (1 point). Award substantial contracts to persons residing in 
the project area.

4. Rating Factor 4: Leveraging Resources (5 Points)

    This factor addresses your ability to secure other funding sources 
and community resources that can be combined with HUD's program 
resources to achieve program purposes. Submit information responding to 
this factor in accordance with Application Submission Requirements in 
Exhibits 3(a), 3(b), 3(c), 3(d), 3(e), and 5(f) of Section IV.B. of 
this NOFA.
    a. (0 point). The application contains general support and/or 
written evidence of firm commitments towards the development and 
operation of the proposed project (including, financial assistance, 
donation of land, provision of services, etc.) from other funding 
sources (e.g., private, local community, and government sources) where 
the dollar value totals 5% or less of the capital advance amount as 
determined by HUD.
    b. (1 point). The application contains written evidence of firm 
commitments towards the development and operation of the proposed 
project (including, financial assistance, donation of land, provision 
of services, etc.) from other funding sources (e.g., private local 
community and government sources) where the dollar value totals between 
6% and 10% of the capital advance amount as determined by HUD.
    c. (2 points). The application contains written evidence of firm 
commitments towards the development and operation of the proposed 
project (including, financial assistance, donation of land, provision 
of services, etc.) from other funding sources (e.g., private local 
community and government sources) where the dollar value totals between 
11% and 15% of the capital advance amount as determined by HUD.
    d. (3 points). The application contains written evidence of firm 
commitments towards the development and operation of the proposed 
project (including, financial assistance, donation of land, provision 
of services, etc.) from other funding sources (e.g., private, local 
community, and government sources) where the dollar value totals 
between 16% and 20% of the capital advance amount as determined by HUD.
    e. (4 points). The application contains written evidence of firm 
commitments towards the development and operation of the proposed 
project (including, financial assistance, donation of land, provision 
of services, etc.) from other funding sources (e.g., private, local 
community, and government sources) where the dollar value totals 
between 21% and 25% of the capital advance amount as determined by HUD.
    f. (5 points). The application contains written evidence of firm 
commitments towards the development and operation of the proposed 
project (including, financial assistance, donation of land, provision 
of services, etc.) from other funding sources (e.g., private, local 
community, and government sources) where the dollar value totals over 
25% of the capital advance amount as determined by HUD.

5. Rating Factor 5: Achieving Results and Program Evaluation (12 
Points)

    This factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability and, as such, emphasizes HUD's 
commitment to ensuring that you keep the promises made in your 
application. This factor requires that you clearly identify the 
benefits or outcomes of your project and develop an evaluation plan to 
measure performance, which includes what you are going to measure, how 
you are going to measure it, and the steps you will have in place to 
make adjustments to your project development timeline should you not be 
able to achieve any of the major milestones. Completion of Exhibit 
8(j), Program Outcome Logic Model (HUD-96010), will assist you in 
completing your response to this rating factor. This rating factor also 
addresses the extent to which your project will implement practical 
solutions that result in residents achieving independent living, 
economic empowerment, educational opportunities and improved living 
environments. Finally, this factor addresses the extent to which the 
long-term viability of your project will be sustained for the duration 
of the 40-year capital advance period. Submit information responding to 
this factor in accordance with Application Submission Requirements in 
Exhibits 3(e), 3(g), 3(h), 3(i), 6(b), and 8(j) of Section IV.B. of 
this NOFA.
    a. (5 points) The extent to which your project development timeline 
is indicative of your full understanding of the development process and 
will, therefore, result in the timely development of your project.
    b. (2 points) The extent to which your past performance evidences 
that the proposed project will result in the timely development of the 
project. Evidence of your past performances could include the 
development of previous construction projects, including but not 
limited to Section 202 or Section 811 projects.
    c. (2 points) The extent to which your project will implement 
practical solutions that will result in assisting residents in 
achieving independent living, economic empowerment, educational 
opportunities, and improved living environments (e.g., activities that 
will improve computer access, literacy and employment opportunities).
    d. (3 points) The extent to which you demonstrated that your 
project will remain viable as housing with the availability of 
supportive services for very low income persons with disabilities for 
the 40-year capital advance period.
    6. Bonus Points (2 bonus points) Location of proposed site in an 
RC/EZ/EC-II area, as described in the General Section. Submit the 
information responding to the bonus points in accordance with the 
Application Submission Requirements in Exhibit 8(h) of Section IV.B. of 
this NOFA.

B. Reviews and Selection Process

    1. Review for Curable Deficiencies. Upon receipt of the application 
by HUD staff, HUD will screen all applications to determine if there 
are any curable deficiencies. For applicants receiving a waiver to 
submit a paper application, submitting fewer than the required original 
and four copies of the

[[Page 11739]]

application is not a curable deficiency and will cause your application 
to be considered non-responsive to the NOFA and returned to you. A 
curable deficiency is a missing Exhibit or portion of an Exhibit that 
will not affect the rating of the application. Refer to the General 
Section for additional information regarding procedures for corrections 
to deficient applications. The following is a list of the only 
deficiencies that will be considered curable in a Section 811 
application:

------------------------------------------------------------------------
                Exhibit                            Description
------------------------------------------------------------------------
1......................................  Form 92016-CA (Application
                                          Form)*
2(a)...................................  Articles of Incorporation*
2(b)...................................  By-laws*
2(c)...................................  IRS tax exemption ruling*
4(c)(iii)..............................  Description of mixed-financing
                                          plans for additional units, if
                                          applicable
4(d)(i)................................  Evidence of site control
4(d)(ii)...............................  Evidence site is free of
                                          limitations, restrictions or
                                          reverters
4(d)(iv)...............................  Evidence of compliance with URA
                                          site notification requirement
4(d)(vii)..............................  Phase I ESA
4(d)(viii).............................  Asbestos Statement or Survey
4(d)(ix)...............................  Letter to the State/Tribal
                                          Historic Preservation Officer
                                          (SHPO/THPO) and a statement
                                          that the SHPO/THPO failed to
                                          respond OR the letter from the
                                          SHPO/THPO
4(d)(x)................................  Willingness to seek an
                                          alternate site
4(d)(xi)...............................   Exception to project size
                                          limit
4(e)(ii)...............................  Steps undertaken to identify
                                          site
4(e)(iv)...............................   Status of the sale of the site
4(e)(v)................................  Whether the site would involve
                                          relocation
5......................................  Supportive Services Plan
7......................................  Relocation
8(a)...................................  Letter sent to the State Point
                                          of Contact (SPOC).*
8(b)...................................  Standard Form 424 Supplement,
                                          Survey on Ensuring Equal
                                          Opportunity for Applicants.
8(c)...................................  Standard Form LLL, Disclosure
                                          of Lobbying Activities (if
                                          applicable).
8(d)...................................  Form HUD-2880, Applicant/
                                          Recipient Disclosure/Update
                                          Report.
8(e)...................................  Form HUD-2991, Certification of
                                          Consistency with Consolidated
                                          Plan.
8(f)...................................  Form HUD-92041, Sponsor's
                                          Conflict of Interest
                                          Resolution.
8(g)...................................  Form HUD-92042, Sponsor's
                                          Resolution for Commitment to
                                          Project.*
8(i)...................................  Form HUD-92043, Supportive
                                          Services Certification.
8(k)...................................  Form HUD-96011 Facsimile
                                          Transmittal (Required Only for
                                          Transmittal of Faxes).*
8(l)...................................  Form HUD-2994-A, You Are Our
                                          Client Grant Applicant Survey
                                          (optional).
------------------------------------------------------------------------

    The local HUD office will notify you in writing if your application 
is missing any of the above exhibits or portions of exhibits and will 
provide you with a specified deadline to submit the information 
required to cure the noted deficiencies. The items identified by an 
asterisk (*) must be dated on or before the application submission 
date. If an Exhibit or portion of an Exhibit listed above as curable is 
not discovered as missing until technical processing, HUD will provide 
you with a deadline to cure the deficiency.
    2. Rating. HUD will review and rate your application in accordance 
with the Reviews and Selection Process in the General Section except as 
described in ``3 Appeal Process'' found below. Your application will be 
either rated or technically rejected at the end of technical review. If 
your application meets all program eligibility requirements after 
completion of technical review, it will be rated according to the 
rating factors in Section V.A. above.
    3. Appeal Process. HUD will not reject your application based on 
technical review without notifying you of the rejection with all the 
reasons for rejection and providing you an opportunity to appeal. You 
will have 14 calendar days from the date of HUD's written notice to 
appeal a technical rejection to the local HUD office. In HUD's review 
of any appeal, it should be noted that in conformance with its 
regulations at 24 CFR part 4, subpart B, HUD will not consider any 
unsolicited information that you, the applicant, may want to provide. 
The local HUD office will make a determination on any appeals before 
making its selection recommendations.
    4. Ranking and Selection Procedures. Applications that have a total 
base score of 75 points or more (without the addition of RC/EZ/EC-II 
bonus points) and meet all of the applicable threshold requirements in 
the General Section and this NOFA will be eligible for selection and 
will be placed in rank order in two categories; Category A and Category 
B. Category A will consist of approvable applications that contain 
acceptable evidence of control of all proposed sites and all proposed 
sites have been found approvable. Category B will consist of the 
following approvable applications:
    (a) those that were submitted with identified sites;
    (b) those that were submitted with evidence of site control where 
the evidence and/or any of the proposed sites were found not approvable 
provided you indicate your willingness to locate another site(s) should 
the proposed site(s) be found not approvable; and
    (c) those that were submitted with a combination of sites under 
control and identified sites. Each HUD Multifamily Program Center will 
select applications, after adding any bonus points for RC/EZ/EC-II, 
based on rank order, from Category A first that most closely 
approximates the capital advance authority available in its allocation. 
If capital advance authority remains after selecting all approvable 
applications from Category A, each HUD Multifamily Program Center shall 
then select applications, in rank order, from Category B that most 
closely approximates the capital advance authority remaining in its 
allocation. HUD Multifamily Program Centers will not skip over any 
applications in order to select one based on the funds remaining. After 
making the initial selections from the applicable category, however, 
HUD Multifamily Program Centers may use remaining available funds to 
select the next highest rank-ordered application in that category by 
reducing the number of units by no more than 10 percent, rounded to the 
nearest whole number, provided the reduction will not render the 
project unfeasible. For this purpose, however, HUD will not reduce the 
number of units in projects of five units or less.
    After the HUD Multifamily Program Centers have funded all possible 
projects based on the process above, residual funds from all HUD 
Multifamily Program Centers within each Multifamily Hub will be 
combined. First, these funds will be used to restore units to projects 
reduced by HUD Multifamily Program Centers based on the above 
instructions. Second, additional approvable applications within each 
Multifamily Hub will be selected in Hub-wide rank order, first from 
Category A, and if sufficient funds remain, from Category B, with only 
one application selected per HUD Multifamily Program Center. More than 
one application may be selected per HUD Multifamily Program Center if 
there are no approvable applications in other HUD Multifamily Program 
Centers within the Multifamily Hub. This process will continue until 
there are no more approvable applications within the Multifamily Hub 
that can be selected with the remaining funds. Applications may not be 
skipped over to select one based on funds remaining. However, the 
Multifamily Hub may use any remaining residual funds to select the next 
rank-ordered application in the applicable category by reducing the 
number of units by no more than 10 percent rounded to the nearest whole

[[Page 11740]]

number, provided the reduction will not render the project infeasible 
or result in the project being less than 5 units.
    Funds remaining after the Multifamily HUB selection process is 
completed will be returned to Headquarters. HUD Headquarters will use 
the residual funds first to restore units to projects reduced by HUD 
Multifamily Program Center or Multifamily Hub as a result of the 
instructions for using their residual funds. Second, HUD Headquarters 
will use these funds for selecting additional applications based on HUD 
Program Centers' rankings, beginning with the highest rated application 
nationwide in Category A. Only one application will be selected per HUD 
Multifamily Program Center in Category A from the national residual 
amount. Headquarters may skip over a higher rated Category A 
application to ensure that only one application is selected from each 
HUD Multifamily Program Center. This process will continue until the 
remaining available funds are used to select Category A applications, 
to the maximum extent possible. If all Category A applications are 
selected, Category B applications will then become eligible for 
selection in rank order, beginning with the highest rated application. 
Only one Category B application per HUD Multifamily Program Center will 
be selected from the remaining national residual amount. Headquarters 
may skip over a higher rated Category B application in order to ensure 
that only one application is selected from each HUD Multifamily Program 
Center. This process will continue until the remaining available funds 
are used to select approvable applications. If there are no approvable 
applications in Category A in other HUD Multifamily Program Centers, 
then the next highest rated application in Category B in another HUD 
Multifamily Program Center will be selected.
    5. HUD Error. In the event HUD commits an error that, when 
corrected, would have resulted in the selection of an otherwise 
eligible applicant during the funding round of this NOFA, HUD may 
select that applicant when sufficient funds become available.

VI. Award Administration Information

A. Award Notices

    1. Agreement Letter. If you are selected to receive a Section 811 
fund reservation, you will receive an Agreement Letter that stipulates 
the terms and conditions for the Section 811 fund reservation award as 
well as the submission requirements following the fund reservation 
award. The duration of the fund reservation award for the capital 
advance is 18 months from the date of issuance of the fund reservation.
    Immediately upon your acceptance of the Agreement Letter, you are 
expected to begin work towards the submission of a Firm Commitment 
Application, which is the next application submission stage. You are 
required to submit a Firm Commitment Application to the local HUD 
office within 180 days from the date of the Agreement Letter. Initial 
closing of the capital advance and start of construction of the project 
are expected to be accomplished within the duration of the fund 
reservation award. Final closing of the capital advance is expected to 
occur no later than six months after completion of project 
construction.
    2. Non-selection Letter. If your application is approvable but 
unfunded due to insufficient funds or receives a rating that is below 
the minimum threshold score established for funding eligibility, you 
will receive a letter to this effect.
    3. Debriefing. Refer to the General Section for further information 
regarding debriefings except that the request must be made to the 
Director of Multifamily Housing in the appropriate local HUD office.

B. Administrative and National Policy Requirements

    1. Ensuring the Participation of Small Businesses, Small 
Disadvantaged Businesses, and Women-Owned Businesses. Although the 
Section 811 program is not subject to the provisions of 24 CFR 85.36(e) 
as described in the corresponding paragraph in the General Section you 
are required to comply with Executive Order 12432, Minority Business 
Enterprise Development and Executive Order 11625, Prescribing 
Additional Arrangements for Developing and Coordinating a National 
Program for Minority Business Enterprise as they relate to the 
encouragement of HUD grantees to utilize minority business enterprises.
    2. Acquisition and Relocation. You must comply with the Uniform 
Relocation Assistance and Real Property Acquisition Policies Act of 
1970, as amended (49 CFR part 24 and 24 CFR part 891.155(e)) (URA), 
which covers the acquisition of sites, with or without existing 
structures, and with 24 CFR 8.4(b)(5) of the Section 504 regulations 
which prohibits discrimination based on disability in determining the 
site or location of a federally-assisted facility. However, you are 
exempt from complying with the site acquisition requirements of the URA 
if you do not have the power of eminent domain and prior to entering 
into a contract of sale, option to purchase or any other method of 
obtaining site control, you inform the seller of the land in writing: 
(1) that you do not have the power of eminent domain and, therefore, 
you will not acquire the property if negotiations fail to result in an 
amicable agreement, and (2) of the estimate of the fair market value of 
the property. An appraisal is not required to meet this requirement; 
however, your files must include an explanation, (with reasonable 
evidence) of the basis for the estimate. Evidence of compliance with 
this advance notice requirement must be included in Exhibit 4(d)(iv) of 
your application.
    If you had site control as an applicant, you must be able to 
identify all persons who were required to move from the site within the 
past 12 months and the reason for such a move. You will also have to be 
able to demonstrate that all persons occupying the site have been 
issued the appropriate required General Information Notice and advisory 
services information receipt required, either at the time of the 
execution of the option to acquire the property or at the time of 
application submission.
    3. Flood Disaster Protection Act of 1973 and Coastal Barriers 
Resources Act. You must comply with the requirements under the Flood 
Disaster Protection Act of 1973 (42 U.S.C. 4001-4128) and the Coastal 
Barrier Resources Act (16 U.S.C. 3601).

C. Reporting

    1. The Program Outcome Logic Model (Form HUD-96010) must be 
completed indicating the results achieved against the proposed output 
goal(s) and proposed outcome(s) which you stated in your approved 
application and agreed upon by HUD. Based on the information you 
provided in the Program Outcome Logic Model. These reporting 
requirements are to be submitted to HUD as follows:
    Program Outcome Logic Model. You, as the Sponsor, and the Owner, 
when formed, are required to report annually, beginning from the date 
of the Agreement Letter, on the results achieved against the output 
goal(s) and outcome(s), which you proposed in the Program Outcome Logic 
Model that was submitted in your application. HUD is considering a new 
concept for the Logic Model. The new concept is a Return on Investment 
(ROI) statement. HUD will be publishing a separate notice on the ROI 
concept.
    2. The Regulatory Agreement (Form HUD-92466-CA) requires the Owner 
of the Section 811 project to submit an annual financial statement for 
the project. This financial statement must be audited by an Independent 
Public

[[Page 11741]]

Accountant who is a Certified Public Accountant or other person 
accepted by HUD and filed electronically with HUD's Real Estate 
Assessment Center (REAC) through the Financial Assessment Subsystem for 
Multifamily Housing (MF-FASS). The submission of annual financial 
statements is required throughout the 40-year term of the mortgage.

VII. Agency Contact(s)

    Technical Assistance. For technical assistance in downloading an 
application package from www.grants.gov/Apply, contact the Grants.gov 
help desk at 800-518-Grants or by sending an e-mail to 
[email protected].
    Programmatic Information. For programmatic information, you may 
contact the appropriate local HUD office, or Frank Tolliver at HUD 
Headquarters at (202) 708-3000 (this is not a toll-free number), or 
access the Internet at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Persons with hearing and speech impairments may access 
the above number via TTY by calling the toll-free Federal Relay Service 
at 800-877-8339.

VIII. Other Information

    A. Field Office Workshop. HUD encourages minority organizations and 
grassroots organizations (e.g., civic organizations, faith-communities 
and grassroots faith-based and other community-based organizations) to 
participate in this program and strongly recommends prospective 
applicants attend the local HUD office workshop. At the workshops, HUD 
will explain application procedures and requirements, as well as 
address concerns such as local market conditions, building codes and 
accessibility requirements, contamination identification and 
remediation, historic preservation, floodplain management, other 
environmental requirements, displacement and relocation, zoning, and 
housing costs. If you are interested in attending the workshop, make 
sure that your name, address and telephone number are on the 
appropriate local HUD office's mailing list so that you will be 
informed of the date, time and place of the workshop. Persons with 
disabilities should call the appropriate local HUD office to assure 
that any necessary arrangements can be made to enable their attendance 
and participation in the workshop.
    If you cannot attend the workshop, call the appropriate local HUD 
office if you have any questions regarding the submission of 
applications to that particular office and to request any materials 
distributed at the workshop.
    B. Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. It is strongly recommended that 
potential applicants, especially those who may be applying for Section 
811 funding for the first time, tune in to this broadcast, if at all 
possible. Copies of the broadcast tapes are also available from the 
NOFA Information Center. For more information about the date and time 
of the broadcast, you should consult the HUD Web site at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
    C. Related Programs. Section 811 funding for tenant-based 
assistance is administered by public housing agencies and nonprofit 
organizations through the Mainstream Housing Opportunities for Persons 
with Disabilities Program.
    D. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2502-0462. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
number. Public reporting burden for the collection of information is 
estimated to average 35.92 hours per annum per respondent for the 
application and grant administration. This includes the time for 
collecting, reviewing, and reporting the data for the application. The 
information will be used for grantee selection and monitoring the 
administration of funds. Response to this request for information is 
required in order to receive the benefits derived.

[[Page 11742]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.027


[[Page 11743]]


BILLING CODE 4210-01-C

Continuum of Care (COC) Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Community Planning and Development.
    B. Funding Opportunity Title: Funding Availability for Continuum of 
Care (CoC) Homeless Assistance Programs.
    C. Announcement Type: Initial Announcement.
    D. Funding Opportunity Number: The Federal Register number is FR-
5100-N-14. The OMB Approval number is 2506-0112.
    E. Catalog of Federal Domestic Assistance (CFDA) Numbers:
    1. 14.235, Supportive Housing Program (SHP)
    2. 14.238, Shelter Plus Care (S+C) and
    3. 14.249, Section 8 Moderate Rehabilitation Single Room Occupancy 
(SRO).
    F. Dates: Applications should be submitted no later than June 8, 
2007. Please see Section IV of this NOFA for application submission and 
timely receipt requirements.

G. Additional Overview Content Information

    1. Purpose of the Programs: The purpose of the CoC Homeless 
Assistance Programs is to assist homeless persons to move to self-
sufficiency and permanent housing.
    2. Available Funds: Approximately $1.25 billion is available for 
funding.
    3. Eligible Applicants: The program summary chart in Section 
III.A.3 identifies the eligible applicants for each of the three 
programs under the CoC Homeless Assistance Programs.
    4. Match: Matching funds are required from local, state, federal or 
private resources.

