[Federal Register: March 19, 2008 (Volume 73, Number 54)]
[Notices]
[Page 14881-14912]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr19mr08-140]
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Part II
Department of Housing and Urban Development
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Notice of HUD's Fiscal Year (FY) 2008 Notice of Funding Availability
(NOFA); Policy Requirements and General Section to HUD's FY2008 NOFAs
for Discretionary Programs; Notice
[[Page 14882]]
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-5200-N-01]
Notice of HUD's Fiscal Year (FY) 2008 Notice of Funding
Availability (NOFA); Policy Requirements and General Section to HUD's
FY2008 NOFAs for Discretionary Programs
AGENCY: Office of the Secretary, HUD.
ACTION: Notice of HUD's FY2008 NOFA Policy Requirements and General
Section to HUD's FY2008 NOFAs for Discretionary Programs (notice).
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SUMMARY: This notice provides prospective applicants for HUD
competitive funding with the opportunity to become familiar with the
General Section of HUD's FY2008 NOFAs, in advance of publication of any
FY2008 NOFAs. HUD plans to publish its annual SuperNOFA in spring 2008.
Early publication of the General Section is one of several steps
instituted to improve the funding process for the grantee community.
Early publication of the General Section gives prospective applicants
additional time to become familiar with and address provisions in the
General Section, which constitute part of almost every individual
program application. HUD will publish as a technical correction any
changes to this General Section made after today's publication.
HUD will continue to require that applicants submit their
applications electronically via Grants.gov. In FY2008, HUD will be
using Adobe Forms applications packages, available on Grants.gov. The
Adobe Forms packages are compatible with the Windows Vista operating
system, Apple Macintosh computers, and Microsoft Office 2007. Please
carefully read the instructions in this notice regarding use of Adobe
forms.
To submit an application via Grants.gov, new users will be required
to complete a five-step registration process, which can take 2 to 4
weeks to complete. The process includes ensuring that information
provided by your organization to Dun and Bradstreet (D&B) matches
information previously provided by your organization and contained in
Internal Revenue Service (IRS) records. If there is a discrepancy in
the information, the registration cannot be completed until discrepancy
issues are resolved. Applicants that have previously completed the
registration process merely have to renew their registration in the
Central Contractor Registration (CCR). The renewal process confirms
that the registration information is still accurate and allows
organizations to make any appropriate changes. During the update
process, the CCR will check the D&B information against the IRS records
for your organization. If there are discrepancies, the update cannot be
completed until the discrepancies are resolved. Please allow adequate
time to resolve any registration issues. Failure to update the
registration in the CCR before the CCR registration expires will result
in an applicant having to complete the five steps of the renewal
process. If an applicant changes the eBusiness Point of Contact in the
CCR registration, it should make sure the new eBusiness Point of
Contact has also granted permission to the person submitting the
application to be the Authorized Organization Representative (AOR). To
submit an application to HUD, the AOR must be able to make a legally
binding agreement for the organizational entity. Please see detailed
registration instructions in section IV.B. of this notice. HUD
recommends that all prospective applicants take the time to carefully
read the Notice entitled ``Notice of Opportunity to Register Early and
other Important Information for Electronic Application Submission via
Grants.gov,'' published on March 10, 2008 (73 FR 12751). This notice is
also available on HUD's Web site at: http://www.hud.gov/offices/adm/
grants/fundsavail.cfm and on Grants.gov/Find. HUD's Early Registration
Notice provides step-by-step instructions for applicants who must
register with Grants.gov and also provides renewal instructions for
those who have previously registered. Prospective applicants should
register prior to the Federal Register publication of the Program
Sections of the FY2008 SuperNOFA.
Please note that HUD is transitioning the Continuum of Care
application from a paper process to an electronic process in FY2008.
Because the electronic application is not yet available, details of the
registration process, application, application submission date, and
timely receipt requirements will be articulated in two publications to
be issued separate from the SuperNOFA. The first notice is expected to
be issued in spring 2008. The expected publication date of the Notice
of Funding Availability will be no earlier than July 1, 2008.
Notification of the availability of registration instructions, the
application, and other information will be released via the Grants.gov
website. To be placed on the Grants.gov notification service for
notices about the Continuum of Care electronic application process, go
to: http://www.grants.gov/search/subscribeAdvanced.do. To join the HUD
homeless assistance program listserv go to: http://www.hud.gov/
subscribe/
signup.cfm?listname=Homeless%20Assistance%20Program&list=HOMELESS-ASST-
L.
FOR FURTHER INFORMATION CONTACT: For further information on HUD's
FY2008 Policy Requirements and General Section contact the Office of
Departmental Grants Management and Oversight, Office of Administration,
Department of Housing and Urban Development, 451 Seventh Street, SW.,
Room 3156, Washington, DC 20410-5000; telephone number (202) 708-0667.
Persons with hearing or speech impairments may access this number via
TTY by calling the Federal Information Relay Service at (800) 877-8339.
SUPPLEMENTARY INFORMATION: Each year, HUD strives to improve its
competitive funding process. In FY2007, over 99.5 percent of applicants
successfully submitted applications electronically for HUD's grant
programs. To help applicants with electronic application registration
and submission, HUD has developed a Desktop User Guide for Submitting
Electronic Grant Applications. The user guide provides step-by-step
details and screen shots of the entire registration and application
submission process, including troubleshooting application submission
errors. HUD updates the guide regularly and it is available at http://
www.hud.gov/offices/adm/grants.
HUD believes that early publication of the General Section is
beneficial to prospective applicants by providing advance notice of the
Department's threshold requirements, strategic goals, policy
priorities, and other requirements applicable to almost every
individual NOFA that comprises the SuperNOFA.
The General Section, as in the past, is structured to refer the
reader to the individual program NOFAs. Although the program NOFAs are
not being published at this time, the references are retained. When the
Program Sections of the FY2008 NOFAs are published, they are fully
reconciled with the General Section, as has been the case since 1998
when the SuperNOFA was first published. Applicants interested in
receiving e-mail notification of the availability of the program
sections should go to: http://www.grants.gov/applicants/email_
subscription.jsp and sign up for e-mail notification of funding
opportunities. By doing so, you will receive an e-mail as soon as the
NOFAs and applications are available on Grants.gov.
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HUD is always interested in improving its application processes.
You can help HUD improve its outreach and program NOFAs by providing
feedback on ways it can improve the NOFA process. Please note that each
application contains a ``You Are Our Client'' survey questionnaire. HUD
requests that you respond to this survey to let the Department know
what improvements have been beneficial and to share your ideas on where
improvements can continue to be made. HUD carefully considers the
comments received from its clients and strives to use the comments to
improve each year's NOFAs and its funding process. This publication
includes a list of programs anticipated to be in the FY2008 SuperNOFA,
subject to the availability of funds. The Introduction to the SuperNOFA
will include any changes made to this listing and provide projected
funding availability and application deadline dates.
HUD hopes that the steps that it has taken to provide information
early in the FY2008 funding process about NOFA requirements will be of
benefit to you, our applicants.
Dated: March 14, 2008.
Roy A. Bernardi,
Deputy Secretary.
Overview Information
A. Federal Agency Name: Department of Housing and Urban Development
(HUD), Office of the Secretary.
B. Funding Opportunity Title: Policy requirements applicable to all
HUD NOFAs published during FY2008.
C. Announcement Type: Initial announcement of the general policy
requirements that apply to all HUD federal financial assistance NOFAs
for FY2008 issued simultaneous with, or after the publication of this
notice.
D. Funding Opportunity Number: FR-5200-N-01.
E. Catalog of Federal Domestic Assistance (CFDA) Number: A CFDA
number is provided for each HUD federal financial assistance program.
When using ``Apply Step 1'' on the Grants.gov Web site to download an
application, you will be asked for the CFDA number. Please refer to the
listing in this notice or the CFDA number in the Grants.gov synopsis of
the programs for which you wish to apply when using the application
search feature of Grants.gov. Use only the CFDA number, the Funding
Competition Identification Number, or the Funding Opportunity Number.
Using more than one of these items will result in an error message
indicating that the opportunity cannot be found.
F. Dates: The deadline dates that apply to the federal financial
assistance made available through HUD's FY2008 NOFAs will be found in
the published NOFAs. Appendix A to this General Section lists the
programs expected to be included in the FY2008 SuperNOFA. When
published, the SuperNOFA will contain a revised Appendix A to the
General Section providing the final list of programs included in the
SuperNOFA, funds available under each funding opportunity, and key
deadline dates.
G. Additional Overview Content Information: Unless otherwise
stated, HUD's general policy requirements set forth in this notice
apply to all HUD federal financial assistance made available through
HUD's FY2008 NOFAs. These policies cover all NOFAs issued for FY2008
funding.
Full Text of Announcement
I. Funding Opportunity Description
This notice describes HUD's FY2008 policy requirements applicable
to all of HUD's NOFAs published in FY2008. Each such NOFA will contain
a description of the specific requirements for the program for which
funding is made available and each will refer to applicable policies
described in this General Section. Each program NOFA will also describe
additional procedures and requirements that apply to the individual
program NOFA, including a description of the eligible applicants,
eligible activities, threshold requirements, factors for award, and any
additional program requirements or limitations. To adequately address
all of the application requirements for any program for which you
intend to apply, please carefully read and respond to both this General
Section and the individual program NOFAs.
Authority. HUD's authority for making funding available under
its FY2008 programs is identified in each program NOFA.
II. Award Information
Funding Available. Each program NOFA will identify the estimated
amount of funds available in FY2008 based on available appropriations,
plus funds from previous years available for award in FY2008. Appendix
A to this General Section lists the programs HUD expects to be included
in the FY2008 SuperNOFA. When published, the SuperNOFA will contain a
revised Appendix A to the General Section providing the final list of
programs included in the SuperNOFA, funds available under each funding
opportunity, and key deadline dates.
Additional program NOFAs may be published separately from the
FY2008 SuperNOFA.
III. Eligibility Information
A. Eligible Applicants. The individual program NOFAs describe the
eligible applicants and eligible activities for each program.
B. Cost Sharing or Matching. The individual program NOFAs describe
the applicable cost sharing, matching requirements, or leveraging
requirements related to each program, if any. Although matching or cost
sharing may not be required, HUD programs often encourage applicants to
leverage grant funds with other funding to receive higher rating
points.
It is important to note that the following Office of Management and
Budget (OMB) circulars are applicable, and particular attention should
be given to the provisions concerning the use of federal funds for
matching requirements.
OMB Circular A-102 (Grants and Cooperative Agreements with State
and Local Governments) establishes consistency and uniformity among
federal agencies in the management of grants and cooperative agreements
with state, local, and federally recognized Indian tribal governments.
The circular provides that state and local administration of federal
funds must include fiscal and administrative requirements that are
sufficiently specific to ensure that: funds are used in compliance with
all applicable federal statutory and regulatory provisions, costs are
reasonable and necessary for operating these programs, and funds are
not to be used for general expenses required to carry out other
responsibilities of a state or its subrecipients. HUD's implementation
of OMB Circular A-102 is found at 24 CFR part 85.
OMB Circular A-110 (Uniform Administrative Requirements for Grants
and Agreements with Institutions of Higher Education, Hospitals, and
Other Non-Profit Organizations) sets forth standards for obtaining
consistency and uniformity among federal agencies in the administration
of grants and agreements with institutions of higher education,
hospitals, and other nonprofit organizations. This circular specifies
the conditions for which funds may be used for cost sharing or matching
and provides that federal funds shall not be accepted as cost sharing
or matching, except where authorized by federal statute to be used for
cost sharing or matching. HUD's implementation of OMB Circular A-110 is
found at 24 CFR part 84.
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OMB Circular A-87 (2 CFR Part 225) (Cost Principles for State,
Local, and Indian Tribal Governments) establishes principles and
standards for determining costs for federal awards carried out through
grants, cost reimbursement contracts, and other agreements with state
and local governments and federally recognized Indian tribal
governments (governmental units). This circular provides that an
allowable cost under a federal award does not include a cost sharing or
matching requirement of any other federal award in the applicable
funding period, except as specifically provided by federal law or
regulation.
OMB Circular A-122 (Cost Principles for Non-Profit Organizations)
establishes principles for determining costs of grants, contracts, and
other agreements with nonprofit organizations. This circular provides,
similar to OMB Circular A-87, that an allowable cost under a federal
award does not include a cost sharing or matching requirement of any
other federally financed program in the applicable funding period.
Applicants for funding under HUD's FY2008 SuperNOFA are reminded of
the importance of confirming that any federal grant funds that they
intend to use as a matching share are available to be used as matching
funds under applicable statutes and regulations.
C. Other Requirements and Procedures Applicable to All Programs.
Except as may be modified in the individual program NOFAs, the
requirements, procedures, and principles listed below apply to all HUD
programs in FY2008 for which funding is announced by NOFA and published
in the Federal Register. Please read the individual program NOFAs for
additional requirements and information.
1. Statutory and Regulatory Requirements. To be eligible for
funding under HUD NOFAs issued during FY2008, applicants must meet all
statutory and regulatory requirements applicable to the program or
programs for which they seek funding. Applicants requiring program
regulations may obtain them from the NOFA Information Center or through
HUD's Grants Web site at http://www.hud.gov/offices/adm/grants/
fundsavail.cfm. See the individual program NOFAs for instructions on
how HUD will respond to proposed activities that are ineligible.
2. Threshold Requirements
a. Ineligible Applicants. HUD will not consider an application from
an ineligible applicant.
b. Dun and Bradstreet Data Universal Numbering System (DUNS) Number
Requirement. All applicants seeking funding directly from HUD must
obtain a DUNS number and include the number in their Application for
Federal Assistance submission. Failure to provide a DUNS number will
prevent you from obtaining an award, regardless of whether it is a new
award or renewal of an existing one. This policy is pursuant to the OMB
policy issued in the Federal Register on June 27, 2003 (68 FR 38402).
HUD published its regulation implementing the DUNS number requirement
on November 9, 2004 (69 FR 65024). A copy of the OMB Federal Register
notice and HUD's regulation implementing the DUNS number can be found
on HUD's Web site at: http://www.hud.gov/offices/adm/grants/duns.cfm.
When registering with Dun and Bradstreet, please be sure to use the
organization's legal name that is used when filing a return with or
making payments to the Internal Revenue Service. Organizations should
also provide the zip code using the zip code plus the four additional
digits.
c. Compliance with Fair Housing and Civil Rights Laws. (1) With the
exception of federally recognized Indian tribes and their
instrumentalities, applicants must comply with all applicable fair
housing and civil rights requirements in 24 CFR 5.105(a). If you are a
federally recognized Indian tribe, you must comply with the
nondiscrimination provisions enumerated at 24 CFR 1000.12, as
applicable. In addition to these requirements, there may be program-
specific threshold requirements identified in the individual program
NOFAs.
(2) If you, the applicant:
(a) Have been charged with an ongoing systemic violation of the
Fair Housing Act; or
(b) Are a defendant in a Fair Housing Act lawsuit filed by the
Department of Justice alleging an ongoing pattern or practice of
discrimination; or
(c) Have received a letter of findings identifying ongoing systemic
noncompliance under Title VI of the Civil Rights Act of 1964, section
504 of the Rehabilitation Act of 1973, or section 109 of the Housing
and Community Development Act of 1974, and the charge, lawsuit, or
letter of findings referenced in subparagraphs (a), (b), or (c) above
has not been resolved to HUD's satisfaction before the application
deadline, then you are ineligible and HUD will not rate and rank your
application. HUD will determine if actions to resolve the charge,
lawsuit, or letter of findings taken before the application deadline
are sufficient to resolve the matter.
Examples of actions that would normally be considered sufficient to
resolve the matter include, but are not limited to:
(i) A voluntary compliance agreement signed by all parties in
response to a letter of findings;
(ii) A HUD-approved conciliation agreement signed by all parties;
(iii) A consent order or consent decree; or
(iv) An issuance of a judicial ruling or a HUD Administrative Law
Judge's decision.
d. Conducting Business in Accordance with Core Values and Ethical
Standards/Code of Conduct. Applicants subject to 24 CFR parts 84 or 85
(most nonprofit organizations and state, local, and tribal governments
or government agencies or instrumentalities that receive federal awards
of financial assistance) are required to develop and maintain a written
code of conduct (see 24 CFR 84.42 and 85.36(b)(3)). Consistent with
regulations governing specific programs, your code of conduct must
prohibit real and apparent conflicts of interest that may arise among
officers, employees, or agents; prohibit the solicitation and
acceptance of gifts or gratuities by your officers, employees, or
agents for their personal benefit in excess of minimal value; and
outline administrative and disciplinary actions available to remedy
violations of such standards. Before entering into an agreement with
HUD, an applicant awarded assistance under a HUD program NOFA announced
in FY2008 will be required to submit a copy of its code of conduct and
describe the methods it will use to ensure that all officers,
employees, and agents of its organization are aware of its code of
conduct. An applicant is prohibited from receiving an award of funds
from HUD if it fails to meet this requirement for a code of conduct. An
applicant who previously submitted an application 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, and if the information has not
been revised. An applicant not listed on the website must submit a copy
of its code of conduct with its FY2008 application for assistance. An
applicant must also include a copy of its code of conduct if the
information listed on the above website 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.). Any applicant that needs to may submit
its code of conduct to
[[Page 14885]]
HUD via facsimile using the form HUD-96011, ``Facsimile Transmittal''
(``Third Party Documentation Facsimile Transmittal'' on Grants.gov) at
the time of application submission. When using the facsimile
transmittal form, please type the requested information. Use the form
HUD-96011 as the cover page for the submission and include the
following header in the top line of the form under Name of Document
Being Requested: ``Code of Conduct for (insert your organization's
name, city, and state).'' Fax the information to HUD's toll-free number
at (800) 894-4047. If you cannot access the 800 number or have
problems, you may use (215) 825-8796 (this is not a toll-free number).
