2396 Federal Register / Vol. 72, No. 11 / Thursday, January 18, 2007 / Notices 

DEPARTMENT OF HOUSING AND 

URBAN DEVELOPMENT 

[Docket No. FR–5100–N–01] 

Notice of HUD’s Fiscal Year (FY) 2007 

Notice of Funding Availability (NOFA) 

Policy Requirements and General 

Section to the FY2007 SuperNOFA for 

HUD’s Discretionary Programs 

AGENCY: Office of the Secretary, HUD. 

ACTION: Notice of HUD’s FY2007 NOFA 

Policy Requirements and General 

Section to the FY2007 SuperNOFA for 

HUD’s Discretionary Programs (notice). 

SUMMARY: This notice provides 

prospective applicants for HUD 

competitive funding with the 

opportunity to become familiar with the 

General Section of HUD’s FY2007 

SuperNOFA, in advance of publication 

of the FY2007 SuperNOFA. HUD plans 

to publish its annual SuperNOFA early 

in 2007. 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 with the 

SuperNOFA 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. 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 are already 

registered have to update the 

information previously provided in the 

Central Contractor Registration (CCR). 

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. To submit an application to 

HUD, the Authorized Organization 

Representative (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. 

For FY2007, the Continuum of Care 

applications are the lone SuperNOFA 

paper applications that HUD will accept 

without first granting a waiver. 

Continuum of Care applicants should be 

aware that HUD intends to have the 

Continuum of Care applicants applying 

via Grants.gov no later than FY2008. 

Therefore, it is in the interest of 

Continuum of Care applicants to 

complete the Grants.gov registration 

process in anticipation of moving to 

electronic application submission in 

2008. Continuum of Care agencies 

would benefit from becoming familiar 

with the Grants.gov filing requirements 

so that they do not limit their ability to 

apply for funding from federal sources. 

HUD recommends that all prospective 

applicants take the time to carefully 

read the Federal Register notice 

published on October 31, 2006, entitled 

‘‘Notice of Opportunity to Register Early 

and other Important Information for 

Electronic Application Submission via 

Grants.gov’’ and register prior to the 

publication of the Program Sections of 

the FY2007 SuperNOFA. The early 

registration notice can be found on 

HUD’s Web site at http://www.hud.gov/ 

offices/adm/grants/fundsavail.cfm. 

FOR FURTHER INFORMATION CONTACT: 

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 FY 2005, HUD 

successfully migrated a majority of its 

funding opportunities to electronic 

application submission. In FY 2006, 

over 99 percent of applicants 

successfully submitted applications 

electronically for HUD’s grant programs. 

While a majority of HUD’s applicants 

were able to make the transition to 

electronic government, HUD wants to 

enable all applicants to make the 

transition. To ease concerns, 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/ 

deskuserguide.pdf. 

In addition, 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. The 

renewal instructions are simple and 

easy to follow, but must be completed 

before an applicant’s registration in the 

CCR expires. Failure to update the 

registration in the CCR will require an 

applicant to go through the entire 

registration process again. As part of the 

CCR renewal process, CCR checks the 

information provided to Dun and 

Bradstreet (D&B) against IRS records. If 

a discrepancy in the information is 

found, the applicant must correct the 

discrepancy before the renewal process 

can be completed. Applicants are urged 

to check the information they provided 

to D&B, CCR, and the IRS to ensure 

consistency. 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 comprehensive requirements that 

are 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. This way, when 

the Program Sections of the FY2007 

SuperNOFA are published, they will be 

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 

program NOFA portion of the 

SuperNOFA is available on Grants.gov. 

It is HUD’s intent to have every 

applicant (the exception being 

Continuum of Care applicants who will 

still be submitting paper applications in 

FY 2007) successfully submit an 

electronic application via Grants.gov in 

FY 2007. You can help HUD improve its 

outreach and program NOFAs by 

providing feedback on ways it can 

improve the SuperNOFA 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 


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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 continually strives to 

improve each year’s SuperNOFA and its 

funding process. This publication 

includes a list of programs anticipated 

to be in the FY2007 SuperNOFA, 

subject to the availability of funds. The 

program NOFA portion of the 

SuperNOFA will include any changes 

made to this listing and provide 

projected funding available and 

application deadline dates. 

HUD hopes that the steps that it has 

taken to provide information early in 

the FY2007 funding process and 

SuperNOFA requirements will be of 

benefit to you, our applicants. 

Dated: January 4, 2007. 

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 FY2007. 

C. Announcement Type: Initial 

announcement of the general policy 

requirements that apply to all HUD 

federal financial assistance NOFAs for 

FY2007 issued simultaneous with or 

after the publication of this notice. 

D. Funding Opportunity Number: FR 

5100–N–01. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number: A CFDA 

number is provided for each HUD 

federal financial assistance program. 

When using ‘‘Apply Step 1’’ on the 

Grants.gov Web site to download an 

application, you will be asked for the 

CFDA number. Please refer to the 

program NOFA for the CFDA number 

assigned to the program(s) for which 

you wish to apply. Use only the CFDA 

number, the Funding Competition 

Identification Number, OR the Funding 

Opportunity Number when using the 

search feature on Grants.gov. 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 FY2007 

SuperNOFA will be found in the 

program NOFAs contained in the 

published SuperNOFA. HUD is 

currently operating under a Continuing 

Resolution and it is expected that 

appropriations for FY2007 will be 

enacted soon. Appendix A to this 

General Section lists the programs that 

were included in the FY2006 

SuperNOFA. This list should not be 

understood as a final or comprehensive 

list of the programs that will be 

published in the FY2007 SuperNOFA. 