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description

    1. Overview. The purpose of the CoC Homeless Assistance Programs is 
to reduce the incidence of homelessness in CoC communities by assisting 
homeless individuals and families to move to self-sufficiency and 
permanent housing. CoCs and their projects that sustain current 
successful interventions and advance the goals of ending chronic 
homelessness will be scored higher.
    2. The authorizing legislation and implementing regulations for all 
programs covered by this NOFA are outlined on the chart in Section 
III.A.3.
    3. Changes for 2007. This list includes all major changes to the 
CoC NOFA:
    a. As in past years, CoCs who would like to create new permanent 
housing units may use the ``hold harmless reallocation process'' to do 
so. With this process, eligible CoCs can replace or reduce renewal 
projects with a new permanent housing project using the same funds. In 
the past, a CoC risked losing the funds that it had ``reallocated'' in 
this way if the CoC did not score above the full funding line. New this 
year, CoCs who are in ``hold harmless status'' who seek to use the 
reallocation process to create new permanent housing units may do so 
without risk of losing the reallocated amount. If a CoC reallocates a 
portion of its pro rata need to an eligible new permanent housing 
project, the project will be funded, even if it is a lower-rated 
eligible project as long as it is in a CoC receiving at least 65 
points. HUD is making this change to make it easier for CoCs to choose 
to fund new permanent housing units. For more information on hold 
harmless status and the process for reallocating pro rata need, see 
section I.A.8.h of this NOFA (the glossary) or the Questions and 
Answers Supplement at: www.hud.gov/offices/adm/grants/fundsavail.cfm.
    b. The ``Questions and Answers Supplement'' contains additional 
information and should be thoroughly reviewed. It is now available on 
the web at www.hud.gov/offices/adm/grants/fundsavail.cfm.
    4. Developing and Coordinating CoC Systems. Developing a CoC system 
should be an inclusive process that brings together participants from 
the state, local, private and nonprofit sectors to reduce homelessness. 
This NOFA emphasizes HUD's determination to integrate and align plans, 
including jurisdictional state and city ten-year plans (jurisdictional 
ten-year plans) encouraged by the U.S. Interagency Council on 
Homelessness and Consolidated Plans, into the CoC plans. These plans 
serve as the vehicle for a community to comprehensively identify each 
of its needs and to coordinate a plan of action for addressing them. 
For a community to successfully address the complex and interrelated 
problems related to homelessness, the community must marshal its varied 
resources--community and economic development resources, social service 
resources, business, health care, philanthropy, law enforcement, and 
housing and homeless assistance resources--and use them in a 
coordinated and effective manner.
    5. CoC Components. A CoC system consists of five basic components, 
as follows:
    a. A system of outreach, engagement, and assessment for determining 
the needs and conditions of an individual or family who is homeless, 
and necessary support to identify, prioritize, and respond to persons 
who are chronically homeless;
    b. Emergency shelters with appropriate supportive services to help 
ensure that homeless individuals and families receive adequate 
emergency shelter and referral to necessary service providers or 
housing search counselors;
    c. Transitional housing with appropriate supportive services to 
help homeless individuals and families prepare to make the transition 
to permanent housing and independent living; and
    d. Permanent housing, or permanent supportive housing, to help meet 
the long-term needs of homeless individuals and families.
    e. Prevention strategies play an integral role in a community's 
plan to eliminate homelessness by effectively intervening for persons 
in public systems--e.g., corrections, foster care, mental health, and 
other institutions--so that they do not enter the homeless system. By 
law, prevention activities are ineligible activities in the three 
programs for which funds are awarded in this competition but are 
eligible for funding under the Emergency Shelter Grants block grant 
program.
    6. CoC Planning Process. A CoC system is developed through a 
community-wide or region-wide process involving nonprofit organizations 
(including those representing persons with disabilities), government 
agencies, public housing agencies, community and faith-based 
organizations, other homeless providers, service providers, housing 
developers, private health care organizations, businesses and business 
associations, law enforcement and corrections agencies, school systems, 
private funding providers, and homeless or formerly homeless persons. A 
CoC system should address the specific needs of each homeless 
subpopulation: those experiencing chronic homelessness, veterans, 
persons with serious mental illnesses, persons with substance abuse 
issues, persons with HIV/AIDS, persons with co-occurring diagnoses 
(these may include diagnoses of multiple physical disabilities or 
multiple mental disabilities or a combination of these two types), 
victims of domestic violence, youth, and any others. To ensure that the 
CoC system addresses the needs of homeless veterans, it is particularly 
important that you involve veteran service organizations with specific 
experience in serving homeless veterans.
    7. CoC Funding is provided through the programs briefly described 
below.

[[Page 11744]]

Please refer to the CoC Homeless Assistance Programs Chart in Section 
III.A.3 for a more detailed description of each program:
    a. The Supportive Housing Program (SHP) provides funding for the 
development of transitional and permanent supportive housing and 
services that help homeless persons transition from homelessness to 
living as independently as possible. Some services are also funded to 
assist in achieving the goal of self-sufficiency.
    b. The Shelter Plus Care (S+C) Program provides funding for rental 
assistance and requires grantees to identify service dollars. This 
gives applicants flexibility in devising appropriate housing and 
supportive services for homeless persons with disabilities.
    c. The Section 8 Moderate Rehabilitation Single Room Occupancy 
(SRO) Program provides rental assistance on behalf of homeless 
individuals in connection with the moderate rehabilitation of SRO 
dwellings.
    8. Glossary of Terms
    a. Annual Renewal Amount. This is the amount that an SHP grant 
receives as a renewal each year after the initial grant term has ended. 
This was formerly referred to as the Average Yearly Amount. It is also 
used to calculate a CoC's ``hold harmless'' amount. To calculate the 
Annual Renewal Amount, add up the amount of the renewable items (such 
as operating, services, and administration costs) for all the years of 
the initial grant, and divide by the number of years in the grant term. 
For example, if a grant received a total of $60,000 in eligible 
renewable costs over a three-year period, the Annual Renewal Amount 
would be $20,000, or $60,000 divided by 3.
    b. Applicant. An entity that applies to HUD for funds. See the CoC 
Homeless Assistance Programs Chart in Section III.A.3 for a list of 
entities that are eligible. An applicant must submit a SF-424 
(Application for Federal Assistance Form). If selected for funding, the 
applicant becomes the grantee and is responsible for the overall 
management of the grant, including drawing grant funds and distributing 
them to project sponsors. The applicant is also responsible for 
supervision of project sponsor compliance with grant requirements. The 
applicant may also be a project sponsor.
    c. Applicant Certification. The form, required by law, in which an 
applicant certifies that it will adhere to certain statutory 
requirements, such as the Civil Rights Act of 1964.
    d. Chronically Homeless Person. An unaccompanied homeless 
individual with a disabling condition who has either been continuously 
homeless for a year or more OR has had at least four (4) episodes of 
homelessness in the past three (3) years. A disabling condition is 
defined as ``a diagnosable substance use disorder, serious mental 
illness, developmental disability, or chronic physical illness or 
disability, including the co-occurrence of two or more of these 
conditions.'' In defining the chronically homeless, the term 
``homeless'' means ``a person sleeping in a place not meant for human 
habitation (e.g., living on the streets) or in an emergency homeless 
shelter.''
    e. Consolidated Plan. A long-term housing and community development 
plan developed by state and local governments and approved by HUD. The 
Consolidated Plan contains information on homeless populations and 
should be coordinated with the CoC plan. It can be a source of 
information for the Unmet Need sections of the Housing Activities 
Chart. The plan contains both narratives and maps, the latter developed 
by localities using software provided by HUD.
    f. Consolidated Plan Certification. The form, required by law, in 
which a state or local official certifies that the proposed activities 
or projects are consistent with the jurisdiction's Consolidated Plan 
and, if the applicant is a state or unit of local government, that the 
jurisdiction is following its Consolidated Plan.
    g. Continuum of Care (CoC). A collaborative funding approach that 
helps communities plan for and provide a full range of emergency, 
transitional, and permanent housing and service resources to address 
the various needs of homeless persons.
    h. Continuum of Care Hold Harmless Amount. This is the total of the 
one-year amount (the total of the annual renewal amount) of all SHP 
projects eligible for renewal under this NOFA. CoCs shall receive the 
higher of: (1) the preliminary pro rata need (PRN) or (2) the CoC hold 
harmless amount. CoCs receiving the CoC hold harmless amount have the 
opportunity to replace or reduce projects in their CoC and reallocate 
their PRN funds in order to create new permanent supportive housing 
projects.
    i. Current Inventory. A complete listing of the community's 
existing beds and supportive services.
    j. Homeless Management Information Systems (HMIS). An HMIS is a 
computerized data collection application designed to capture client-
level information over time on the characteristics and service needs of 
men, women, and children experiencing homelessness, while also 
protecting client confidentiality. It is designed to aggregate client-
level data to generate an unduplicated count of clients served within a 
community's system of homeless services. An HMIS may also cover a 
statewide or regional area, and include several CoCs. The HMIS can 
provide data on client characteristics and service utilization.
    k. Homeless Person means a person sleeping in a place not meant for 
human habitation or in an emergency shelter; and a person in 
transitional housing for homeless persons who originally came from the 
street or an emergency shelter. For a more detailed discussion, see the 
Questions and Answers Supplement available on the Web at www.hud.gov/offices/adm/grants/fundsavail.cfm. The programs covered by this NOFA 
are not for populations who are at risk of becoming homeless.
    l. NOFA. Notice of Funding Availability, published in the Federal 
Register to announce available funds and application requirements.
    m. Private Nonprofit Status. Private nonprofit status is documented 
by submitting either: (1) a copy of the Internal Revenue Service (IRS) 
ruling providing tax-exempt status under Section 501(c)(3) of the IRS 
Code; or (2) documentation showing that the applicant is a certified 
United Way agency; or (3) a certification from a designated official of 
the organization that no part of the net earnings of the organization 
inures to the benefit of any member, founder, contributor, or 
individual; that the organization has a voluntary board; that the 
organization practices nondiscrimination in the provision of 
assistance; and that the organization has a functioning accounting 
system that provides for each of the following (mention each in the 
certification):
    (1) Accurate, current and complete disclosure of the financial 
results of each federally sponsored project.
    (2) Records that identify adequately the source and application of 
funds for federally sponsored activities.
    (3) Effective control over and accountability for all funds, 
property and other assets.
    (4) Comparison of outlays with budget amounts.
    (5) Written procedures to minimize the time elapsing between the 
transfer of funds to the recipient from the U.S. Treasury and the use 
of the funds for program purposes.
    (6) Written procedures for determining the reasonableness, 
allocability and allowability of costs.

[[Page 11745]]

    (7) Accounting records, including cost accounting records, which 
are supported by source documentation.
    n. Project Sponsor. The organization that is responsible for 
carrying out the proposed project activities. A project sponsor does 
not submit a SF-424 (Application for Federal Assistance), unless it is 
also the applicant. To be eligible to be a project sponsor, you must 
meet the same program eligibility standards as applicants do, as 
outlined in Section III.A.3, except in the Sponsor-based rental 
assistance (SRA) component of the S+C Program. Eligible sponsors for 
the SRA component are statutorily precluded from applying for S+C 
funding.
    o. Public Nonprofit Status. Public nonprofit status is documented 
for community mental health centers by including a letter or other 
document from an authorized official stating that the organization is a 
public nonprofit organization.
    p. SF-424, Application for Federal Assistance. The application 
cover sheet required to be submitted by applicants requesting HUD 
Federal Assistance.
    q. Safe Haven. A Safe Haven is a form of supportive housing funded 
and administered under the Supportive Housing Program serving hard-to-
reach homeless persons with severe mental illness and other 
debilitating behavioral conditions who are on the streets and have been 
unwilling or unable to participate in supportive services. A Safe Haven 
may be transitional supportive housing, or permanent supportive housing 
if it has the characteristics of permanent housing and requires 
participants to sign a lease.
    r. Samaritan Housing Initiative. The Samaritan Initiative will be 
integrated into this NOFA as part of the larger CoC process and is only 
for projects serving exclusively chronically homeless persons. It is 15 
percent of a CoC's preliminary pro rata need amount or $6 million, 
whichever is less. Applicants may use no more than 20 percent of this 
bonus for case management costs to enable program participants to 
remain successfully housed. See Section V.A.2.b(3) for additional 
information on this subject.
    9. Applicant Roles and Responsibilities. An applicant will be 
responsible for the overall management and administration of a 
particular grant, including drawing down the grant funds from HUD, 
distributing them to the project sponsors, overseeing project sponsors, 
reporting to HUD, providing performance data to the CoC for community-
level analysis, and collecting information to provide the CoC with 
counts of the homeless through HMIS. Applicants can submit applications 
for projects on behalf of project sponsors, who will actually carry out 
the proposed project activities. Applicants can also carry out their 
own projects. In these cases, the applicant is responsible for both 
administering and managing a grant (as the grantee) and carrying out 
the project activities (as the project sponsor).

II. Award Information

    A. Amount Allocated. Approximately $1.25 billion is available for 
this CoC competition in FY 2007. Any unobligated funds from previous 
CoC competitions or additional funds that may become available as a 
result of deobligations or recaptures from previous awards or budget 
transfers may be used in addition to FY 2007 appropriations to fund 
applications submitted in response to this NOFA. The FY 2007 HUD 
Appropriations Act requires HUD to obligate all CoC homeless assistance 
funds by September 30, 2009. These funds will remain available for 
expenditure for either five (5) or ten (10) years following that date, 
as provided by statute. The only exception is that $20 million will 
remain available until expended for 10-year term projects.
    1. Distribution of Funds: HUD will not specify amounts for each of 
the three programs. Instead, the distribution of funds among the three 
programs will depend largely on locally determined priorities and 
overall demand.
    a. Permanent Housing Requirement. Local priorities notwithstanding, 
the FY 2007 HUD Appropriations Act requires that not less than 30 
percent of this year's Homeless Assistance Grants (HAG) appropriation, 
excluding amounts provided for one-year renewals under the Shelter Plus 
Care Program, must be used for permanent housing projects for all 
homeless populations.
    b. Chronic Homelessness Requirement. The Administration has 
established as a policy priority the goal of ending chronic 
homelessness. CoCs are strongly encouraged to use the funds available 
in this NOFA to target persons experiencing chronic homelessness in 
their communities. HUD encourages communities to select projects that 
will contribute to the achievement of this important goal. The CoC 
strategy to end chronic homelessness is now referred to as the CoC Ten-
Year Plan (see Chart N in Exhibit 1). CoCs should align and integrate 
their CoC Ten-Year Plans with other plans, including jurisdictionally 
led ten-year plans and applicable Consolidated Plans. To work towards 
this goal, HUD is targeting the Samaritan Initiative for projects that 
exclusively serve individuals who are experiencing chronic 
homelessness. In addition, at least 10 percent of the appropriation 
will be awarded to new or renewal, transitional or permanent housing 
projects where at least 70 percent of the project's clients are 
expected to be chronically homeless (as defined by HUD) immediately 
prior to entry into the project. Housing projects include: SHP 
transitional housing, permanent housing and Safe Havens; S+C; and SRO 
projects. Since the housing funding allocation set-aside requirements 
are expected to continue in future competitions and may affect project 
funding selections, you are strongly encouraged to begin planning for 
new housing projects, particularly those serving individuals 
experiencing chronic homelessness, and include them as part of your 
submission in this competition. See Sections V.B.3.a and V.B.3.b of 
this NOFA for additional information on the permanent housing and 
chronic homeless requirements.
    c. Lower-rated SHP Renewals. HUD reserves the authority to 
conditionally select for one year of funding lower-rated eligible SHP 
renewal projects that are assigned 40 need points in a CoC application 
receiving at least 25 points under the CoC scoring factor that would 
not otherwise receive funding for these projects. (See Sections V.A.2.a 
and V.A.2.b of this NOFA for information on project rating and 
scoring.) Therefore, the projects must receive a minimum score of 65 
points. Although these lower-rated SHP renewal projects will have 
scored below the otherwise recognized funding line, their funding 
allows homeless persons to continue to be served and move towards self-
sufficiency. Not renewing these projects would likely result in the 
closure of these projects and displacement of the homeless people being 
served.
    2. Prioritizing Projects for Funding. Project priority decisions 
are best made by members of the local community, including local 
government and community and faith-based organizations, which represent 
the various economic, housing and social resources within that 
community. For example, if HUD has funds available only to award 8 of 
10 proposed projects, then it will award funding to the first 8 
eligible projects listed, except as may be necessary to achieve the 30 
percent overall permanent housing and the 10 percent chronic 
homelessness requirements; see Sections V.B.3.a. and V.B.3.b. of this 
NOFA for additional information. In such cases, higher priority non-
permanent housing projects may be de-selected to fund lower priority 
permanent housing projects and

[[Page 11746]]

housing projects predominantly serving those persons experiencing 
chronic homelessness.
    3. Grant Term. See chart in Section III.A.3. of this NOFA for 
information on the term of assistance for each of the three CoC 
programs covered in this NOFA.

III. Eligibility Information

A. Eligible Applicants

    1. Eligible applicants for each program are those identified in the 
following chart.
    2. Renewal Applicants. As a project applicant, you are eligible to 
apply for renewal of a grant only if you have executed a grant 
agreement for the project directly with HUD for SHP or S+C programs 
under a CoC NOFA. If you are a project sponsor or sub-recipient who has 
not signed such an agreement, you are not eligible to apply for renewal 
of these projects.
    3. Continuum of Care Homeless Assistance Programs

----------------------------------------------------------------------------------------------------------------
               Elements                   Supportive housing       Shelter plus care          Section 8 SRO
----------------------------------------------------------------------------------------------------------------
Authorizing Legislation..............   Subtitle C of Title IV  Subtitle F of Title IV   Section 441 of the
                                        of the McKinney-Vento    of the McKinney-Vento    McKinney-Vento
                                        Homeless Assistance      Homeless Assistance      Homeless Assistance
                                        Act, 42 U.S.C. 11381.    Act, 42 U.S.C. 11403.    Act, 42 U.S.C. 11401.
Implementing Regulations.............  24 CFR part 583........  24 CFR part 582........  24 CFR part 882,
                                                                                          subpart H, except that
                                                                                          all persons receiving
                                                                                          rental assistance must
                                                                                          meet the McKinney-
                                                                                          Vento definition of
                                                                                          homelessness.
Eligible Applicant(s)................   States........   States........   PHAs.
                                        Units of         Units of         Private
                                        general local            general local            nonprofit
                                        government.              government.              organizations.
                                        Special          PHAs.
                                        purpose units of
                                        government, e.g. PHAs.
                                        Private
                                        nonprofit
                                        organizations.
                                        Community
                                        Mental Health Centers
                                        that are public
                                        nonprofit
                                        organizations.
Eligible Components..................   Transitional     Tenant-based     SRO housing.
                                        housing.                 housing.
                                        Permanent        Sponsor-based
                                        housing for disabled     housing.
                                        persons only.
                                        Supportive       Project-based
                                        services not in          housing.
                                        conjunction with
                                        supportive housing.
                                        Safe Havens...   SRO-based
                                                                 housing.
                                        Innovative
                                        supportive housing.
                                        Homeless Mngt.
                                        Info. System (HMIS).
Eligible Activities, See footnotes 1,   Acquisition...   Rental           Rental
 2 and 3.                                                        assistance.              assistance.
                                       
                                        Rehabilitation.
                                        New
                                        construction.
                                        Leasing.
                                        Operating
                                        costs.
                                        Supportive
                                        services.
Eligible Populations, See footnote 2.   Homeless         Homeless         Homeless
                                        individuals and          disabled individuals.    individuals.
                                        families.
                                       .......................   Homeless
                                                                 disabled individuals &
                                                                 their families.
Populations Given Special               Homeless         Homeless         N/A.
 Consideration.                         persons with             persons who are
                                        disabilities.            seriously mentally ill.
                                        Homeless         Have chronic
                                        families with children.  problems with alcohol
                                                                 and/or drugs.
                                       .......................   Have AIDS &
                                                                 related diseases.
Initial Term of Assistance, See         2 or 3 years     5 years: TRA,    10 years.
 footnote 4.                            for new SHP.             SRA, and PRA without
                                                                 rehab.
                                        1, 2 or 3        10 years: SRO,
                                        years for new HMIS.      and PRA with rehab.
                                        1, 2, or 3
                                        years for new
                                        reallocated projects.
----------------------------------------------------------------------------------------------------------------
Footnote 1: Homeless prevention activities are statutorily ineligible under these programs.
Footnote 2: Persons at risk of homelessness are statutorily ineligible for assistance under these programs.
Footnote 3: Acquisition, construction, rehabilitation, leasing, and operating costs are statutorily ineligible
  for assistance under Shelter Plus Care and Section 8 SRO.
Footnote 4: The term of a new grant with funds for acquisition, construction or rehabilitation also includes the
  time to acquire the property, complete construction and begin operating the project, which may be no greater
  than 39 months.

    B. Matching (Cost Sharing). You must match Supportive Housing 
Program funds provided for acquisition, rehabilitation, and new 
construction with an equal amount of cash from other sources. Since SHP 
by statute can pay no more than 75 percent of the total operating 
budget for supportive housing, you must provide at least a 25 percent 
cash match of the total annual operating costs. In addition, for all 
SHP funding for supportive services and Homeless Management Information 
Systems (HMIS) you must provide a 20 percent cash match. This means 
that of the total supportive services budget line item, no more than 80 
percent may be from SHP grant funds.

[[Page 11747]]

    You must match rental assistance provided through the Shelter Plus 
Care Program in the aggregate with supportive services. Shelter Plus 
Care requires a dollar for dollar match; the recipient's match source 
can be cash or in kind.
    Documentation of the match requirement must be maintained in the 
grantee's financial records on a grant-specific basis.