These are new numbers for FY2008 applications only. HUD is
transitioning to a new system for intake of grants from Grants.gov and
it needs to separate faxes received for FY2008 grants from those
received in FY2007 and prior years while it makes this transition. If
you use the wrong fax number, your fax will be entered as part of HUD's
FY2007 database. HUD cannot search its FY2007 database to match FY2008
faxes to FY2008 applications. As a result, your application will be
reviewed without faxed information if you fail to use the FY2008 fax
numbers.
e. Delinquent Federal Debts. It is HUD policy that applicants with
an outstanding federal debt will not be eligible to receive an award of
funds from the Department unless: (1) A negotiated repayment schedule
is established and the repayment schedule is not delinquent, or (2)
other arrangements satisfactory to HUD are made prior to the award of
funds by HUD.
If arrangements satisfactory to HUD cannot be completed within 90
days of notification of selection, HUD will not make an award of funds
to the applicant, but offer the award to the next eligible applicant.
Applicants selected for funding, or awarded funds, have an obligation
to report to HUD changes in status of current agreements covering
federal debt. HUD may withhold funding, terminate an award, or seek
other remedies from a grantee if a previously agreed-upon payment
schedule has not been adhered to or a new agreement with the federal
agency to which the debt is owed has not been signed.
f. Pre-Award Accounting System Surveys. HUD may arrange for a pre-
award survey of the applicant's financial management system if the
recommended applicant has no prior federal support, if HUD's program
officials have reason to question whether the applicant's financial
management system meets federal financial management standards, or if
the applicant is considered a high risk based upon past performance or
financial management findings. HUD will not disburse funds to any
applicant that does not have a financial management system that meets
federal standards. (Please see 24 CFR 84.21 if you are an institution
of higher education, hospital, or other nonprofit organization. See 24
CFR 85.20 if you are a state, local government, or federally recognized
Indian tribe).
g. Name Check Review. Applicants are subject to a name check review
process. Name checks are intended to reveal matters that significantly
reflect on the applicant's management and financial integrity,
including if any key individual has been convicted or is presently
facing criminal charges. If the name check reveals significant adverse
findings that reflect on the business integrity or responsibility of
the applicant or any key individual, HUD reserves the right to: (1)
Deny funding or consider suspension or termination of an award
immediately for cause, (2) require the removal of any key individual
from association with management or implementation of the award, and
(3) make appropriate provisions or revisions with respect to the method
of payment or financial reporting requirements.
h. False Statements. A false statement in an application is grounds
for denial or termination of an award and possible punishment, as
provided in 18 U.S.C. 1001.
i. Prohibition Against Lobbying Activities. Applicants are subject
to the provisions of section 319 of Public Law 101-121 (approved
October 23, 1989) (31 U.S.C. 1352) (the Byrd Amendment), which
prohibits recipients of federal contracts, grants, or loans from using
appropriated funds for lobbying the executive or legislative branches
of the federal government in connection with a specific contract,
grant, or loan. In addition, applicants must disclose, using Standard
Form LLL (SF-LLL), ``Disclosure of Lobbying Activities,'' any funds,
other than federally appropriated funds, that will be or have been used
to influence federal employees, members of Congress, or congressional
staff regarding specific grants or contracts. Federally recognized
Indian tribes and tribally designated housing entities (TDHEs)
established by federally recognized Indian tribes as a result of the
exercise of the tribe's sovereign power are excluded from coverage of
the Byrd Amendment, but state-recognized Indian tribes and TDHEs
established only under state law must comply with this requirement.
Applicants must submit the SF-LLL if they have used or intend to use
federal funds for lobbying activities.
j. Debarment and Suspension. In accordance with 24 CFR part 24, no
award of federal funds may be made to applicants that are presently
debarred or suspended, or proposed to be debarred or suspended, from
doing business with the federal government.
3. Other Threshold Requirements. The individual program NOFAs for
which you are applying may specify other threshold requirements.
Additional threshold requirements may be identified in the discussion
of ``eligibility'' requirements in the individual program NOFAs. If a
program NOFA requires a certification of consistency with the
Consolidated Plan and the applicant fails to provide a certification,
and such failure is not cured as a technical deficiency, HUD will not
fund the application. If HUD is provided a signed certification
indicating consistency with the area's approved Consolidated Plan and
HUD finds that the activities are not consistent with the Consolidated
Plan, HUD will not fund the inconsistent activities or will deny
funding the application if a majority of the activities are not
consistent with the approved Consolidated Plan. The determination not
to fund an activity or to deny funding may be determined by a number of
factors, including the number of activities being proposed, the impact
of the elimination of the activities on the proposal, or the percent of
the budget allocated to the proposed activities.
4. Additional Nondiscrimination and Other Requirements. Applicants
and their subrecipients must comply with:
a. Civil Rights Laws, including the Americans with Disabilities Act
of 1990 (42 U.S.C. 1201 et seq.), the Age Discrimination Act of 1974
(42 U.S.C. 6101 et seq.), and Title IX of the Education Amendments Act
of 1972 (20 U.S.C. 1681 et seq.).
b. Affirmatively Furthering Fair Housing. Under section 808(e)(5)
of the Fair Housing Act, HUD has a statutory duty to affirmatively
further fair housing. HUD requires the same of its funding recipients.
If you are a successful applicant, you will have a duty to
affirmatively further fair housing opportunities for classes protected
under the Fair Housing Act. Protected classes include race, color,
national origin, religion, sex, disability, and familial status. Unless
otherwise instructed in the individual program NOFA, your application
must include specific steps to:
[[Page 14886]]
(1) Overcome the effects of impediments to fair housing choice that
were identified in the jurisdiction's Analysis of Impediments (AI) to
Fair Housing Choice (See Certification requirements under 24 CFR
91.225);
(2) Remedy discrimination in housing; and
(3) Promote fair housing rights and fair housing choice.
Further, you, the applicant, have a duty to carry out the specific
activities provided in your responses to the individual program NOFA
rating factors that address affirmatively furthering fair housing.
These requirements apply to all HUD programs announced via a NOFA,
unless specifically excluded in the individual program NOFA.
c. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Certain programs to be issued during FY2008 require
recipients of assistance to comply with Section 3 of the Housing and
Urban Development Act of 1968 (Section 3), 12 U.S.C. 1701u (Economic
Opportunities for Low- and Very Low-Income Persons in Connection with
Assisted Projects), and the HUD regulations at 24 CFR part 135. Review
the individual program NOFAs to determine if section 3 applies to the
program for which you are seeking funding. Section 3 requires
recipients to ensure, to the greatest extent feasible, that 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 in
the area in which the project is located. The section 3 regulations at
24 CFR part 135, subpart E, impose certain reporting requirements on
recipients, including the submission of an annual report, using form
HUD-60002 or HUD's online system at: http://www.hud.gov/offices/fheo/
section3/section3.cfm.
The annual report is highly important to the Department in
determining compliance with section 3. Applicants are notified that the
Department is currently reviewing the section 3 reporting requirements
to assess whether, in FY2009, penalties should be imposed, including
ineligibility to have funds awarded, if the annual report has not been
submitted in accordance with the regulations. If the department decides
to allow this type of penalty for failure to submit the section 3
annual report, the public will be provided advance notification and
have the opportunity to comment.
d. Ensuring the Participation of Small Businesses, Small
Disadvantaged Businesses, and Women-Owned Businesses. HUD is committed
to ensuring that small businesses, small disadvantaged businesses, and
women-owned businesses participate fully in HUD's direct contracting
and in contracting opportunities generated by HUD financial assistance.
Too often, these businesses still experience difficulty accessing
information and successfully bidding on federal contracts. State,
local, and tribal governments are required by 24 CFR 85.36(e) and
nonprofit recipients of assistance (grantees and subgrantees) by 24 CFR
84.44(b) to take all necessary affirmative steps in contracting for the
purchase of goods or services to assure that minority firms, women-
owned business enterprises, and labor surplus area firms are used
whenever possible or as specified in the individual program NOFAs.
e. Real Property Acquisition and Relocation. Unless otherwise
specified by legislation or regulation, HUD-assisted programs or
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 governmentwide implementing regulations
issued by the U.S. Department of Transportation at 49 CFR part 24. The
Uniform Act's protections and assistance apply to acquisitions of real
property and displacements resulting from the acquisition,
rehabilitation, or demolition of real property for federal or federally
assisted programs or projects. With certain limited exceptions, real
property acquisitions for a HUD-assisted program or project must comply
with 49 CFR part 24, subpart B. To be exempt from the URA's acquisition
policies, real property acquisitions conducted without the threat or
use of eminent domain, commonly referred to as ``voluntary
acquisitions,'' must satisfy the applicable requirements of 49 CFR
24.101(b)(1) through (5). Evidence of compliance with these
requirements must be maintained by the recipient. The URA's relocation
requirements remain applicable to any tenant(s) who are displaced by an
acquisition and who meet the requirements of 49 CFR 24.101(b)(1)
through (5).
The relocation requirements of the Uniform Act, and its
implementing regulations at 49 CFR part 24, cover any person who moves
permanently from real property or moves personal property from real
property as a direct result of acquisition, rehabilitation, or
demolition for a program or project receiving HUD assistance. While
there are no statutory provisions for ``temporary relocation'' under
the URA, the URA regulations recognize that there are circumstances
where a person will not be permanently displaced but may need to be
moved from a project for a short period of time. Appendix A of the URA
regulation (49 CFR 24.2(a)(9)(ii)(D)) explains that any tenant who has
been temporarily relocated for a period beyond one year must be
contacted by the displacing agency and offered URA relocation
assistance. Some HUD program regulations provide additional protections
for temporarily relocated tenants. For example, 24 CFR 583.310(f)(1)
provides guidance on temporary relocation for the Supportive Housing
program for the homeless. Before planning their project, applicants
should review the regulations for the programs for which they are
applying. Generally, the URA does not apply to displacements resulting
from the demolition or disposition of public housing covered by section
18 of the United States Housing Act of 1937.
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.
f. Executive Order 13166, ``Improving Access to Services for
Persons with Limited English Proficiency (LEP).'' Executive Order 13166
seeks to improve access to federally assisted services, programs, and
benefits for individuals with limited English proficiency. Applicants
obtaining an award from HUD must seek to provide access to program
benefits and information to LEP individuals through language assistance
services, in accordance with Final Guidance to Federal Financial
Assistance Recipients Regarding Title VI Prohibition Against National
Origin Discrimination Affecting Limited English Proficient Persons
published in the Federal Register on January 22, 2007 (72 FR 2732). For
assistance and information regarding LEP obligations, go to http://
www.hud.gov/offices/fheo/promotingfh/lep.cfm. A link to the final
guidance issued in the Federal Register can be found on that page.
g. Executive Order 13279, ``Equal Protection of the Laws for Faith-
Based and Community Organizations.'' HUD is committed to full
implementation of Executive Order 13279. The Executive Order
established fundamental principles and policymaking criteria to
[[Page 14887]]
guide federal agencies in formulating and developing policies that have
implications for faith-based and community organizations to ensure the
equal protection for these organizations in social service programs
receiving federal financial assistance. Consistent with this order, HUD
has undertaken a review of all policies and regulations that have
implications for faith-based and community organizations and has
established a policy priority to provide full and equal access to
grassroots faith-based and other community organizations in HUD program
implementation. HUD revised its program regulations in 2003 and 2004 to
remove the barriers to participation by faith-based organizations in
HUD funding programs (68 FR 56396, September 30, 2003; 69 FR 41712,
July 9, 2004; and 69 FR 62164, October 22, 2004). Copies of the
regulatory changes can be found at: http://www.hud.gov/offices/adm/
grants/fundsavail.cfm.
h. Accessible Technology. Section 508 of the Rehabilitation Act
(Section 508) requires HUD and other federal departments and agencies
to ensure, when developing, procuring, maintaining, or using electronic
and information technology (EIT), that the EIT allow, regardless of the
type of medium, persons with disabilities to access and use information
and data on a comparable basis as is made available to and used by
persons without disabilities. Section 508's coverage includes, but is
not limited to, computers (hardware, software, word processing, email,
and Internet sites), facsimile machines, copiers, and telephones. Among
other things, section 508 requires that, unless an undue burden would
result to the federal department or agency, EIT must allow individuals
with disabilities who are federal employees or members of the public
seeking information or services to have access to and use information
and data on a comparable basis as that made available to employees and
members of the public who are not disabled. Where an undue burden
exists to the federal department or agency, alternative means may be
used to allow a disabled individual use of the information and data.
Section 508 does not require that information services be provided at
any location other than a location at which the information services
are generally provided. HUD encourages its funding recipients to adopt
the goals and objectives of section 508 by ensuring, whenever EIT is
used, procured, or developed, that persons with disabilities have
access to and use of the information and data made available through
the EIT on a comparable basis as is made available to and used by
persons without disabilities. This does not affect recipients' required
compliance with section 504 of the Rehabilitation Act and, where
applicable, the Americans with Disabilities Act.
i. Procurement of Recovered Materials. State agencies and agencies
of a political subdivision of a state that are using assistance under a
HUD program NOFA for procurement, and any person contracting with such
an agency with respect to work performed under an assisted contract,
must comply with the requirements of section 6002 of the Solid Waste
Disposal Act, as amended by the Resource Conservation and Recovery Act.
In accordance with section 6002, these agencies and persons must
procure items designated in guidelines of the Environmental Protection
Agency (EPA) at 40 CFR part 247 that contain the highest percentage of
recovered materials practicable, consistent with maintaining a
satisfactory level of competition, where the purchase price of the item
exceeds $10,000 or the value of the quantity acquired in the preceding
fiscal year exceeded $10,000; must procure solid waste management
services in a manner that maximizes energy and resource recovery; and
must have established an affirmative procurement program for
procurement of recovered materials identified in the EPA guidelines.
j. Participation in HUD-Sponsored Program Evaluation. As a
condition of the receipt of financial assistance under a HUD program
NOFA, all successful applicants will be required to cooperate with all
HUD staff or contractors who perform HUD-funded research or evaluation
studies.
k. Executive Order 13202, ``Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects.'' Compliance
with HUD regulations at 24 CFR 5.108 that implement Executive Order
13202 is a condition of receipt of assistance under a HUD program NOFA.
l. Salary Limitation for Consultants. FY2008 funds may not be used
to pay or to provide reimbursement for payment of the salary of a
consultant, whether retained by the federal government or the grantee,
at a rate more than the equivalent of General Schedule 15, Step 10 base
pay rate for which the annual rate for FY2008 is $124,010. The hourly
rate is $57.90.
m. OMB Circulars and Governmentwide Regulations Applicable to
Financial Assistance Programs. Certain OMB Circulars (2 CFR 225) also
apply to HUD programs in the SuperNOFA. The policies, guidance, and
requirements of OMB Circulars A-87 (Cost Principles Applicable to
Grants, Contracts and Other Agreements with State and Local
Governments), A-21 (Cost Principles for Education Institutions), A-122
(Cost Principles for 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),
and 24 CFR part 85 (Administrative Requirements for Grants and
Cooperative Agreements to State, Local, and Federally Recognized Indian
Tribal Governments) may apply to the award, acceptance, and use of
assistance under the individual program NOFAs of the SuperNOFA, and to
the remedies for noncompliance, except when inconsistent with the
provisions of HUD's appropriations act for FY2008, other federal
statutes or regulations, or the provisions of this notice. Compliance
with additional OMB circulars or governmentwide regulations may be
specified for a particular program in the Program Section of the
SuperNOFA. Copies of the OMB circulars may be obtained from http://
www.whitehouse.gov/omb/circulars/index.html, or the Executive Office of
the President Publications, New Executive Office Building, Room 2200,
Washington, DC 20503; telephone (202) 395-3080 (this is not a toll-free
number). Individuals with speech or hearing impairments may access this
number by dialing (800) 877-8339 (toll-free TTY Federal Information
Relay Service).
n. Environmental Requirements. If you become a recipient under a
HUD program that assists in physical development activities or property
acquisition, you are generally prohibited from acquiring,
rehabilitating, converting, demolishing, leasing, repairing, or
constructing property, or committing or expending HUD or non-HUD funds
for these types of program activities, until one of the following has
occurred:
(1) HUD has completed an environmental review in accordance with 24
CFR part 50; or
(2) For programs subject to 24 CFR part 58, HUD has approved a
recipient's Request for Release of Funds (form HUD-7015.15) following a
Responsible Entity's completion of an environmental review.
[[Page 14888]]
You, the applicant, should consult the individual program NOFA for
any program for which you are interested in applying to determine the
procedures for, timing of, and any modifications or exclusions from
environmental review under a particular program.
o. Conflicts of Interest. If you are a consultant or expert who is
assisting HUD in rating and ranking applicants for funding under the
SuperNOFA or future NOFAs published in FY2008, you are subject to 18
U.S.C. 208, the federal criminal conflict-of-interest statute, and the
Standards of Ethical Conduct for Employees of the Executive Branch
regulation published at 5 CFR part 2635. As a result, if you have
assisted or plan to assist applicants with preparing applications for
programs in the SuperNOFA or NOFAs published in FY2008, you may not
serve on a selection panel and you may not serve as a technical advisor
to HUD. Persons involved in rating and ranking HUD FY2008 NOFAs,
including experts and consultants, must avoid conflicts of interest or
the appearance of such conflicts. Persons involved in rating and
ranking applications must disclose to HUD's General Counsel or HUD's
Ethics Law Division the following information, if applicable: How the
selection or nonselection of any applicant under FY2008 NOFAs will
affect the individual's financial interests, as provided in 18 U.S.C.