For example, the Youthbuild program, 

which was included in the FY2006 

SuperNOFA, was transferred to the 

United States Department of Labor on 

September 22, 2006 in accordance with 

Public Law 109–281 and will not be 

included in the FY2007 SuperNOFA. 

Additionally, FY2007 appropriations, 

when enacted, may result in other 

changes to the list of programs issued 

for FY2007. 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. 

The contents of Appendix A will be 

based upon the enacted appropriations. 

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 FY2007 

NOFAs. These policies cover those 

NOFAs issued through the FY2007 

SuperNOFA, and those NOFAs issued 

after publication of the SuperNOFA. 

Full Text of Announcement 

I. Funding Opportunity Description 

This notice describes HUD’s FY2007 

policy requirements applicable to all of 

HUD’s NOFAs published in FY2007. 

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 

FY2007 programs is identified in each 

program NOFA under this section of the 

General Section. 

II. Award Information 

Funding Available. Each program 

NOFA will identify the estimated 

amount of funds available in FY2007 

based on available appropriations plus 

funds from previous years available for 

award in FY2007. Appendix A to this 

notice contains a chart of the programs 

that were included in the FY2006 

SuperNOFA. This list should not be 

understood as a final or comprehensive 

list of the programs that will be 

published in the FY2007 SuperNOFA. 

For example, the Youthbuild program, 

which was included in the FY2006 

SuperNOFA, was transferred to the 

United States Department of Labor on 

September 22, 2006 in accordance with 

Public Law 109–281 and will not be 

included in the FY2007 SuperNOFA. 

Additionally, FY2007 appropriations, 

when enacted, may result in other 

changes to the list of programs issued 

for FY2007. 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. 

The contents of Appendix A will be 

based upon the enacted appropriations. 

Note that additional program NOFAs 

may be published separately from the 

FY2007 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 in order 

to receive higher rating points. 

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 FY2007 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 

FY2007, applicants must meet all 

statutory and regulatory requirements 

applicable to the program or programs 


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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 its 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 Office of Management 

and Budget (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 www.hud.gov/offices/adm/grants/ 

duns.cfm. 

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 

and 85 (most nonprofit organizations 

and state, local, and tribal governments 

or government agencies or 

instrumentalities that receive federal 

awards of financial assistance) are 

required to develop and maintain a 

written code of conduct (see 24 CFR 

84.42 and 85.36(b)(3)). Consistent with 

regulations governing specific programs, 

your code of conduct must prohibit real 

and apparent conflicts of interest that 

may arise among officers, employees, or 

agents; prohibit the solicitation and 

acceptance of gifts or gratuities by your 

officers, employees, or agents for their 

personal benefit in excess of minimal 

value; and outline administrative and 

disciplinary actions available to remedy 

violations of such standards. Before 

entering into an agreement with HUD, 

an applicant awarded assistance under 

a HUD program NOFA announced in 

FY2007 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 

submitted an application during FY2005 

or FY2006 and included a copy of its 

code of conduct will not be required to 

submit another copy if the applicant is 

listed on HUD’s Web site http:// 

www.hud.gov/offices/adm/grants/ 

codeofconduct/cconduct.cfm and if the 

information has not been revised. An 

applicant not listed on the above 

website must submit a copy of its code 

of conduct with their FY2007 

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 

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 

HUD–96011 as the cover page to 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) HUD–1010. If you 

cannot access an 800 number or have 

problems, you may use (215) 825–8798 

(this is not a toll-free number). HUD 

updates its code of conduct website 

annually before publishing the 

SuperNOFA. Therefore, applicants that 

submitted codes of conduct in FY2006 

will find that their information has been 

updated and is available online for the 

FY2007 application submission time 

frame. 

e. Delinquent Federal Debts. 

Consistent with the purpose and intent 

of 31 U.S.C. 3720B and 28 U.S.C. 

3201(e), HUD will not award federal 

funds to an applicant that has an 

outstanding delinquent federal debt 

unless: (1) the delinquent account is 

paid in full, (2) a negotiated repayment 

schedule is established and the 

repayment schedule is not delinquent, 

or (3) other arrangements satisfactory to 

HUD are made prior to the deadline 

date. 

f. Pre-Award Accounting System 

Surveys. HUD may arrange for a preaward 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 part 84.21 

if you are an institution of higher 


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Federal Register / Vol. 72, No. 11 / Thursday, January 18, 2007 / Notices 2399 

education, hospital, or other nonprofit 

organization. See 24 CFR part 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: 

(1) Overcome the effects of 

impediments to fair housing choice that 

were identified in the jurisdiction’s 

Analysis of Impediments (AI) to Fair 

Housing Choice; 

(2) Remedy discrimination in 

housing; 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 Lowand Very Low-Income Persons (Section 

3). Certain programs to be issued during 

FY2007 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 LowIncome Persons in Connection with 

Assisted Projects), and the HUD 

regulations at 24 CFR part 135, 

including the reporting requirements at 

subpart E. Section 3 requires recipients 

to ensure, 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. Review the 

individual program NOFAs to 

determine if Section 3 applies to the 

program for which you are seeking 

funding. Applicants required to comply 

with Section 3 requirements must report 

annually using form HUD–60002 or 

HUD’s online system at http:// 

www.hud.gov/offices/fheo/system/ 

index.cfm. Copies of form HUD–60002 

are available on HUDClips at http:// 

www.hudclips.org/sub_nonhud/html/

nph-brs.cgi?d=FRMS&s1=hud6$[no]&op1=AND&SECT1=TXTHLB&

SECT5=FRMS&u=./ 

forms.htm&p=1&r=3&f=G. 