C. Other

    1. Eligible Activities. Eligible activities for the SHP, S+C, and 
SRO Programs are outlined in the preceding CoC Homeless Assistance 
Programs Chart at Section III.A.3.
    2. Threshold Requirements
    a. Project Eligibility Threshold. HUD will review projects to 
determine if they meet the following eligibility threshold 
requirements. If HUD determines that these standards are not met by a 
specific project or activity, the project or activity will be rejected 
from the competition.
    (1) Applicants and sponsors must meet the eligibility requirements 
of the specific program as described in program regulations and provide 
evidence of eligibility and appropriate certifications as specified by 
the attachments in Section VIII.
    (2) The population to be served must meet the eligibility 
requirements of the specific program as described in the program 
regulations, and the application must clearly establish eligibility of 
program participants to be served pertaining to homelessness and 
disability status.
    (3) The only persons who may be served by new and renewal permanent 
housing projects are those who come from the streets, emergency 
shelters, or transitional housing who originally came from the streets 
or emergency shelter. As participants leave currently operating 
projects, participants who meet this eligibility standard must replace 
them.
    (4) Projects that involve rehabilitation or new construction must 
meet the accessibility requirements of Section 504 of the 
Rehabilitation Act of 1973, the design and construction requirements of 
the Fair Housing Act and the accessibility requirements of the 
Americans with Disabilities Act, as applicable.
    (5) The project must be cost-effective, including costs associated 
with construction, operations and supportive services with such costs 
not deviating substantially from the norm in that locale for the type 
of structure or kind of activity.
    (6) For those applicants applying for the Innovative component of 
SHP, whether or not a project is considered innovative will be 
determined on the basis that the particular approach proposed is new 
and can be replicated.
    (7) Renewal applications should be submitted as part of a CoC 
application, and must either be listed on the priority list or 
accompanied by a certification from the CoC saying that they have 
determined that the project is still needed.
    (8) Under the Sponsor-based rental assistance S+C component, an 
applicant must subcontract the funding awarded with an eligible 
sponsor: a private nonprofit organization or a community mental health 
agency established as a public nonprofit organization that owns or 
leases the housing where participants will reside.
    (9) For the Section 8 SRO program, only individuals meeting HUD's 
definition of homeless are eligible to receive rental assistance. 
Therefore, any individual occupying a unit at commencement of the 
unit's rehabilitation will not receive rental assistance if they return 
to their unit (or any other) upon completion of its rehabilitation.
    (10) Applicants agree to participate in a local HMIS system when it 
is implemented in their community.
    b. Project Quality Threshold. HUD will review projects to determine 
if they meet the following quality threshold requirements with clear 
and convincing evidence. A S+C or SHP project renewal will be 
considered as having met these requirements through its previously 
approved grant application unless information to the contrary is 
received. The housing and services proposed must be appropriate to the 
needs of the program participants and the community. HUD will assess 
the following:
    (1) The type, scale and general location of the housing fit the 
needs of the participants and that the housing is readily accessible to 
community amenities.
    (2) That all of the proposed participants come from the streets, 
homeless shelters or transitional housing for homeless persons.
    (3) The type, scale and location of the supportive services fit the 
needs of the participants and the mode of transportation to those 
services is described.
    (4) The specific plan for ensuring clients will be individually 
assisted to obtain the benefits of the mainstream health, social 
service, and employment programs for which they are eligible is 
provided.
    (5) How participants are helped to obtain and remain in permanent 
housing is described.
    (6) How participants are assisted to both increase their incomes 
and live independently using mainstream housing and service programs is 
described.
    (7) Applicants and sponsors must evidence satisfactory performance 
for existing grant(s).
    c. Project Renewal Threshold. Your local needs analysis process 
must consider the need to continue funding for projects expiring in 
calendar year 2008. HUD will not fund competitive renewals out of order 
on the priority list except as may be necessary to achieve the 30 
percent overall permanent housing requirement and the 10 percent 
requirement for individuals experiencing chronic homelessness 
requirement. It is important that SHP renewals and S+C non-competitive 
renewals meet minimum project eligibility, capacity and performance 
standards identified in this NOFA or they will be rejected from 
consideration for either competitive or non-competitive funding.
    d. Civil Rights Thresholds: Applicants and the project sponsors 
must be in compliance with the threshold requirements of the General 
Section.
    3. Program Requirements
    a. Projects funded under this NOFA shall operate in a fashion that 
complies with applicable civil rights laws and Executive Orders, 
including the requirement to Affirmatively Further Fair Housing (AFFH), 
and does not deprive any individual of any right protected by the Fair 
Housing Act (42 U.S.C. 3601-19), Section 504 of the Rehabilitation Act 
of 1973 (29 U.S.C. 794), the Americans with Disabilities Act of 1990 
(42 U.S.C. 12101 et seq.), Title VI of the Civil Rights Act of 1964 (42 
U.S.C. 2000d), Section 109 of Title I of the Housing and Community 
Development Act of 1974 (42 U.S.C. 5309), or the Age Discrimination Act 
of 1975 (42 U.S.C. 6101).
    b. Local Resident Employment. To the extent that any housing 
assistance (including rental assistance) funded through this NOFA is 
used for housing rehabilitation (including reduction and abatement of 
lead-based paint hazards, but excluding routine maintenance, repair, 
and replacement) or housing construction, then it is subject to section 
3 of the Housing and Urban Rehabilitation Act of 1968, and the 
implementing regulations at 24 CFR part 135. Section 3, as amended, 
requires that economic opportunities generated by certain HUD financial 
assistance for housing and community development

[[Page 11748]]

programs shall, to the greatest extent feasible, be given to low- and 
very low-income persons, particularly those who are recipients of 
government assistance for housing, and to businesses that provide 
economic opportunities for these persons.
    c. Relocation. The SHP, S+C, and SRO programs are subject to the 
requirements of the Uniform Relocation Assistance and Real Property 
Acquisition Policies Act of 1970, as amended (URA). These requirements 
are explained in HUD Handbook 1378, Tenant Assistance, Relocation and 
Real Property Acquisition. Also see General Section.
    d. Environmental Reviews. All CoC assistance is subject to the 
National Environmental Policy Act and applicable related Federal 
environmental authorities. Conditional selection of projects under the 
CoC Homeless Assistance competition is subject to the environmental 
review requirements of 24 CFR 582.230, 583.230 and 882.804(c), as 
applicable. The recipient, its project partners and their contractors 
may not acquire, rehabilitate, convert, lease (under S+C/TRA where 
participants are required to live in a particular structure or area as 
described in Section III.C.3.h(3)(a)), repair, dispose of, demolish or 
construct property for a project under this CoC NOFA, or commit or 
expend HUD or local funds for such eligible activities, until the 
responsible entity has completed the environmental review procedures 
required by Part 58 and the environmental certification and Request for 
Release of Funds (RROF) have been approved or HUD has performed an 
environmental review under Part 50 and the recipient has received HUD 
approval of the property. The expenditure or commitment of Continuum of 
Care assistance or non-federal funds for such activities prior to this 
HUD approval may result in the denial of assistance for the project 
under consideration.
    e. CoC Geographic Area. In deciding what geographic area you will 
cover in your CoC strategy, you should be aware that the single most 
important factor in being awarded funding under this competition will 
be the strength of your CoC strategy when measured against the CoC 
rating factors described in this NOFA. When you determine what 
jurisdictions to include in your CoC strategy area, include only those 
jurisdictions that are fully involved in the development and 
implementation of the CoC strategy.
    The more jurisdictions you include in the CoC strategy area, the 
larger the pro rata need share that will be allocated to the strategy 
area (as described in Section V.B.2.b. of this NOFA). If you are a 
rural county, you may wish to consider working with larger groups of 
contiguous counties to develop a region-wide or multi-county CoC 
strategy covering the combined service areas of these counties. The 
areas covered by CoC strategies should not overlap.
    f. Expiring/Extended Grants. If your SHP or S+C Program grant will 
be expiring in calendar year 2008, or if your S+C Program grant has 
been extended beyond its original five-year term and is projected to 
run out of funds in FY 2008, you may apply as a renewal under this CoC 
NOFA to get continued funding.
    g. Participation in Energy Star. In keeping with the 
Administration's policy priority of promoting energy efficient housing 
while protecting the environment, applicants applying for new 
construction or rehabilitation funding, who maintain housing or 
community facilities or provide services in those facilities, are 
encouraged to promote energy efficiency and are specifically encouraged 
to purchase and use Energy Star-labeled products. All applicants must 
complete the questions on the Energy Star Chart (Chart CoC-AA) in 
Exhibit 1. Refer to the General Section for detailed information about 
this requirement.
    h. Program-Specific Requirements. Please be advised that where an 
applicant for the SHP funding is a state or unit of general local 
government that utilizes one or more nonprofit organizations to 
administer the homeless assistance project(s), administrative funds 
provided as part of the SHP grant must be passed on to the nonprofit 
organization(s) in proportion to the administrative burden borne by 
them for the SHP project(s). HUD will consider states or units of 
general local government that pass on at least 50 percent of the 
administrative funds made available under the grant as having met this 
requirement. This requirement does not apply to either the SRO Program, 
since only PHAs administer the SRO rental assistance, or to the S+C 
Program, since paying the costs associated with the administration of 
these grants is ineligible by regulation.
    HUD will not award funds to rehabilitate leased property. In 
addition, SHP funds may not be used to lease units or structures owned 
by the project sponsor, the selectee, or their parent organizations. 
This includes organizations that are members of a general partnership 
where the general partnership owns the structure.
(1) SHP--New Projects
    (a) Please note that applicants for new grants can request 2 or 3 
years' worth of funds for operating, supportive services and leasing 
costs and that the grant term will be the 2 or 3 years requested. 
However, if you also request funds for acquisition, construction or 
rehabilitation, the grant term will be the 2 or 3 years, plus the time 
to acquire the property, complete construction and begin operating the 
project (no greater than 39 months).
    (b) HUD will require recordation of a HUD-approved use and 
repayment covenant (a form may be obtained from your field office) for 
all grants of funds for acquisition, rehabilitation or new 
construction. The covenant will enforce the use and repayment 
requirements found at section 423(b)(1) and (c) of the McKinney-Vento 
Act and must be approved by HUD counsel before execution and 
recordation. Proof of recordation must be provided to HUD counsel 
before funds for rehabilitation or new construction may be drawn down.
    (c) All project sponsors must meet applicant eligibility standards 
as described in Section III.A.3. As in past years, HUD will review 
sponsor eligibility as part of the threshold review process. Project 
sponsors for new projects are required to submit evidence of their 
eligibility with the application (See Section IV.B.1.b.(3)(a) and 
Section I.A.8.n).
(2) SHP--Renewal Projects
    (a) For the renewal of a SHP project, you may request funding for 
one (1), two (2) or three (3) years.
    (b) The total request for each renewable project cannot exceed the 
Annual Renewal Amount (formerly referred to as the Average Yearly 
Amount) received in your current grant for that project. Within that 
total request, the administrative amount must be the exact amount 
awarded in the previous grant. An exception to this rule is grants 
being renewed whose original expiring award included ``hard'' 
development costs (acquisition, new construction, and rehab). In the 
current competition, you must recalculate your administrative 
allocation not to exceed five percent of the Annual Renewal Amount of 
the activities being renewed. To calculate administrative amounts for 
activities in all new projects and renewal projects with these ``hard'' 
development costs, calculate the subtotal of all requested amounts for 
activities. Administrative costs cannot exceed 5% of this subtotal. For 
example, if a project requests $60 for supportive

[[Page 11749]]

services and $40 for operating expenses, the maximum amount of 
administration dollars the project can request is $5. Only leasing, 
operating, supportive services, and administration costs may be 
renewed. Applicants proposing both to renew an existing project and to 
expand the number of units or number of participants receiving services 
in that grant must submit a new project proposal for the expansion 
portion of the project. HMIS activities being renewed should be 
included on the HMIS budget chart. For more information on Annual 
Renewal Amount, see section I.A.8.a of this NOFA (the glossary).
    (c) HUD will recapture SHP grant funds remaining unspent at the end 
of the previous grant period when it renews a grant.
(3) S+C--New Projects
    (a) A project may not include more than one component, e.g., 
combining Tenant-based Rental Assistance (TRA) with Sponsor-based 
Rental Assistance (SRA) is prohibited within the same grant. Under the 
TRA component, in order to help provide supportive services or for the 
purposes of controlling housing costs, a grantee may require 
participants to live in a particular structure for the first year of 
assistance or to live in a particular area for the entire rental 
assistance period. Where this option is exercised, an environmental 
review and clearance must be performed prior to any commitment to lease 
a particular structure or unit for participant occupancy as described 
in Section III.C.3.d, Environmental Reviews.
    (b) S+C/SRO Component. If you are a state or a unit of general 
local government, you must subcontract with a public housing agency to 
administer the S+C assistance. Also, no single project may contain more 
than 100 units.
    (c) S+C SRA Component. Project sponsors must submit proof of their 
eligibility to serve as a project sponsor.
    (4) S+C Renewal Projects. HUD encourages the consolidation of 
appropriate S+C renewal grants when the grants are under the same 
grantee, same component and expire in the same year. However, renewal 
requests for expiring S+C grants that have not yet been combined should 
still be listed individually on the CoC priority list and will be 
awarded as individual renewal grants. Where the grantee wishes to 
consolidate the renewal grants, this action will be subsequently 
accomplished by the field office at the point of renewal grant 
agreement execution. The field office will receive instructions for 
this process in the S+C Operating Procedures guidance for 2007 awards.
    (a) For the renewal of a S+C project, including S+C SROs, the grant 
term will be one (1) year, as specified by Congress. For the renewal of 
S+C rental assistance that is Tenant-based (TRA), Sponsor-based (SRA), 
Project-based (PRA), or Single Room Occupancy-based (SRO), you may 
request up to the amount determined by multiplying the number of units 
under lease at the time of your application for renewal funding by the 
applicable 2006 Fair Market Rent(s) by 12 months. Current FMRs can be 
found at www.hudclips.org. For S+C grants having been awarded one year 
of renewal funding in 2005, the number of units requested for renewal 
this year must not exceed the number of units funded in 2005. As is the 
case with SHP, HUD will recapture S+C grant funds remaining unspent at 
the end of the previous grant period when it renews a grant. The one-
year term of non-competitively awarded S+C renewal projects may not be 
extended.
    (b) Under the FY 2007 HUD Appropriations Act, eligible S+C Program 
grants whose terms are expiring in 2008 and S+C Program grants that 
have been extended beyond their original five-year terms but which are 
projected to run out of funds in 2008, will be renewed for one year 
provided that they are determined to be needed by the CoC, either as 
evidenced by their inclusion on the priority chart or as accompanied by 
a certification from the CoC. These projects must also demonstrate that 
their applicant and sponsor meet eligibility, capacity and performance 
requirements described in Section V.A.1 of this NOFA. Non-competitive 
S+C renewals should be submitted by the application deadline. These S+C 
renewal projects will not count against a continuum's pro rata need 
amount, but, if listed on the CoC Priority Chart, should be numbered, 
continuing the priority sequence. On the other hand, no community hold 
harmless amount will be computed for any CoC using S+C renewal amounts 
since these projects are being funded outside of the competition.
    (5) Section 8 Moderate Rehabilitation SRO Program--New Projects. As 
an applicant, the following limitations apply to the Section 8 SRO 
program:
    (a) SRO assistance may not be provided to more than 100 units in 
any structure.
    (b) Under 24 CFR 882.802, applicants that are private nonprofit 
organizations must subcontract with a public housing agency to 
administer the SRO assistance.
    (c) Under 24 CFR 882.802, rehabilitation must involve a minimum 
expenditure of $3,000 for a unit, including its prorated share of work 
to be accomplished on common areas or systems, to upgrade conditions to 
comply with HUD's physical condition standards in 24 CFR part 5, 
subpart G.
    (d) Under section 441(e) of the McKinney-Vento Act and 24 CFR 
882.805(d)(1), HUD publishes the SRO per unit rehabilitation cost limit 
each year to take into account changes in construction costs. This cost 
limitation applies to eligible rehabilitation costs that may be 
compensated for in the Housing Assistance Payments (HAP) contract 
rents. For purposes of Fiscal Year 2007 funding, the cost limitation is 
raised from $20,500 to $21,000 per unit to take into account increases 
in construction costs during the past 12-month period.
    (e) The SRO Program is subject to the Federal standards at 24 CFR 
part 882, subpart H.
    (f) Individuals assisted through the SRO Program must meet the 
definition of homeless individual found at section 103 of the McKinney-
Vento Act.
    (g) Resources outside the program pay for the rehabilitation, and 
rehabilitation financing. The rental assistance covers operating 
expenses of the SRO housing, including debt service for rehabilitation 
financing. Units may contain food preparation or sanitary facilities or 
both.
    (6) Section 8 Moderate Rehabilitation SRO Program--Renewals. This 
program section of the NOFA is not applicable to the renewal of funding 
under the Section 8 SRO program. The renewal of expiring Section 8 SRO 
projects is not part of the competitive CoC NOFA process. Rather, 
expiring Section 8 SROs will be identified at the beginning of the 
applicable year by the public housing agency and HUD field office. One-
year renewal funds for expiring Section 8 SRO HAP contracts will be 
provided by HUD under a separate, non-competitive process. For further 
guidance on Section 8 SRO renewals, please contact your local HUD field 
office.
    i. Timeliness Standards. As an applicant, you are expected to 
initiate your approved projects promptly in accordance with Section 
VI.A of this NOFA. In addition, HUD will take action if you fail to 
satisfy the following timeliness standards:
    (1) SHP: HUD will deselect your award if you do not demonstrate 
site control within one (1) year of the date of your grant award 
letter, as required by the McKinney-Vento Act (see 42 U.S.C. 
11386(a)(3)) and implemented in program regulations at 24 CFR

[[Page 11750]]

583.320(a). Subsequent loss of site control beyond the 12-month 
statutory limit will be cause for cancellation of the award and 
recapture of funds. HUD may deobligate SHP funds if the following 
additional timeliness standards are not met:
    (a) You must begin construction activities within eighteen (18) 
months of the date of HUD's grant award letter and complete them within 
thirty-six (36) months after that notification.
    (b) For activities that cannot begin until construction activities 
are completed, such as supportive service or operating activities that 
will be conducted within the building being rehabilitated or newly 
constructed, you must begin these activities within three (3) months 
after you complete construction.
    (c) You must begin all activities that may proceed independent of 
construction activities, including HMIS and SSO, within twelve (12) 
months of the date of HUD's grant award letter. HUD may deselect or 
terminate a grant agreement if the applicant is not in compliance with 
this requirement. HUD may reduce a grant agreement term to one (1) year 
where implementation delays have reduced the amount of funds that 
reasonably can be used in the original term.
    (2) S+C Except SRO Component. HUD may deselect an award or 
deobligate S+C funds if you do not meet the following timeliness 
standards:
    (a) For Tenant-based Rental Assistance, for Sponsor-based Rental 
Assistance, and for Project-based Rental Assistance without 
rehabilitation, you must start the rental assistance within twelve (12) 
months of the date of HUD's grant award letter.
    (b) For Project-based Rental Assistance with rehabilitation, you 
must complete the rehabilitation within twelve (12) months of the date 
of HUD's grant award letter.
    (3) Section 8 Moderate Rehabilitation SRO Program and SRO Component 
of the S+C Program. For the Section 8 SRO program and the SRO component 
of the S+C program projects awarded under this NOFA, the Annual 
Contributions Contract (ACC) must be executed no later than September 
30, 2009. The rehabilitation work must be completed and the HAP 
contract executed within twelve (12) months of execution of the Annual 
Contributions Contract. HUD may reduce the number of units or the 
amount of the annual contribution commitment if, in HUD's 
determination, the Public Housing Agency fails to demonstrate a good 
faith effort to adhere to this schedule.

IV. Application and Submission Information

    A. Application Package. A checklist of forms needed to complete the 
application is provided, as described in Section VIII below. Exhibits 
1, 2, and the Applicant Certifications are attachments. The Exhibits, 
Geographic Codes, Preliminary Pro Rata Need Amounts, Applicant 
Certifications, and the Questions and Answers Supplement can be 
accessed at http://www.hud.gov/offices/adm/grants/fundsavail.cim. An 
applicant may also obtain a copy of the General Section and this NOFA 
by calling the NOFA Information Center at 1-800-HUD-8929 (voice) (this 
is a toll free number). Persons with hearing and speech impairments may 
access the above number via TTY by calling the toll-free Federal Relay 
Service at 800-877-8339. Please note that all sections of the General 
Section are critical and must be carefully reviewed to ensure your 
application can be considered for funding.
    B. Content and Form of Application Submission. The only option for 
submitting a viable application under this NOFA is to submit the entire 
Continuum of Care application, with all of its projects, together in a 
single package mailed to HUD. Each application will consist of one 
Continuum of Care Exhibit and submissions from one or more applicants 
and project sponsors. Although HUD will accept an application for a 
project exclusive of participation in any community-wide or region-wide 
CoC development process, projects will receive few, if any, points 
under the CoC rating factors and are very unlikely to be funded. Please 
note that Exhibits 1 and 2 should only include the actual application 
questions and responses being provided and should not include the HUD 
application instructions or any blank tables and charts. The General 
Section contains certifications that the applicant will comply with 
fair housing and civil rights requirements, program regulations, and 
other Federal requirements, and (where applicable) that the proposed 
activities are consistent with the HUD-approved Consolidated Plan of 
the applicable state or unit of general local government. Section IV of 
Exhibit 2 of this NOFA contains program-specific Applicant 
Certifications.
1. Application Submission Requirements
    a. A completed application will include one Exhibit 1 (CoC) and any 
number of Exhibits 2, depending on the number of projects and type of 
programs proposed for funding. For example, if your CoC were proposing 
five SHP Renewal projects and one S+C New project, then you would 
submit one Exhibit 1 and six Exhibits 2, filling out the applicable 
charts in Exhibit 2 for each project. Refer to Assembly Order below for 
full assembling instructions.
    b. Assembly Order: Each CoC must submit the entire CoC application, 
with all of its parts, in a single package to HUD. There are three 
separate sections to a CoC submission: the CoC Exhibit 1, all applicant 
documentation, and all project documentation. The application must be 
assembled in the following order:
    (1) Section I--Exhibit 1 Narrative and Charts
    (a) HUD-40090-1, Exhibit 1, the CoC plan with all charts completed 
as applicable;
    (b) HUD-27300, America's Affordable Communities Initiative/Removal 
of Regulatory Barriers, with supporting documentation;
    (c) HUD-2993, Acknowledgment of Application Receipt; and
    (d) HUD-2994-A, You Are Our Client! Grant Applicant Survey 
(optional).
    (2) Section II--Applicant Documentation
    (a) SF-424 Application for Federal Assistance. Submit one SF-424 
for each applicant in the Continuum. Attached to each SF-424 must be a 
list of all the applicant's projects in priority number order, with 
project name and requested amount. Each SF-424 must also include the 
applicant's DUNS number. Please see the General Section for more 
information on obtaining a DUNS number. The SF-424 Supplement, Survey 
on Ensuring Equal Opportunities for Applicants, is for private 
nonprofit applicants only and completion/submission of this survey is 
voluntary. Additionally, each applicant must attach the following 
documentation (i-v) to its SF-424:
    (i) Documentation of Applicant Eligibility. Only applicants for new 
projects must include documentation of eligibility as defined in the 
chart in Section III.A.3. Also, see Section I.A.8.m. & o. of this NOFA 
for information on the documentation required to validate non-profit 
status.
    (ii) SF-LLL, Disclosure of Lobbying Activities, where applicable.
    (iii) Applicant Code of Conduct. (New applicants and applicants 
awarded HUD funding prior to 2007 who have not previously submitted a 
Code of Conduct).
    (iv) HUD 40090-4, Applicant Certifications.