208, or how the application process involves a party with whom the
individual has a covered relationship under 5 CFR 2635.502. The person
must disclose this information before participating in any matter
regarding a FY2008 NOFA. If you have questions regarding these
provisions or concerning a conflict of interest, you may call the
Office of General Counsel, Ethics Law Division, at (202) 708-3815 (this
is not a toll-free number).
p. Drug-Free Workplace. Applicants awarded funds from HUD are
required to provide a drug-free workplace. Compliance with this
requirement means that the applicant will:
(1) Publish a statement notifying employees that it is unlawful to
manufacture, distribute, dispense, possess, or use a controlled
substance in the applicant's workplace and that such activities are
prohibited. The statement must specify the actions that will be taken
against employees for violation of this prohibition. The statement must
also notify employees that, as a condition of employment under the
federal award, they are required to abide by the terms of the statement
and that each employee must agree to notify the employer in writing of
any violation of a criminal drug statute occurring in the workplace no
later than 5 calendar days after such violation;
(2) Establish an ongoing drug-free awareness program to inform
employees about:
(a) The dangers of drug abuse in the workplace;
(b) The applicant's policy of maintaining a drug-free workplace;
(c) Any available drug counseling, rehabilitation, or employee
maintenance programs; and
(d) The penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace;
(3) Notify the federal agency in writing within 10 calendar days
after receiving notice from an employee of a drug abuse conviction or
otherwise receiving actual notice of a drug abuse conviction. The
notification must be provided in writing to HUD's Office of
Departmental Grants Management and Oversight, Department of Housing and
Urban Development, 451 Seventh Street, SW., Room 3156, Washington DC
20410-3000, along with the following information:
(a) The program title and award number for each HUD award covered;
(b) The HUD staff contact name, telephone, and fax numbers; and
(c) A grantee contact name, telephone, and fax numbers; and
(4) Require that each employee engaged in the performance of the
federally funded award be given a copy of the drug-free workplace
statement required in item (1) above and notify the employee that one
of the following actions will be taken against the employee within 30
calendar days of receiving notice of any drug abuse conviction:
(a) Institution of a personnel action against the employee, up to
and including termination consistent with requirements of the
Rehabilitation Act of 1973, as amended; or
(b) Imposition of a requirement that the employee participate
satisfactorily in a drug abuse assistance or rehabilitation program
approved for such purposes by a federal, state, or local health, law
enforcement, or other appropriate agency.
q. Safeguarding Resident/Client Files. In maintaining resident and
client files, HUD funding recipients shall observe state and local laws
concerning the disclosure of records that pertain to individuals.
Further, recipients are required to adopt and take reasonable measures
to ensure that resident and client files are safeguarded. This includes
when reviewing, printing, or copying client files.
r. Compliance with the Federal Funding Accountability and
Transparency Act of 2006 (Pub. L. 109-282) (Transparency Act).
Applicants receiving an award from HUD should be aware of the
requirements of the Transparency Act. The Transparency Act requires the
establishment of a central website that makes information available to
the public regarding entities receiving federal financial assistance,
by not later than January 1, 2008. In fulfillment of the requirements
of the Act, OMB launched http://www.USAspending.gov in December 2007.
The website makes information available to the public on the direct
awards made by the federal government. The Transparency Act also
requires, beginning not later than January 2009, that data on subawards
be made available on the same website. In anticipation of the
implementation of this requirement, HUD is placing awardees of its
FY2008 competitive funding on notice of these requirements and note
that once implemented, grantees will be required to report their
subaward data to HUD or a central federal database. The only exceptions
to this requirement under the Act are: (i) Federal transactions below
$25,000, (ii) credit card transactions prior to October 1, 2008, (iii)
awards to entities that demonstrate to the Director of OMB that the
gross income of such entity from all sources did not exceed $300,000 in
the previous tax year of such entity, and (iv) awards to individuals.
Guidance for receiving an exception under item (iii) above has not been
finalized by OMB.
HUD is responsible for placing award information for direct
grantees on the government website. The reporting of subaward data is
the responsibility of the grantee. Grantees should be aware that the
law requires the information provided on the federal website to include
the following elements related to all subaward transactions, except as
noted above:
(1) The name of the entity receiving the award;
(2) The amount of the award;
(3) Information on the award including the transaction type,
funding agency, the North American Industry Classification System code
or Catalog of Federal Domestic Assistance (CFDA) number (where
applicable), program source, and an award title descriptive of the
purpose of each funding action;
(4) The location of the entity receiving the award and primary
location of performance under the award, including the city, state,
congressional district, and country;
(5) A unique identifier of the entity receiving the award and of
the parent entity of the recipient (the DUNS
[[Page 14889]]
number), should the entity be owned by another entity; and
(6) Any other relevant information specified by OMB.
HUD expects OMB to issue further guidance on subaward reporting
during FY2008. Based on preliminary input from the various federal
agencies, applicants should be aware that consideration is being given
to requiring the disclosure of additional data elements to help track
the flow of funding from the original federal award. Such data elements
under consideration include the tier at which the subaward was made,
the federal award number issued to the direct awardee, the dollar
amount of the federal award emanating from the direct award going to
the subawardee, as well as the total subaward amount, which could
include funds from other sources. Additional information regarding
these requirements will be issued by OMB and will be provided when
available.
IV. Application and Submission Information
A. Addresses To Request Application Package
This section describes how applicants may obtain application forms
and request technical assistance.
1. Technical Assistance and Resources for Electronic Grant
Applications
a. Grants.gov Customer Support. Grants.gov provides customer
support information on its Web site at: http://www.grants.gov/
contactus/contactus.jsp. Applicants having difficulty accessing the
application and instructions or having technical problems can receive
customer support from Grants.gov by calling (800) 518-GRANTS (this is a
toll-free number) or by sending an e-mail to support@grants.gov. The
customer support center is open from 7 a.m. to 9 p.m. eastern time,
Monday through Friday, except federal holidays. The customer service
representatives will assist applicants in accessing the information and
addressing technology issues.
b. HUD Website. The following documents and information can be
found at HUD's Web site at: http://www.hud.gov/offices/adm/grants/
fundsavail.cfm.
(1) Desktop Users Guide for Submitting Electronic Grant
Applications. HUD has published on its Web site a detailed Desktop
Users Guide that walks applicants through the electronic process,
beginning with finding a funding opportunity, completing the
registration process, and downloading and submitting the electronic
application. The guide includes helpful step-by-step instructions,
screen shots, and tips to assist applicants in becoming familiar with
submitting applications electronically.
(2) Connecting with Communities: A User's Guide to HUD Programs and
the FY2008 NOFA Process Guidebook. This guidebook to HUD programs will
be available from the HUD NOFA Information Center and at the HUD's
Funds Available Web site at: http://www.hud.gov/offices/adm/grants/
fundsavail.cfm after the publication of the SuperNOFA. The guidebook
provides a brief description of all HUD programs that have funding
available in FY2008, identifies eligible applicants for the programs,
and the program office responsible for the administration of the
program.
(3) NOFA Webcasts. HUD provides technical assistance and training
on its programs announced through its NOFAs. The NOFA broadcasts are
interactive and allow potential applicants to obtain a better
understanding of the threshold, program, and application submission
requirements for funding. Participation in this training opportunity is
free of charge and can be accessed via HUD's website. The NOFA webcast
schedule can be found via HUD's Web site at: http://www.hud.gov/
webcasts/index.cfm.
c. HUD's NOFA Information Center. Applicants that do not have
Internet access and need to obtain a copy of a NOFA can contact HUD's
NOFA Information Center, toll free, at (800) HUD-8929. Persons with
hearing or speech impairments may access this number, toll free, via
TTY by calling the Federal Information Relay Service at (800) 877-8339.
The NOFA Information Center is open between the hours of 10 a.m. and
6:30 p.m. eastern time, Monday through Friday, except federal holidays.
d. HUD Staff. HUD staff will be available to provide you with
general guidance and technical assistance about this notice or about
individual program NOFAs. However, HUD staff is not permitted to help
prepare your application. Following selection of applicants, but before
announcement of awards, HUD staff is available to assist in clarifying
or confirming information that is a prerequisite to the offer of an
award or annual contributions contract (ACC) by HUD. If you have
program-related questions, follow the instructions in section VII of
the Program Section entitled ``Agency Contact(s)'' in the program NOFA
under which you are applying.
B. Content and Form of Application Submission
1. Use of Adobe Forms Application Packages. In FY2008, HUD is using
Adobe Forms in the application packages available from Grants.gov. The
Adobe Forms packages are compatible with the Microsoft Windows Vista
operating system, Apple Macintosh computers, and Microsoft Office 2007.
For more information, see the Grants.gov Web site at: http://
www.grants.gov/assets/Vista_and_office_07_Compatibility.pdf.
2. Instructions on How to Register for Electronic Application
Submission. Applicants must submit their applications electronically
through Grants.gov. Before you can do so, you must complete several
important steps to register as a submitter. The registration process
can take approximately 2 to 4 weeks to complete. Therefore,
registration should be done in sufficient time before you submit your
application. To register, applicants must complete five sequential
steps as follows:
a. Step One: Obtain a Dun and Bradstreet Data Universal Numbering
System (DUNS). Step One of the registration process requires an
applicant to obtain a DUNS number for the organizational entity for
which it will be submitting the application. All organizations seeking
funding directly from HUD must have a DUNS number and include the
number on the form SF-424, Application for Federal Financial
Assistance, which is part of the application package. The DUNS number
is also required as part of the registration process. If your
organizational entity already has a DUNS number, it may use that
number, provided it is registered with Dun and Bradstreet (D&B) as
required by this notice. Failure to provide a DUNS number will prevent
you from obtaining an award, regardless of whether it is a new award or
renewal of an existing one. This policy is pursuant to OMB policy
issued in the Federal Register on June 27, 2003 (68 FR 38402). HUD
codified the DUNS number requirement on November 9, 2004 (69 FR 65024).
A copy of the OMB Federal Register notice and HUD's regulation
codifying the DUNS number requirement can be found at: http://
www.hud.gov/offices/adm/grants/duns.cfm. Applicants cannot submit an
application without a DUNS number.
Applicants must note that applicant information entered and used to
obtain the DUNS number will be used to pre-
[[Page 14890]]
populate the Central Contractor Registration (CCR), which is Step Two
of the registration process. Applicants should, therefore, carefully
review information entered when obtaining a DUNS number. When
registering with D&B, please be sure to use the organizational entity's
legal name used when filing a return or making a payment to the
Internal Revenue Service (IRS). Organizations should also provide the
zip code using the Zip Code plus four (Zip+4) code.
Applicants can obtain a DUNS number by calling (866) 705-5711 (this
is a toll-free number). The approximate time to get a DUNS number is 10
to 15 minutes, and there is no charge. After obtaining your DUNS
number, applicants should wait 24 to 48 hours to register with the CCR
so that its DUNS number has time to become activated in the D&B records
database.
b. Step Two: Register with the CCR. The second step of the
registration process is registering with the CCR. The CCR is the
primary vendor database for the federal government. An organization
planning to submit a grant application must register, or annually
update or renew its registration, with CCR to establish roles and IDs
for representatives that will use Grants.gov to submit electronic grant
applications. If you need assistance with the CCR registration process,
you can contact the CCR Assistance Center, 24 hours a day, 7 days a
week at (888) 227-2423 or (269) 961-5757. Applicants can also obtain
assistance online at: http://www.ccr.gov. A CCR Handbook that guides
applicants through the registration process is available on the CCR
website by clicking on ``Help.'' If you fail to update/renew your CCR
registration, your Grants.gov registration will lapse and you will not
be able to submit an application for funding. Registration, including
update/renewal, can take several weeks, because CCR compares its
records to those maintained by D&B and the IRS. If discrepancies arise,
Step Two cannot be completed until the discrepancies are resolved. For
this reason, HUD urges applicants to complete the CCR registration, or
update/renew its existing registration, immediately. Otherwise, the
CCR's check with D&B and IRS records may delay your completing the
registration process and adversely affect your ability to submit your
grant application.
The CCR registration process consists of completing a Trading
Partner Profile (TPP), which contains general, corporate, and financial
information about your organization. When completing the TPP, you will
be required to identify an eBusiness Point of Contact (eBusiness POC)
responsible for maintaining the information in the TPP and granting
authorization to individuals to serve as Authorized Organization
Representatives (AORs). An AOR is the individual who will submit the
application through Grants.gov for the applicant organization.
Applicants can check the CCR registration and eBusiness POC by going to
http://www.ccr.gov and searching by clicking on ``Search CCR.''
(1) CCR Use of D&B Information. In July 2006, CCR implemented a
policy change. Under this policy change, instead of obtaining name and
address information directly from the registrant, CCR obtains the
following data fields from D&B: Legal Business Name; Doing Business as
Name (DBA); Physical Address; and Postal Code (Zip+4). Registrants will
not be able to enter or modify these fields in CCR because they will be
pre-populated using previously registered D&B Data Universal Numbering
System (DUNS) records data. During a new registration, or when updating
a record, the registrant has a choice to accept or reject the
information provided from the D&B records. If the registrant agrees
with the D&B-supplied information, the D&B data will be accepted into
the CCR registrant record. If the registrant disagrees with the D&B-
supplied data, the registrant must go to the D&B Web site at: http://
fedgov.dnb.com/webform to modify the information contained in D&B's
records before proceeding with its CCR registration. Once D&B confirms
the updated information, the registrant must revisit the CCR website
and ``accept'' D&B's changes. Only at this point will the D&B data be
accepted into the CCR record. This process can take up to 2 business
days for D&B to send modified data to CCR, and that time frame may be
longer if data is sent from abroad.
(2) CCR EIN/TIN Validation. To complete your CCR registration and
qualify as a vendor eligible to bid for federal government contracts or
apply for federal grants, the EIN/TIN and Employer/Taxpayer Name
combination you provide in the IRS Consent Form must match exactly to
the EIN/TIN and Employer/Taxpayer Name used in federal tax matters. It
will take 1 to 2 business days to validate new and updated records
prior to becoming active in CCR. Please be sure that the data items
provided to D&B match information provided to the IRS. If the
registration in D&B and the CCR do not match the IRS information, an
error message will result. Until the discrepancies have been resolved,
your registration will not be completed. HUD recommends that applicants
carefully review their D&B and CCR registration information for
accuracy immediately upon publication of this notice. If you have
questions about your EIN/TIN, call (800) 829-4933 (toll-free number).
(3) Detailed Steps to Register with CCR. The following is a step-
by-step guide to help you register with CCR. As noted, additional
assistance is available online at http://www.ccr.gov.
(a) Go to http://www.ccr.gov. Once on the site, on the left side of
the screen, click ``Start New Registration.'' At the ``Start a New
Registration'' screen, of the three choices, please select ``I am not a
U.S. Federal Government entity.'' Click ``Continue.''
Note: CCR registration is NOT required for individuals.
Applicants should be aware that HUD does not directly fund
individuals through its NOFA process.
(b) The next screen provides review items that must be completed
before continuing in CCR. After you review the information and all
items have been completed, click ``Continue with Registration.''
(c) To begin your registration with CCR, enter your DUNS number and
click ``Next.''
(d) At the next screen, ``New Registration,'' you will be prompted
to enter your DUNS number. Then click ``Next.'' The next ``New
Registration'' screen displays your DUNS number. You will be prompted
to enter your organization information, e.g., name, address, etc. If
the information you inputted does not match that contained in the D&B
record for the DUNS number provided, the system will state: ``Try again
by correcting your input below'' or ``Contact D&B to make a change to
your D&B DUNS record.''
(e) The next page of ``New Registration'' is ``Verify Your Results
with D&B.'' Here you will be asked, ``Is this information correct?''
After ensuring the accuracy of the information, click on ``Accept/
Continue or Cancel.''
(f) If you ``Accept/Continue,'' your confirmation number will be
displayed. This is a temporary number that allows you to save your
registration as a work in progress. Print this page. Your temporary
number along with your DUNS number will let you access CCR to complete
your registration at a later date.
(g) Continuing your registration from the Confirmation page, click
``Continue.''
(h) ``How To Complete Your Registration'' is the next page. Once
you have reviewed the information and it is correct, click
``continue.''
[[Page 14891]]
(i) The ``General Information'' page is the next screen. On this
page you will need to complete all the required information.
(j) Creating a Marketing Partner ID Number (MPIN). The final step
in creating your Trading Partner Profile (TPP) requires that you create
a Marketing Partner ID Number (MPIN). The MPIN is a self-defined nine
character password that the eBusiness POC will need to access
Grants.gov to authorize an AOR to be able to submit a grant
application.
(k) Registration Notification. If your registration was submitted
successfully, you will receive two letters via regular mail or e-mail.
The first welcomes you to CCR and includes a copy of your registration.
The second contains your confidential Trading Partner Identification
Number (TPIN). Receipt of your TPIN confirms that you are successfully
registered in CCR and serves as your confidential password to change
CCR information.
(4) Current Registrants Without an MPIN. If you currently have an
active registration in CCR and you do not have an MPIN, you will need
to do the following:
(a) Access the CCR Web site at: http://www.ccr.gov. At the left
margin, click on ``Update or Renew Registration.''