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 womenowned businesses participate fully in 

HUD’s direct contracting and in 

contracting opportunities generated by 

HUD financial assistance. Too often, 

these businesses still experience 

difficulty in accessing information and 

in successfully bidding on federal 

contracts. State, local, and tribal 

governments are required by 24 CFR 

85.36(e) and nonprofit recipients of 

assistance (grantees and sub-grantees) 

by 24 CFR 84.44(b) to take all necessary 

affirmative steps in contracting for the 

purchase of goods or services to assure 

that minority firms, women’s business 

enterprises, and labor surplus area firms 


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are used whenever possible or as 

specified in the individual program 

NOFAs. 

e. Real Property Acquisition and 

Relocation. 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 government-wide 

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. 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) to be exempt 

from the URA’s acquisition policies. 

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. 

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 translation and 

interpretive services in accordance with 

LEP guidance published on December 

19, 2003 (68 FR 70968). HUD expects 

final guidance to be published in 

January 2007. For assistance and 

information regarding your LEP 

obligation, go to http://www.lep.gov. 

g. Executive Order 13279, ‘‘Equal 

Protection of the Laws for Faith-Based 

and Community Organizations.’’ HUD is 

committed to full implementation of 

Executive Order 13279. The Executive 

Order established fundamental 

principles and policymaking criteria to 

guide federal agencies in formulating 

and developing policies that have 

implications for faith-based and 

community organizations to ensure the 

equal protection for these organizations 

in social 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 faithbased and other community 

organizations in HUD program 

implementation. HUD revised its 

program regulations in 2003 and 2004 to 

remove the barriers by participation of 

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 of technology, 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 


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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. 

Unless specifically authorized by law, 

FY2007 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 the high pay 

for members of the Senior Executive 

Service (SES). For information on 

Executive Pay Band levels, please see 

the Office of Personnel Management 

(OPM) Web site at http://www.opm.gov/ 

oca/06tables/html/es.asp. 

m. OMB Circulars and Governmentwide Regulations Applicable to 

Financial Assistance Programs. Certain 

OMB Circulars 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 Nonprofit Organizations), 

A–133 (Audits of States, Local 

Governments, and Non-Profit 

Organizations), and the regulations at 24 

CFR part 84 (Grants and Agreements 

with Institutions of Higher Education, 

Hospitals, and other Non-Profit 

Organizations), and 24 CFR part 85 

(Administrative Requirements for 

Grants and Cooperative Agreements to 

State, Local, and Federally Recognized 

Indian Tribal Governments), may apply 

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 FY2007, 

other federal statutes or regulations, or 

the provisions of this notice. 

Compliance with additional OMB 

circulars or government-wide 

regulations may be specified for a 

particular program in the Program 

Section of the SuperNOFA. Copies of 

the OMB circulars may be obtained from 

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) or (800) 877–

8339 (toll-free TTY Federal Information 

Relay Service); or from the following 

Web site: http://www.whitehouse.gov/ 

omb/circulars/index.html. 

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 nonHUD funds for these types of program 

activities, until one of the following has 

occurred: 

(1) HUD has completed an 

environmental review in accordance 

with 24 CFR part 50; or 

(2) For programs subject to 24 CFR 

part 58, HUD has approved a recipient’s 

Request for Release of Funds (form 

HUD–7015.15) following a Responsible 

Entity’s completion of an environmental 

review. 

You, the applicant, should consult the 

individual program NOFA for any 

program for which you are interested in 

applying to determine the procedures 

for, timing of, and any modifications or 

exclusions from environmental review 

under a particular program. For 

applicants applying for funding under 

the Section 202 Supportive Housing for 

the Elderly program or Section 811 

Supportive Housing for Persons with 

Disabilities program, please note the 

environmental review requirements for 

these programs. 

o. Conflicts of Interest. If you are a 

consultant or expert who is assisting 

HUD in rating and ranking applicants 

for funding under the SuperNOFA or 

future NOFAs published in FY2007, 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 

FY2007, 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 

FY2007 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 the 

FY2007 SuperNOFA 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 FY2007 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 


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provided in writing to HUD’s Office of 

Departmental Grants Management and 

Oversight, Department of Housing and 

Urban Development, 451 Seventh Street, 

SW., Room 3156, Washington, DC 

20410–3000, along with the following 

information: 

(a) The program title and award 

number for each HUD award covered; 

(b) The HUD staff contact name, 

phone, and fax numbers; 

(c) A grantee contact name, phone, 

and fax numbers; and 

(4) Require that each employee 

engaged in the performance of the 

federally funded award be given a copy 

of the drug-free workplace statement 

required in item (1) 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. 

r. Compliance with the Federal 

Funding Accountability and 

Transparency Act of 2006 (Public Law 

109–282). Applicants receiving an 

award from HUD should be aware of the 

requirements of the Federal Funding 

Accountability and Transparency Act of 

2006, which calls for the establishment 

of a central website that makes available 

to the public full disclosure of all 

entities receiving federal funds. The 

only exemptions to this law are federal 

transactions below $25,000 and credit 

card transactions prior to October 1, 

2006. 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 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 award and of the parent entity 

of the recipient, should the entity be 

owned by another entity; and 

(6) Any other relevant information 

specified by OMB. 