[[Page 11751]]

    (3) Section III--Project Documentation: Each project applying under 
Exhibit 2 must be submitted in its priority list order with all Exhibit 
2 required forms, HUD-40090-2, completed for every project. The 
following documentation must be included after each project submission:
    (a) Documentation of Sponsor Eligibility. Only sponsors for new 
projects must include documentation of eligibility as defined in the 
chart in Section III.A.3. See also Section I.A.8.n. for information on 
the documentation required to validate sponsor eligibility.
    (b) HUD-96010, Program Outcome Logic Model (for Logic Model 
instructions, see the General Section of the NOFA);
    (c) HUD-2880, Applicant/Recipient Disclosure/Update Report;
    (d) HUD-2991, Certification of Consistency with the Consolidated 
Plan; and
    (e) SF 424-Supplement, Survey on Ensuring Equal Opportunities for 
Applicants (for private nonprofit applicants only--completion of survey 
is voluntary).
    2. Assembly Format
    a. The standard font that should be used for narratives is Times 
New Roman, size 12 (pitch). Number all pages within each exhibit 
sequentially and insert tabs marking each exhibit.
    b. Please use a two-hole punch to insert holes at the top of your 
application.
    c. Please do not bind your application, since this impedes 
processing.

C. Submission Dates and Times

    1. Application Deadline Date. Your completed application must be 
submitted on or before June 8, 2007 to the addresses shown below. HUD 
will not accept faxed or hand delivered applications.
    a. Timeliness. Your application will be considered filed in a 
timely manner if your application is postmarked on or before 11:59:59 
p.m. on the application deadline date, and received by HUD on or within 
fifteen (15) days of the application deadline date. Applicants may use 
any type of mail service provided by the United States Postal Service 
(USPS) to have their application package delivered to HUD in time to 
meet the timely submission requirements. Applicants using the USPS 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. 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 USPS must show receipt no later than the 
application deadline. The Certificate of Mailing or other USPS receipt 
will be your documentary evidence that your application was timely 
filed. If your application is sent by overnight delivery or express 
mail, other than the United States Postal Service, your application 
will be timely filed if it is placed in transit with the overnight/
express mail service on or before the application submission date. 
Applicants should retain a receipt from these services showing that it 
was submitted for delivery by the application deadline date and time. 
Applicants whose applications are determined to be late, who cannot 
furnish HUD with a receipt from the USPS or other mail carrier that 
verifies the package was submitted prior to the submission deadline 
date and time will not receive funding consideration.
    b. Field Office Copies. The HUD Field Office must also receive one 
copy of your application, with the same due date and timely filing 
requirements as described in Section IV.C.1.a above. In the rare event 
that a CoC's entire application is not received at HUD Headquarters on 
time, HUD may similarly request proof that the Headquarters and Field 
Office copy was filed on time and, if so, may use the copy received by 
the Field Office for review.

D. Intergovernmental Review

    Not applicable.

E. Funding Restrictions

    Funding Restrictions are outlined in Sections V.B.3.a and V.B.3.b.

F. Other Submission Requirements

    1. Addresses for Submitting Applications:
    a. To HUD Headquarters. Once you have downloaded the forms from the 
web site and completed the application and all documentation, submit 
your original completed application (the application with the original 
signed documentation) and one additional copy of Exhibit 1 only to: HUD 
Headquarters, Robert C. Weaver Building, 451 Seventh Street, SW, Room 
7270, Washington, DC 20410, Attention: Continuum of Care Programs.
    b. To the Appropriate CPD Field Office. Also submit one copy of 
your completed application to the Community Planning and Development 
Division of the appropriate HUD Field Office for your jurisdiction. 
Please see the following web site for Field Office addresses: http://www.hud.gov/localoffices.cfm.
    2. Security Procedures. HUD recommends that applications be mailed 
or shipped express using the United States Postal Service (USPS). 
However, applications shipped via United Parcel Service (UPS), FedEx, 
DHL, or Falcon Carrier will also be accepted. Due to HUD security 
regulations, no other delivery service is permitted into HUD 
Headquarters without escort. You must, therefore, use one of the four 
carriers listed above.

V. Application Review Information

    A. Criteria. Your application will receive a higher score under the 
CoC scoring factors if the application demonstrates the achievement of 
four basic goals:
--One, that you have successfully identified and developed partnerships 
with nonprofit organizations (including those representing persons with 
disabilities), government agencies, jurisdictional ten-year planning 
bodies, public housing agencies, faith-based and other community-based 
organizations, other homeless providers, housing developers and service 
providers, private businesses and business associations, law 
enforcement agencies, funding providers, and homeless or formerly 
homeless persons, and that your CoC structure and decision-making 
processes are inclusive of all of these parties. Also, other 
jurisdictional ten-year plans within your CoC's geographic area must be 
aligned and integrated with the CoC plan;
--Two, that you have created, maintained, and built upon a community-
wide inventory of housing and services for homeless families and 
individuals (both HUD and non-HUD funded); identified the full spectrum 
of needs of homeless families and individuals; and coordinated efforts 
to fill gaps between the current inventory and existing needs. This 
coordinated effort must appropriately address all aspects of the 
continuum, especially permanent housing;
--Three, that you have instituted a CoC-wide strategy to achieve the 
CoC's goals, especially to end chronic homelessness. This can be 
accomplished through careful

[[Page 11752]]

planning, coordination with other state and local ten-year plans, and 
through leveraging resources from multiple sources; and
--Four, that your Continuum is working toward the HUD/national 
performance objectives (the objectives listed in Section VI.B.1 below 
and on Chart N in Exhibit 1, the CoC 10-Year Plan, Objectives, and 
Action Steps Chart), that you are reporting on progress toward the 
CoC's goals, and that you are coordinating homeless assistance with 
mainstream health, social services, and employment programs.
    1. Applicant and sponsor eligibility, capacity and performance. HUD 
will review applications to ensure that the applicant and project 
sponsor meet the eligibility and capacity standards outlined in this 
section. If HUD determines these standards are not met, the project 
will be rejected from the competition. The eligibility, capacity and 
performance standards are as follows:
    a. You must be eligible to apply for the specific program.
    b. You must demonstrate ability to carry out the project(s). With 
respect to each proposed project, this means that, in addition to 
knowledge of and experience with homelessness in general, the 
organization carrying out the project, its employees, or its partners, 
must have the necessary experience and knowledge to carry out the 
specific activities proposed, such as housing development, housing 
management, and service delivery.
    c. If you or the project sponsor is a current or past recipient of 
assistance under a HUD McKinney-Vento Act program, there must have been 
no delay in meeting applicable program timeliness standards unless HUD 
determines the delay in project implementation is beyond your or the 
project sponsor's control, there are no serious unresolved HUD 
monitoring finding, and no outstanding audit finding of a material 
nature regarding the administration of the program.
    2. Review, Rating and Conditional Selection. HUD will use the same 
review, rating, and conditional selection process for all three 
programs (SHP, S+C and SRO). The standard factors for award identified 
in the General Section have been modified in this NOFA as described 
below. Only the factors described in this NOFA--Continuum of Care and 
Need--will be used to assign points. Parts 2a and 2b in this section 
describe selection factors. Up to 100 points will be assigned using 
these factors, including rating points for HUD's policy priority of 
ending chronic homelessness; and the policy priority for removing 
regulatory barriers to affordable housing (see Section V.B.3.b. and 
V.A.2.a.(4)g. below on both policy priorities). There are no bonus 
points for proposing projects in an RC/EZ/EC-IIs.
    a. Continuum of Care. HUD will award up to 60 points as follows:
    (1) Organizational Structure: HUD will award up to 8 points based 
on the extent to which your application demonstrates:
    (a) The existence of a coordinated, inclusive, and outcome-oriented 
community process, including organizational structure(s) and decision-
making processes for developing and implementing a CoC strategy;
    (b) That this process includes nonprofit organizations (such as 
veterans service organizations, organizations representing persons with 
disabilities, faith-based and other community-based organizations, and 
other groups serving homeless and other low-income persons), state and 
local governmental agencies, public housing agencies, housing 
developers and service providers, school systems, law enforcement, 
hospital and medical entities, funding providers, local businesses and 
business associations, and homeless or formerly homeless persons; and
    (c) That the CoC has a process in place to achieve fair and 
impartial project review and selection, with representation and input 
from diverse parties such as those outlined under Criteria for 
Application Review.
    (2) CoC Housing and Service Needs: HUD will award up to 12 points 
based on the extent to which your application demonstrates:
    (a) That a well-defined and comprehensive strategy has been 
developed which addresses the components of a CoC system (i.e., 
outreach, intake and assessment; emergency shelter; transitional 
housing; permanent supportive housing; and prevention), and that the 
strategy has been designed to serve all homeless subpopulations in the 
community (e.g., seriously mentally ill, persons with multiple 
diagnoses, veterans, persons with HIV/AIDS), including those persons 
living in emergency shelters, supportive housing for homeless persons, 
or in places not designed for, or ordinarily used as, a regular 
sleeping accommodation for human beings. Having high-quality data is 
important, and your application in this section must demonstrate the 
CoC's data collection methods.
    (b) HMIS Implementation. Of these 12 points, HUD will award up to 5 
points based upon the extent to which your application demonstrates 
progress in the planning, implementation and operation of an HMIS 
system covering at a minimum all street outreach, emergency shelters 
and transitional housing programs so that a reliable, unduplicated 
count of homeless persons on the street and in shelters may be 
conducted.
    (3) CoC Strategic Planning: HUD will award up to 10 points based on 
the extent to which your application demonstrates:
    (a) The existence of a performance-based 10-year strategy for 
ending chronic homelessness that establishes specific action steps to 
achieve the five objectives listed in Chart N, the CoC 10-Year Plan, 
Objectives, and Action Steps Chart, with measurable achievements. It 
should be integrated with other ten-year plans in the community to 
eliminate chronic homelessness (if applicable), the local HUD 
Consolidated Plan, and other state and local plans related to 
homelessness;
    (b) Your Continuum's progress in working with the appropriate local 
government entity to develop and implement a discharge policy for 
persons leaving publicly funded institutions or systems of care (such 
as health care facilities, foster care or other youth facilities, or 
correction programs and institutions) in order to prevent such 
discharge from immediately resulting in persons entering the homeless 
system;
    (c) Proposes projects that are consistent with identified unmet 
needs and correctly completes the priority chart (note: if you do not 
provide a Project Priority Chart in Exhibit 1, all proposed projects 
may lose up to 30 points of the 40-point Need total);
    (d) Provides estimates of renewal funds needed through 2012 for SHP 
and S+C projects; and
    (e) Demonstrates leveraging of funds requested under this NOFA with 
other resources, including private, other public, and mainstream 
services and housing programs, for proposed projects and ongoing 
efforts (Leveraging Supplemental Resources).
    (4) CoC Performance: HUD will award up to 18 points based upon the 
CoC's progress in reducing homelessness, including chronic 
homelessness. Please note that HUD reserves the right to award at least 
a minimum score of half of the full points in this section, for each 
completed chart in Part IV, CoC Performance, to continuums located in 
areas affected by Hurricanes Katrina and Rita that President Bush has 
declared to be major disaster areas under Title IV of the Robert T. 
Stafford Act. CoC Performance will be measured by

[[Page 11753]]

demonstrating: That the CoC has taken specific action steps and made 
progress toward achieving its goals; That the CoC has increased the 
number of permanent housing beds for the chronically homeless and made 
progress toward eliminating chronic homelessness;
    Program participants' success in moving to and maintaining 
permanent housing as reported in the most recent Annual Progress Report 
(APR);
    The extent to which participants successfully become employed and 
access mainstream programs. These measures emphasize HUD's 
determination to assess grantees' performance in the prior program year 
and to determine if they are meeting the overall goal of the homeless 
assistance grants under which they are funded. Both housing and 
supportive services only projects will be assessed, using the data 
submitted in Exhibit 1, Charts W and X;
    That the CoC has no unexecuted grants;
    That projects within the CoC have policies and practices in place 
to hire, and have hired, low and very low-income employees and 
subcontractors, under Section 3 of the Housing and Urban Development 
Act of 1968 (HUD will award up to 2 points for this chart, within the 
18 points for this rating factor); and
    Removal of Regulatory Barriers to Affordable Housing: As provided 
for in the General Section, HUD will award up to 2 points, within the 
18 points for this rating factor, based on the extent that the CoC's 
application demonstrates a local plan and/or existing policy to remove 
regulatory barriers to the production of affordable housing. Applicable 
activities include the support of state and local efforts to streamline 
processes, eliminate redundant requirements, statutes, regulations, and 
codes that impede the availability of affordable housing. The response 
(one questionnaire per CoC) should be submitted for consideration as a 
completed HUD Form 27300, Questionnaire for HUD's Removal of Regulatory 
Barriers. The Continuum should submit the questionnaire for the local 
jurisdiction where the majority of its CoC assistance will be provided. 
Please identify the name of the jurisdiction reported on the top of the 
first page of the returned questionnaire. The completed questionnaire 
(Part A or B, NOT both) must include some form of documentation, where 
requested, and identify a point of contact. This questionnaire can be 
found in the attachments to the General Section and should be submitted 
with Exhibit 1.
    (5) Emphasis on Housing Activities: HUD will award up to 12 points 
based upon the relationship between funds requested for housing 
activities (i.e., transitional and permanent) and funds requested for 
supportive service activities among projects assigned 40 need points 
(including S+C renewals). Points will be awarded on a sliding scale 
with the Continuums with the highest percentage of approvable requests 
for funds for housing activities receiving the highest points. HUD will 
count as housing activity all approvable requests for funds for rental 
assistance and approvable requests for funds for acquisition, 
rehabilitation, construction, leasing and operations when used in 
connection with housing. HMIS costs and administrative costs will be 
excluded from this calculation.
    b. Need: HUD will award up to 40 points for need. There is a three-
step approach to determining the need scores to be awarded to projects.
    (1) Step 1--HUD's Determination of preliminary pro rata need: To 
determine the homeless assistance need of a particular jurisdiction, 
HUD will use nationally available data, including the following factors 
as used in the Emergency Shelter Grants (ESG) program; data on poverty, 
housing overcrowding, population, age of housing, and growth lag. 
Applying those factors to a particular jurisdiction provides an 
estimate of the relative need index for that jurisdiction compared to 
other jurisdictions applying for assistance under this NOFA.
    (2) Step 2--Determining CoC hold harmless pro rata need: In CoCs 
where the total amount needed to fund, for one year, all SHP grants 
eligible for renewal in this competition exceeds the preliminary pro 
rata need amount for that CoC, the CoC will receive this higher amount, 
referred to as the CoC hold harmless amount. SHP grants eligible for 
renewal are those that expire between January 1, 2008 and December 31, 
2008. No adjustment will be made for S+C renewals. To provide 
communities with maximum flexibility in addressing current needs, CoCs 
have the discretion to not fund or to reduce one or more SHP renewal 
project applications and still receive the benefit of the hold harmless 
amount if the CoC proposes to use that amount of reduced renewal funds 
for new permanent supportive housing projects. As in past years, CoCs 
who would like to create new permanent housing units may use the ``hold 
harmless reallocation process'' to do so. With this process, eligible 
CoCs can replace or reduce renewal projects with a new permanent 
housing project using the same funds. In the past, a CoC risked losing 
the funds that it had ``reallocated'' in this way if the CoC did not 
score above the full funding line. New this year, if a CoC reallocates 
a portion of its pro rata need to an eligible new permanent housing 
project, the project will be funded, as long as it is in a CoC 
receiving at least 65 points. HUD is making this change to make it 
easier for CoCs to choose to fund new permanent housing units. For more 
information on hold harmless status and the process for reallocating 
pro rata need, see section I.A.8.g of this NOFA (the glossary) or the 
Questions and Answers Supplement at www.hud.gov/offices/adm/grants/fundsavail.cfm.
    (3) Step 3--Samaritan Housing Initiative: Formerly referred to as 
the Permanent Housing Bonus, this special incentive to promote 
permanent supportive housing for the chronically homeless is provided 
to CoC systems that place an eligible, new permanent supportive housing 
project in the number one priority position on the priority list. If 
the number one priority project qualifies as an eligible, new permanent 
housing project exclusively serving the chronically homeless, then the 
full amount of that project's eligible housing activities, up to a 
maximum 15 percent of the CoC's preliminary pro rata need, will be 
added to the pro rata need amount for the Continuum. The only eligible 
activities that will be counted toward this bonus are housing 
activities and for SHP, case management, and administration. Applicants 
may use no more than 20 percent of this bonus for case management 
costs. Please note: any amount of the proposed project that exceeds the 
limitations described above will be applied against the pro rata need 
for the CoC. For the SHP program, housing activities are acquisition, 
new construction, rehabilitation, leasing of housing and operating 
costs when used in connection with housing. S+C and SRO rental 
assistance are defined as housing activities and are eligible under the 
incentive as well. HMIS costs will be excluded from this calculation.
    (4) Step 4--Final Pro Rata Need: The dollar amount determined after 
application of each of these steps, as applicable, is referred to as 
the ``final pro rata need amount.'' Please be advised that the final 
funding amount awarded to Shelter Plus Care or Section 8 SRO projects 
may be different from the requested amount due to changes in the FMRs. 
HUD will apply FMR changes after selection.
    (5) Step 5--Awarding need points to projects: Once HUD establishes 
the final pro rata need, HUD will apply it against

[[Page 11754]]

the priority project list in the application. Starting from the highest 
priority project, HUD will proceed down the list to award need points 
to each project. Any project not falling fully within the 40 point need 
range will receive 10 need points. Thereafter, HUD will proceed further 
down the priority project list and award 10 points for need to each 
project if it falls fully within the ``second level'' of pro rata need 
amount for that CoC. The ``second level'' is the amount between the pro 
rata need and twice the pro rata need for the CoC. Remaining projects 
each receive 5 points. If the projects for the Continuum are not 
prioritized, then all projects will receive 0 points for Need.