(b) Select ``I am not a U.S. Federal Government entity.'' Click
``Continue.''
(c) Enter you DUNS number and TPIN.
(d) On the next page, click on the link ``Points of Contact.''
Complete all fields for the eBusiness POC and the alternate eBusiness
POC. Scroll down to the bottom of the Points of Contact page, and
create your own MPIN. Once completed, click on the ``Validate/Save''
button.
c. Step Three: Register with the Credential Provider. To safeguard
the security of your electronic information, Grants.gov utilizes a
Credential Provider to determine with a degree of assurance that
someone is really who he or she claims to be. An assigned AOR must
register with the Credential Provider to create his/her user name and
password, which are needed to submit an application with an electronic
signature via Grants.gov. To register with a Credential Provider, the
AOR must have the applicant organization's DUNS number. Your
organization will need to have your organization's DUNS number
available and be registered with the CCR to complete this process.
Since August 30, 2007, organizations have three federally approved
Credential Providers available from which to choose their
authentication services--the Agriculture Department; the Office of
Personnel Management's Employee Express; and Operational Research
Consultants, Inc. (ORC), which also provided authentication services
prior to August 30, 2007. Users who already hold a Grants.gov user name
and password through ORC will not experience much change. New users
will be able to choose from any of the three Credential Providers
available.
To register with a credential Provider go to: http://
apply07.grants.gov/apply/OrcRegister. Once you have accessed the Web
site, scroll down the page and enter the DUNS number, and click on
``Register.''
At the next screen, scroll down and select ``Get Your
Credentials.''
On the ``eAuthentication User Information'' screen,
complete and submit all information.
On the next screen you need to confirm your information
and create your own User ID and Password, then click ``Submit.'' If all
the information has been entered correctly, you will receive a notice
of ``Registration Success.''
Note: Your registration is not complete until Steps Four and
Five below are completed.
d. Step Four: Register with Grants.gov. After completing Step 3,
registering with the Credential Provider, the person(s) named by the
applicant organization to submit an application for funding on behalf
of the organization must register with Grants.gov. After the AOR
registers his or her User ID and Password with Grants.gov, the
organization's eBusiness POC will be sent an email indicating that
someone has requested authority to submit an application for the
organization and has registered as an AOR. Applicants can register with
Grants.gov at: https://apply07.grants.gov/apply/GrantsgovRegister.
e. Step Five: Granting Approval of an AOR to Submit an Application
on Behalf of the Organization. The eBusiness POC must log into the
Grants.gov Web site and give the registered AOR approval to submit an
application to Grants.gov. By authorizing the AOR to submit on behalf
of the organization, the organization is stating that the person has
the legal authority to submit the electronic application and can make a
legally binding commitment for the organization.
(1) The eBusiness POC must approve the designated AOR(s). If the
eBusiness POC does not grant authorization, Grants.gov will not accept
the application. The eBusiness POC can designate the AOR to submit
applications on behalf of the organization, at: https://
apply07.grants.gov/apply/AorMgrGetID. The registration is complete when
an AOR has been approved to submit an application on behalf of the
applicant organization by the eBusiness POC.
HUD urges applicants to check with their eBusiness POC to make sure
that they have been authorized to make a legally binding commitment for
the applicant organization when submitting the application to
Grants.gov. This is particularly important, if during the CCR
registration renewal process, the eBusiness POC for the applicant
organization has been changed. The new eBusiness POC will have to grant
authorization to all AORs. You can search the CCR registration for the
eBusiness POC by going to https://www.bpn.gov/CCRSearch/Search.aspx.
AORs can track their AOR status at any time on Grants.gov by going to
the Applicant home page at Grants.gov. In ``Quick Links,'' log in as an
applicant and enter your User Name and Password. If you have not been
granted AOR status by the eBusiness POC, you should contact the
eBusiness POC directly.
3. Instructions on How To Download an Application Package and
Application Instructions
Please note: A complete explanation on how to find and apply for
Continuum of Care grants in 2008 will be provided in a separate
Continuum of Care NOFA that will be published in two issuances in
the Federal Register subsequent to the 2008 SuperNOFA. The first
notice is expected to be published in spring 2008 and will provide
registration and information on the new Continuum of Care electronic
application process. The second notice, not expected to be available
earlier than July 2008, will contain the Notice of Funding
Availability (NOFA) for the Continuum of Care homeless assistance
programs. Notification of the availability of the registration
instructions, applications, or other information will be released
through the Grants.gov Web site. To be placed on the Grants.gov
notification service, go to http://www.grants.gov/search/
subscribeAdvanced.do.
a. The Application Package and Application Instructions. The
general process for downloading, completing, submitting, and tracking
grant application packages is described at http://www.grants.gov/
applicants/apply_for_grants.jsp. To download the application and
instructions, go to https://apply.grants.gov/forms_apps_idx.html and
enter the CFDA Number, Funding Opportunity Number, or Funding
Opportunity Competition ID for the application that
[[Page 14892]]
you are interested in. If you enter more than one criterion, you will
not find the instructions. You will then come to a page where you will
find the funding opportunity Download Application & Instructions link.
Before you can view and complete an application package, you MUST have
a compatible Adobe Reader installed. Grants.gov is currently using
Adobe Reader 8.1.2. To check which version of Acrobat you are using, go
to the Help menu in Acrobat then select ``About Acrobat,'' a text box
will appear containing an Adobe logo with a number. Under that
information, you will see another number; this is the version number of
your software (e.g., 8.1.2). If you do not have version 8.1.2, a link
to Adobe Reader 8.1.2 can be found on Grants.gov at: http://grants.gov/
help/download--software.jsp#adobe811. Adobe Reader 8.1.2 is compatible
with any version of Adobe Professional 6.0 or higher. However,
applicants who have Adobe Professional or another version of Adobe
Reader must set their default settings to Adobe Reader 8.1.2.
Grants.gov has posted instructions for resetting the default setting at
http://grants.gov/help/general_faqs.jsp#19. To test if you have the
correct Reader, go to http://www.grants.gov/applicants/
AdobeVersioningTestOnly.jsp. Applicants that need assistance can
contact the Grants.gov Contact Center by phone at 1-800-518-GRANTS or
via e-mail at: support@grants.gov.
Critical Notice: Applicants must be aware that all persons working
on the Adobe forms in the application package must work using Adobe
Reader 8.1.2 or the latest compatible version of Adobe Reader available
from Grants.gov. Please alert your staff and those working on your
application that failure to download and use the correct Adobe Reader
will result in your not being able to create or submit your application
package to Grants.gov or in your application being rejected by
Grants.gov.
Next, download the application instructions by clicking on the
Download Instructions link. The Instructions contain the General and
Program Sections for the funding opportunity, as well as forms that are
not part of the application download but are included as elements of a
complete package, as specified in the published NOFA. After you have
installed Adobe Reader 8.1.2 or the latest compatible version of Adobe
Reader available from Grants.gov, you can now download the application
by clicking on the Download Application link. Both the instructions and
application should be saved on your computer. You do not need to be
registered to download the instructions or complete the application;
however, once you have downloaded the application and intend to submit
an application, you must save it on your computer or local network
drive.
Each program NOFA also includes a checklist. Please review the
checklist in the Program Section to ensure that your application
contains all the required materials.
b. Electronic Grant Application Forms.
(1) Forms contained in the Instructions download are available in
Microsoft Office Word 2003 (.doc), Microsoft Office Excel 2003 (.xls),
or Adobe (.pdf) formats. The .pdf files are only fillable forms and
cannot be saved locally, unless you have Adobe Professional software
version 6.0 or higher.
(2) To open the Application download, you must first install Adobe
Reader 8.1.2. During the download process, the application
automatically opens, unless you do not have the correct version of the
Adobe software installed, in which case the application will not open
and you will get an error message telling you to first install the
correct version of the software. If you get an error message, follow
the instructions in paragraph IV.B.3. Instructions on How to Download
an Application Package and Application Instructions. The Application
download will contain a cover page entitled ``Grant Application
Package.'' The cover page provides information regarding the
application package you have chosen to download, i.e., Opportunity
Title, Agency Name, CFDA Number, etc. Review this information to ensure
that you have selected the correct application. The Grant Application
cover page separates the required forms into two categories:
``Mandatory Documents'' and ``Optional Documents.'' To complete a form
from either the ``Mandatory Documents'' or Optional Documents,'' you
must first highlight and move the form over to the ``Submission'' box
and then open the form. This is a change in procedure from previous
years.
(3) Please note that regardless of the box in which the forms are
listed, the published Federal Register document is the official
document HUD uses to solicit applications. Therefore, applicants should
follow the instructions provided in the General Section and Program
Sections of the Instructions download. The individual NOFA sections
will also identify the forms that may be applicable and that need to be
submitted with the application.
(4) Because you will be adding additional attachment files to the
downloaded application, applicants should save the application to their
local computer or network drive. Do not download the application or
attempt to upload the application using a USB flash drive (also called
a ``key drive,'' ``thumb,'' or ``jump drive''), as Grants.gov has found
that applicants have problems uploading applications and attachments
from a USB flash drive. Be sure to read and follow the application
submission requirements published in each individual NOFA for which you
are submitting an application. Each program NOFA will identify all the
required forms and other required information for submission.
(5) HUD's standard forms are identified below:
(a) Application for Federal Financial Assistance (SF-424);
(b) Faith-Based EEO Survey (SF-424 Supplement, Survey on Ensuring
Equal Opportunities for Applicants), if applicable;
(c) HUD Detailed Budget (HUD-424-CB, Grant Application Detailed
Budget);
(d) Grant Application Detailed Budget Worksheet (HUD-424-CBW);
(e) Disclosure of Lobbying Activities (SF-LLL), if applicable;
(f) HUD Applicant Recipient Disclosure Report (HUD-2880, Applicant/
Recipient Disclosure/Update Report);
(g) Certification of Consistency with RC/EZ/EC-II Strategic Plan
(HUD-2990), if applicable;
(h) Certification of Consistency with the Consolidated Plan (HUD-
2991), if applicable;
(i) Acknowledgment of Application Receipt (HUD-2993);
(j) You Are Our Client Grant Applicant Survey (HUD 2994-A)
(Optional);
(k) Program Outcome Logic Model (HUD-96010);
(l) HUD Race Ethnic Form (HUD-27061), if applicable;
(m) HUD Communities Initiative (HUD-27300, Questionnaire for HUD's
Removal of Regulatory Barriers), if applicable; and
(n) HUD Facsimile Transmittal (HUD-96011, Third Party Documentation
Facsimile Transmittal).
All HUD ``program-specific'' forms not available at the Application
download will be available in the Instructions download in Microsoft
Word Office 2003 (.doc), Microsoft Excel Office 2003 (.xls), or Adobe
(.pdf) format, compatible with Adobe Reader 8.1.2. The PDF forms are
fillable but not savable, unless you have Adobe Professional 6.0 or
higher. Applicants
[[Page 14893]]
may use the HUD-96011, ``Third Party Documentation Facsimile
Transmittal'' (``HUD Facsimile Transmittal'' on Grants.gov) form and
fax to HUD any forms they have completed but cannot save.
4. Instructions on How to Complete the Selected Grant Application
Package
a. Mandatory Fields on Application Download Forms. Forms in the
Application download contain fields with a yellow background. These
data fields are mandatory and must be completed. Failure to complete
the fields will result in an error message when checking the package
for errors.
b. Completion of SF-424 Fields First. The forms in the application
package are designed to automatically populate common data such as the
applicant name and address, DUNS number, etc. In order to trigger this
function, the SF-424 must be completed first. Once applicants complete
the SF-424, the entered information will transfer to the other forms.
c. Submission of Narrative Statements, Third-Party Letters,
Certifications, and Program-Specific Forms. In addition to program-
specific forms, many of the NOFAs require the submission of other
documentation, such as third-party letters, certifications, or program
narrative statements. This section discusses how you should submit this
additional information electronically as part of your application:
(1) Narrative Statements to the Factors for Award. If you are
required to submit narrative statements, you must submit them as an
electronic file in Microsoft Word Office 2007 (or earlier) (.doc),
Microsoft Excel 2007 (or earlier) (.xls) or in Adobe (.pdf) format that
is compatible with Adobe Reader 8.1.2. If HUD receives a file in a
format or software other than those specified or that is not compatible
with HUD software, HUD will not be able to read the file, and it will
not be reviewed. Each response to a Factor for Award should be clearly
identified and can be incorporated into a single attachment or all
attachments can be zipped together into a single attached ZIP file.
However, HUD advises applicants that files zipped within zipped files
cause problems. Applicants should develop files, then zip the files
together, and then place them as an attachment to the application. If
you have any questions, you can contact the NOFA Information Center or
the HUD program contact listed in the program NOFA. Documents that
applicants possess in electronic format, e.g., narratives they have
written, must be submitted as Microsoft documents; graphic images (such
as computer aided design (CAD) files from an architect) must be saved
in PDF format. The documents must be compatible with Adobe Reader 8.1.2
or an earlier version and attached using the ``Attachments'' form
included in the application package downloaded from Grants.gov. In
addition, some NOFAs may request photographs. If this is the case, then
the photographs should be saved in .jpg or .jpeg format and attached
using the attachments form. When creating attachments to your
application, please follow these rules:
(a) DO NOT attach a copy of the electronic application with your
attachments as an attachment file. HUD cannot open such files when the
application is attached as an attachment file.
(b) Check the attachment file and make sure it has a file extension
of .doc, .pdf, .xls, .jpg, or .jpeg. If you save files in Microsoft
Office 2007, the file extensions should be as follows:
Word 2007 File Type Extension
docx--Word 2007 XML Document
Excel 2007 File Type Extension
xlsx--Excel 2007 XML Workbook
PowerPoint 2007 File Extension Type
pptx--PowerPoint 2007.
(c) Make sure that file extensions are not in upper case. File
extensions must be lower case for the file to be opened. The software
will automatically insert the correct file extension when saved.
(d) DO NOT adjust file extensions to try to make them conform to
HUD standards. If you have problems, please contact the HUD contact
listed in the NOFA.
(e) DO NOT use special characters (i.e., , %, /, etc.) in
a file name.
(f) DO NOT include spaces in the file name.
(g) Limit file names to not more than 50 characters.
(2) ZIP Files. In order to reduce the size of attachments,
applicants can compress several files using a ZIP utility. Applicants
can then attach the zipped file as described above. HUD's standard zip
utility is WinZip. Files compressed with the WinZip utility must use
either the ``Normal'' option or ``Maximum (portable)'' option available
to ensure that HUD is able to open the file. Files received using
compression methods other than ``Normal'' or ``Maximum (portable)''
cannot be opened and will not be reviewed. Applicants should be aware
that if HUD receives files compressed using another utility, or not in
accord with these directions, it cannot open the files and, therefore,
such files will not be reviewed.
(3) Third-Party Letters, Certifications Requiring Signatures, and
Other Documentation. Applicants required to submit third-party
documentation (e.g., establishing matching or leveraged funds,
documentation of 501(c)(3) status or incorporation papers, documents
that support the need for the program, memorandums of understanding
(MOUs), or program-required documentation that supports your
organization's claims regarding work that has been done to remove
regulatory barriers to affordable housing) can choose from the
following two options as a way to provide HUD with the documentation:
(a) Scanning Documents to Create Electronic Files. Scanning
documents increases the size of files. If your computer has the
capacity to upload scanned documents, submit your documents with the
application by using the Attachments form in the Mandatory or Optional
Forms section of the application. If your computer does not have the
memory to upload scanned documents, you should submit them via fax, as
described below. Electronic files must be labeled so that the recipient
at HUD will know what the file contains. Program NOFAs will indicate
any naming conventions that applicants must use when submitting files
using the Attachments form.
(b) Faxing Required Documentation. Applicants may fax the required
documentation as program-specific forms to HUD. Applicants should use
this method only when documents cannot be attached to the electronic
application package as a .pdf, .doc, .xls, .jpeg, or .jpg, or when the
size of the submission is too large to upload from the applicant's
computer. HUD will not accept entire applications by fax and will
disqualify applications submitted entirely in that manner.
(i) Fax Form HUD-96011, ``Third Party Documentation Facsimile
Transmittal'' (HUD Facsimile Transmittal on Grants.gov). Facsimiles
submitted in response to a NOFA must use the form HUD-96011. The
facsimile transmittal form, found in the downloaded application,
contains a unique identifier that allows HUD to match an applicant's
submitted application via Grants.gov with faxes coming from a variety
of sources. Each time the application package is downloaded, the forms
in the package are given a unique ID number. To ensure that all the
forms in your package contain the same unique ID number, after
downloading your application, complete the SF-424, save the forms to
your hard drive, and use the saved forms to create your
[[Page 14894]]
application. When you have downloaded your application package from
Grants.gov, be sure to first complete the SF-424, and then provide
copies of the form HUD-96011 to third parties that will submit
information in support of your application. Do not download the same
application package from Grants.gov more than once, because if your
application submission does not match the unique identifier on the
facsimile transmittal form, HUD will not be able to match the faxes
received to your application submission. Faxes that cannot be matched
to an application will not be considered in the review process.
If you have to provide a copy of the form HUD-96011 to another
party that will be responsible for faxing an item as part of your
application, make a copy of the facsimile transmittal cover page from
your downloaded application and provide that copy to the third party
for use with the fax transmission. Please instruct third parties to use
the form HUD-96011 that you have provided as a cover page when they
submit information supporting your application using the facsimile
method, because it contains the embedded ID number that is unique to
your application submission.