Additional information regarding 

these requirements 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. Copies of the published NOFAs and 

application forms for HUD programs 

made available at Grants.gov can be 

found at https://apply.grants.gov/

forms_apps_idx.html. 

2. Technical Assistance and 

Resources for Electronic Grant 

Applications. 

a. Grants.gov Customer Support. 

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 email 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. 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 error-proof tips to assist applicants 

in becoming familiar with submitting 

applications electronically. The guide is 

available online at http://www.hud.gov/ 

offices/adm/grants/deskuserguide.pdf. 

c. HUD’s Registration Brochure. HUD 

has a registration brochure that provides 

detailed information on the registration 

process. See http://www.hud.gov/ 

offices/adm/grants/regbrochure.pdf. 

d. HUD’s Finding and Applying for 

Grant Opportunities Brochure. HUD 

also has a brochure that will guide you 

through the process of finding and 

applying for grants. See HUD’s Finding 

and Applying for Grant Opportunities 

brochure at http://www.hud.gov/offices/ 

adm/grants/findapplybrochure.pdf. 

e. 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 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. 

f. 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 are made, HUD staff is available 

to assist in clarifying or confirming 

information that is a prerequisite to the 

offer of an award or annual 

contributions contract (ACC) by HUD. 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. 

g. Connecting with Communities: A 

User’s Guide to HUD Programs and the 

FY2007 NOFA Process Guidebook. A 

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 

FY2007, identifies eligible applicants 

for the programs, and provides 

examples of how programs can work in 

combination to serve local community 

needs. 

h. SuperNOFA Webcasts. HUD 

provides technical assistance and 

training on its programs announced 

through 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 


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charge and can be accessed via HUD’s 

Web site at www.hud.gov/offices/adm/ 

grants/fundsavail.cfm. The SuperNOFA 

Webcast schedule can be found via 

HUD’s Web site at http://www.hud.gov/ 

webcasts/index.cfm. 

B. Content and Form of Application 

Submission 

1. 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. This section provides 

information on how to register with 

Grants.gov. There are five sequential 

registration steps required for an 

applicant to complete: 

a. Step one is to obtain a Dun and 

Bradstreet Data Universal Numbering 

System (DUNS) number for your 

organization. All applicants seeking 

funding directly from HUD must obtain 

a DUNS number and include the 

number on the form SF–424, 

Application for Federal Financial 

Assistance, which is part of the 

application 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. Applicants cannot 

submit applications electronically 

without a DUNS number entry. 

Applicants should also be aware that 

the applicant information entered and 

used to obtain the DUNS number will be 

used to pre-populate the Central 

Contractor Registration (CCR), which is 

required as part of the registration 

process. Applicants should carefully 

enter and review their information 

when obtaining a DUNS number. 

When completing the application, 

applicants will be asked to provide their 

DUNS number on the SF–424. 

Applicants must carefully enter the 

DUNS number on the application 

package, making sure it is identical to 

the DUNS number under which the 

Authorized Organization Representative 

is registered to submit an application. If 

the DUNS number entered on the 

application package does not match the 

registration, the application will be 

rejected. For details about the error 

messages received when submitting 

with the wrong DUNS number, please 

see HUD’s Desktop Users Guide for 

Submitting Electronic Grant 

Applications at http://www.hud.gov/ 

offices/adm/grants/deskuserguide.pdf. 

Applicants can obtain a DUNS number 

by calling (866) 705–5711 (this is a tollfree number). The approximate time to 

get a DUNS number is 10 to 15 minutes, 

and there is no charge. You should wait 

approximately 24 to 48 hours to register 

with the CCR so that your DUNS 

number can become active in Dun and 

Bradstreet’s (D&B) records. 

b. Step two is to register with the CCR. 

Grant applicants must register with 

CCR to begin the electronic application 

submission process. The CCR is the 

primary vendor database for the federal 

government. In addition, your CCR 

registration must be renewed/updated 

annually. Failure to update/renew your 

CCR registration will cause your 

Grants.gov registration to be invalid and 

you will not be able to submit an 

application for funding. Registration can 

take several weeks, so HUD urges any 

applicant that has not completed or 

updated its registration to do so 

immediately because the changes to the 

CCR registration processing noted below 

may prohibit you from attempting to 

make these changes in the last few days 

prior to the deadline date. Applicants 

can register with the CCR at http:// 

www.ccr.gov/. The CCR registration 

process consists of completing a Trading 

Partner Profile (TPP), which contains 

general, corporate, and financial 

information about your organization. 