B. Reviews and Selection Process

    1. Review, Rating, and Ranking. HUD may employ rating panels to 
review and rate applications. See the General Section for more 
information on rating panels. Two types of reviews will be conducted--
threshold review and selection factor (CoC and Need) rating. Applicant 
and Sponsor Eligibility and Capacity as well as Project Eligibility and 
Project Quality are threshold reviews. Threshold reviews are explained 
in Section III.C.2 of this NOFA, which covers eligible applicants and 
projects. HUD will add the score for the CoC to the Need score to 
obtain a total score for each project. The projects will then be ranked 
nationally from highest to lowest according to the total combined 
score.
    2. Conditional Selection and Adjustments to Funding
    a. Conditional Selection. Whether a project is conditionally 
selected, as described in Section VI.A, will depend on its overall 
ranking compared to others, except that HUD reserves the right to 
select lower rated eligible projects in order to meet the 30 percent 
overall permanent housing requirement, as well as the 10 percent 
chronic homeless requirement. Projects that are included in the 10 
percent chronic homeless requirement may also be part of the 30 percent 
overall permanent housing requirement. (See Section V.B.3 below for 
additional selection considerations regarding these requirements.)
    When insufficient funds remain to fund all projects in the 
competition having the same total score, HUD will first fund permanent 
housing projects if necessary to achieve the 30 percent overall 
permanent housing requirement. HUD will then fund non-permanent 
housing, safe haven-TH and transitional housing projects that 
predominantly serve individuals experiencing chronic homelessness in 
order to achieve the 10 percent chronic homeless requirement. HUD will 
then break ties among the remaining projects with the same total score 
by comparing scores received by the projects for each of the following 
scoring factors, in the order shown: Need, Overall CoC score, CoC 
Organizational Structure, CoC Housing and Service Needs, CoC Strategic 
Planning, CoC Performance, Housing Emphasis and Performance. The final 
tie-breaking factor is the priority number of the competing projects on 
the applicable CoC priority list(s).
    HUD has determined that the Congressional goal of enhancing 
homeless data collection at the CoC level is best achieved by assisting 
CoCs seeking dedicated Homeless Management Information Systems (HMIS) 
to receive Supportive Housing Program funds. To this end, HUD reserves 
the right to fund for at least one year lower rated eligible dedicated 
HMIS projects receiving 40 need points and at least 25 Continuum 
points.
    b. Adjustments to Funding: HUD has determined that geographic 
diversity is an appropriate consideration in selecting homeless 
assistance projects in the competition. HUD believes that geographic 
diversity can be achieved best by awarding grants to as many CoCs as 
possible. To this end, in instances where any of the 50 States, the 
District of Columbia, the Commonwealth of Puerto Rico, Guam, the 
Northern Mariana Islands, the Virgin Islands, and American Samoa does 
not have at least one funded CoC, HUD reserves the right to fund 
eligible project(s) receiving 40 Need points in the CoC with the 
highest total score in that jurisdiction. To qualify for funding, the 
total score for these first-level projects on the CoC priority list 
must be at least 65 points. In the case of two or more CoCs with the 
same total score, HUD will use the tie-breaking rules described above. 
In addition, if the highest priority project passing threshold 
requirements within a CoC fails to meet the criteria for receiving 40 
Need points, HUD reserves the right to reduce the total requested 
amount for that project to allow it to qualify for 40 Need points. If 
you do not submit clear project priority designations for the Continuum 
or if HUD, at its sole discretion, cannot determine the CoC's priority 
designations, then HUD will give all such projects 0 Need points. If 
the CoC requests a new permanent housing project as the highest 
priority, and HUD determines that it is not a permanent housing 
project, HUD reserves the right to not award funds to that project 
rather than reclassify the component. The intent of this provision is 
to preserve PRN for lower ranking projects. Finally, if the total 
amount that would be awarded for first level projects in a CoC exceeds 
the final pro rata need amount for that CoC, the lowest priority first 
level project being selected for funding will be reduced to the amount 
that is wholly within the higher need level. HUD may otherwise adjust 
funding of applications in accordance with the provisions of the 
General Section.
    In addition, HUD reserves the right to ensure that a project that 
is applying for, and eligible for, selection under this competition is 
not awarded funds that duplicate activities. If the geography included 
in your CoC strategy substantially overlaps that of another 
application, projects within the CoC application that receive the 
highest CoC score will be eligible for up to 40 Need points. Projects 
in the competing CoC application with the lower CoC score will receive 
0 need points. In no case will the same geographical area be used more 
than one time in assigning Need points. The local HUD Field Office can 
help you determine if any of the areas proposed for inclusion by your 
CoC system is also likely to be claimed under another CoC system in 
this competition.
    3. Additional Selection Considerations. HUD also will apply the 
limitations on funding described below in making conditional 
selections.
    a. Thirty Percent Permanent Housing Requirement. In accordance with 
the appropriation for homeless assistance grants in the Fiscal Year 
2007 HUD Appropriations Act, HUD will use not less than 30 percent of 
the total FY 2007 Homeless Assistance Grants appropriation, excluding 
amounts provided for renewals under the S+C Program, to fund projects 
that meet the definition of permanent housing. Projects meeting the 
definition of permanent housing for this purpose are:
    (1) New and renewal projects under the SHP that are designated as 
either permanent housing for homeless persons with disabilities or Safe 
Haven projects designated as having the characteristics of permanent 
housing for homeless persons with disabilities, including having leases 
with all program participants. All such permanent housing projects 
chosen for this purpose must have received at least 10 Need points, and 
must be submitted as part of a CoC application receiving at least 25 
points under the CoC scoring factor. However, no CoC applicant may 
receive more than 30 percent of its pro rata need, up to $3 million, 
for ``second level'' permanent housing projects assigned 10 Need points 
that are selected for funding under this procedure. (See Section 
V.A.2.b(5) for

[[Page 11755]]

definition of ``second level.'') HUD will award no less than 30 percent 
of the total FY 2007 Homeless Assistance Grants appropriation, 
excluding amounts for S+C renewals, for permanent housing projects 
unless an insufficient number of approvable permanent housing projects 
are submitted. In order to meet this permanent housing funding 
requirement and stay within the total funding amount available, 
initially selected Supportive Service Only (SSO) and non-permanent 
housing projects will be deselected if necessary to add an adequate 
number of permanent housing projects, even if they are lower scoring 
housing projects. HUD will, if necessary, first proceed to de-select 
new SSO projects initially selected, starting with lowest scoring new 
projects and proceeding to higher scoring new SSO projects initially 
selected. If the funding line is still exceeded, HUD will proceed to 
de-select the lowest scoring new non-permanent housing projects 
initially selected and proceed to higher scoring new non-permanent 
housing projects. Finally, if the funding line is still exceeded HUD 
will proceed to de-select SSO and then other non-permanent housing 
renewal projects until all selected projects are within the funding 
line.
    (2) New S+C projects; and
    (3) SRO projects.
    b. Ten Percent Housing for Chronic Homeless Requirement: HUD has 
implemented a requirement that at least 10 percent of the appropriation 
must be awarded for projects predominantly serving individuals 
experiencing chronic homelessness. To be considered predominantly 
serving chronically homeless people, at least 70 percent of the persons 
served in this project must meet HUD's definition of chronic 
homelessness. Permanent housing, transitional and safe haven housing 
projects, whether new or renewal, that commit to predominantly serving 
persons experiencing chronic homelessness will be counted for this 
purpose. To meet this requirement, HUD will also include permanent 
housing projects selected for the 30 percent requirement that 
predominantly serve chronically homeless persons. S+C renewals will 
then be screened to count projects predominantly serving chronically 
homeless persons. If the 10 percent requirement is not yet met, 
permanent, transitional and safe haven housing projects below the 
funding line that predominantly serve chronically homeless persons will 
also be selected to achieve this requirement.
    c. Distribution of Selections: In accordance with section 429 of 
the McKinney-Vento Act, HUD will award Supportive Housing Program funds 
as follows: not less than 25 percent for projects that primarily serve 
homeless families with children; not less than 25 percent for projects 
that primarily serve homeless persons with disabilities; and not less 
than 10 percent for supportive services not provided in conjunction 
with supportive housing. After projects are rated and ranked, based on 
the factors described above, HUD will determine if the conditionally 
selected projects achieve these minimum percentages. If not, HUD will 
skip higher-ranked projects in order to achieve these minimum 
percentages.
    In accordance with section 463(a) of the McKinney-Vento Act, at 
least 10 percent of S+C funds will be awarded for each of the four 
components of the program: Tenant-based Rental Assistance; Sponsor-
based Rental Assistance; Project-based Rental Assistance; and Single 
Room Occupancy (provided there are sufficient numbers of approvable 
projects to achieve these percentages). After projects are rated and 
ranked, based on the factors described above, HUD will determine if the 
conditionally selected projects achieve these minimum percentages. If 
necessary, HUD will skip higher-ranked projects in order to achieve 
these minimum percentages.
    In accordance with section 455(b) of the McKinney-Vento Act, no 
more than 10 percent of the assistance made available for S+C in any 
fiscal year may be used for programs located within any one unit of 
general local government. In accordance with section 441(c) of the 
McKinney-Vento Act, no city or urban county may have SRO Section 8 
projects receiving a total of more than 10 percent of the assistance 
made available under this program. HUD is defining the 10 percent 
availability this fiscal year as $10 million for S+C and $10 million 
for Section 8 SRO. However, if the amount awarded under either of these 
two programs exceeds $100 million, then the amount awarded to any one 
unit of general local government (for purposes of the S+C Program) or 
city or urban county (for the purposes of the Section 8 SRO Program) 
cannot exceed 10 percent of the actual total amount awarded for that 
program.
    Lastly, HUD reserves the right to reduce the amount of a grant if 
necessary to ensure that no more than 10 percent of assistance made 
available under this NOFA will be awarded for projects located within 
any one unit of general local government or within the geographic area 
covered by any one Continuum of Care. If HUD exercises a right it has 
reserved under this NOFA, that right will be exercised uniformly across 
all applications received in response to this NOFA.
    4. Corrections to Deficient Applications. The General Section 
provides the procedures for corrections to deficient applications.

VI. Award Administration Information

A. Award Notices

    1. Action on Conditionally Selected Applications. HUD will notify 
conditionally selected applicants in writing. HUD may subsequently 
request them to submit additional project information, which may 
include documentation to show the project is financially feasible; 
documentation of firm commitments for cash match; documentation showing 
site control; information necessary for HUD to perform an environmental 
review; a copy of your Code of Conduct; and such other documentation as 
specified by HUD in writing to the applicant, that confirms or 
clarifies information provided in the application. HUD will notify SHP, 
SRO, S+C and S+C/SRO applicants of the deadline for submission of such 
information. If an applicant is unable to meet any conditions for fund 
award within the specified timeframe, HUD reserves the right not to 
award funds to the applicant and add them to funds available for the 
next competition for the applicable program.
    2. Applicant Debriefing: See the General Section for applicant 
debriefing procedures.
    3. Appeals Process: Applicants may appeal the results of HUD's 
review and selection process if they believe a HUD error has occurred. 
Appeals must be submitted in writing to the Assistant Secretary for 
Community Planning and Development and must state what HUD error the 
applicant believes has occurred.

B. Administrative and National Policy Requirements

1. Administrative and Other Program Requirements
    a. The Government Performance and Results Act (GPRA) require 
Federal agencies to measure the performance of their programs. HUD 
captures this information not only from monitoring visits and APRs, but 
also on the data gathered in annual competitions. For example, the 
description of methods used in determining the project priority order 
submitted in Exhibit 1, CoC-Q, Project Priorities Chart, provides 
verification that projects are performing satisfactorily and are 
effectively

[[Page 11756]]

addressing the needs for which they were designed. HUD's homeless 
assistance programs are measured in 2007 by the objective to ``end 
chronic homelessness and to move homeless families and individuals to 
permanent housing.'' This objective has a number of measurable 
indicators, five of which relate directly to the Continuum of Care 
homeless assistance programs. These five indicators are:
    (1) Create new permanent housing beds for chronically homeless 
persons. This information is collected in Exhibit 1, Chart V, CoC 
Chronic Homeless Progress Chart;
    (2) At least 395 functioning CoC communities will have a functional 
Homeless Management Information System (HMIS) by Fiscal Year 2007. This 
information is collected via Exhibit 1, Chart CoC-M, HMIS Charts;
    (3) The percentage of formerly homeless individuals who remain 
housed in HUD permanent housing projects for at least 6 months will be 
at least 71 percent. Stability in this permanent housing is addressed 
in Exhibit 1, Chart CoC-W, CoC Housing Project Performance Chart;
    (4) The percentage of homeless persons who have moved from HUD 
transitional housing into permanent housing will be at least 61.5 
percent. The success of transitional housing is addressed in Exhibit 1, 
Chart CoC-W, CoC Housing Project Performance Chart; and
    (5) The employment rate of persons exiting HUD homeless assistance 
projects will be at least 18 percent. Obtaining employment is addressed 
in Exhibit 1, Chart CoC-X, CoC Mainstream Programs and Employment 
Project Performance Chart.
    b. To achieve this objective and each of these measurable 
indicators, HUD needs your community's help. The emphasis in this 
year's competition on housing chronically homeless persons, using HUD 
funds for transitional and especially permanent housing, helping 
clients access mainstream service programs and jobs, and implementing 
HMIS are all aligned with this GPRA objective and its performance 
indicators.
    c. Executive Order 13202, ``Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects.'' Please see the 
General Section for further information.
    d. Procurement of Recovered Materials. Please see the General 
Section for further information.
    e. Please reference the General Section of the NOFA for other 
administrative requirements.
    2. Sanctions. Should HUD determine, in its sole discretion, that 
sufficient evidence exists to confirm that the entity responsible for 
convening and managing the CoC process in a community has failed to 
follow locally established or accepted procedures governing the conduct 
of that process or has failed to provide for a fair process, including 
a project priority selection process that gives equal consideration to 
projects proposed by nonprofit organizations, HUD reserves the 
authority to impose sanctions up to and including a prohibition on that 
entity and the individuals comprising that entity from participating in 
that capacity in the future. In making this determination, HUD will 
consider as evidence court proceedings and decisions, or the 
determinations of other independent and impartial review bodies. This 
authority cannot be exercised until after a description of procedural 
safeguards, including an opportunity for comment and appeal, and the 
specific process and procedures for imposing a prohibition or 
debarment, have been published in the Federal Register.

C. Reporting

    Once conditionally selected applications advance to full award and 
execution of a grant agreement, grantees are required to submit an APR 
and a completed Logic Model showing outputs and outcomes achieved for 
the year to both HUD Headquarters and the respective Field Office each 
year. Grantees must also respond to the management questions contained 
in the Logic Model. For FY 2006, HUD is considering a new concept for 
the Logic Model. The new concept is a Return on Investment (ROI) 
statement. HUD will be publishing a separate notice on the ROI concept.
    In addition, applicants must report race and ethnicity data for 
beneficiaries of HUD programs in conformity with form 27061 HUD Race 
and Ethnic Data Reporting Form. CoC applicants may report this data as 
part of their Annual Performance Report submission to HUD.
    Also, Grantees who expend $500,000 or more in a year in Federal 
awards are reminded they must have a single or program-specific audit 
for that year in accordance with the provisions of 24 CFR 45 and OMB 
Circular No. A-133.

VII. Agency Contacts

    A. For Further Information. You may contact the HUD Field Office 
serving your area, at the telephone number shown in the General 
Section, or you may contact the NOFA Information Center at 1-800-483-
8929. Individuals who are hearing- or speech-impaired should use the 
Information Relay Service at 1-800-877-8339 (these are toll-free 
numbers).
    B. For Technical Assistance. Before the application deadline, HUD 
staff will be available to provide you with general guidance. HUD 
staff, however, cannot provide you with guidance in actually preparing 
your application. HUD Field Office staff also will be available to help 
you identify organizations in your community that are involved in 
developing the CoC system. Following conditional selection of 
applications, HUD staff will be available to assist selected applicants 
in clarifying or confirming information that is a prerequisite to the 
offer of a grant agreement or Annual Contributions Contract by HUD. 
However, between the application deadline and the announcement of 
conditional selections, HUD will accept no information that would 
improve the substantive quality of your application pertinent to HUD's 
funding decision.
    C. Satellite Broadcast. HUD will hold one or more information 
broadcasts via satellite for potential applicants to learn more about 
the program and preparation of the application. Viewing of these 
broadcasts, which will provide critical information on the application 
process, is highly recommended. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.

VIII. Other Information

A. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been submitted for approval by the Office of Management and Budget 
(OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) 
and the OMB approval number is 2506-0112. In accordance with the 
Paperwork Reduction Act, HUD may not conduct or sponsor, and a person 
is not required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 200 hours per annum per respondent for the application and 
grant administration. This includes the time for collecting, reviewing, 
and reporting the data for the application, semi-annual reports and 
final report. The information will be used for grantee selection and 
monitoring the

[[Page 11757]]

administration of funds. Response to this request for information is 
required in order to receive the benefits to be derived.
    B. Attachments. This final section lists the attachments that are 
critical to the application process. Please see Section IV.B.1.b of 
this NOFA for a complete description of the forms and certifications 
required and the order of assembly. In addition to applicant and 
sponsor documentation of eligibility, please provide:
    1. Forms to complete for Exhibit 1, Continuum of Care.
    Form HUD-40090-1. Exhibit 1, Continuum of Care Application. All of 
the following charts comprise this form:
A: CoC Lead Organization Chart
B: CoC Geography Chart
C: CoC Groups and Meetings Chart
D: CoC Planning Process Organizations Chart
E: CoC Governing Structure Chart
F: CoC Project Review and Selection Chart
G: Written Complaints Chart
H: CoC Services Inventory
I: Housing Inventory Charts
J: Housing Inventory Data Sources and Methods Chart
K: CoC Point-in-Time Homeless Population and Subpopulations Chart
L: CoC Homeless Population and Subpopulations Data Sources and Methods 
Chart
M: CoC HMIS Charts
N: CoC 10-Year Plan, Objectives, and Action Steps Chart
O: CoC Discharge Planning Policy Chart
P: CoC Coordination Chart
Q: CoC Project Priorities Chart
R: CoC Pro Rata Need (PRN) Reallocation Chart
S: CoC Project Leveraging Chart
T: CoC Current Funding and Renewal Projections Chart
U: CoC Achievements Chart
V: CoC Chronic Homeless (CH) Progress Chart

W: CoC Housing Performance Chart
X: Mainstream Programs and Employment Project Performance Chart
Y: Enrollment and Participation in Mainstream Programs Chart
Z: Unexecuted Grants Awarded Prior to the 2005 CoC Competition Chart
AA: CoC Participation in Energy Star Chart
AB: Section 3 Employment Policy Chart
    Form HUD-27300 Questionnaire for HUD's Removal of Regulatory 
Barriers
    Form HUD-2993 Acknowledgment of Application Receipt
    Form HUD-2994-A You Are Our Client! Grant Application Survey
2. Forms to complete for each applicant. These include:
    Form SF-424 Application for Federal Assistance
    Form HUD-40090-4 Applicant Certifications
    Form HUD-2880 Applicant/Recipient Disclosure/Update Report
    Form SF-424 Supplement Survey on Ensuring Equal Opportunities for 
Applicants
3. Forms to complete for each project (Exhibit 2). These include:
    Form HUD-40090-2 Exhibit 2, Continuum of Care Project Application
    Form HUD-96010
    Logic Model
    Form HUD-2991
    Certification of Consistency with the Consolidated Plan

    Note: This year, the Questions and Answers Supplement can be 
accessed at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.


[[Page 11758]]


[GRAPHIC] [TIFF OMITTED] TN13MR07.028


[[Page 11759]]



The Early Doctoral Student Research Grant Program and Doctoral 
Dissertation Research Grant Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Policy Development and Research, Office of 
University Partnerships.
    B. Funding Opportunity Title: The Early Doctoral Student Research 
Grant (EDSRG) Program and the Doctoral Dissertation Research Grant 
(DDRG) Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR-5100-N-27; OMB Approval Numbers 
are:
    1. Early Doctoral Student Research Grant Program is 2528-0216.
    2. Doctoral Dissertation Research Grant Program is 2528-0213.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): The 
CFDA Numbers for the programs in this NOFA are as follows:
    1. Early Doctoral Student Research Grant Program is 14.517
    2. Doctoral Dissertation Research Grant Program is 14.516
    F. Dates: The application deadline date is May 2, 2007. 
Applications must be received and validated by Grants.gov by the 
deadline date. Please be sure to read the General Section for 
electronic submission and receipt requirements.

G. Optional, Additional Overview Content Information

1. Purpose of the University Partnership Dissertation Programs
    a. Early Doctoral Student Research Grant (EDSRG) Program. To enable 
doctoral students enrolled at institutions of higher education 
accredited by a national or regional accrediting agency recognized by 
the U.S. Department of Education to cultivate their research skills 
through the preparation of research manuscripts that focus on policy-
relevant housing and urban development issues.
    b. Doctoral Dissertation Research Grant (DDRG) Program. To enable 
doctoral candidates enrolled at institutions of higher education 
accredited by a national or regional accrediting agency recognized by 
the U.S. Department of Education to complete their research and 
dissertations on policy-relevant housing and urban development issues.
    2. Award Information. In Fiscal Year (FY) 2007, approximately 
$405,000 has been made available for the following Office of University 
Partnerships (OUP) dissertation programs.
    a. Early Doctoral Student Research Grant Program. Approximately 
$105,000 is available for funding. The maximum grant performance period 
is 12 months. The maximum amount that can be requested by a doctoral 
student is $15,000.
    b. Doctoral Dissertation Research Grant Program. Approximately 
$300,000 is available for funding. The maximum grant performance period 
is 24 months. The maximum amount that can be requested by a doctoral 
student is $25,000.
    If funding remains after all eligible EDSRG doctoral students have 
been selected for award, the remaining funds will be made available to 
fund eligible DDRG doctoral students. If funding remains after all 
eligible DDRG doctoral students have been selected for award, the 
remaining funds will be made available to fund eligible EDSRG doctoral 
students.
    3. Eligible Applicants. Eligible applicants are institutions of 
higher education accredited by a national or regional accrediting 
agency recognized by the U.S. Department of Education that sponsor 
doctoral students who meet the following program requirements:
    a. Early Doctoral Student Research Grant Program. Doctoral students 
sponsored for funding under this program must meet the following 
requirements:
    (1) Be a U.S. citizen or lawful permanent resident (recipient of an 
Alien Registration Recipient Card-Form I-551, commonly referred to as a 
Green Card) currently enrolled as a full-time student in an accredited 
doctoral program;
    (2) Have a major or concentration within a field related to housing 
and urban development;
    (3) Have not taken the preliminary/comprehensive examinations;
    (4) Completed at least two semesters or three terms of a doctoral 
studies program (depending on the course structure of the institution); 
and
    (5) Have an assigned faculty advisor to supervise the research 
manuscript.
    b. Doctoral Dissertation Research Grant Program. Doctoral students 
sponsored for funding under this program must meet the following 
requirements:
    (1) Be a U.S. citizen or lawful permanent resident (recipient of an 
Alien Registration Recipient Card-Form I-551, commonly referred to as a 
Green Card) currently enrolled an accredited doctoral program;
    (2) Have an approved dissertation proposal;
    (3) By the application deadline date, the student's dissertation 
proposal will be accepted by the full dissertation committee;
    (4) The student will have an assigned dissertation advisor; and
    (5) By September 1, 2007, the student will have satisfactorily 
completed all other written and oral doctoral degree requirements, 
including all examinations and defense of the proposal, except the 
dissertation.

Full Text Of Announcement

I. Funding Opportunity Description

A. Early Doctoral Student Research Grant (EDSRG) Program

    The purpose of the EDSRG program is to enable doctoral students 
enrolled at an institution of higher education accredited by a national 
or regional accrediting agency recognized by the U.S. Department of 
Education to cultivate their research skills through the preparation of 
research manuscripts that focus on policy-relevant housing and urban 
development issues. The FY2007 EDSRG program seeks to fund research 
studies that may impact federal problem solving and policymaking and 
that are relevant to HUD's policy priorities and annual goals and 
objectives. (See the General Section for discussion of these priorities 
and annual goals and objectives.)