(ii) Use form HUD-96011 as the Fax Cover Page. For HUD to correctly
match a fax to a particular application, the applicant must use, and
require third parties that fax documentation on its behalf to use, the
form HUD-96011 as the cover page of the facsimile. Using the form HUD-
96011 will ensure that HUD can electronically read faxes submitted by
and on behalf of an applicant and can match them to the applicant's
application package received via Grants.gov.
Failure to use the form HUD-96011 as the cover page will create a
problem in electronically matching your faxes to the application. If
HUD is unable to match the faxes electronically due to an applicant's
failure to follow these directions, HUD will not hand-match faxes to
applications and will not consider the faxed information in rating the
application. If your facsimile machine automatically creates a cover
page, turn this feature off before faxing information to HUD.
(iii) HUD Fax Number. Applicants and third parties submitting
information on their behalf must use the form HUD-96011 facsimile
transmittal cover page and must send the information to the following
fax number: (800) 894-4047. If you cannot access the toll-free 800
number or experience problems, you may use (215) 825-8796 (this is not
a toll-free number). These are new numbers for FY2008 applications
only. HUD is transitioning to a new system for intake of grants from
Grants.gov and it needs to separate faxes received for FY2008 grants
from those received in FY2007 and prior years while it makes this
transition. If you use the wrong fax number, your fax will be entered
as part of HUD's FY2007 database. HUD cannot search its FY2007 database
to match FY2008 faxes to FY2008 applications. As a result, your
application will be reviewed without faxed information if you fail to
use the FY2008 fax numbers.
(iv) Fax Individual Documents as Separate Transmissions. It is
highly recommended that applicants fax individual documents as separate
submissions to avoid fax transmission problems. When faxing two or more
documents to HUD, applicants must use the form HUD-96011 as the cover
page for each document (e.g., Letter of Matching or Leveraging Funds,
Memorandum of Understanding, Certification of Consistency with the
Consolidated Plan, etc.). Please be aware that faxing large documents
at one time may result in transmission failures.
(v) Check Accuracy of Fax Transmission. Be sure to check the record
of your transmission issued by the fax machine to ensure that your fax
submission was completed ``OK.'' For large or long documents, HUD
suggests that you divide them into smaller sections for faxing
purposes. Each time you fax a document that you have divided into
smaller sections, you should indicate on the cover sheet what part of
the overall section you are submitting (e.g., ``part 1 of 4 parts'' or
``pages 1 to 10 of 20 pages'').
Your facsimile machine should provide you with a record of whether
HUD received your transmission. If you get a negative response or a
transmission error, you should resubmit the document until you confirm
that HUD has received your transmission. HUD will not acknowledge that
it received a fax successfully. When receiving a fax electronically,
HUD will electronically read it with an optical character reader and
attach it to the application submitted through Grants.gov. Applicants
and third parties submitting information on their behalf may submit
information by facsimile at any time before the application deadline
date. Applicants must ensure that the form HUD-96011 used to fax
information is part of the application package downloaded from
Grants.gov. As stated previously, if your facsimile machine
automatically generates a cover page, you must ensure that you turn
that feature off and use the form HUD-96011 as the cover page. Also
ensure that the fax is transmitted to fit 8\1/2\ x
11 letter size paper.
(vi) Preview your Fax Transmission. HUD recommends that you
``preview'' how your fax will be transmitted by using the copy feature
on your facsimile machine to make a copy of the first two or three
pages. You will see what HUD will receive as a fax. If the fax is not
clear or cuts off at the bottom of the page, applicants should use a
different facsimile machine or have the machine adjusted. All faxed
materials must be received no later than 11:59:59 p.m. eastern time on
the application deadline date. HUD will store the information and match
it to the electronic application when HUD receives it from Grants.gov.
If you are not faxing any documents: Even though you are not faxing any
documents, you must still complete the facsimile transmittal form. In
the section of the form titled ``Name of Document Transmitting,'' enter
the words ``Nothing Faxed with this Application.'' Complete the
remaining highlighted fields and enter the number ``0'' in the section
of the form titled ``How many pages (including cover) are being
faxed?''
(vii) If You Resubmit an Application. If you resubmit an
application you must resubmit all faxed materials. To ensure that the
resubmitted faxes are associated to your most recent application
submission, you must wait until after your application has been
validated by Grants.gov and you receive the validation notification. If
your application is not received by HUD prior to the receipt of your
resubmitted faxes, the faxes will be electronically associated to the
application in HUD's back-end system, not to the application that you
resubmitted to Grants.gov that is still being processed for agency
receipt. Please be aware that the resubmitted application must be
received and validated by Grants.gov prior to the deadline date and
time and that all faxed materials must be received by HUD by the
deadline date and time.
6. Steps to Take Before You Submit Your Application. You should
review the application package and all the attachments to make sure it
contains all the documents you want to submit. If it does, save it to
your computer and remove previously saved versions. Check your AOR
status on Grants.gov to make sure your eBusiness POC has authorized you
to submit an application on behalf of the applicant organization. Run
the Check Package for Errors feature on the application package and
correct any problems identified. Contact any persons or entities that
were to submit third-party faxes to make sure that the faxes have been
submitted using
[[Page 14895]]
the facsimile cover page that you provided in accordance with
instructions in this General Section.
C. Submission Dates and Times
Applications submitted through 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. Validation can take up to 48 hours from the
time of submission, depending on file size and what is in the queue at
Grants.gov awaiting validation. There are several steps in the upload,
receipt, and validation process, so 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 problems can
be addressed prior to the deadline date and time. Submitting at least
72 hours in advance of the deadline will allow an applicant that
receives a Grants.gov rejection notice to correct any issues, timely
resubmit the application with the errors corrected, and then have
adequate time for the validation to occur prior to the deadline date.
HUD also recommends uploading your application using Internet Explorer
or Netscape.
1. Confirmation of Submission to Grants.gov. When you successfully
upload an application to Grants.gov, you will receive a confirmation
message on your computer screen that your application has been
submitted to Grants.gov and is being processed. This confirmation will
include a tracking number. Print this confirmation out and save it for
your records. If you submitted multiple applications, check your
confirmation to each application submitted. The grant number, CFDA, and
Funding Opportunity number, as well as the date and time of submission,
will appear on the confirmation. If you do not receive this
confirmation, it means that your application has not been successfully
uploaded. If your screen goes blank or you have problems uploading, you
need to immediately call Grants.gov support at (800) 518-GRANTS for
assistance (this is a toll-free number).
2. Application Submission Validation Check. The application will
then go through a validation process. The validation check ensures
that:
a. The application is virus free;
b. The application meets the deadline requirements established for
the funding opportunity;
c. The DUNS number submitted on the application matches the DUNS
number in the registration, and that the AOR has been authorized to
submit the application for funding by the organization identified by
its DUNS number;
d. All the mandatory (highlighted) fields and forms were completed
on the application; and
e. The correct version of Adobe Reader was used in completing the
application package forms.
3. Application Validation and Rejection Notification. If the
application fails any of the above items during the validation check,
the application package will be rejected and Grants.gov will send an e-
mail to the person denoted by the applicant in the registration process
to receive e-mail notifications from Grants.gov. The e-mail will
indicate that the application has been rejected. The e-mail will
include the reasons why the application was rejected. The validation
check can occur 24 to 48 hours after the application submission.
Therefore, HUD recommends that all applicants submit their application
no later than 72 hours before the deadline. That way, if the
application fails the validation process, applicants should have time
to cure deficiencies in their application before the deadline. In
developing the application submission dates, HUD has considered the
validation process and established deadline dates for all NOFAs that
take into account the 72 hours needed to complete the validation
process. For example, where HUD previously provided a 60-day
application period, HUD now provides a 63-day application period. In
this scenario, however, in order to meet the validation requirement,
your application must be submitted 72 hours prior to the deadline date
or on the 60th day.
4. Timely Receipt Requirements and Proof of Timely Submission
a. Proof of Application Submission. Proof of timely submission and
validation is automatically recorded by Grants.gov. An electronic time
stamp is generated within the system when the application has been
successfully received and validated.
b. Confirmation Receipt. Upon submitting an application at
Grants.gov, you will receive a confirmation, which advises that your
application is being processed. This confirmation will also include the
Grants.gov tracking number. Print the confirmation and save it with
your records.
c. Validation Receipt via E-mail. Within 24 to 48 hours after
receipt of the confirmation, the applicant will receive a validation
receipt via e-mail. The receipt indicates that the application has
passed the validation review at Grants.gov and that the application is
ready to be retrieved by the grantor agency for agency processing.
Please be aware that the Grants.gov validation does not indicate that
the grantor agency has reviewed the content of your application;
rather, the validation merely indicates that the application has been
successfully received and is ready for pickup by the grantor agency.
d. Rejection Notice. If an application fails the validation
process, the applicant will receive a rejection notice within 24 to 48
hours after the confirmation notice. The applicant should review the
rejection notice because it will include the reason for rejection. The
applicant should try to cure the deficiencies and resubmit the
application as soon as possible prior to the deadline. By submitting
the application 72 hours prior to the deadline, applicants who have
completed their registration should have sufficient time to cure the
reasons for rejection and successfully resubmit their application in
time to meet the deadline.
e. Save and File Receipts. Applicants should save all receipts from
Grants.gov, as well as facsimile receipts, for proof of timely
submission. Applicants will be considered as meeting the deadline date
requirements when Grants.gov has received and validated your
application no later than the deadline date and time, and when all fax
transmissions have been received by the deadline date and time.
f. Grants.gov Support Ticket Numbers. If you call the Grants.gov
Support Help Desk the operator will provide you with a call reference
ticket number. Applicants should retain a record of the call ticket
number(s) along with the application receipts received from Grants.gov.
5. Submission Tips
a. Delayed Transmission Time. Applicants using dial-up connections
should be aware that transmitting your application takes extra time
before Grants.gov receives it. Grants.gov will provide either an error
or a successfully received transmission message. The Grants.gov Help
Desk reports that some applicants abort the transmission because they
think that nothing is occurring during the transmission process. Please
be patient and give the system time to process the application.
Uploading and transmitting a large file, particularly electronic forms
with associated eXtensible mark-up language (XML) schema, will take
considerable time to process and be received by Grants.gov. However,
the upload even for large files should not take longer
[[Page 14896]]
than one hour. If you are still waiting after one hour for the
submission to be uploaded to Grants.gov, stop the transmission and
check the available disk space and memory on your computer. HUD has
found that difficulty in uploading an application from the applicant's
desktop is most frequently due to: (1) The application package being
too large to be handled by the applicant's computer; (2) the local
entity's network limiting the size of files going in or out; or (3) the
Internet service provider having a file size limit. Therefore, in such
instances, the application should be reduced in size by removing
attachment files and submitting the attachments via the facsimile
method, using the form HUD-96011 as the cover page. The application
without attachments should be uploaded to Grants.gov. HUD will match
applications submitted to Grants.gov with facsimiles that have been
transmitted following the directions in this notice.
b. Ensure You Have Installed the Free Grants.gov Software. Check to
ensure that the latest version of the Adobe Reader software available
from Grants.gov, which is free for system users, has been properly
installed on your computer. Applicants will find a link to the free
software for download at the Download Application page for the funding
opportunity available on Grants.gov. HUD has found that an improper
installation or not using the required version of the Adobe Reader
8.1.2 software will result in an application not being able to upload
properly. If you are not sure how to determine if the software is
properly installed go to http://www.grants.gov/applicants/
AdobeVersioningTestOnly.jsp or call the Grants.gov Support Desk. If you
are operating your computer through a network, contact your system
administrator to download the latest software. Please allow sufficient
time for your network system administrator to respond to your request.
6. Late applications. Applications validated by Grants.gov after
the established deadline for the program will be considered late and
will not receive funding consideration. Applicants should pay close
attention to these submission and timely receipt instructions, as they
can make a difference in whether HUD will accept your application for
funding consideration. Similarly, HUD will not consider information
submitted by facsimile as part of the application if received by HUD
after the established deadline. Please take into account the
transmission time required for submitting your application via the
Internet and the time required to fax any related documents. HUD
suggests that applicants submit their applications during the operating
hours of the Grants.gov Help Desk so that, if there are questions
concerning transmission, operators will be available to assist you
through the process. Submitting your application early and during the
Help Desk hours will also ensure that you have sufficient time for the
application to complete its transmission before the application
deadline. If you try to submit your application after the Grants.gov
Support Help Desk closes, please refer to HUD's Desktop Users Guide for
Submitting Electronic Grant Applications found at: http://www.hud.gov/
offices/adm/grants.
7. Continuum of Care Application Submission. Applicants under the
Continuum of Care program should follow the directions for application
submission and timely receipt that are contained in the Continuum of
Care NOFA, to be issued at a later date.
D. Intergovernmental Review/State Points of Contact (SPOC)
Executive Order 12372, ``Intergovernmental Review of Federal
Programs,'' was issued to foster intergovernmental partnership and
strengthen federalism by relying on state and local processes for the
coordination and review of federal financial assistance and direct
development. HUD implementing regulations are published at 24 CFR part
52. The executive order allows each state to designate an entity to
perform a state review function. Applicants can find the official
listing of SPOCs for this review process at http:// www.whitehouse.gov/
omb/grants/spoc.html. States not listed on the Web site have chosen not
to participate in the intergovernmental review process and, therefore,
do not have a SPOC. If your state has a SPOC, you should contact the
SPOC to see if it is interested in reviewing your application before
you submit it to HUD.
Please make sure that you allow ample time for this review when
developing and submitting your application. If your state does not have
a SPOC, you can submit your application directly to HUD using
Grants.gov.
E. Funding Restrictions
The individual program NOFAs will describe any funding restrictions
that apply to each program.
F. Other Submission Requirements
1. Discrepancies Between the Federal Register and Other Documents
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, at http://www.grants.gov, or at HUD's Web site, the
Federal Register publication prevails. Please be sure to review your
application submission against the requirements in the Federal Register
for the program NOFA or NOFAs to which you are applying. If you note
discrepancies, please notify HUD immediately by calling the program
contact listed in the NOFA, or the Office of Departmental Grants
Management at (202) 708-0667 (this is not a toll-free number).
2. Application Certifications and Assurances
Applicants are placed on notice that by signing (either through
electronic submission or in paper copy submission, for those applicants
granted a waiver to submit in paper) the SF-424 cover page:
a. The governing body of the applicant's organization has duly
authorized the application for federal assistance. In addition, by
signing or electronically submitting the application, the AOR certifies
that the applicant:
(1) Has the legal authority to apply for federal assistance and has
the institutional, managerial, and financial capacity (including funds
to pay for any non-federal share of program costs) to plan, manage, and
complete the program as described in the application;
(2) Will provide HUD with any additional information it may
require; and
(3) Will administer the award in compliance with requirements
identified and contained in the NOFA (General and Program sections), as
applicable to the program for which funds are awarded and in accordance
with requirements applicable to the program.
b. No appropriated federal funds have been paid or will be paid, by
or on behalf of the applicant, to any person for influencing or
attempting to influence an officer or employee of any agency, a member
of Congress, or an employee of a member of Congress, in connection with
this application for federal assistance or any award of funds resulting
from the submission of this
[[Page 14897]]
application for federal assistance or its extension, renewal,
amendment, or modification. If funds other than federal appropriated
funds have been or will be paid for influencing or attempting to
influence the persons listed above, the applicant agrees to complete
and submit SF-LLL, Disclosure of Lobbying Activities, as part of its
application submission package. The applicant further agrees to and
certifies that it will require similar certification and disclosure of
all subawards at all tiers, including subgrants and contracts.
c. Federally recognized Indian tribes and tribally designated
housing entities (TDHEs) established by a federally recognized Indian
tribe, as a result of the exercise of the tribe's sovereign power, are
excluded from coverage by item b. (also known as the Byrd Amendment).
However, state-recognized Indian tribes and TDHEs established under
state law are not excluded from the statute's coverage and, therefore,
must comply with item b. above.
By submitting an application, the applicant affirms its awareness
of these certifications and assurances. The AOR submitting the
application is affirming that these certifications and assurances are
material representations of the facts upon which HUD will rely when
making an award to the applicant. If it is later determined that the
signatory to the application submission knowingly made a false
certification or assurance or did not have the authority to make a
legally binding commitment for the applicant, the applicant may be
subject to criminal prosecution, and HUD may terminate the award to the
applicant organization or pursue other available remedies.
3. Waiver of Electronic Submission Requirements
The regulatory framework for HUD's electronic submission
requirement is the final rule established in 24 CFR 5.1005. Applicants
seeking a waiver of the electronic submission requirement must request
a waiver in accordance with 24 CFR 5.1005. HUD's regulations allow for
a waiver of the electronic submission requirement for good cause. If
the waiver is granted, the applicable program office's response will
include instructions on how many copies of the paper application must
be submitted, as well as how and where to submit them. Applicants that
are granted a waiver of the electronic submission requirement will not
be afforded additional time to submit their applications. The deadlines
for applications will remain as provided in the program section of the
NOFA and the final Appendix A published for the SuperNOFA program
sections. As a result, applicants seeking a waiver of the electronic
application submission requirement should submit their waiver request
with sufficient time to allow HUD to process and respond to the
request. Applicants should also allow themselves sufficient time to
submit their application so that HUD receives the application by the
established deadline date. For this reason, HUD strongly recommends
that if an applicant finds it cannot submit its application
electronically and must seek a waiver of the electronic grant
submission requirement, it should submit the waiver request to the HUD
program office designated in the applicable program NOFA no later than
15 days before the application deadline. To expedite the receipt and
review of such requests, applicants may e-mail their requests to the
program contact listed in the program NOFA. If HUD does not have
sufficient time to process the waiver request, a waiver will not be
granted. Paper applications received without a prior approved waiver
and/or after the established deadline date will not be considered.