While completing the TPP, you will 

need to identify an E-Business Point of 

Contact (E-Business POC), who will be 

responsible for maintaining the 

information in the TPP and giving 

authorization to individuals to serve as 

Authorized Organization 

Representatives (AORs). The AOR will 

submit applications through Grants.gov 

for your organization. 

(1) CCR Use of D&B Information. At 

the end of July 2006, a policy change to 

the CCR name and address information 

was implemented. Under this new 

policy, instead of obtaining name and 

address information directly from the 

registrant, CCR will obtain 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/modify these fields in CCR; they 

will be pre-populated using D&B Data 

Universal Numbering System (DUNS) 

record data. During new registration or 

when updating a record, the registrant 

has a choice to accept or reject the 

information provided from D&B. Under 

the revised system, if the CCR 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&Bsupplied information, the registrant will 

need to go to the D&B Web site http:// 

fedgov.dnb.com/webform to modify the 

information currently contained in 

D&B’s records before proceeding with 

its CCR registration. Once D&B confirms 

modifications, the registrant must revisit 

the CCR Web site 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. On 

October 30, 2005, CCR began validating 

the Employer Identification Number 

(EIN)/Taxpayer Identification Number 

(TIN) and the Employer/Taxpayer Name 

of each new and updating CCR 

registrant with the IRS. The EIN/TIN 

matching process is a joint effort 

between the General Services 

Administration, Department of Defense, 

and IRS to improve the quality of data 

in government acquisition systems. A 

notice has gone out to CCR registrants 

informing them of the IRS validation in 

CCR registration. In order 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 at least 

one to two business days to validate 

new and updated records prior to 

becoming active in CCR. Therefore, 

please be sure that the data items 

provided to D&B match information that 

you have provided to the IRS. 

Otherwise, when the validation check 

with IRS is done, the registrations in 

D&B and the CCR will not match the IRS 

information and an error message will 

result. This will prevent the registration 

from being completed until the 

discrepancies have been resolved. 

Applicants should allow sufficient time 

to review their D&B and CCR 

information. If you have questions about 

your EIN or TIN, call (800) 829–4933. 

c. Step three requires that the 

designated Authorized Organization 

Representative (AOR) from the 

organization register with the Credential 


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Provider. In order to safeguard the 

security of your electronic information, 

Grants.gov utilizes a Credential Provider 

to determine with certainty that 

someone is really who he or she claims 

to be. Your organization will need to be 

registered with the CCR and you will 

need to have your organization’s DUNS 

number available to complete this 

process. An assigned AOR must register 

with the Credential Provider to create 

and receive a username and password, 

which are needed to submit an 

application package through Grants.gov. 

Applicants can register with the 

Credential Provider at http:// 

apply.grants.gov/OrcRegister. 

Beginning August 30, 2007, 

organizations will have three federally 

approved credential providers from 

which to choose their authentication 

services—the Agriculture Department; 

OPM’s Employee Express; and, the 

current provider, Operational Research 

Consultants, Inc. (ORC). 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 the 

credential providers on the list. 

d. Step four requires the AOR to 

register with Grants.gov in order to 

submit an electronic grant application. 

To submit an application to HUD, an 

AOR must be able to make a legally 

binding commitment on behalf of the 

applicant. The AOR can register with 

Grants.gov and submit an application on 

the same day. Applicants can register 

with Grants.gov at https:// 

apply.grants.gov/GrantsgovRegister. 

e. Step five requires the E-Business 

point of contact (POC) to approve the 

designated AORs. The E-Business POC 

can designate the AOR to submit 

applications on behalf of the 

organization at https://apply.grants.gov/ 

agency/AorMgrGetID. 

2. Instructions on How to Download 

an Application Package and 

Application Instructions 

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 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 links. The first thing you 

should do is download the 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. The 

second thing you should do is 

download the application by clicking on 

the Download Application link. Both 

the Instructions and Application can be 

saved to your desktop. You do not need 

to be registered to download and read 

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. 

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 Word (.doc) (version 9), 

Microsoft Excel 2000 (.xls), or Adobe 

(.pdf) formats. The pdf files are only 

fillable forms—not savable, unless you 

have Adobe Professional software 

version 6.0 or higher. 

(2) The Application download will 

also 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.’’ 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. 

(3) Because you will be adding 

additional attachment files to the 

downloaded application, applicants 

should save the application to their hard 

drive. Do not download the application 

or attempt to upload the application 

using a ‘‘thumb’’ or ‘‘jump drive,’’ as 

Grants.gov has found that applicants 

have problems uploading from a jump 

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 for 

submission. 

(4) 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 .doc (version 9), Microsoft Excel 

2000 (.xls), or Adobe (.pdf) format 

compatible with Adobe Reader 6.0 or 

later. The pdf forms are form fillable but 

not savable unless you have Adobe 

Professional 6.0 or higher. Applicants 

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. 

Copies of the Continuum of Care 

application forms will be on HUD’s 

website at http://www.hud.gov/offices/ 

adm/grants/fundsavail.cfm until such 


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time as HUD places an application on 

www.Grants.gov/Apply. Once an 

application is placed on Grants.gov/ 

Apply, applicants should follow the 

website instructions for obtaining an 

application from Grants.gov. 