B. Doctoral Dissertation Research Grant (DDRG) Program

    The purpose of the DDRG program is to enable doctoral candidates 
enrolled at institutions of higher education accredited by a national 
or regional accrediting agency recognized by the U.S. Department of 
Education to complete their research and dissertations on policy-
relevant housing and urban development issues. The FY2007 DDRG program 
seeks to fund research studies that may impact federal problem solving 
and policymaking and that are relevant to HUD's policy priorities and 
annual goals and objectives. (See the General Section for discussion of 
these priorities and annual goals and objectives.)

C. Topics

    Examples of topics addressing these issues (applicable to both the 
EDSRG and DDRG programs) include but are not limited to:
1. Increase Homeownership Opportunities
    a. Increase Minority Homeownership.
    b. Simplify the Home Buying Process (RESPA reform) and Reduce 
Settlement Costs.
    c. Set Appropriate Housing Goals for the GSEs.

[[Page 11760]]

    d. Counter Predatory Lending.
    e. Help Low-Income Homeowners Avoid Default and Foreclosure.
    f. Evaluate Housing Counseling.
2. Promote Decent Affordable Housing
    a. Reduce Regulatory Barriers to the Development of Affordable 
Housing, as well as All Forms of Multifamily Housing.
    b. Develop Creative Strategies for Expanding the Availability of 
Affordable Housing.
    c. Strengthen the Delivery of HUD-Funded Rental Assistance and 
Assistance Provided Through the Low-Income Housing Tax Credit.
    d. Promote Self-Sufficiency Among Residents of Public and Assisted 
Housing.
    e. Meet the Housing-Related Needs of the Elderly.
    f. Meet the Housing-Related Needs of Persons with Disabilities.
    g. Improve Housing Quality and Affordability through Technology and 
Design.
3. Strengthen Communities
    a. End Chronic Homelessness.
    b. Prevent Homelessness.
    c. Strengthen Cities.
    d. Meet the Housing and Community and Economic Development Needs of 
Residents of High-Needs Areas, including areas affected by Hurricane 
Katrina, Appalachia, the Mississippi Delta, and Indian Country.
4. Ensure Equal Opportunity in Housing
    a. Reduce Housing Discrimination.
    b. Improve Housing Accessibility for Persons with Disabilities.
5. Embrace High Standards of Ethics, Management, And Accountability
    a. Reduce Fraud, Waste, and Abuse in HUD-Funded Programs.
    b. Improve the Effectiveness of HUD Programs Through Program 
Evaluations and Performance Measurement.
6. Promote Participation of Faith-Based and Community Organizations
    a. Strengthen the Capacity of Faith-Based and Community 
Organizations.

D. Authority

    HUD's authority for making funding available under this NOFA is the 
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; 
approved February 15, 2007). These programs are undertaken under HUD's 
research authority under Title V of the Housing and Urban Development 
Act of 1970. They are being implemented through this NOFA and the 
policies governing their operation are contained herein.

E. Modifications

    Listed below are major modifications from the Fiscal Year (FY) 2005 
program-funding announcement:
    1. A support letter from the doctoral student's assigned faculty 
advisor is no longer required.
    2. A support letter from the doctoral student's institution is no 
longer required to be submitted with the application, but must be on 
file at the time of application submission. This is a threshold 
requirement. HUD will require students chosen to proceed to the next 
step in the selection process to submit the support letter from the 
institution seven (7) calendar days after initial contact from the OUP. 
OUP will provide specific instructions on how the letter must be 
submitted at that time. OUP must receive the support letter within the 
allotted timeframe or the application will not be funded.
    3. All applicants submitting electronic applications must attach 
their narrative response to Rating Factors 1-4 as one attachment.
    4. The appendix section of an application must not exceed five (5) 
pages in length (excluding forms, budget narrative, and assurances). An 
applicant SHOULD NOT submit resumes, commitment letters, memoranda of 
understanding and/or agreements, or other back-up material. Each page 
must include the applicant's name and be numbered. HUD will not 
consider the information on any excess page.

II. Award Information

    In Fiscal Year (FY) 2007, approximately $405,000 has been made 
available for the Office of University Partnerships (OUP) dissertation 
programs as follows:
    A. Early Doctoral Student Research Grant Program. Approximately 
$105,000 will be made available for funding under this program. The 
maximum grant performance period is 12 months. The maximum amount that 
can be requested by a doctoral student is $15,000.
    B. Doctoral Dissertation Research Grant Program. Approximately 
$300,000 will be made available for funding under this program. The 
maximum grant performance period is 24 months. The maximum amount that 
can be requested by a doctoral student is $25,000. If funding remains 
after all eligible EDSRG doctoral students have been selected for 
award, the remaining funds will be made available to fund eligible DDRG 
doctoral students. If funding remains after all eligible DDRG doctoral 
students have been selected for award, the remaining funds will be made 
available to fund eligible EDSRG doctoral students.

III. Eligibility Information

    A. Eligible Applicants. Eligible applicants are institutions of 
higher education accredited by a national or regional accrediting 
agency recognized by the U.S. Department of Education that sponsor 
doctoral students who meet the following program requirements:
    1. Early Doctoral Student Research Grant Program. Doctoral students 
applying for funding under this program must meet the following 
requirements:
    a. Be a U.S. citizen or lawful permanent resident (recipient of an 
Alien Registration Recipient Card--Form I-551, commonly referred to as 
a Green Card) currently enrolled as a full-time student in an 
accredited doctoral program;
    b. Have not taken the preliminary/comprehensive examinations;
    c. Have completed at least two semesters or three terms of a 
doctoral studies program (depending on the course structure of the 
institution);
    d. Have an assigned faculty advisor to supervise the research 
manuscript.
    2. Doctoral Dissertation Research Grant Program. Doctoral students 
applying for funding under this program must meet the following 
requirements:
    a. Be a U.S. citizen or lawful permanent resident (recipient of an 
Alien Registration Recipient Card--Form I-551, commonly referred to as 
a Green Card) currently enrolled in an accredited doctoral program;
    b. Have an approved dissertation proposal;
    c. By the application deadline date, the student's dissertation 
proposal has been accepted by the full dissertation committee and the 
student has been assigned a dissertation advisor; and
    d. By September 1, 2007, the student will have satisfactorily 
completed all other written and oral doctoral degree requirements, 
including all examinations and defense of the proposal, except the 
dissertation.

B. Cost Sharing or Matching

    None Required

C. Other

    1. Eligible Activities. Grant funds awarded under this NOFA must be 
used to support direct costs incurred in the timely completion of the 
research product. Eligible costs include stipends, computer software, 
purchase of data, travel expenses to collect data, transcription 
services, and compensation for interviews.
    2. Threshold Requirements Applicable to All Applicants. All

[[Page 11761]]

applicants and doctoral students must comply with the threshold 
requirements as defined in the General Section and the requirements 
listed below. Applications that do not meet these requirements will be 
considered ineligible for funding and will be disqualified.
    a. The doctoral student must meet the eligibility requirement for 
the program for which they are requesting funding as defined in Section 
III.A;
    b. University sponsorship. The university shall enter into a Grant 
Agreement with HUD that provides for payment of the grant by HUD to the 
university and from the university to the approved doctoral student, 
and that further provides all required certifications and assurances. 
The University shall agree to provide, as the Principal Investigator 
under the Grant Agreement, a faculty advisor or chairperson of the 
doctoral student's dissertation committee who shall supervise the 
student's work under the Grant Agreement;
    c. The student's institution must provide a letter agreeing to 
support the student. The letter must outline the specific type of 
support the institution will provide as part of this grant. This 
support may not replace support or assistance the institution would 
otherwise provide to students. A support letter from the doctoral 
student's institution is no longer required at the time of application 
submission, but must be on file at the time of application submission. 
Students chosen to proceed to the next step in the selection process 
will be required to submit the support letter from the institution 
seven (7) calendar days after initial contact from the OUP office. OUP 
will provide specific instructions on how the letter must be submitted 
at that time. If OUP does not receive the support letter within the 
allotted timeframe, the application will not be funded and the funding 
will be made available to the next eligible applicant.
    d. The applicant has requested no more funding than the grant 
maximum allocated for the program for which they are requesting funding 
as outlined in Section II;
    e. Only one application package can be submitted per doctoral 
student. Students who have received funding in the past are not 
eligible to receive funding under the same program;
    f. Applications must receive a minimum score of 75 points to be 
considered for funding;
    g. The University (the official applicant on behalf of the student) 
must have a DUNS number to receive HUD grant funds (See the General); 
and
    h. Electronic applications must be received and validated by 
Grants.gov no later than 11:59:59 p.m. eastern time on the application 
dateline date.

IV. Application and Submission Information

A. Addresses to Request Application Package

    Applicants may download the instructions to the application found 
on the Grants.gov Web site at http://www.grants.gov/applicants/apply--
for--grants.jsp. If you have difficulty accessing the information you 
may call the Grants.gov Support Desk toll free 800-518-GRANTS or e-mail 
your questions to Grants.gov">Support@Grants.gov. Applicants must be registered to 
submit an application via Grants.gov. See the General Section for 
information regarding the registration process or ask for registration 
information from the Grants.gov Support Desk.

B. Content and Form of Application Submission

    1. Forms. The following forms are required for submission, except 
where otherwise noted.
    a. SF-424, Application for Federal Assistance;
    b. SF-424 Supplement, Survey on Ensuring Equal Opportunities for 
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
    c. HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed 
Budget Form'' on Grants.gov);
    d. SF-LLL, Disclosure of Lobbying Activities;
    e. HUD-27300, Questionnaire for HUD's Removal of Regulatory 
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if 
applicable;
    f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov);
    g. HUD-96010, Program Outcome Logic Model;
    h. HUD-2994-A, You Are Our Client! Grant Applicant Survey 
(Optional)
    i. HUD-2993, Acknowledgement of Applicant Receipt. Complete this 
form only if you have received a waiver to the electronic application 
submission requirement. Applicants submitting electronically are not 
required to include this form; and
    j. HUD-96011, Third Party Documentation Facsimile Transmittal 
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used 
as the cover page to transmit third party documents and other 
information. Applicants are advised to download the application 
package, complete the SF-424 first and it will pre-populate the 
Transmittal Cover page. The Transmittal Cover page will contain a 
unique identifier embedded in the page that will help HUD associate 
your faxed materials to your application. Please download the cover 
page and then make multiple copies to provide to any of the entities 
responsible for submitting faxed materials to HUD on your behalf. 
Please do not use your own fax cover sheet. HUD will not read any faxes 
that are sent without the HUD-96011 fax transmittal cover page.
    2. Certifications and Assurances. Please read the General Section 
for detailed information on all Certifications and Assurances. All 
applications submitted through Grants.gov constitute an acknowledgement 
and agreement to all required certifications and assurances.
    Please include in your application each item listed below. 
Applicants submitting paper copy applications should submit the 
applications in the following order:
    a. SF-424, Application for Federal Assistance. Please remember the 
following:
    (1) The name of the applicant for these programs is the University. 
Please make sure that the University's address is listed on this form 
(not the student's information);
    (2) Include the name, title, address, telephone number, facsimile 
number, and e-mail address of the designated contact person. This is 
the University contact that will receive all information pertinent to 
this grant including notification for the support letter from the 
University if required; therefore please ensure the accuracy of the 
information;
    (3) The total grant amount requested for the total performance 
period of the grant;
    (4) The University's Employer Identification/Tax ID;
    (5) The DUNS Number;
    (6) The Catalog of Federal Domestic Assistance Number for the 
program from which you are requesting funding;
    (a) Early Doctoral Student Research Grant Program is 14.517
    (b) Doctoral Dissertation Research Grant Program is 14.516.
    (7) The signature of the Authorized Organization Representative 
(AOR) who by virtue of submitting an application via Grants.gov has 
been authenticated by the credential provider to submit applications on 
behalf of the Institution and approved by the eBusiness Point of 
Contact to submit an application via Grants.gov. The AOR must be able 
to

[[Page 11762]]

make a legally binding agreement with HUD. See the General Section for 
further information.
    b. Table of Contents.
    c. Application Checklist. Doctoral students should use the 
checklist to ensure that they have all the required components of the 
application. Students submitting an electronic application do not have 
to submit the checklist. Students who receive a waiver of the 
electronic application submission requirement must include a copy of 
the checklist in their application. The checklist can be located in 
Appendix A.
    d. Executive Summary (700 words or less). The Executive Summary 
should, at a minimum, include a summary of the proposed research 
project that addresses the following information:
    (1) Specific purpose of the manuscript/dissertation;
    (2) Methodology being used; and
    (3) How the student meets the eligibility criteria for the program 
from which she/he is requesting funding.
    In addition, include the following information:
    (1) Student's address, telephone number, facsimile number, and e-
mail address at the university; and
    (2) The faculty advisor's name, title, department, address, 
telephone number, facsimile number, and e-mail address. This person 
will serve as the Principal Investigator for this grant.
    e. Narrative statement addressing the Rating Factors. HUD will use 
the narrative response to the ``Rating Factors'' to evaluate, rate, and 
rank applications. The narrative statement is the main source of 
information. Therefore, it is very important that the student becomes 
fully familiar with the rating factors for the program from which he/
she is requesting funding. The narrative should be numbered in 
accordance with each factor and subfactor. Please do not repeat 
material in response to the four factors; instead, focus on how well 
the proposal responds to each of the factors. Make sure to address each 
factor and subfactor and provide sufficient information about every 
element. The application narrative, bibliographies, and any supporting 
references must not exceed 15 pages in length (excluding forms, 
assurances, budget narrative, Table of Contents, and Executive Summary) 
and must be submitted on 8\1/2\ by 11-inch paper, double-spaced on one 
side of the paper, with one inch margins (from the top, bottom, left, 
and right side of the document) and printed in standard Times New Roman 
12-point font. Each page must be numbered and the name of the student 
and university must be on each page. The double-spacing requirement 
applies to the narrative section of the application (excluding 
references, and bibliographies ). Note that although submitting pages 
in excess of the page limit will not disqualify the application, HUD 
will not consider the information on any excess page. This exclusion 
may result in a lower score or failure to meet a threshold requirement. 
All applicants submitting electronic applications must attach their 
narrative response to Rating Factors 1-4 as one attachment. Please do 
not attach your response to each factor separately. Please follow the 
instructions on file extension and file names in the General Section.
    f. University Support Letter. This letter must provide a statement 
from the appropriate official at the university that describes in 
detail the type of support the University will be providing. Please 
remember that this support may not replace support or assistance that 
the institution would otherwise provide the student. Doctoral students 
are not required to submit this letter with their application but it 
must be on file at the time of application submission. Students chosen 
to proceed to the next step in the selection process will be required 
to submit the support letter from the institution seven calendar days 
after initial contact from the OUP. OUP will provide specific 
instructions on how the letter must be submitted at that time. If OUP 
does not receive the support letter within the allotted timeframe, the 
application will not be funded and the funding will be made available 
to the next eligible applicant.
    g. Budget. The budget submission must include the following:
    (1) HUD-424-CB, ``Grant Application Detailed Budget.'' This budget 
form shows the total budget by year and by line item for the program 
activities to be carried out with the proposed HUD grant. Each year of 
the program should be presented separately. Make sure that the amount 
shown on the SF-424, the HUD-424-CB and on all other required program 
forms is consistent and the budget totals are correct. Remember to 
check addition in totaling the categories on the Form HUD-424-CB so 
that all items are included in the total. The budget form must be fully 
completed. If there is any inconsistency between any required forms, 
the HUD-424-CB will be used. If this correction puts an application 
over the grant maximum, the doctoral student will not be able to 
correct the amount requested and the application will be disqualified. 
If an application is selected for award, the applicant may be required 
to provide greater specificity to the budget during grant agreement 
negotiations.
    (2) Budget Narrative. A narrative must be submitted that explains 
how the doctoral student arrived at the cost estimates. The proposed 
cost estimates should be reasonable for the work to be performed and 
consistent with rates established for the level of expertise required 
to perform the work proposed.
    h. Appendix. Doctoral students receiving a waiver of the electronic 
submission requirements and submitting a paper copy of the application 
must place all required forms in this section. The appendix section of 
an application must not exceed five (5) pages in length (excluding 
forms, budget narrative and assurances). Each page must include the 
applicant's name and be numbered. An applicant SHOULD NOT submit 
support letters, resumes, or other back-up materials. If this 
information is included, it will not be considered during the review 
process. The additional items will also slow the transmission of your 
application.

C. Submission Dates and Times

    A complete application package must be received and validated 
electronically by the Grants.gov portal no later than 11:59:59 p.m. 
eastern time on or before the application deadline date. In an effort 
to address any issues with transmission of your application, applicants 
are strongly encouraged to submit their applications at least 48 to 72 
hours prior to the application deadline. This will allow an applicant 
enough time to make the necessary adjustments to meet the deadline in 
the event Grants.gov rejects the application. Please see the General 
Section for further instructions. Electronic faxes using the Facsimile 
Transmittal Cover Sheet (Form HUD-96011) contained in the electronic 
application must be received no later than 11:59:59 p.m. eastern time 
on the application deadline date.

D. Intergovernmental Review

    These programs are excluded from an Intergovernmental Review.

E. Funding Restrictions

    1. Funding may only be provided to doctoral students who meet the 
standards for eligible applicants outlined in Section III. A. under the 
program for which they are requesting funding.
    2. Grant funds awarded for programs under this NOFA may not be used 
to pay for tuition, computer hardware, or meals.
    3. Early Doctoral Student Research Grant (EDSRG) Program. Three 
thousand dollars of the grant funds will

[[Page 11763]]

be held until the doctoral student's research manuscript has been 
completed and accepted for presentation at a conference or publication 
in a refereed journal by the end of the grant period, or a committee of 
three faculty members (including the faculty sponsor, as the principal 
investigator of the grant) has determined and certified to HUD that the 
manuscript is of high quality and worthy of submission to conferences 
or journals, and two copies of the research product are submitted to 
HUD in its final version.
    4. Doctoral Dissertation Research Grant (DDRG) Program. Six 
thousand dollars of the grant funds will be held until the doctoral 
student's dissertation has been completed, approved by the committee, 
and two final copies are submitted to HUD in its final version.
    5. Institutions that have had previously awarded grants under these 
programs terminated for non-performance and have outstanding funds owed 
to HUD resulting from the termination, will be excluded from 
competition until the outstanding funds are repaid. (Applicants must 
comply with the Delinquent Federal Debt Requirement as defined in the 
General Section).

F. Other Submission Requirements

    1. Application Submission and Receipt Procedure. Please read the 
General Section carefully and completely for the electronic submission 
and receipt procedures for all applications because failure to comply 
may disqualify a doctoral student's application.
    2. Waiver of Electronic Submission Requirements. Applicants should 
submit their waiver requests in writing using e-mail or fax. Waiver 
requests must be submitted no later than 15 days prior to the 
application deadline date and should be submitted to: Susan Brunson, 
Office of University Partnerships, Email: [email protected], 
FAX: (202) 708-0309.
    Paper applications will not be accepted from applicants that have 
not been granted a waiver. If an applicant is granted a waiver, the 
Office of University Partnerships will provide instructions for 
submission. All applicants submitting applications in paper format must 
have received a waiver to the electronic application submission 
requirement and the application must be received by HUD on or before 
the application deadline date.