V. Application Review Information
A. Criteria
1. Factors Used To Evaluate and Rate Applications
For each program NOFA, the points awarded for the rating factors
total 100, with a possibility of up to 2 bonus points, as specified
below:
a. RC/EZ/EC-II. 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
U.S. 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. For ease of reference in this notice, all of the
federally designated areas are collectively referred to as ``RC/EZ/EC-
IIs'' and residents of any of these federally designated areas as ``RC/
EZ/EC-II residents.'' The individual funding announcements will
indicate if the bonus points are available under the program. This
notice contains a certification that must be completed for the
applicant to be considered for RC/EZ/EC-II bonus points. Applicants can
obtain a list of RC/EZ/EC-IIs from HUD's grants Web page at: http://
www.hud.gov/offices/adm/grants/fundsavail.cfm. Applicants can determine
if their program or project activities are located in one of these
designated areas by using the locator on HUD's website at http://
egis.hud.gov/egis/.
b. The Five Standard Rating Factors for FY2008. HUD has established
the following five standard factors for awarding funds under the
majority of its FY2008 program NOFAs. When providing information to HUD
in response to Rating Factor 1, Capacity, applicants should not include
Social Security numbers on any resumes submitted to HUD.
Factor 1: Capacity of the Applicant and Relevant Organizational
Staff.
Factor 2: Need/Extent of the Problem.
Factor 3: Soundness of Approach.
Factor 4: Leveraging Resources.
Factor 5: Achieving Results and Program Evaluation.
In FY2008, HUD is establishing standardized points for evaluating
Logic Models submitted under Rating Factor 5, Achieving Results and
Program Evaluation. The decision to standardize this rating factor
resulted from review of submitted Logic Models and rating factor
narrative statements, and training sessions held with HUD staff and the
applicant community.
By standardizing the rating for the Logic Model submission, HUD
believes that a greater understanding will be gained on the use and
relationship of the Logic Model to information submitted as part of the
Rating Factors for award. The standardization of the Logic Model
submission in Rating Factor 5 highlights the relationship between the
narratives produced in response to the factors for award, stated
outputs and outcomes, and discrepancies or gaps that have been found to
exist in submitted Logic Models. HUD also believes that the
standardization will strengthen the use of the Logic Model as a
management and evaluation tool.
The Logic Model is a tool that integrates program operations and
program accountability. It links program operations (mission, need,
intervention, projected results, actual results), and program
accountability (measurement tool, data source, and frequency of data
collection and reporting, including personnel assigned to function).
Applicants/grantees should use it to support program planning,
monitoring, evaluation, and other management functions.
[[Page 14898]]
HUD uses the Logic Model and its electronic version, the eLogic
ModelTM, to capture an executive summary of the application
submission in data format, which HUD uses to evaluate the attainment of
stated applicant goals and anticipated results. HUD also uses the data
for policy formulation.
HUD encourages applicants and those selected for award to use the
Logic Model data to monitor and evaluate their own progress and
effectiveness in meeting stated goals and achieving results consistent
with the program purpose. To further this objective, and in response to
grantee requests, for FY2008 HUD has added an additional column to the
eLogic Model that allows the grantee to input results achieved for the
reporting period, as well as Year-To-Date (YTD) for each year of the
award. This will allow the grantee to review performance each reporting
period and for each year of the award ``at a glance,'' and without
having to construct a report. For further information, see the
Instructions in the FY2008 eLogic Model, form HUD-96010. HUD's goal is
to measure the effectiveness of programs and ensure that housing,
economic development programs, and services provided by HUD funds
provide maximum benefit to low- and moderate-income persons in
communities nationwide.
Factor 5, Achieving Results and Program Evaluation, will consist of
10 points for the Logic Model submission. Program areas can add up to
an additional 5 points for responses to particular programmatic
questions to be addressed as part of this factor. The matrix provided
in Attachment 1 of this General Section identifies how the Logic Model
will be rated in a standardized way across program areas. Training on
the rating factor will be provided via satellite broadcast and archived
on HUD's website for repeat viewing.
Additional details about the five rating factors and the maximum
points for each factor are provided in the program NOFAs. For a
specific funding opportunity, HUD may modify these factors to take into
account explicit program needs or statutory or regulatory limitations.
Applicants should carefully read the factors for award as described in
the program NOFA to which they are responding.
The Continuum of Care Homeless Assistance programs have only two
factors that receive points: (1) Need and (2) Continuum of Care.
Additional information will be available in the Continuum of Care NOFA
to be published in the Federal Register after publication of the FY2008
SuperNOFA.
c. Additional Criteria: Past Performance. In evaluating
applications for funding, HUD will take into account an applicant's
past performance in managing funds, including, but not limited to, the
ability to account for funds appropriately; timely use of funds
received either from HUD or other federal, state, or local programs;
timely submission and quality of reports to HUD; meeting performance
targets as established in Logic Models approved as part of the grant
agreement; timelines for completion of activities and receipt of
promised matching or leveraged funds; and the number of persons to be
served or targeted for assistance. HUD may consider information
available from HUD's records; the name check review; public sources
such as newspapers, Inspector General or Government Accountability
Office reports or findings; or hotline or other complaints that have
been proven to have merit.
In evaluating past performance, HUD may elect to deduct points from
the rating score or establish threshold levels as specified under the
Factors for Award in the individual program NOFAs. Each program NOFA
will specify how past performance will be rated.
B. Reviews and Selection Process
1. HUD's Strategic Goals to Implement HUD's Strategic Framework and
Demonstrate Results
HUD is committed to ensuring that programs result in the
achievement of HUD's strategic mission. To support this effort, grant
applications submitted for HUD programs will be rated on how well they
tie proposed outcomes to HUD's policy priorities and annual goals and
objectives, as well as the quality of the applicant's proposed
evaluation and monitoring plans. HUD's strategic framework establishes
the following goals and objectives for the Department:
a. Increase Homeownership Opportunities
(1) Expand national homeownership opportunities.
(2) Increase minority homeownership.
(3) Make the homebuying process less complicated and less
expensive.
(4) Reduce predatory lending practices through reform, education,
and enforcement.
(5) Help HUD-assisted renters become homeowners.
(6) Keep existing homeowners from losing their homes.
b. Promote Decent Affordable Housing
(1) Expand access to and the availability of decent, affordable
rental housing.
(2) Improve the management accountability and physical quality of
public and assisted housing.
(3) Improve housing opportunities for the elderly and persons with
disabilities.
(4) Promote housing self-sufficiency.
(5) Facilitate more effective delivery of affordable housing by
reforming public housing and the Housing Choice Voucher program.
c. Strengthen Communities
(1) Assist disaster recovery in the Gulf Coast region.
(2) Enhance sustainability of communities by expanding economic
opportunities.
(3) Foster a suitable living environment in communities by
improving physical conditions and quality of life.
(4) End chronic homelessness and move homeless families and
individuals to permanent housing.
(5) Mitigate housing conditions that threaten health.
d. Ensure Equal Opportunity in Housing
(1) Ensure access to a fair and effective administrative process to
investigate and resolve complaints of discrimination.
(2) Improve public awareness of rights and responsibilities under
fair housing laws.
(3) Improve housing accessibility for persons with disabilities.
(4) Ensure that HUD-funded entities comply with fair housing and
other civil rights laws.
e. Embrace High Standards of Ethics, Management, and Accountability
(1) Strategically manage human capital to increase employee
satisfaction and improve HUD performance.
(2) Improve HUD's management and internal controls to ensure
program compliance and resolve audit issues.
(3) Improve accountability, service delivery, and customer service
of HUD and its partners.
(4) Capitalize on modernized technology to improve the delivery of
HUD's core business functions.
f. Promote Participation of Faith-Based and Other Community
Organizations
(1) Reduce barriers to faith-based and other community
organizations.
(2) Conduct outreach and provide technical assistance to strengthen
the capacity of faith-based and community organizations to attract
partners and secure resources.
(3) Encourage partnerships between faith-based and other community
organizations and HUD's grantees and subgrantees.
Additional information about HUD's Strategic Plan FY2006-FY2011,
and
[[Page 14899]]
2002-2008 Annual Performance Plans is available at: http://www.hud.gov/
offices/cfo/reports/cforept.cfm.
2. Policy Priorities
HUD encourages applicants to undertake specific activities that
will assist the Department in implementing its policy priorities and
achieving its goals for FY2008 and beyond. Applicants that include work
activities that specifically address one or more of these policy
priorities will receive higher rating scores than applicants that do
not address these HUD priorities. Each NOFA issued in FY2008 will
specify which priorities relate to a particular program and how many
points will be awarded for addressing those priorities.
a. Providing Increased Homeownership and Rental Opportunities for
Low- and Moderate-Income Persons, Persons with Disabilities, the
Elderly, Minorities, and Persons with Limited English Proficiency. Too
often, these individuals and families are shut out of the housing
market through no fault of their own. Often, developers of housing,
housing counseling agencies, and other organizations engaged in the
housing industry must work aggressively to open up the realm of
homeownership and rental opportunities to low- and moderate-income
persons, persons with disabilities, the elderly, minorities, and
persons with limited English proficiency. Many of these individuals or
families are anxious to have homes of their own, but are not aware of
the programs and assistance that are available. Applicants are
encouraged to address the housing, housing counseling, and other
related supportive service needs of these individuals and coordinate
their proposed activities with funding available through HUD's
affordable housing programs and home loan programs.
Proposed activities support strategic goals a, b, and d.
b. Improving our Nation's Communities. HUD wants to improve the
quality of life for those living in distressed communities. Applicants
are encouraged to include activities that:
(1) Bring private capital into distressed communities;
(2) Finance business investments to grow new businesses;
(3) Maintain and expand existing businesses;
(4) Create a pool of funds for new small and minority-owned
businesses;
(5) Create decent jobs for low-income persons;
(6) Improve the environmental health and safety of families living
in public and privately owned housing by including activities that:
(i) Coordinate lead hazard reduction programs with weatherization
activities funded by state and local governments and the federal
government; and
(ii) Reduce or eliminate health-related hazards in the home caused
by toxic agents, such as molds and other allergens, carbon monoxide,
and other hazardous agents and conditions; and
(7) Make communities more livable by:
(i) Providing public and social services; and
(ii) Improving infrastructure and community facilities.
Activities support strategic goals b, c, and d.
c. Encouraging Accessible Design Features. As described in section
III.C.2.c., applicants must comply with applicable civil rights laws,
including the Fair Housing Act, Section 504 of the Rehabilitation Act
of 1973, and the Americans with Disabilities Act. These laws and the
regulations implementing them provide for nondiscrimination based on
disability and require housing and other facilities to incorporate
certain features intended to provide for their use and enjoyment by
persons with disabilities. HUD is encouraging applicants to add
accessible design features beyond those required under civil rights
laws and regulations. Such features would eliminate many other barriers
limiting the access of persons with disabilities to housing and other
facilities. Copies of the Uniform Federal Accessibility Standards
(UFAS) are available online at: http://www.access-board.gov/ufas/ufas-
html/ufas.htm; from the NOFA Information Center at (800) HUD-8929 (toll
free); and from the Office of Fair Housing and Equal Opportunity,
Department of Housing and Urban Development, 451 Seventh Street, SW.,
Room 5240, Washington, DC 20410-200; telephone (202) 708-2333 (this is
not a toll free number). Persons with hearing or speech impairments may
access these numbers via TTY by calling the Federal Information Relay
Service at (800) 877-8339. (This is a toll-free number.)
Accessible design features are intended to promote visitability and
incorporate features of universal design, as described below.
(1) Visitability in New Construction and Substantial
Rehabilitation. Applicants are encouraged to incorporate visitability
standards, where feasible, in new construction and substantial
rehabilitation projects. Visitability standards allow a person with
mobility impairments access into the home, but do not require that all
features be made accessible. Visitability means that there is at least
one entrance at grade (no steps), approached by an accessible route
such as a sidewalk, and that the entrance door and all interior passage
doors are at least 2 feet, 10 inches wide, allowing 32 inches of clear
passage space. A visitable home also serves persons without
disabilities, such as a mother pushing a stroller or a person
delivering a large appliance. More information about visitability is
available at: http://www. concretechange.org/.
Activities support strategic goals b, c, and d.
(2) Universal Design. Applicants are encouraged to incorporate
universal design in the construction or rehabilitation of housing,
retail establishments, and community facilities funded with HUD
assistance. Universal design is the design of products and environments
to be usable by all people to the greatest extent possible, without the
need for adaptation or specialized design. The intent of universal
design is to simplify life for everyone by making products,
communications, and the built environment more usable by as many people
as possible at little or no extra cost to the user. In addition to any
applicable required accessibility feature under section 504 of the
Rehabilitation Act of 1973 or the design and construction requirements
of the Fair Housing Act, the Department encourages applicants to
incorporate the principles of universal design when developing housing,
community facilities, and electronic communication mechanisms, or when
communicating with community residents at public meetings or events.
HUD believes that to address affordable housing needs effectively,
it is necessary to provide affordable housing that is accessible to all
regardless of ability or age. Likewise, creating places where people
work, train, and interact that are usable and open to all residents
increases opportunities for economic and personal self-sufficiency.
More information on universal design is available from the Center for
Universal Design at: http://www.design.ncsu.edu/cud/ or the Resource
Center on Accessible Housing and Universal Design at: http://
www.abledata.com/abledata.cfm?pageid=113573&top=16029§ionid=19326.
Activities support strategic goals a through d.
d. Providing Full and Equal Access to Grassroots Faith-Based and
Other Community Organizations in HUD Program Implementation.
[[Page 14900]]
(1) HUD encourages nonprofit organizations, including grassroots
faith-based and other community organizations, to participate in the
vast array of programs for which funding is available through HUD's
programs. HUD also encourages states, units of local government,
universities, colleges, and other organizations to partner with
grassroots organizations (e.g., civic organizations, faith communities,
and grassroots faith-based and other community organizations) that have
not been effectively utilized. These grassroots organizations have a
strong history of providing vital community services. Additionally, HUD
encourages applicants to include grassroots faith-based and other
community organizations in their work plans. Applicants, their
partners, and participants must review the individual FY2008 HUD
program announcements to determine whether they are eligible to apply
for funding directly or whether they must establish a working
relationship with an eligible applicant in order to participate in a
HUD funding opportunity. Grassroots faith-based and other community
organizations, and applicants that currently or propose to partner,
fund, subgrant, or subcontract with grassroots organizations (including
grassroots faith-based or other community nonprofit organizations
eligible under applicable program regulations) in conducting their work
programs will receive higher rating points, as specified in the
individual FY2008 HUD program announcements.
(2) Definitions of Grassroots Organizations.
(a) HUD will consider an organization a ``grassroots organization''
if the organization is headquartered in the local community in which it
provides services; and
(i) Has a social services budget of $300,000 or less, or
(ii) Has six or fewer full-time equivalent employees.
(b) Local affiliates of national organizations are not considered
``grassroots.'' Local affiliates of national organizations are
encouraged, however, to partner with grassroots organizations, but must
demonstrate that they are currently working with a grassroots
organization (e.g., having a grassroots faith-based or other community
organization provide volunteers).
(c) The cap provided in paragraph (2)(a)(i) above includes only
that portion of an organization's budget allocated to providing social
services. It does not include other portions of the budget, such as
salaries and expenses, not directly expended in the provision of social
services.
Activities support strategic goal f.
e. Participation of Minority-Serving Institutions (MSIs) in HUD
Programs. Pursuant to Executive Orders 13256, ``President's Board of
Advisors on Historically Black Colleges and Universities;'' 13230,
``President's Advisory Commission on Educational Excellence for
Hispanic Americans;'' 13216, ``Increasing Participation of Asian
Americans and Pacific Islanders in Federal Programs;'' and 13270,
``Tribal Colleges and Universities,'' HUD is strongly committed to
broadening the participation of MSIs in its programs. HUD is interested
in increasing the participation of MSIs in order to advance the
development of human potential, strengthen the nation's capacity to
provide high quality education, and increase opportunities for MSIs to
participate in and benefit from federal financial assistance programs.
HUD encourages all applicants and recipients to include meaningful
participation of MSIs in their work programs. A listing of MSIs can be
found on the Department of Education Web site at: http://www.ed.gov/
about/offices/list/ocr/edlite-minorityinst.html or HUD's Web site at:
http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
Activities support strategic goals c and d.
f. Ending Chronic Homelessness. President Bush has set a national
goal to end chronic homelessness. HUD Secretary Alphonso Jackson has
embraced this goal and has pledged that HUD's grant programs will be
used to support the President's goal and better meet the needs of
chronically homeless individuals. A person experiencing chronic
homelessness is defined as an unaccompanied individual with a disabling
condition who has been continuously homeless for a year or more or has
experienced four or more episodes of homelessness over the last 3
years. A disabling condition is defined as a diagnosable substance
abuse disorder, serious mental illness, developmental disability, or
chronic physical illness or disability, including the co-occurrence of
two or more of these conditions. Applicants are encouraged to target
assistance to chronically homeless persons by undertaking activities
that will result in:
(1) Creation of affordable housing units, supportive housing, and
group homes;
(2) Establishment of a set-aside of units of affordable housing for
the chronically homeless;
(3) Establishment of substance abuse treatment programs targeted to
the homeless population;
(4) Establishment of job training programs that will provide
opportunities for economic self-sufficiency;
(5) Establishment of counseling programs that assist homeless
persons in finding housing, managing finances, managing anger, and
building interpersonal relationships;
(6) Provision of supportive services, such as health care
assistance, that will permit homeless individuals to become productive
members of society; and
(7) Provision of service coordinators or one-stop assistance
centers that will ensure that chronically homeless persons have access
to a variety of social services.