3. 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 (version 9 or earlier), 

Microsoft Excel (.xls) 2000 (or earlier) or 

in Adobe (.pdf) format that is 

compatible with Adobe Reader 6.0 or 

earlier. If HUD receives a file in a format 

other than those specified, 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. Program NOFAs may require 

files to be submitted separately or as a 

single ZIP file, so please carefully 

review the individual NOFAs when 

they are published. Documents that 

applicants possess in electronic format, 

e.g., narratives they have written, or 

graphic images (such as computer aided 

design (CAD) files from an architect) 

must be saved in PDF format compatible 

with Adobe Reader 6.0 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 photos 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 attachments file. HUD 

cannot open such files when they are 

attached as attachments. 

(b) Check the attachment file and 

make sure it has a file extension of .doc, 

.pdf, .xls, .jpg, or .jpeg. 

(c) Make sure that file extensions are 

not in upper case. File extensions must 

be lower case for the file to be opened. 

(d) DO NOT use special characters 

(i.e., #, %, /, etc.) in a file name. 

(e) DO NOT include spaces in the file 

name. 

(f) 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, 

memoranda 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 Attachment 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 attachment form. 

(b) Faxing Required Documentation. 

Applicants may fax the required 

documentation as program-specific 

forms to HUD. Applicants should only 

use this method 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 

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 


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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 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 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 HUD–

96011 facsimile transmittal cover page 

and must send the information to the 

following fax number: (800) HUD–1010. 

If you cannot access the toll-free 800 

number or experience problems, you 

may use (215) 825–8798 (this is not a 

toll-free number). 

(iv) Fax Individual Documents as 

Separate Transmissions. In addition, 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 1–10 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 matches their electronic 

application (i.e., is part of the 

application package downloaded from 

Grants.gov). As stated previously, when 

faxing information, you must ensure 

that if your facsimile machine 

automatically generates a cover page, 

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 81⁄2′′ 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 and make a copy of the first 

two or three pages. You will see what 

HUD receives 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?’’ 

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 E-Business POC has 

authorized you to submit an application 

on behalf of your 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 the 

facsimile cover page that you provided. 

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. There are 

several steps in the upload and receipt 

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 issues can be 

addressed prior to the deadline date and 

time. HUD 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 have 

submitted multiple applications, be sure 

to check to see what application to 

which each confirmation applies. 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; and 

d. All the mandatory (highlighted) 

fields and forms were completed on the 

application. 


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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 the 

submitter will receive an email 

indicating the application has been 

rejected. The email 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, 

the applicant will have time to make the 

corrections and resubmit the application 

before the deadline. By submitting 72 

hours in advance of the deadline, 

applicants should have time to cure 

deficiencies in their application. In 

developing the application submission 

dates, HUD has considered the 

validation process and established due 

dates for all NOFAs that add in the 

additional time needed for the 

validation process. For example, if HUD 

previously provided a 60-day 

application period, HUD will provide a 

63-day application period in FY2007. In 

this scenario, however, in order to meet 

the validation requirement, your 

application must be submitted by 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 email. 

The receipt indicates that the 

application has passed the validation 

review at Grants.gov and 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 pick-up 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. 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 

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 limits the size of files 

going in or out; or (3) the Internet 

service provider has 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. 

g. Ensure You Have Installed the Free 

Grants.gov Software. Check to ensure 

that the latest version of the 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 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, call the Grants.gov Support 

Desk. 

5. 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. 

6. Continuum of Care Paper 

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 program section. 

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 


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assistance and direct federal 

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 State Points of 

Contact (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 submission to HUD. 

Please make sure that you allow 

ample time for this review when 

developing and submitting your 

applications. If your state does not have 

a SPOC, you can submit your 

application directly to HUD using 

Grants.gov. 

E. Funding Restrictions 

The individual program NOFAs will 

describe any funding restrictions that 

apply to each program. 

F. Other Submission Requirements 

1. Application Kits. There are no 

application kits for HUD programs. All 

the information you need to apply will 

be in the NOFA and available at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. 

2. 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 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 file for the program NOFA or 

NOFAs to which you are applying. 

3. Application Certifications and 

Assurances. Applicants are placed on 

notice that by signing the SF–424 cover 

page: 

a. The governing body of the 

applicant’s organization has duly 

authorized the application for federal 

assistance. In addition, by signing or 

electronically submitting the 

application, the 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 

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, staterecognized 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. 

4. 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 cause. If the waiver is 

granted, the applicable program office’s 

response will include instructions on 

how many hard 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 

SuperNOFA and as per the final 

Appendix A published with 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 

headquarters of the applicable HUD 

office no later than 15 days before the 

application deadline. This will allow 

time for HUD to process the waiver 

request and give the applicant sufficient 

time to submit the paper application to 

meet the deadline if the waiver is 

granted. To expedite the receipt and 

review of such requests, applicants may 

email 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 for Award Used to Evaluate 

and Rate Applications. For each 

program NOFA, the points awarded for 

the rating factors total 100. Depending 

on the program for which you are 

seeking funding, the funding 


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opportunity may provide up to four 

bonus points, as provided 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 and 

enterprise community designated in 

round II by USDA (EZ–II), and that the 

proposed activities/projects will be 

located within the RC/EZ/EC–II 

identified above and are intended to 

serve the residents. 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 Web site at http://egis.hud.gov/ 

egis/. 

b. The Five Standard Rating Factors 

for FY2007. HUD has established the 

following five standard factors for 

awarding funds under the majority of its 

FY2007 program NOFAs. 