V. Application Review Information

A. Criteria

    1. Rating Factor 1. Capacity to do the Research (25 Points). In 
reviewing this factor, HUD will determine the extent to which the 
doctoral student clearly addresses the following:
    a. Describe the skills and expertise you possess to conduct 
research. Research skills and expertise will be judged in terms of how 
recent they are. Research skills and expertise developed within the 
last two (2) years will be considered recent.
    b. Describe the knowledge and experience you posses to undertake 
the proposed research hypotheses. Knowledge and experience will be 
judged in terms of how relevant it is to the research proposed (e.g., 
course work, teaching, research projects, and presentations). Knowledge 
and experience developed within the last five (5) years in the area of 
the proposed research will be considered relevant.
    c. Provide a detailed list that outlines the preliminary steps that 
were taken (e.g., literature review, research hypotheses, questions to 
be answered) to identify the proposed manuscript/dissertation topic/
hypotheses.
    2. Rating Factor 2. Need for the Research (15 Points). This factor 
addresses the extent to which there is a need for funding the proposed 
research. HUD encourages doctoral students to undertake research that 
will assist the Department in implementing its policy priorities and 
which help the Department achieve its goals and objectives in FY 2007. 
In reviewing this factor, HUD will determine the extent to which the 
doctoral student clearly addresses the following:
    a. Describe the need for funding your proposed research manuscript/
dissertation.
    b. Express the impact your proposed research manuscript/
dissertation may have in producing information that will be generally 
accepted in the relevant research community.
    c. Explain the direct relationship between your proposed 
manuscript/dissertation and at least one of HUD's annual goals and 
objectives (i.e., the research that will be produced could have an 
effect on HUD's strategic goals and programs and policies to achieve 
these goals). For a full list and explanation of the annual goal and 
objectives, please refer to the General Section.
    3. Rating Factor 3. Soundness of Approach (50 Points). This factor 
addresses the quality and effectiveness of the proposed research and 
methodology and the actions regarding HUD's policy priorities. This 
factor will be evaluated based on the extent to which the proposed work 
plan will demonstrate the following:
    a. (25 Points) Quality of Research.
    (1) Describe in detail the proposed research design and methodology 
that will be used to complete the proposed manuscript/dissertation. 
(2). Describe how the research design and methodology proposed will 
produce data and information that will successfully answer the research 
hypothesis.
    b. (20 Points) Specific Activities. The work plan must identify all 
the major tasks involved in completing the proposed research;
    (1) Indicate the sequence in which these tasks will be performed;
    (2) The sequence and duration of this effort should be presented in 
quarterly (3 month) intervals for the entire life of the grant (use of 
a milestone chart to present this information is recommended); and
    (3) Identify any key individuals assisting in the proposed 
activities. Efforts on the part of the doctoral student who proposes 
extremely complex and time-consuming data collection efforts (e.g., 
major longitudinal studies or a very large number of site visits within 
the grant period) will be determined less feasible for completion 
within the allotted grant performance period. For example, if the 
proposed methodology is based on information that may not be publicly 
available until after the end of the grant period (e.g., Census 
information), or a data collection plan that will take longer than the 
allotted grant performance period, zero points will be awarded for this 
factor.
    c. (2 Points) HUD Policy Priorities. As described in the General 
Section, to earn points under this subfactor, HUD requires applicants 
to undertake specific activities that will assist the Department in 
implementing its policy priorities and that help the Department achieve 
its goals and objectives in FY2008, when the majority of grant 
recipients will be reporting programmatic results and achievement. In 
addressing this subfactor, HUD will evaluate the extent to which a 
program will further and support HUD priorities. The quality of the 
responses provided to one or more of HUD's priorities will determine 
the score an applicant can receive. Applicants must describe how each 
policy priority is addressed. Applicants that just list a priority will 
receive no points.
    The total number of points an applicant can receive under this 
subfactor is two (2). Each policy priority

[[Page 11764]]

addressed has a point value of one (1) point, with the exception of the 
policy priority related to removal of regulatory barriers to affordable 
housing, which has a value of up to two (2) points. To receive these 
two (2) points, an applicant must: (1) Complete either Part A or Part B 
(not both), (2) include appropriate documentation, (3) identify a point 
of contact, (4) indicate how this priority will be addressed and (5) 
submit the completed questionnaire, (HUD-27300) ``HUD's Initiative on 
Removal of Regulatory Barriers `` found in the General Section along 
with required documentation. It is up to the applicant to determine 
which of the policy priorities they elect to address to receive the 
available two (2) points.
    d. (3 Points) Dissemination Strategies. In reviewing this 
subfactor, HUD will assess the doctoral student's ability to 
disseminate results of the research. Describe your plan to disseminate 
the research.
    4. Rating Factor 4. Achieving Results and Program Evaluation (10 
Points) This factor reflects HUD's goal to embrace high standards of 
management and accountability. It measures the student's commitment to 
assess their performance to complete their proposed research within the 
grant performance period. Students are required to develop an 
effective, quantifiable, outcome oriented evaluation plan for measuring 
performance and determining the outputs to achieve their proposed 
outcome(s). The Logic Model is a summary of the narrative statements 
presented in Factors 1-3. Therefore, the information submitted on the 
logic model should be consistent with the information contained in the 
narrative statements.
    ``Outcomes'' are ultimate goals. A student must clearly identify 
the outcomes to be measured and achieved. Examples of outcomes are the 
completion of the research manuscript/dissertation, the cultivation of 
research skills to the student, the plan to disseminate the research, 
and the benefits of the research study to HUD's policy priorities and 
annual goals and objectives.
    In addition, a student must establish interim benchmarks and 
outputs that lead to the ultimate achievement of the outcomes. 
``Outputs'' are the direct benchmarks and indicators that will allow a 
student to measure their performance. Performance indicators should be 
objectively quantifiable and measure actual achievements. At a minimum, 
an applicant must address the following activities in the evaluation 
plan:
    (1) Identify benchmarks that will be used to track the progress of 
your study;
    (2) Indicate the sequence in which tasks will be performed; and
    (3) Identify potential obstacles in meeting the objectives, and 
discuss how the obstacles will be handled;
    This information must be included under this section on a HUD-
96010, Program Logic Model form. HUD has developed a new approach to 
completing this form. Please carefully read the General Section for 
instructions, training is available. (Form HUD-96010 will be excluded 
from the page count.) If an applicant utilizes ``other'' from the Logic 
Model categories, then the applicant should describe briefly this 
``other'' category within the Rating Factor 4 narrative. If a narrative 
is provided, those pages will be included in the page count.

B. Review and Selection Process

    1. Application Selection Process. Two types of reviews will be 
conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Rating Factors'' 
listed in Section V.A above. Only those applications that pass the 
threshold review will receive a technical review and be rated and 
ranked.
    2. Rating Panels. To review and rate applications, HUD may 
establish panels which may include experts or consultants not currently 
employed by HUD. These individuals may be included to obtain certain 
expertise.
    3. Ranking. In order to be funded, an application must receive a 
minimum score of 75 points out of a possible 100 for Factors 1 through 
4. The RC/EZ/EC-II communities two bonus points described in the 
General Section do not apply to this NOFA. HUD will fund applications 
under each program in rank order, until all available program funds are 
awarded. If two or more applications have the same number of points, 
the application with the higher points for Factor 3, shall be selected. 
If there is still a tie, the application with the higher points for 
Factor 2, shall be selected. HUD reserves the right to reduce the 
amount of funding requested in order to fund as many highly ranked 
applications as possible. Additionally, if funds remain after funding 
the highest ranked applications, HUD may fund part of the next highest-
ranking application. If an applicant turns down the award offer, HUD 
will make the same determination for the next highest-ranking 
application.
    4. Correction to Deficient Applications. See the General Section.

C. Anticipated Announcement and Award Dates

    Announcements of awards are anticipated on or before September 30, 
2008.

VI. Award Administration Information

A. Award Notices

    After all selections have been made, HUD will notify all winning 
applicants in writing. HUD may require winning applicants to 
participate in additional negotiations before receiving an official 
award.

B. Administrative and National Policy Requirements

    Refer to the General Section.
    1. Debriefing. The General Section provides the procedures for 
requesting a debriefing. All requests for debriefings must be made in 
writing and submitted within 30 days of receipt of comments to Susan 
Brunson, Office of University Partnerships, Department of Housing and 
Urban Development, 451 Seventh Street, SW., Room 8106, Washington, DC 
20410-6000. Applicants may also write to Ms. Brunson via e-mail at 
[email protected].
    2. Environmental Requirements. The provision of assistance under 
these programs is categorically excluded from environmental review 
under the National Environmental Policy Act of 1969 (42 U.S.C. 4321) 
and not subject to compliance actions for related environmental 
authorities under 24 CFR 50.19(b)(1) and (b)(9).
    3. Administrative. Grants awarded under this NOFA will be governed 
by the provisions of 24 CFR part 84 (Grants and Agreements with 
Institutions of Higher Education, Hospitals and Other Non-Profit 
Organizations), A-21 (Cost Principles for Educational Institutions) and 
A-133 (Audits of States, Local Governments, and Non-Profit 
Organizations). Applicants can access the OMB circulars at the White 
House Web site at: www.whitehouse.gov/omb/circulars/index.html.

C. Reporting Requirements

    All doctoral students that receive grant funds under this program 
NOFA are required to submit a report, halfway through the grant period, 
on the progress to date that has been made toward completion of the 
research product and the likelihood that it will be completed on time.
    At the end of the grant performance period doctoral students must 
submit two copies of the approved manuscript/dissertation to HUD in its 
final version.

[[Page 11765]]

Titles of the manuscript/dissertation must not be changed from the 
title awarded unless prior approval has been received from HUD.

VII. Agency Contacts

    Doctoral students may contact Susan Brunson, Office of University 
Partnerships at (202) 708-3061, extension 3852 or Sherone Ivey at (202) 
708-3061, extension 4200. Persons with speech or hearing impairments 
may call the Federal Information Relay Service TTY at 800-877-8339. 
Except for the ``800'' number, these telephone numbers are not toll-
free. Students may also reach Ms. Brunson via e-mail at [email protected] and/or Sherone Ivey at [email protected].

VIII. Other Information

Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2528-0216 (for the Early Doctoral Student Research 
Grant Program) and 2528-0213 (for the Doctoral Dissertation Research 
Grant Program). In accordance with the Paperwork Reduction Act, HUD may 
not conduct or sponsor, and a person is not required to respond to, a 
collection of information unless the collection displays a currently 
valid OMB control number. Public reporting burden for the collection of 
information is estimated to average 44 hours per annum per respondent 
for the application and grant administration. This includes the time 
for collecting, reviewing, and reporting the data for the application, 
semi-annual reports, and final report. The information will be used for 
grantee selection and monitoring the administration of funds. Response 
to this request for information is required in order to receive the 
benefits to be derived.

Appendix A--Application Checklist

EDSRG and DDRG
    This checklist identifies application submission requirements. 
Doctoral students are requested to use this checklist when preparing 
an application to ensure submission of all required elements. 
Students submitting an electronic application do not have to submit 
the checklist. Students that receive a waiver of the electronic 
application submission requirement must include a copy of the 
checklist in their application.

    Check off to ensure these items have been included in the 
application:

------SF-424 ``Application for Federal Assistance

''------Table of Contents
--------Application Checklist (if applicable)
------Executive Summary (700 words or less)

    Indicate the page number where each of the Rating Factors are 
located:

------Narrative Statement Addressing the Rating Factors. The 
application narrative must not exceed 15 pages in length (excluding 
required forms, assurances, table of contents, executive summary, 
budget narrative, commitment letters, memorandum of understanding, 
and agreements) double-spaced on one side of the paper, with one-
inch margins (from top, bottom, left and right) printed in standard 
Times New Roman 12 point font). Applicants that submit applications 
via Grants.gov should review the General Section for information 
about file names and extensions. File names should not contain 
spaces or special characters.

------Factor I
------Factor II
------Factor III
------Factor IV

    Check off to ensure these items have been included in the 
application: Appendix. The appendix section of an application must 
not exceed five (5) pages in length (excluding forms, budget 
narrative, and assurances).

------Budget

------Grant Application Detailed Budget, (HUD-CB) (``HUD Detailed 
Budget Form'' on Grants.gov

------Budget Narrative (No form provided and must be submitted for 
the total grant period)

Appendix B--All Required Forms

    The following forms are required for submission. All required 
forms are contained in the electronic application package.

------Application for Federal Assistance (SF-424)

------Survey on Ensuring Equal Opportunity for Applicants (SF-424 
Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov)

------Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed 
Budget Form'' on Grants.gov)

------Disclosure of Lobbying Activities (SF-LLL); if applicable

------Questionnaire for HUD's Removal of Regulatory Barriers (HUD-
27300) (``HUD Communities Initiative Form'' on Grants.gov), if 
applicable

------Applicant/Recipient Disclosure/Update Report (HUD-2880) (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov)

------Client Comments and Suggestions (HUD-2994), if applicable

------You Are Our Client! Grant Applicant Survey (HUD-2994-A)

------Program Outcome Logic Model (HUD-96010)

------HUD-96011, Third Party Documentation Facsimile Transmittal 
(``Facsimile Transmittal Form'' on Grants.gov)

[[Page 11766]]

[GRAPHIC] [TIFF OMITTED] TN13MR07.029


[[Page 11767]]



Housing Counseling Training

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of the Assistant Secretary for Housing--Federal 
Housing Commissioner.
    B. Funding Opportunity Title: Housing Counseling Training.
    C. Announcement Type: Initial Announcement.
    D. Funding Opportunity Number: FR-5100-N-23; OMB approval number is 
2502-0261.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: Housing 
Counseling Training Program 14.316.
    F. Dates: The application deadline date is May 17, 2007. 
Applications submitted through http://www.grants.gov must be received 
and validated by grants.gov no later than 11:59:59 p.m. eastern time on 
the application deadline date. See Section IV of the General Section, 
regarding application submission procedures and timely filing 
requirements.

Full Text of Announcement

I. Funding Opportunity Description

    Program Purpose. Funds are available to provide, under cooperative 
agreements with HUD, training activities designed to improve and 
standardize the quality of counseling provided by housing counselors 
employed by HUD-approved housing counseling agencies.
    Authority. HUD's Housing Counseling Program, and the training of 
this NOFA are authorized by Section 106 of the Housing and Urban 
Development Act of 1968 (12 U.S.C. 1701x), with guidance provided in 
HUD Handbook 7610.1, REV-4, CHG-1, dated October 27, 1997.

II. Award Information

    A. Available Funds: This NOFA announces the availability of 
approximately $3.0 million.
    B. Anticipated Awards: HUD's goal is to fund an organization to 
deliver the full spectrum of activities eligible for funding under this 
NOFA. Should this not be possible, HUD reserves the right to make 
multiple awards under this NOFA.
    C. Award Instrument: HUD expects to use a cooperative agreement, 
but reserves the right to use the award instrument it determines to be 
most appropriate. All awards will be made on a cost reimbursement basis 
in accordance with, and subject to, the requirements in OMB Circular A-
87, Cost Principles for State, Local, and Indian Tribal Governments; or 
OMB Circular A-122, Cost Principles for Non-Profit Organizations, as 
applicable to your organization. These awards are also subject to the 
administrative requirements established in OMB Circular A-102, 
implemented at 24 CFR part 85 (Administrative Requirements for Grants 
and Cooperative Agreements to State, Local, and Federally Recognized 
Indian Tribal Governments); OMB Circular A-110, implemented at 24 CFR 
part 84 (Grants and Agreements with Institutions of Higher Education, 
Hospitals and Other Non-Profit Organizations); and OMB Circular A-133 
(Audits of States, Local Governments, and Non-Profit Organizations), 
implemented at 24 CFR parts 84 and 85. If you receive an award, you 
must comply with and are required to ensure that any subrecipients also 
comply with the above requirements. OMB circulars can be found at 
http://www.whitehouse.gov/omb/circulars/index.html.
    Awards made as cooperative agreements will entail significant HUD 
involvement including but not limited to the following items:
     Review and approval of proposed courses, including course 
materials;
     Review and approval of evaluation instruments and 
methodology for determining value of courses and impacts; and
     Review and Approval of training locations. HUD reserves 
the right to review and approve training locations as well as the type 
of training and courses offered.
     Targeting based on special needs
    1. Award Adjustments. HUD reserves the right to adjust funding 
levels for each applicant. Once applicants are selected for award, HUD 
will determine the total amount to be awarded to any grantee, based 
upon the scope and geographic coverage of services to be provided and 
funds available.
    2. Award Period. Cooperative agreements will be for a period of up 
to twelve (12) months.

III. Eligibility Information

A. Eligible Applicants

    1. Eligible Applicants. Applicants must be public or private 
nonprofit organizations with at least two years of experience providing 
all types of housing counseling training services nation wide listed 
under Section III.C.2 of this NOFA. The only exception to this 
requirement is public or nonprofit organizations with at least 2 years 
experience providing Home Equity Conversion Mortgage (HECM) counseling 
training nationwide.
    A consortium of organizations may apply for funding under this 
NOFA, but one organization must be designated as the primary applicant. 
Furthermore, applicants may utilize in-house staff, sub-grant 
recipients or consultants, and networks of local organizations with 
requisite experience and capacity.

B. Cost Sharing or Matching

    Cost sharing or matching is not required.

C. Other

    1. Geographic Coverage: Applicants must propose to provide the 
housing counseling trainings nationwide.
    2. Eligible Activities. Applicants must propose to develop and 
implement a comprehensive and ongoing training program for housing 
counselors. The training program must contain both basic and advanced 
courses. The majority of the training services must be conducted as 
place-based activities. Some training services may be provided through 
satellite broadcast, or through computer training software.
    An applicant must be capable of providing training on all the 
training topics listed below. The only exception to this requirement is 
an applicant proposing to provide HECM counseling training exclusively.
    a. General Housing Counseling. Teach counselors the principles and 
applications of housing counseling from the industry's and the 
counselor's point of view. Review the skills and tools needed to be an 
effective housing counselor. Provide overviews of the industry from a 
national perspective as well as, information about pre- and post-
purchase counseling for homeowners, delinquency, and default 
counseling.
    b. Credit Counseling for Prospective Homeowners. Train counselors 
in conducting results-oriented individual counseling sessions for 
prospective homebuyers, including triaging customers, developing 
corrective action plans and timelines for success, and facilitating 
progress as customers overcome obstacles and move toward mortgage-
readiness. Train counselors regarding state-of-the-art software 
designed specifically for credit rebuilding, debt reduction, automated 
budgeting, and downpayment savings accumulation. Use sample customer 
cases to identify obstacles and simulate counseling sessions.
    c. Matching Clients with Loan Products. Train counselors in 
industry practices, analysis of financials, risk elements, and general 
concepts affecting conventional and government-insured mortgage loan 
decisions. Provide counselors with effective procedures and techniques 
that will translate into

[[Page 11768]]

appropriate loans and satisfied housing counseling clients. Review case 
studies to illustrate the functional areas of the underwriting process, 
from the application to the loan sale.
    d. Homebuyer Education Programs. Teach counselors how to deliver a 
comprehensive homebuyer education program to turn prospective 
homebuyers into satisfied homeowners. Teach counselors to use the best 
materials and methods to train homebuyers how to shop for a home, get a 
mortgage loan, improve their budget and credit profiles, and maintain 
their home and finances after purchase.
    e. Section 8 Homeownership. Train counselors in how to effectively 
approach and partner with Public Housing Authorities (PHAs) in the 
implementation of a Section 8 Homeownership Program. Review the unique 
characteristics of the program and the voucher holders as they relate 
to the counseling component. Share effective and proven implementation 
strategies.
    f. Helping Homeowners Avoid Delinquency and Predatory Lending. 
Teach counselors to conduct educational seminars and advise clients 
regarding how to avoid predatory lenders and common lending pitfalls. 
Give counselors the knowledge and tools to help unwary borrowers avoid 
inflated appraisals, unreasonably high interest rates, unaffordable 
repayment terms, and other conditions that can result in a loss of 
equity, increased debt, default, and foreclosure. Train counselors to 
help clients manage debt, avoid predatory lenders, and avoid mortgage 
default. Teach counselors how to read the warning signs of debt 
problems and how to recognize predatory lenders, as well as identify 
available resources to help keep homeowners out of financial trouble. 
Review state and federal regulations, including the Real Estate 
Settlement Procedures Act of 1974 (12 U.S.C. 2601 et seq.) (RESPA) and 
the Truth in Lending Act (15 U.S.C. 1501 et seq.).
    g. Foreclosure Prevention. Train counselors on the protocol for 
counseling homeowners in financial distress. Address all aspects of 
default and delinquency, including reasons for default, ways to 
maximize income and reduce expenses, calculating delinquencies, 
understanding the players in the mortgage marketplace, loss-mitigation 
options for FHA-insured and other loans, information about foreclosure 
laws and timelines, tips on effectively intervening with lenders and 
servicers, managing multiple mortgages or liens, and the pros and cons 
of refinancing.
    h. Home Equity Conversion Mortgages (HECM). Train counselors about 
reverse mortgages for elderly homeowners. Teach them to understand 
products and programs, analyze plans and compare their costs and 
benefits, and identify alternatives. Also, review relevant counseling 
skills and ethics.
    i. Home Maintenance and Financial Management for New Homeowners. 
Train counselors in how to advise individuals and conduct workshops 
aimed at ensuring the long-term success of new homebuyers, including 
home maintenance and repair, financial management, insurance, and 
record keeping.
    j. Counseling Individuals and Families Who are Homeless or at Risk 
of Becoming Homeless. Train counselors about the various social 
services available to which they should be referring homeless and 
potentially homeless families and individuals. Provide information on 
federal, state, and local homeless programs and how clients can access 
these programs. Share strategies on how to partner with local public 
service providers to ensure that clients receive attention and 
assistance quickly and efficiently. Review the unique characteristics 
of the homeless population to help counselors understand the types of 
financial, physical, and social problems facing the families and 
individuals who seek their assistance.
    k. Disaster Victims Counseling. Train counselors about the unique 
circumstances faced by disaster victims including: counseling 
homeowners in financial distress, mortgage related counseling, default 
and delinquency, loss-mitigation options for FHA-insured and other 
loans, information about foreclosure laws and timelines, alternative 
housing, FEMA services and emergency housing (HUD homes).
    l. HUD's Housing Counseling Program Requirements. Train counselors 
about the basic requirements of HUD's Housing Counseling Program, 
including the delivery of homeownership counseling and education for 
local, national, regional and state housing counseling agencies, how to 
fill out form HUD-9902, Housing Counseling System (HCS), biennial 
reviews, and record keeping.
    m. Rental Housing: Securing and maintaining residence in rental 
housing, tenant/landlord responsibilities, state/county laws, 
budgeting.
    n. Federal Housing Administration: Train housing counselors about 
FHA-insured financing, including, minimum requirements of FHA loans, 
loan limits, advantages of financing through FHA, HUD foreclosed 
properties, FHA appraisal requirements, 203k, 203b, 203h, and Home 
Equity Mortgage (HECM).
    3. Threshold Requirements. Applicants and proposed grantees must 
meet the following Threshold Requirements:
    a. Compliance with Fair Housing and Civil Rights Laws. See the 
General Section.
    b. Debarment and Suspension. See General Section.
    c. Delinquent Federal Debt. See General Section.
    d. False Statements. See General Section.
    e. Additional requirements: Agencies selected as grantees or sub-
grantees must also comply with the following requirements:
    (1) Salary Limitation for Consultants. See General Section.
    (2) Accessibility. All grant recipients and subrecipients must use 
training facilities and services reasonably accessible to persons with 
a wide range of disabilities or provide other means of accommodation 
for disabled persons. In addition, counseling training must train 
counselors in the accessibility requirements applicable to eligible 
counseling activities and accessibility requirements under the Fair 
Housing Act, including requirements for reasonable modification. All 
training materials must be compliant with Section 508 of the 
Rehabilitation Act (Section 508). See the Accessible Technology 
Requirements in the General Section.
    (3) Reports. All grant recipients will be required to report to HUD 
on a quarterly basis, unless otherwise specified in the cooperative 
agreement.
    (4) Code of Conduct. Entities that are subject to 24 CFR parts 84 
and 85 (including 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 Sections 84.42 and 
85.36(b)(3)). The code of conduct must prohibit real and apparent 
conflicts of interest that may arise among employees, officers, or 
agents; prohibit the solicitation and acceptance of gifts or gratuities 
by your officers, employees and agents for their personal benefit in 
excess of minimal value; and outline administrative and disciplinary 
actions available to remedy violations of such standards. Self-recusal 
will not eliminate a potential or apparent conflict of interest. Prior 
to entering into an agreement with HUD, the applicant will be required 
to submit a copy of its code of conduct and describe the