Applicants that are developing programs to meet the goals set in
this policy priority should keep in mind the requirements of the
regulations implementing section 504 of the Rehabilitation Act, in
particular, 24 CFR 8.4(b)(1)(iv), 8.4(c)(1), and 8.4(d).
Activities support strategic goals b and c.
g. Removal of Regulatory Barriers to Affordable Housing. In FY2008,
HUD continues to make removal of regulatory barriers a policy priority.
Through the Department's America's Affordable Communities Initiative,
HUD is seeking input into how it can work more effectively with the
public and private sectors to remove regulatory barriers to affordable
housing. Increasing the affordability of rental and homeownership
housing continues to be a high priority of the Department. Addressing
these barriers to housing affordability is a necessary component of any
overall national housing policy.
Under this policy priority, higher rating points are available to:
(1) Governmental applicants that are able to demonstrate successful
efforts in removing regulatory barriers to affordable housing, and (2)
nongovernmental applicants that are associated with jurisdictions that
have undertaken successful efforts in removing barriers. To obtain the
policy priority points for efforts to successfully remove regulatory
barriers, applicants must complete form HUD-27300, ``Questionnaire for
HUD's Removal of Regulatory Barriers'' (``HUD Communities Initiative''
on Grants.gov). Copies of HUD's notices published on this issue can be
found on HUD's Web site at: http://www.hud.gov/offices/adm/grants/
fundsavail.cfm.
Local jurisdictions and counties with land use and building
regulatory authority applying for funding, as well as public housing
agencies (PHAs), nonprofit organizations, and other qualified
applicants applying for funds
[[Page 14901]]
for projects located in these jurisdictions, are invited to answer the
20 questions under Part A. An applicant that scores at least five in
column 2 will receive one point in the NOFA evaluation. An applicant
that scores ten or more in column 2 will receive two points in the NOFA
evaluation.
State agencies or departments applying for funding, as well as
PHAs, nonprofit organizations, and other qualified applicants applying
for funds for projects located in unincorporated areas or areas not
otherwise covered in Part A, are invited to answer the 15 questions
under Part B. Under Part B, an applicant that scores at least four in
column 2 will receive one point in the NOFA evaluation. Under Part B,
an applicant that scores eight or more will receive a total of two
points in the respective evaluation.
Applicants that will be providing services in multiple
jurisdictions may choose to address the questions in either Part A or
Part B for that jurisdiction in which the preponderance of services
will be performed, should an award be made. In no case will an
applicant receive more than two points for barrier removal activities
under this policy priority. An applicant that is an Indian tribe or
TDHE may choose to complete either Part A or Part B after determining
whether the tribe's or TDHE's association with the local jurisdiction
or the state would be the more advantageous for its application.
The form HUD-27300, ``Questionnaire for HUD's Removal of Regulatory
Barriers'' (``HUD Communities Initiative'' on Grants.gov), is available
as part of the application package retrieved from Grants.gov, and at:
http://www.hud.gov/offices/adm/hudclips/forms/hud2.cfm. A limited
number of questions on the form expressly request the applicant to
provide brief documentation with its response. Other questions require
that, for each affirmative statement made, the applicant supply a
reference, Internet address, or brief statement indicating where the
back-up information may be found and a point of contact, including a
telephone number or email address. To obtain an understanding of this
policy priority and how it can affect their score, applicants are
encouraged to read HUD's three notices, which are available at: http://
www.hud.gov/initiatives/affordablecom.cfm. Applicants that do not
provide the Internet addresses, references, or documentation will not
get the policy priority points.
Activities support strategic goals a and b.
h. Promoting Energy Efficiency and Energy Star. HUD is encouraging
grantees to take specific energy-saving actions in furtherance of HUD's
Energy Action Plan described in the August 2006 Report to Congress
entitled: ``Promoting Energy Efficiency at HUD in a Time of Change,''
submitted under section 154 of the Energy Policy Act of 2005 (Pub. L.
109-58). (A copy of the report can be obtained at: (http://
www.huduser.org/publications/destech/energyefficiency.html.) As a
result, grantees that design, build, rehabilitate, or operate housing
or community facilities with funds awarded through HUD's NOFAs will
receive policy priority points if they incorporate energy-efficiency
measures in the design, construction, rehabilitation, and operation of
these properties (http://www.energystar.gov/index.cfm?c=home.index) and
use Energy Star-labeled products. To find Energy Star products go to
http://www.energystar.gov/ and click on ``Products''.
Grantees that receive funds for HUD's Housing Counseling and
Community Development Technical Assistance programs will receive policy
priority points if, when providing counseling or training services,
they include information on Energy Star appliances and products and
information on the potential cost savings associated with buildings
constructed using Energy Star standards.
Examples of specific actions that may be taken when designing and
implementing construction, rehabilitation, or maintenance activities
include:
Note: Grantees undertaking design, construction, rehabilitation,
or maintenance projects must demonstrate in their statement of work,
construction and design plan, and specifications how they meet this
requirement. Specific requirements are identified in the program
NOFA and the award agreement.
(1) Replace older obsolete products and appliances (such as
lighting, domestic hot water heaters, furnaces, boilers, and air
conditioning units, as well as household appliances including, but not
limited to, refrigerators, clothes washers and dishwashers) with Energy
Star-labeled products, when replacing existing products is more cost-
effective than repair and/or the appliance is no longer in operating
condition;
(2) Build new or rehabilitate existing single-family homes to
Energy Star standards for new homes (15 percent more efficient than the
2004 International Residential Code); or include combined heat and
power in multifamily properties;
(3) Meet the requirements for Energy Star Qualified New Homes
(http://www.energystar.gov/index.cfm?c=new--homes.nh--features) for gut
rehabilitation or new construction of low-rise multifamily housing
(three stories or fewer);
(4) Meet ASHRAE 90.1-2004, Appendix G plus 20 percent (which is the
Energy Star standard for multifamily buildings piloted by the
Environmental Protection Agency and the Department of Energy for gut
rehabilitation or new construction of mid-or high-rise multifamily
housing (see ASHRAE 90.1-2004 standards at: http://www.realread.com/
prst/pageview/browse.cgi?book=1931862664);
Note: Grantee reporting requirements to demonstrate compliance
and cost savings will be specified in the program NOFA and the award
agreement. Examples of specific actions that may be taken by
grantees receiving funding for housing counseling or technical
assistance services that do not directly design, construct,
rehabilitate, and/or maintain buildings include the following:
(1) Provide counseling services, directly or in conjunction with
HUD housing counseling agencies, to educate low- and moderate-income
renters and homebuyers on energy conservation practices, the
benefits and savings related to the use of Energy Star-labeled
products and appliances, and the availability of Energy Efficient
Mortgages, rebate programs, and Energy-Star qualified new homes;
(2) Provide information at economic development and housing-
related technical assistance sessions to educate local community
officials and staff on Energy Star products and appliances and on
energy savings when constructing or rehabilitating buildings to
Energy Star standards;
(3) Report on the number of persons counseled or trained on
Energy Star utilization and on cost savings associated with using
Energy Star products and appliances.
Applicants are placed on notice that the Department is currently
reviewing whether to require grantees in FY2009 to incorporate energy-
efficiency measures in the design, construction, rehabilitation, and
operation of properties designed, built, rehabilitated, or operated
with funds awarded through HUD's NOFAs and to require Housing
Counseling and Community Development Technical Assistance grantees to
include information on Energy Star appliances and products, as well as
potential cost savings associated with buildings constructed using
Energy Star standards, when providing counseling or training services.
If the Department decides to make these requirements mandatory, the
public will be provided advance notification and have the opportunity
to comment.
[[Page 14902]]
i. Utilization and Promotion of FHA Mortgages and Fair Lending
Practices.
Applicants constructing, rehabilitating, or maintaining single-or
multifamily housing or community facilities are urged to utilize FHA
mortgages and purchase discounted FHA Real Estate Owned (REO) property.
Many homebuyers may be unaware than an FHA-insured mortgage may be a
less expensive and safer mortgage option compared to conventional and
``subprime'' mortgages. By providing homebuyers with information about
FHA-insured mortgages, homebuyers may be able to avoid becoming victims
of predatory lending practices or foreclosure.
HUD has also found that low- and moderate-income households are
often unnecessarily paying high interest rates and are vulnerable to
predatory lending practices or aggressive marketing by subprime
lenders. Many of the foreclosures in FY2007 were the result of interest
rate resets and increases on loans due to 2-or 3-year adjustable-rate
mortgages. These consumers are also in need of information on Fair
Lending and discriminatory lending practices. Applicants for funding
will receive a policy-priority point if they demonstrate that: (1) They
are providing low- and moderate-income households with information on
FHA products as reliable, safe alternatives for consumers facing
foreclosure or as a refinancing mechanism to reduce costs and reliance
on subprime lenders; and (2) as households are provided information on
FHA products, they are also provided information on Fair Lending and
discriminatory lending practices so they become informed consumers. The
information provided to consumers must be provided in languages
appropriate to the clients being served.
Activities support strategic goals a and b.
3. Threshold Compliance. Only applications that meet all of the
threshold requirements will be eligible to receive an award of funds
from HUD.
4. Corrections to Deficient Applications. After the application
deadline, HUD may not, consistent with its regulations in 24 CFR part
4, subpart B, consider any unsolicited information that an applicant
may want to provide. HUD may contact an applicant to clarify an item in
its application or to correct curable (correctable) technical
deficiencies. HUD may not seek clarification of items or responses that
improve the substantive quality of an applicant's response to any
rating factors. In order not to unreasonably exclude applications from
being rated and ranked, HUD may contact applicants to ensure proper
completion of the application, and will do so on a uniform basis for
all applicants.
Examples of curable (correctable) technical deficiencies include
inconsistencies in the funding request, failure to submit the proper
certifications, and failure to submit an application that contains a
signature by an official able to make a legally binding commitment on
behalf of the applicant. In the case of an applicant that received a
waiver of the regulatory requirement to submit an electronic
application, the technical deficiency may include failure to submit an
application that contains an original signature. If HUD finds a curable
deficiency in the application, HUD will notify the applicant in writing
by describing the clarification or technical deficiency. HUD will
notify applicants by e-mail, facsimile, or via the U.S. Postal Service,
return receipt requested. Clarifications or corrections of technical
deficiencies in accordance with the information provided by HUD must be
submitted within 14 calendar days of the date of receipt of the HUD
notification. (If the deadline date falls on a Saturday, Sunday, or
federal holiday, the applicant's 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, HUD will reject the
application as incomplete, and it will not be considered for funding.
In order to meet statutory deadlines for the obligation of funds or for
timely completion of the review process, program NOFAs may reduce the
number of days for submitting a response to a HUD request for
clarification or correction to a technical deficiency. Please be sure
to carefully read each program NOFA for any additional information and
instructions. An applicant's response to a HUD notification of a
curable deficiency should be submitted directly to HUD in accordance
with the instructions provided in the notification.
5. Rating Panels. To review and rate applications, HUD may
establish panels that may include persons not currently employed by
HUD. HUD may include these non-HUD employees to obtain particular
expertise and outside points of view, including views from other
federal agencies. Persons brought into HUD to review applications are
subject to conflict-of-interest provisions. In addition, reviewers
using HUD information technology (IT) systems may be subject to an IT
security check.
6. Rating. HUD will evaluate and rate all applications for funding
that meet the threshold requirements.
7. Ranking. HUD will rank applicants within each program or, for
Continuum of Care applicants, across the three programs identified in
the Continuum of Care NOFA. HUD will rank applicants against only those
applying for the same program funding.
Where there are set-asides within a program competition, the
applicant will compete against only those applicants in the same set-
aside competition.
C. Anticipated Announcement and Award Dates. The individual program
NOFAs will provide the applicable information regarding this subject.
VI. Award Administration Information
A. Award Notices
1. Negotiation. After it has rated and ranked all applications and
made selections, HUD may require, depending upon the program, that a
selected applicant participate in negotiations to determine the
specific terms of the funding agreement and budget. In cases where HUD
cannot successfully conclude negotiations with a selected applicant or
a selected applicant fails to provide HUD with requested information,
an award will not be made to that applicant. In such an instance, HUD
may offer an award to, and proceed with negotiations with, the next
highest-ranking applicant.
2. Adjustments to Funding.
a. To ensure the fair distribution of funds and enable the purposes
or requirements of a specific program to be met, HUD reserves the right
to fund less than the full amount requested in your application.
b. HUD will not fund any portion of an application that: (1) Is not
eligible for funding under specific HUD program statutory or regulatory
requirements; (2) does not meet the requirements of this notice; or (3)
is duplicative of other funded programs or activities from prior year
awards or other selected applicants. Only the eligible portions of an
application (excluding duplicative portions) may be funded.
c. If funds remain after funding the highest-ranking applications,
HUD may fund all or part of the next highest-ranking application in a
given program. If an applicant turns down an award offer, HUD will make
an offer of funding to the next highest-ranking application.
d. If funds remain after all selections have been made, remaining
funds may be made available within the current fiscal year for other
competitions within the program area or be held over for future
competitions.
e. If, subsequent to announcement of awards made under the FY2008
NOFAs, additional funds become available
[[Page 14903]]
either through a supplemental appropriation or recapture of funds
during FY2008, HUD reserves the right to use the additional funding to
provide full funding to an FY2008 applicant that was denied the
requested amount of funds due to insufficient funds to make the full
award, and/or to fund additional applicants that were eligible to
receive an award but for which there were no funds available.
f. Individual program NOFAs may have other requirements, so please
review the program NOFAs carefully.
3. Funding Errors. In the event HUD commits an error that, if
corrected, would result in selection of an applicant during the funding
round of a program NOFA, HUD may select that applicant for funding,
subject to the availability of funds.
4. Performance and Compliance Actions of Funding Recipients. HUD
will measure and address the performance and compliance actions of
funding recipients in accordance with the applicable standards and
sanctions of their respective programs.
5. Debriefing. For a period of at least 120 days, beginning 30 days
after the awards for assistance are publicly announced, HUD will
provide to a requesting applicant a debriefing related to its
application. A request for debriefing must be made in writing or by
email by the authorized official whose signature appears on the SF-424
or by his or her successor in office, and be submitted to the person or
organization identified as the contact under the section entitled
``Agency Contact(s)'' in the individual program NOFA under which the
applicant applied for assistance. Information provided during a
debriefing will include, at a minimum, the final score the applicant
received for each rating factor, final evaluator comments for each
rating factor, and the final assessment indicating the basis upon which
assistance was provided or denied.
B. Administrative and National Policy Requirements
See Section III.C. of this notice regarding related requirements.
C. Reporting
1. Use of a Logic Model To Report Performance
In FY2004, HUD began using as a planning tool the Logic Model
submitted as part of NOFA applications. In FY2005, HUD required grant
agreements to incorporate performance reporting against the approved
Logic Model. In FY2006, HUD moved to standardized ``master'' Logic
Models from which applicants can select needs, activities/outputs, and
outcomes appropriate to their programs. In addition, program offices
have identified Program Management Evaluation Questions that grantees
will be required to report on, as specified in the approved program
eLogic ModelTM. The time frame established for the Logic
Model reporting will be in accordance with the program's established
reporting periods and as stated in the program NOFA.
2. Placement of Approved Logic Models and Reports on HUD's Website
It is HUD's intent to publish approved Logic Models and grantee
progress reports submitted to HUD on its Grants website. Starting with
awards made in FY2007, HUD established a Grants Performance page that
features program performance ratings issued by OMB under its Program
Assessment Rating Tool (PART) or its successor tool, for HUD programs
that have been evaluated by OMB. HUD will also post all approved Logic
Models that show each awardee's projected outputs and outcomes during
the period of performance. As required performance reports are received
by HUD, they will be added to the Web site. HUD is creating this
website page to highlight and make available to the public performance
and results from HUD-funded programs, in keeping with Executive Order
13392, issued December 14, 2005, and published in the Federal Register
on December 19, 2005 (70 FR 75373). HUD believes that informing the
public on progress is in keeping with presidential and congressional
intent for transparency in federally funded programs, as demonstrated
by the passage of the Federal Funding Accountability and Transparency
Act of 2006 (Pub. L. 109-282), and creation of the federal Web sites
http://www.ExpectMore.gov and http://www.Results.gov.
3. Return on Investment Statements
HUD also intends to propose Return on Investment (ROI) Statements
for each of its competitive grant programs. Before finalizing ROI
Statements for implementation, HUD will either offer incentive funding
for applicants wishing to participate in developing an ROI as part of
their grant program or HUD will publish the proposed ROI Statements for
public comment. HUD believes the applicant/grantee community can
greatly assist HUD in its attempt to place a value on the work done
under the Department's grant programs. While HUD expects grantees to
respond to the Management Evaluation Questions in their final reports,
reporting on the ROI Statements is not mandatory at this time. As HUD
finalizes ROI Statements for each program, they will be included in
awards in the future. In FY2008, HUD is offering ROI incentive funding
in the Housing for Persons with AIDS (HOPWA) NOFA.