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. 

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 you are 

responding. 

The Continuum of Care Homeless 

Assistance programs have only two 

factors that receive points: (1) Need and 

(2) Continuum of Care. 

c. Additional Criterion. In addition to 

the Standard Rating Criterion, HUD will 

consider the following additional items 

when rating your application(s). 

(1) Past Performance. In evaluating 

applications for funding, HUD will take 

into account applicants’ past 

performance in managing funds, 

including, but not limited to, the ability 

to account for funds appropriately; 

timely use of funds received either from 

HUD or other federal, state, or local 

programs; 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. 

(2) Deducting Points for Poor 

Performance. In evaluating past 

performance, HUD may elect to deduct 

points from the rating score or establish 

threshold levels as specified under the 

Factors for Award in the individual 

program NOFAs. 

B. Reviews and Selection Process 

1. HUD’s Strategic Goals to 

Implement HUD’s Strategic Framework 

and Demonstrate Results. HUD is 

committed to ensuring that programs 

result in the achievement of HUD’s 

strategic mission. To support this effort, 

grant applications submitted for HUD 

programs will be rated on how well they 

tie proposed outcomes to HUD’s policy 

priorities and annual goals and 

objectives, as well as the quality of the 

applicant’s proposed evaluation and 

monitoring plans. HUD’s strategic 

framework establishes the following 

goals and objectives for the Department: 

a. Increase Homeownership 

Opportunities. 

(1) Expand national homeownership 

opportunities. 

(2) Increase minority homeownership. 

(3) Make the home-buying process 

less complicated and less expensive. 

(4) 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 FaithBased 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 


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organizations and HUD’s grantees and 

subgrantees. 

Additional information about HUD’s 

New Strategic Plan FY2006–FY2011, 

and 2002–2007 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 FY2007 and 

beyond, when the majority of funding 

recipients will be reporting 

programmatic results and achievements. 

Applicants that include work activities 

that specifically address one or more of 

these policy priorities will receive 

higher rating scores than applicants that 

do not address these HUD priorities. 

Each NOFA issued in FY2007 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 ModerateIncome Persons, Persons with 

Disabilities, the Elderly, Minorities, and 

Persons with Limited English 

Proficiency. Too often, these individuals 

and families are shut out of the housing 

market through no fault of their own. 

Often, developers of housing, housing 

counseling agencies, and other 

organizations engaged in the housing 

industry must work aggressively to open 

up the realm of homeownership and 

rental opportunities to low- and 

moderate-income persons, persons with 

disabilities, the elderly, minorities, and 

persons with limited English 

proficiency. Many of these families are 

anxious to have homes of their own, but 

are not aware of the programs and 

assistance that are available. Applicants 

are encouraged to address the housing, 

housing counseling, and other related 

supportive service needs of these 

individuals and coordinate their 

proposed activities with funding 

available through HUD’s affordable 

housing programs and home loan 

programs. 

Proposed activities support strategic 

goals a, b, and d. 

b. Improving our Nation’s 

Communities. HUD wants to improve 

the quality of life for those living in 

distressed communities. Applicants are 

encouraged to include activities that: 

(1) Bring private capital into 

distressed communities; 

(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; 

and 

(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; 

(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 from the NOFA Information 

Center at (800) HUD–8929 and also from 

the Office of Fair Housing and Equal 

Opportunity, Department of Housing 

and Urban Development, 451 Seventh 

Street, SW., Room 5230, Washington, 

DC 20410–2000; telephone (202) 755–

5404 or toll-free at (800) 877–8339 

(TTY). Persons with hearing or speech 

impairments may access these numbers 

via TTY by calling the Federal 

Information Relay Service at (800) 877–

8339. (These are toll-free numbers.) 

Accessible design features are 

intended to promote visitability and 

incorporate features of universal design, 

as described below. 

(1) Visitability in New Construction 

and Substantial Rehabilitation. 

Applicants are encouraged to 

incorporate visitability standards, where 

feasible, in new construction and 

substantial rehabilitation projects. 

Visitability standards allow a person 

with mobility impairments access into 

the home, but do not require that all 

features be made accessible. Visitability 

means that there is at least one entrance 

at grade (no steps), approached by an 

accessible route such as a sidewalk, and 

that the entrance door and all interior 

passage doors are at least 2 feet, 10 

inches wide, allowing 32 inches of clear 

passage space. A visitable home also 

serves persons without disabilities, such 

as a mother pushing a stroller or a 

person delivering a large appliance. 

More information about visitability is 

available at 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. Universal design 

benefits people of all ages and abilities. 

In addition to any applicable required 

accessibility feature under Section 504 

of the Rehabilitation Act of 1973 or the 

design and construction requirements of 

the Fair Housing Act, the Department 

encourages applicants to incorporate the 

principles of universal design when 

developing housing, community 

facilities, and electronic communication 

mechanisms, or when communicating 

with community residents at public 

meetings or events. 