[[Page 11769]]

methods it will use to ensure that all officers, employees, and agents 
of the organization are aware of the code of conduct.
    (5) Financial Management Systems. Applicants selected for funding 
must provide documentation demonstrating that the applicant's financial 
management systems satisfy the requirements in the applicable 
regulations at 24 CFR 84.21(b) and 85.20. Consistent with the 
requirements of the Single Audit Act Amendments of 1996 (31 U.S.C. 
7501-07), if the applicant expended $500,000 or more in federal awards 
in its most recent fiscal year, such documentation must include a 
certification from or most recent audit by the applicant's independent 
public accountant that the applicant maintains internal controls over 
federal awards, complies with applicable laws, regulations, and 
contract or grant provisions, and prepares appropriate financial 
statements. The applicant will have at least 30 calendar days to 
respond to this requirement. If an applicant does not respond within 
the prescribed time or responds with insufficient documentation, then 
HUD may determine that the applicant has not met this requirement and 
may withdraw the grant offer.
    If an applicant selected for funding expended less than $500,000 in 
federal funds in the last fiscal year and therefore does not fall under 
the requirements of the Single Audit Act, HUD will conduct a review of 
the applicant's financial management system to ensure that the 
accounting system meets federal requirements. HUD reserves the right 
not to fund an applicant that has an accounting system that does not 
meet federal requirements or require an applicant to attain the 
services of an organization acceptable to HUD that can manage the 
financial records of the applicant.
    (6) Indirect Cost Rate. Applicants must also submit documentation 
establishing the organization's indirect cost rate. Such documentation 
may consist of a certification from the most recent audit or indirect 
cost rate agreement by the cognizant federal agency or an independent 
public accountant. If the organization does not have an established 
indirect cost rate, the organization will be required to develop and 
submit an indirect cost proposal to HUD or the cognizant federal agency 
as applicable, for determination of an indirect cost rate that will 
govern an award. Applicants that do not have a previously established 
indirect cost rate with a federal agency shall submit an initial 
indirect cost rate proposal immediately after the applicant is advised 
that it will be offered a grant. If an applicant does not have an 
established indirect cost rate, and there is no other cognizant federal 
agency, or HUD is the cognizant federal agency, HUD will set the rate 
based upon the submission of an acceptable indirect cost rate proposal. 
If a proposal is not submitted within three months of award, HUD may 
suspend work or terminate for noncompliance with requirements. OMB 
Circular A-122 sets forth the requirements to determine allowable 
direct and indirect costs and the preparation of indirect cost 
proposals. The circular can be found at http://www.whitehouse.gov/omb.
    (7) Name Check Review. See the General Section.
    (8) Participation in HUD-Sponsored Program Evaluation. See the 
General Section.
    (9) Ensuring the Participation of Small Businesses, Small 
Disadvantaged Businesses, and Women-Owned Businesses. See the General 
Section.
    (10) Executive Order 13166, Improving Access to Persons With 
Limited English Proficiency (LEP). See the General Section.
    (11) Executive Order 13279, Equal Protection of the Laws for Faith-
Based and Community Organizations. HUD is committed to full 
implementation of Executive Order 13279 in the operation of its 
programs. See the General Section.
    (12) 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.).
    (13) Affirmatively Furthering Fair Housing. See the General 
Section.

IV. Application and Submission Information

A. Addresses to Request Application Package

    All applications submitted in response to this NOFA must be 
submitted electronically. The information required to submit an 
application is contained in the General Section. Applications can be 
downloaded from the following web site: www.grants.gov/applicants/
apply--for--grants.jsp. If you have difficulty accessing the 
information you may call the Grants.gov helpline toll-free at (800) 
518-GRANTS (4726) from Monday to Friday from 7 a.m. to 9 p.m. eastern 
time, or send an e-mail to [email protected].
    If you do not have Internet access and need to obtain a hard copy 
of this NOFA or the General Section, you can contact HUD's NOFA 
Information Center toll-free at (800) HUD-8929. Persons with hearing or 
speech impairments may access any of these numbers via (TTY) by calling 
the toll-free Federal Information Relay Service at (800) 877-8339.

B. Content and Form of Application Submission

    1. Application Checklist. Use the checklist below to organize the 
application. Unless indicated below, all applicants must submit the 
following:
    a. Forms. The standard forms, certifications, and assurances are 
listed below. (The forms referred to as the ``standard forms''). All of 
the standard forms required for this NOFA are available on the 
Grant.gov Web site. (Please note that forms may vary slightly in 
appearance on the Grants.gov Web site.)
    (1) SF-424, Application for Federal Assistance
    (2) SF-424 Supplement, Survey on Ensuring Equal Opportunity for 
Applicants (optional) (``Faith Based EEO Survey (SF-424 SUPP)'' on 
Grants.gov)
    (3) SF-LLL, Disclosure of Lobbying Activities (if applicable)
    (4) HUD-96010, Program Outcome Logic Model
    (5) HUD-2880, Applicant Recipient Disclosure/Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov)
    (6) SF-424 CB, Grant Application Detailed Budget (``HUD Detailed 
Budget Form'' on Grants.gov)
    (7) HUD-2880, Applicant Recipient Disclosure Update Report (``HUD 
Applicant Recipient Disclosure Report'' on Grants.gov)
    (8) HUD-2994, You Are Our Client Grant Applicant Survey (optional)
    (9) HUD-96011, Third Party Documentation Facsimile Transmittal. 
(For use with electronic applications as the cover page to provide 
third party documentation.) (``Facsimile Transmittal Form'' on 
Grants.gov)
    b. Nonprofit Status. Each applicant is required to submit, for 
itself and for any organization with which it is partnering for the 
purpose of this NOFA, a legible copy of the document that supports the 
applicant's claim to be a nonprofit organization (for example, a 501(c) 
letter issued by the IRS). The documentation must contain the official 
name, address, and telephone number of the legal authority that granted 
the nonprofit status. These documents must be scanned, attached to the 
attachment form, which is part of the Grants.gov package, and submitted 
electronically to Grants.gov, or faxed using the fax cover sheet in the 
Grants.gov application package. Please read the General Section

[[Page 11770]]

for information about submitting documents as attachments or using the 
facsimile solution, and acceptable file formats.
    c. Narrative Statements. Provide narrative statements addressing 
the Rating Factors in section V below. Responses to the rating factors 
should provide HUD with detailed quantitative and qualitative 
information and relevant examples regarding the housing counseling 
training and other work of the organization that is related to the 
proposed activities. These narrative statements will be the basis for 
evaluating the application. Applicants should clearly label each 
narrative with the Factor Title and number related to the response. 
When creating file names, please follow the directions in the General 
Section.
    d. Prohibition Against Lobbying Activities. See the General 
Section.
    C. Submission Dates and Time: Your completed application must be 
received and validated by Grants.gov no later than 11:59:59 p.m. 
eastern time on the application deadline date. Please note that 
validation may take up to 72 hours. Applicants should carefully read 
the section titled ``APPLICATION and SUBMISSION INFORMATION'' in the 
General Section.

D. Intergovernmental Review

    This NOFA is excluded from the requirement of an Intergovernmental 
Review.

F. Other Submission Requirements

    Electronic delivery via Grants.gov is HUD's required method for 
application submission. Applicants interested in applying for funding 
under this NOFA must submit their applications electronically or 
request a waiver from the electronic submission requirement. Applicants 
must submit their waiver requests in writing using e-mail. Waiver 
requests must be submitted no later than 15 days prior to the 
application deadline date and should be submitted to [email protected]. If granted a waiver, the notification will provide 
instructions on where to submit the application and how many copies are 
required. Paper copy applications must be received by the deadline 
date. HUD will not accept a paper application without a waiver being 
granted. See the General Section for detailed submission and timely 
receipt instructions.

V. Application Review Information

A. Criteria

    Applications will be evaluated competitively according to the 
Factors for Award described below, and ranked against all other 
applicants. All applications will be scored and ranked in HUD 
Headquarters.

1. Factors For Award Used To Rate and Rank Applications

    a. The factors for award, and maximum points for each factor, are 
outlined below. These factors will be used to evaluate applications. 
The maximum score is 100 for all applicants.
    b. HUD may rely on other information, such as performance reports, 
financial status information, monitoring reports, audit reports and 
other information available to HUD in making score determinations under 
any Rating Factor.

2. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (40 points)

    HUD uses responses to this rating factor to evaluate the readiness 
and ability of an applicant to begin the proposed work program 
immediately, as well as the potential for an applicant to cost-
effectively and successfully implement the proposed activities 
indicated under Rating Factor 3.
    a. Relevant Staff (15 points). In rating this section, HUD will 
consider the degree to which the applicant and, if applicable, 
partnering organizations, have sufficient personnel with the relevant 
knowledge and experience to implement the proposed activities in a 
timely and effective fashion. Specifically, scoring will be based on 
the number of years of relevant and recent housing counseling training, 
housing counseling material production, and other related experience of 
program managers and staff.
    Submit the names and titles of employees, including subcontractors 
and consultants, who would perform the activities proposed in Rating 
Factor 3. Clerical staff should not be listed. Describe each 
employee's, subcontractor's, or consultant's relevant professional 
background and experience. Experience is relevant if it corresponds 
directly to projects of a similar scale and purpose. Provide the number 
of years of experience for each position listed, and indicate when each 
position was held. Individual descriptions should be limited to one 
page. List recent and relevant training received.
    b. Experience (20 points). Applicants should carefully document 
recent experience, and the experience of organizations with which it is 
partnering, in providing the eligible activities listed in Section III 
of this NOFA that it is proposing to offer through this NOFA. Indicate 
the types and complexity of the services provided and the outcomes for 
counselors as a result of the training and other services. Describe the 
level of effort and time required to provide the services and to meet 
the needs of the counselors.
    Indicate the number of counselors that have participated in your 
training program or otherwise benefited from the relevant services you 
provided.
    c. Performance/Grant Requirements (5 points). In scoring this 
section, HUD will evaluate how well the applicant has satisfied the 
requirements, including reporting, on HUD grants received. If an 
applicant has not received a HUD grant, the applicant should base its 
response on activities and requirements under other sources of funding, 
such as other federal, state, local, or other awards.
    An applicant should characterize performance with regard to the 
timeliness and completeness with which the applicant satisfied 
reporting requirements (such as Form HUD 9902) and quarterly and final 
reports.
    Also, indicate whether or not an applicant fully expended grant 
awards during the specified award periods. If not fully expended, 
provide an explanation as to the reason why the funds were not fully 
expended on time and the steps taken to ensure that future funding will 
be expended in a timely manner.

3. Rating Factor 2: Need/Extent of the Problem (5 points)

    This factor addresses the extent to which there is a need to fund 
proposed activities described in response to Rating Factor 3.
    Describe and document the national need, such as the number of 
housing counselors and areas of housing counseling training the 
application intends to address with the services proposed in Rating 
Factor 3. Responses will be evaluated based on how well they 
demonstrate a grasp of the elements of the problems this NOFA is 
intended to address. Include applicable statistics and analyses, if 
available, contained in data sources that are sound and reliable. 
Sources for all data provided must be clearly cited.

4. Rating Factor 3: Soundness of Approach/Scope of Housing Counseling 
Services (35 points)

    This factor addresses the quality and effectiveness of the proposed 
work plan. In rating this factor, HUD will evaluate the extent to which 
the applicant presents a detailed and sound approach for providing the 
proposed services. HUD will also evaluate the extent to which the 
applicant demonstrates the cost-effectiveness of its activities, and

[[Page 11771]]

convincingly explains how the proposed activities will yield long-term 
results.
    a. Work Plan (20 points).
    Applicants should provide a work plan that lists the major 
objectives and activities it intends to undertake, and how it plans to 
provide those services. Include administrative and project tasks.
    The Work Plan must include all the housing counseling training 
topics listed in section III. The only exception to this requirement is 
organizations proposing to provide Home Equity Conversion Mortgage 
(HECM) counseling exclusively. Indicate if any of the listed trainings 
will be provided by organizations with which an applicant has 
partnered. The proposed program must be national in scope. All 
proposals to provide training must include a description of the 
methodology for measuring the success of the training program. The 
proposals must also include a scholarship element, detailing the full 
or partial costs to be covered, including travel, hotel, and tuition 
expenses. Applicants must also indicate the total number of tuition, 
travel, and lodging scholarships they estimate can be offered, and 
describe plans for determining how the various types of scholarship 
assistance will be equitably distributed.
    b. Proposed Budget (15 points).
    For the work plan proposed above, indicate the Grant amount in line 
18a of form SF-424. Describe and explain a proposed budget, utilizing 
the HUD-424-CB. If applicable, the budget should highlight portions 
being proposed as sub-grants to partnering organizations. Make a case 
for why the proposed budget is cost effective in achieving proposed 
results. Responses will be evaluated based on the quality, 
thoroughness, and reasonableness of the cost estimates provided.

5. Rating Factor 4: Leveraging Resources (10 Points)

    Although HUD funding through this NOFA may fully fund an 
organization's proposed program, applicants are encouraged to secure 
the use of other resources to supplement the HUD grant.
    In scoring this factor, applicants will be evaluated based on their 
ability to obtain additional resources for their proposed training and 
other related eligible activities, including direct financial 
assistance and in-kind contributions, which may include services, 
equipment, office space, labor, etc. Resources may be provided by 
governmental entities, public or private nonprofit organizations, for-
profit private organizations, or other entities committed to providing 
the applicant assistance.
    Additionally, resources provided by the applicant, recorded as 
``applicant match'' and ``program income'' on form SF-424, will count 
as leveraged resources.
    Points for this factor will be awarded based on the ratio of 
requested HUD funds to total budget for the proposed activities.

------------------------------------------------------------------------
                         Percentage                             Points
------------------------------------------------------------------------
01-15......................................................           10
16-23......................................................            9
24-29......................................................            8
30-35......................................................            7
36-41......................................................            6
42-47......................................................            5
48-53......................................................            4
54-59......................................................            3
60-65......................................................            2
66-99......................................................            1
------------------------------------------------------------------------

6. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points)

    Outcomes are benefits accruing to recipients of the service to be 
offered (e.g., increase in the number of counselors demonstrating 
proficiency after training. Outputs are units of service or activity 
(e.g., instructional units developed, number of counselors trained, 
number tested). Outputs and outcomes must be objectively quantifiable. 
The purpose of this factor is for the applicant to identify program 
outputs and outcomes that will allow an applicant and HUD to measure 
actual achievements against anticipated achievements. For this NOFA, 
HUD will give particular weight to an applicant's ability to 
demonstrate change in counselors' knowledge and skills as a result of 
the training offered. Applicants should therefore emphasize a rigorous 
and objective testing protocol as part of their performance evaluation 
strategy.
    Submission Requirements for Factor 5. Applicants must submit an 
effective, quantifiable, and outcome-oriented evaluation plan. The plan 
must be in narrative form and must also be presented utilizing HUD's 
(Logic Model, form 96010) for measuring performance and determining 
that output and outcome goals have been met. An applicant must submit a 
program evaluation plan that demonstrates how it will measure its own 
program performance. The evaluation plan should identify what an 
applicant is going to measure, how an applicant is going to measure it, 
and the steps in place to make adjustments to its work plan if 
performance targets are not met within established timeframes. 
Specifically, the plan must identify:

--Outputs. Outputs are the direct products of an applicant's activities 
that lead to the ultimate achievement of outcomes. Examples of outputs 
are the number of training sessions to be provided and the number of 
counselors to be trained. Identify interim and full grant term 
projected outputs and timeframes for accomplishing these goals. The 
plan must show how an applicant will measure actual accomplishments 
against anticipated achievements.
--Work Plan Adjustments. Describe steps in place to make adjustments to 
the work plan if outputs are not met within established timeframes or 
if a grantee begins to fall short of established outputs or timeframes.
--Outcomes. Outcomes are benefits accruing to the counselors as a 
result of participation in an applicant's program. Outcomes are 
performance indicators an applicant expects to achieve or goals an 
applicant hopes to meet over the term of its proposed grant. An example 
of an outcome is the percentage of counselors who, following training, 
can demonstrate competence in the areas of training. Another example of 
an outcome is an instructional module, which when administered to 
counselors, produces a measurable increase in counselors' knowledge or 
skills. An applicant should identify how it will determine that a 
counselor has demonstrated competence following training, and provide 
projected outcomes of the number of counselors trained and the number 
of counselors demonstrating competence following training for the full 
grant term, as well as timeframes for accomplishing these goals. The 
plan must show how an applicant will measure actual accomplishments 
against anticipated achievements.
--Information Collection. An applicant should describe its strategy for 
collecting outcome information.

B. Review and Selection Process

    1. General. HUD will review each application to determine whether 
it meets the threshold and the eligibility requirements found in 
Section III of this NOFA. Only applicants that meet all of the 
eligibility and threshold requirements will be rated and ranked.
    2. Rating Panels. To review and rate applications, HUD may 
establish panels which 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.
    3. Corrections To Deficient Applications. See the General Section.

[[Page 11772]]

    4. Rating and Ranking.
    a. Applications that earn a score of 75 points or more will be 
considered eligible for funding.
    b. HUD intends to award the entire amount available under this NOFA 
to the highest scoring application. However, HUD reserves the right to 
make multiple awards.
    c. If an applicant turns down an award offer, HUD may make an offer 
to the next highest-ranking application.
    d. In the event HUD commits an error that, when corrected, would 
result in selection of an otherwise eligible applicant during the 
funding round of this NOFA, HUD may select that applicant when 
sufficient funds become available.
    5. Award Size. All grantees will receive the lower of either the 
award amount determined by HUD or the amount actually requested by the 
applicant.
    6. Award Adjustments. HUD reserves the right to adjust funding 
levels for each applicant as indicated in Section II C. of this NOFA. 
HUD reserves the right to fund less than the full amount requested in 
an application.
    7. Ineligible Activities. HUD will not fund any portion of an 
application that: is not eligible for funding under this program's 
statutory or regulatory requirements; does not meet the requirements of 
this NOFA; or may be duplicative of other funded programs or activities 
from prior year awards or other selected applicants. Only the eligible 
portions of an application (including non-duplicative portions) may be 
funded. Funds from this program may not be used for real property 
acquisition, disposition, leasing, rehabilitation, alteration, 
demolition, or new construction.

VI. Award Administration Information

A. Award Notices

    After all eligible applications have been rated and ranked and 
selections have been made, HUD will notify applicants regarding the 
disposition of their application.

B. Administrative and National Policy Requirements

    1. Environmental Requirements. Activities funded through this 
program are categorically excluded under 24 CFR 50.19(b)(9) from the 
requirements of the National Environmental Policy Act of 1969 (42 
U.S.C. 4321) and are not subject to review under the related laws and 
authorities.
    2. Procurement of Recovered Materials. Please see the General 
Section for this requirement.
    C. Reporting: Grant recipients will be required to submit quarterly 
progress reports, comparing actual accomplishments with the goals and 
objectives established for the period, explaining why established goals 
were not met, and highlighting any problems, delays, or adverse 
conditions that materially impaired the ability to meet the objectives 
of the awards. Each recipient is also required to submit a completed 
Logic Model showing accomplishments against proposed outputs and 
outcomes as part of their quarterly reporting requirement to HUD. 
Recipients shall use quantifiable data to measure performance against 
goals and objectives outlined in their Logic Model. For FY2007, HUD is 
considering a new concept for the Logic Model. The new concept is a 
Return on Investment (ROI) statement. HUD will be publishing a separate 
notice on the ROI concept.
    D. Debriefing. HUD will provide a debriefing to a requesting 
applicant related to its application. See the General Section for more 
information.

VII. Agency Contact

    For further information about this NOFA or application 
requirements, applicants should contact Miriam Torres, HUD 
Headquarters, Single Family Housing, Program Support Division, at (202) 
708-0317 x2618 (this is not a toll-free number). Persons with hearing 
or speech impairments may access any of these numbers via (TTY) by 
calling the toll-free Federal Information Relay Service at (800) 877-
8339. For technical help with the electronic submission procedure, 
applicants may e-mail [email protected] or call (800) 518-4726 (800) 
518-GRANTS). The Grants.gov Customer Support Center is open from 7 a.m. 
to 9 p.m. Eastern Time.

VIII. Other Information

    Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by OMB under the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB 
control number 2502-0261. In accordance with the Paperwork Reduction 
Act, HUD may not conduct or sponsor, and a person is not required to 
respond to, a collection of information unless the collection displays 
a currently valid OMB control number. Public reporting burden for the 
collection of information is estimated to average 68 hours per annum 
per respondent for the application and grant administration. This 
includes the time collecting, reviewing, and reporting the data for the 
application, semi-annual reports, and final report. The information 
will be used for grantee selection and monitoring the administration of 
funds. Response to this request for information is required in order to 
receive the benefits to be derived.

[FR Doc. 07-974 Filed 3-12-07; 8:45 am]
BILLING CODE 4210-01-P