4. Logic Model Instructions
The Logic Model form (HUD-96010), a Microsoft Excel workbook,
contains instructions in Tab 1 on how to use the form. The form or
eLogic ModelTM incorporates a program-specific master list
of statements of need, service, or activity/output(s) and their
associated unit(s) of measure; and outcome(s) and their associated
unit(s) of measure. Applicants will be required to click on a cell
within a column. When you click on the cell, the drop-down button
appears to the right of the cell. Applicants can then select the
appropriate statement(s) to reflect their proposed program. Applicants
can select multiple need(s) and services, or activities/outputs and
outcomes, but each selection is entered in separate cells using the
drop-down menu. The unit measure, whether for outputs or outcomes, may
be a number or date. Applicants insert the expected number of units to
be completed or achieved or date of achievement during the period of
performance. In this manner, the applicant will build a custom Logic
Model reflecting their program of activities. The custom Logic Model
will link the need(s) to the activity/output(s), which in turn are
linked to the result or expected outcome(s) tailored to each of HUD's
programs.
5. Logic Model Format
The following briefly describes the format for the HUD Logic Model.
Full instructions are contained in the Logic Model found in the
Instructions Download for the program, on Grants.gov.
a. Each Logic Model has drop-down menus for HUD Strategic Goals and
Policy Priorities, to eliminate applicant confusion over what letters
and numbers to use for the goals and priorities and to improve data
quality;
b. Tabs for Year 1, Year 2, and Year 3 activities, as well as a tab
for Total, are provided in each Logic Model. HUD found that applicants
within a program had varying opinions or interpretations on time frames
for short, intermediate, and long term and that the use of clearly
defined time frames eliminated the varying interpretations and provided
for better quality data. In response to
[[Page 14904]]
grantee requests, in FY2008, HUD has added a column labeled YTD (Year-
To-Date), which represents cumulative totals per year to each reporting
period for results achieved. By adding the column, grantees can see
immediately what they have achieved during the reporting period, what
they have achieved as they progress throughout the year, what they have
achieved on a cumulative basis each reporting year, and what they have
achieved during the period of award. The total tab allows for
cumulative projected and final results to be shown covering all years
of the period of performance. Applicants with a one-year period of
performance only have to complete the Year 1 tab, since the total
results will all occur in the one-year award period. When reporting, be
sure to show non-cumulative data in the past column and cumulative date
in the Year-To-Date (YTD) column.
c. For the grantees' convenience and to call attention to the
requirements, the Logic Model form contains reporting instructions. The
instructions ask applicants to identify in their reports to HUD where
actual results deviated from projected results--either positively or
negatively. The Reporting Instruction tab includes a text field in
which grantees can report any deviations, as well as their responses to
the management questions. While the reporting tab does not add
additional burden hours to the information collection, HUD believes
that having the reporting tab in the form assists the applicant in
completing their Logic Model and provides for better quality Logic
Models and reporting to HUD. HUD will continue to review data received
via eLogic Model\TM\ in 2007 and would like to thank the applicant/
grantee community for their recommendations and insights.
In FY2008, to provide for greater consistency in reporting,
applicants must include all activities and outcomes expected per year
of the period of performance. Applicants should carefully review the
program NOFA for required outputs and outcome selections, as some of
the program NOFAs define what must, at a minimum, be included in the
Logic Model.
6. In FY2008, Grantees Must Adhere to the Following Reporting
Principles
a. An evaluation process will be part of the ongoing management of
the HUD-funded award;
b. Comparisons will be made between projected and actual numbers
for outputs and outcomes;
c. Deviations from projected outputs and outcomes will be
documented and explained as part of required reporting; and
d. Data will be analyzed to determine the relationship of outputs
to outcomes, to determine which outputs produce which outcomes and
which are most effective.
As stated above, in FY2007, HUD required each program to establish
a set of Program Management Evaluation Questions for grantee reporting.
Grantees must use these questions to self-evaluate the management and
performance of their program. HUD is continuing this practice in
FY2008. In developing the Program Management Evaluation Questions for
the Master Logic Model, HUD trained its program managers on the Carter-
Richmond Methodology, a critical thinking process that identifies key
management and evaluation questions for HUD's programs. The following
table identifies the Carter-Richmond generic questions and where the
source data is found in the Logic Model.
Carter-Richmond Methodology:\1\ Building Blocks for Effective Management
------------------------------------------------------------------------
Logic model columns for source
Management questions data
------------------------------------------------------------------------
1. How many clients are you serving? Service/Activity/Output.
2. How many units were provided? Service/Activity/Output.
3. Who are you serving? Service/Activity/Output.
4. What services do you provide? Service/Activity/Output.
5. What does it cost? Service/Activity/Output.
6. What does it cost per service Service/Activity/Output/
delivered? Evaluation.
7. What happens to the ``subjects'' Outcome.
as a result of the service?\2\
8. What does it cost per outcome? Outcome and Evaluation.
9. What is the value of the outcome? Outcome and Evaluation.
10. What is the return on Evaluation.
investment?
------------------------------------------------------------------------
\1\ ``The Accountable Agency--How to Evaluate the Effectiveness of
Public and Private Programs,'' Reginald Carter, ISBN Number
9780978724924.
\2\ The subject can be a client or a unit, such as a building, and is
defined in its associated unit of service.
As a result of this training, each program has developed specific
Program Management Evaluation Questions tailored to the statutory
purpose of each of their programs. Each program NOFA will require
applicants to address these questions based upon the Carter-Richmond
Methodology in their reports to HUD. The program NOFA Logic Models will
identify the particular questions to be addressed that relate to the
statutory purpose and intent of each program. In FY2008, the Management
Questions have been developed as an excel table which formats the
question as a data element and the response to the question as a data
element. By creating this table, grantees when reporting can enter the
response to the management questions in the data field provided,
allowing the management question responses to be placed in the Logic
Model database for further analysis.
Training on HUD's Logic Model and on the reporting requirements for
addressing the Program Management Evaluation Questions will be provided
via satellite broadcast. The training will also provide examples of how
to construct the Logic Model using the drop-down lists in the eLogic
ModelTM. Training materials and the dates for the training
will be on HUD's Web site at: http://www.hud.gov/offices/adm/grants/
fundsavail.cfm, shortly after publication of the SuperNOFA. In
addition, each program NOFA broadcast will address the specific
questions and reporting requirements for the specific program.
Applicants should submit the completed Logic Model as an attachment
to their application, in accordance with the directions in the program
NOFA for addressing the factors for award. Each program NOFA will
identify if it requires the factors for award, including the Logic
Model that is required as part of the application submission, to be
submitted as a single attached file or as separate files. Please follow
the program NOFA directions. When opening the eLogic ModelTM
enable the Macros. DO NOT convert the file to PDF format. Save the file
in the format you opened it. Grants.gov can now accept Microsoft Office
2007 files and HUD can read both Microsoft Office 2003 and Microsoft
Office 2007 files.
After being selected for funding and awarded funds, grantees will
be required to submit a completed form HUD-96010, Logic Model,
indicating results achieved against the proposed output(s) and proposed
outcome(s) stated in the grantee's approved application and agreed to
by HUD. The Logic Model and required management questions must be
submitted to HUD in accordance with the reporting periods identified in
each program NOFA for providing reports to HUD.
[[Page 14905]]
7. Use of Form HUD-27061, Race and Ethnic Data Reporting Form, to
Report Race and Ethnicity Data for Beneficiaries of HUD Programs
HUD requires grantees that provide HUD program benefits to
individuals or families to report data on the race and ethnicity of
those receiving such benefits. Grantees that provide benefits to
individuals during the period of performance, whether directly, through
subrecipients, or through contractual arrangements, must report the
data using form HUD-27061, Race and Ethnic Data Reporting Form, on
Grants.gov. The form is a data collection based on the standards
published by OMB on August 13, 2002. The individual program NOFAs will
identify applicable reporting requirements related to each program.
Applicants reporting to HUD using an online system can use that 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. For programs where race and ethnicity reporting is
required, copies of form HUD-27061 will be included in the Instructions
Download portion of the application posted to Grants.gov.
8. Frequency of Reports and Data Consistency
a. Logic Model Reporting. When submitting eLogic ModelTM
reports on a quarterly or semiannual basis, each report should show the
results that occurred during that reporting period. All final reports
should provide a final eLogic ModelTM performance for the
entire period of the award. See instructions in the eLogic
ModelTM on how to label files when reporting. When
reporting, be sure to show non-cumulative data in the past column and
cumulative data in the Year-To-Date (YTD) column.
b. Race and Ethnic Data Report. When submitting the Race and Ethnic
Data Reporting Form (HUD-27061) on a quarterly or semiannual basis,
each reporting period should show the results that occurred during the
performance period for all active clients. If a multiyear program is
funded, then each annual report should show results that occurred
during that performance year for all active clients. A final form HUD-
27061 should show results for all active clients for the entire period
of performance.
VII. Agency Contact(s)
The individual program NOFAs will identify the applicable agency
contacts related to each program. Questions regarding this notice
should be directed to the NOFA Information Center between the hours of
10 a.m. and 6:30 p.m. eastern time at (800) HUD-8929. Persons with
hearing or speech impairments may access this number via TTY by calling
the Federal Information Relay Service at (800) 877-8339. (These are
toll-free numbers.) Questions regarding specific program requirements
should be directed to the agency contacts identified in each program
NOFA.
VIII. Other Information
A. Public Law 106-107 Streamlining Activities and Grants.gov
The Federal Financial Assistance Management Improvement Act of 1999
(Pub. L.106-107) directed each federal agency to develop and implement
a plan that, among other things, streamlines and simplifies the
application, administrative, and reporting procedures for federal
financial assistance programs administered by the agency. This law also
required the Director of OMB to direct, coordinate, and assist federal
agencies in establishing: (1) A common application and reporting system
and (2) an interagency process for addressing ways to streamline and
simplify federal financial assistance application and administrative
procedures, as well as reporting requirements for program applicants.
Over the last several years, the intergovernmental work groups tasked
with the implementation of Public Law 106-107 have been engaged in
various streamlining activities that are now being shared with the
grantee community for their input prior to being implemented across the
federal government. Public Law 106-107 sunsets in 2008. Despite the
sunset of the law, federal agencies are still working to simplify and
streamline their application and submission requirements. Applicants
and grantees are urged to participate in the broadcasts sponsored by
the Grants Policy Committee and the federal government work groups to
become familiar with the proposed changes to simplify requirements, at
http://www.grants.gov/aboutgrants/streamlining_initiatives.jsp.
B. Grants.gov
The Grants.gov initiative focuses on allowing the public to easily
FIND competitive funding opportunities and then APPLY for grant funding
electronically via Grants.gov. In FY2004, HUD posted all of its funding
opportunities, with the exception of Continuum of Care, on http://
www.grants.gov/applicants/find_grant_opportunities.jsp and has
continued to do so through FY2008. In addition, Grants.gov is working
with federal agencies to begin the process of accepting mandatory and
formula grant program plans and application submissions online via
Grants.gov. Applicants for HUD's formula and competitive programs are
urged to become familiar with the Grants.gov website, registration
procedures, and electronic submissions so that, as the website is
expanded, you will be registered and familiar with the find-and-apply
functionality. The Grants.gov Internet address for Finding Grant
Opportunities is http://www.grants.gov/applicants/find_grant_
opportunities.jsp. The Grants.gov Internet address for Applying for
Grant Opportunities is http://www.grants.gov/applicants/apply_for_
grants.jsp.
C. HUD-IRS Memorandum of Agreement
HUD and the IRS have entered into a memorandum of agreement to
provide information to HUD grantees serving low-income, disabled, and
elderly persons, as well as persons with limited English proficiency,
on the availability of low-income housing tax credits, the earned
income tax credit, individual development accounts, child tax credits,
and the IRS Voluntary Income Tax Assistance program. HUD is making
available on its Web site information on these IRS asset-building
resources. HUD encourages you to visit the Web site and disseminate
this information to low-income residents in your community and other
organizations that serve low-income residents, so that eligible
individuals can take advantage of these resources.
D. Paperwork Reduction Act Statement
The information collection requirements in this notice have been
approved by OMB under the Paperwork Reduction Act of 1995 (44 U.S.C.
3501-3520). In accordance with the Paperwork Reduction Act, HUD may not
conduct or sponsor, and a person is not required to respond to, a
collection of information, unless the collection displays a valid OMB
control number. Each program NOFA will identify its applicable OMB
control number.
E. Environmental Impact
A Finding of No Significant Impact with respect to the environment
has been made for this notice, in accordance with HUD regulations at 24
CFR part 50 that implement Section 102(2)(C) of the National
Environmental Policy Act of 1969 (42 U.S.C. 4332(2)(C)). The Finding of
No Significant Impact is
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available for public inspection between 8 a.m. and 5 p.m. eastern time,
Monday through Friday, except federal holidays, in the Office of
General Counsel, Regulations Division, Department of Housing and Urban
Development, 451 Seventh Street, SW., Room 10276, Washington, DC 20410-
0500.
F. Executive Orders and Congressional Intent
1. Executive Order 13132, Federalism
Executive Order 13132 prohibits, to the extent practicable and
permitted by law, an agency from promulgating policies that have
federalism implications and either impose substantial direct compliance
costs on state and local governments and are not required by statute,
or preempt state law, unless the relevant requirements of Section 6 of
the executive order are met. This notice does not have federalism
implications and does not impose substantial direct compliance costs on
state and local governments or preempt state law within the meaning of
the executive order.
2. American-Made Products
Sections 708 and 709 of the Transportation, Treasury, Housing and
Urban Development, the Judiciary, and Independent Agencies
Appropriations Act, 2006 (Public Law 109-115; approved Nov. 30, 2005),
states that, to the greatest extent practicable, all equipment and
products purchased with funds made available should be made in the
United States.
3. Eminent Domain
In accordance with Division K, Title IV (General Provisions),
section 411 of the Consolidated Appropriations Act, 2008 (Pub. L. 110-
161, approved December 26, 2007), no funds made available in FY2008 may
be used to support any federal, state, or local projects that seek to
use the power of eminent domain, unless eminent domain is employed only
for a public use. This limitation also applied to FY2007 appropriated
funds.
For purposes of this provision, public use shall not be construed
to include economic development that primarily benefits private
entities.
Further, any use of funds for mass transit, railroad, airport,
seaport, or highway projects, as well as utility projects which benefit
or serve the general public (including energy-related, communication-
related, water-related, and wastewater-related infrastructure), other
structures designated for use by the general public or which have other
common-carrier or public-utility functions that serve the general
public and are subject to regulation and oversight by the government,
and projects for the removal of an immediate threat to public health
and safety or brownfields, as defined in the Small Business Liability
Relief and Brownfields Revitalization Act (Pub. L. 107-118), shall be
considered a public use for purposes of eminent domain.
G. Public Access, Documentation, and Disclosure
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (HUD Reform Act) (42 U.S.C. 3545) and the
regulations codified at 24 CFR part 4, subpart A, contain a number of
provisions that are designed to ensure greater accountability and
integrity in the provision of certain types of assistance administered
by HUD. On January 14, 1992, HUD published a notice that also provides
information on the implementation of section 102 (57 FR 1942). The
documentation, public access, and disclosure requirements of section
102 apply to assistance awarded under individual NOFAs published as
part of HUD's SuperNOFA or thereafter, as described below.
1. Documentation, Public Access, and Disclosure Requirements
HUD will ensure that documentation and other information regarding
each application submitted pursuant to its FY2008 NOFAs, whether
published in the 2008 SuperNOFA or in NOFAs published thereafter, are
sufficient to indicate the basis upon which assistance was provided or
denied. This material, including any letters of support, will be made
available for public inspection for a 5-year period beginning not less
than 30 days after the award of the assistance. Material will be made
available in accordance with the Freedom of Information Act (5 U.S.C.
552) and HUD's implementing regulations (24 CFR part 15).
2. Form HUD-2880, ``Applicant/Recipient Disclosure/Update Report''
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov)
HUD will also make available to the public, for 5 years, all
applicant disclosure reports (form HUD-2880) submitted in connection
with an FY2008 NOFA. Update reports (also reported on form HUD-2880)
will be made available along with the applicant disclosure reports, but
in no case for a period of less than 3 years. All reports, both
applicant disclosures and updates, will be made available in accordance
with the Freedom of Information Act (5 U.S.C. 552) and HUD's
implementing regulations (24 CFR part 5).
3. Publication of Recipients of HUD Funding
HUD's regulations at 24 CFR part 4 provide that HUD will publish a
notice in the Federal Register to notify the public of all funding
decisions made by the Department to provide:
a. Assistance subject to section 102(a) of the HUD Reform Act; and
b. Assistance provided through grants or cooperative agreements on
a discretionary (non-formula, non-demand) non-competitive basis.
H. Section 103 of the HUD Reform Act
HUD's regulations implementing section 103 of the HUD Reform Act,
codified at 24 CFR part 4, subpart B, apply to this funding
competition. The regulations continue to apply until the announcement
of the selection of successful applicants. HUD employees involved in
the review of applications and in the making of funding decisions are
prohibited by the regulations from providing advance information to any
person (other than an authorized employee of HUD) concerning funding
decisions or from otherwise giving any applicant an unfair competitive
advantage. Persons who apply for assistance should confine their
inquiries to the subject areas permitted under 24 CFR part 4.
Applicants or employees who have ethics-related questions should
contact the HUD Ethics Law Division at (202) 708-3815 (this is not a
toll-free number). The toll-free TTY number for persons with speech or
hearing impairments is (800) 877-8339. HUD employees who have specific
program questions should contact the appropriate field office counsel
or Headquarters counsel for the program to which the question pertains.
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[FR Doc. E8-5626 Filed 3-18-08; 8:45 am]
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