HUD believes that by creating housing 

that is accessible to all, it can increase 

the supply of affordable housing for all, 

regardless of ability or age. Likewise, 

creating places where people work, 

train, and interact that are 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:8120/cud/ or the 

Resource Center on Accessible Housing 

and Universal Design at 

www.abledata.com/abledata.

cfm?pageid=113573&top=

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Activities support strategic goals a 

thru d. 

d. Providing Full and Equal Access to 

Grassroots Faith-Based and Other 

Community Organizations in HUD 

Program Implementation. 

(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, such as assisting the homeless 

and preventing homelessness, 

counseling individuals and families on 

fair housing rights, providing elderly 

housing opportunities, developing firsttime homeownership programs, 

increasing homeownership and rental 

housing opportunities in neighborhoods 

of choice, developing affordable and 

accessible housing in neighborhoods 

across the country, creating economic 

development programs, and supporting 

the residents of public housing 

facilities. HUD seeks to make its 

programs more effective, efficient, and 

accessible by expanding opportunities 

for grassroots organizations to 

participate in developing solutions for 

their own neighborhoods. Additionally, 

HUD encourages applicants to include 

these grassroots faith-based and other 

community organizations in their work 

plans. Applicants, their partners, and 

participants must review the individual 

FY2007 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 

FY2007 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 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 www.ed.gov/about/offices/ 

list/ocr/edlite-minorityinst.html or 

HUD’s Web site at 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 selfsufficiency; 

(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 FY2007, 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 


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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 PHAs, nonprofit organizations, and 

other qualified applicants applying for 

funds for projects located in these 

jurisdictions, are invited to answer the 

20 questions under Part A. An applicant 

that scores at least five in column 2 will 

receive 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.hudclips.org/ 

sub_nonhud/html/forms.htm. 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. Participation in Energy Star. HUD 

has adopted a wide-ranging energy 

action plan for improving energy 

efficiency in all program areas. As a first 

step in implementing the energy plan, 

HUD, the Environmental Protection 

Agency (EPA), and the Department of 

Energy (DOE) have signed a partnership 

to promote energy efficiency in HUD’s 

affordable housing programs, including 

public housing, HUD-insured housing, 

and housing financed through HUD 

formula and competitive programs. The 

purpose of the Energy Star partnership 

is to promote energy-efficient affordable 

housing stock while protecting the 

environment. Applicants constructing, 

rehabilitating, or maintaining housing or 

community facilities are encouraged to 

promote energy efficiency in design and 

operations. They are urged especially to 

purchase and use products that display 

the Energy Star label. Applicants 

providing housing assistance or 

counseling services are encouraged to 

promote Energy Star materials and 

practices, as well as buildings 

constructed to Energy Star standards, to 

both homebuyers and renters. 

Applicants are encouraged to 

undertake program activities that 

include developing Energy Star 

promotional and information materials; 

providing outreach to low- and 

moderate-income renters and buyers on 

the benefits and savings when using 

Energy Star products and appliances; 

utilizing Energy Star-designated 

products in the construction or 

rehabilitation of housing units; and 

replacing worn products or facilities, 

such as light bulbs, water heaters, 

furnaces, etc., with Energy Star products 

in order to reduce operating costs. 

Communities and developers are 

encouraged to promote the designation 

of community buildings and homes as 

Energy Star compliant. For further 

information about Energy Star, see 

http://www.energystar.gov or call the 

following toll-free numbers: (888) 782–

7937 or (888) 588–9920 (TTY). 

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 you, the applicant, may want to 

provide. HUD may contact you to clarify 

an item in your application or to correct 

curable (correctable) technical 

deficiencies. HUD may not seek 

clarification of items or responses that 

improve the substantive quality of your 

response to any rating factors. In order 

not to unreasonably exclude 

applications from being rated and 

ranked, HUD may contact applicants to 

ensure proper completion of the 

application and will do so on a uniform 

basis for all applicants. 

Examples of curable (correctable) 

technical deficiencies include 

inconsistencies in the funding request, 

failure to submit the proper 

certifications, and failure to submit an 

application that contains a signature by 

an official able to make a legally 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 you in writing by 

describing the clarification or technical 

deficiency. HUD will notify applicants 

by 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, your correction must be 

received by HUD on the next day that 

is not a Saturday, Sunday, or federal 

holiday.) If the deficiency is not 

corrected within this time, HUD will 

reject the application as incomplete, and 

it will not be considered for funding. In 

order to meet statutory deadlines for the 

obligation of funds or for timely 

completion of the review process, 

program NOFAs may reduce the number 

of days for submitting a response to a 

HUD clarification or a correction to a 

technical deficiency. Please be sure to 


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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 

only against those applying for the same 

program funding. 

Where there are set-asides within a 

program competition, you, the 

applicant, will compete against only 

those applicants in the same set-aside 

competition. 

C. Anticipated Announcement and 

Award Dates 

The individual program NOFAs will 

provide the applicable information 

regarding this subject. 

VI. Award Administration Information 

A. Award Notices 

1. Negotiation. After 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 highestranking 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 

your 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 

your application (excluding duplicative 

portions) may be funded. 

c. If funds remain after funding the 

highest-ranking applications, HUD may 

fund all or part of the next highestranking application in a given program. 

If you, the applicant, turn down an 

award offer, HUD will make an offer of 

funding to the next highest-ranking 

application. 

d. If funds remain after all selections 

have been made, remaining funds may 

be made available within the current 

fiscal year for other competitions within 

the program area or held over for future 

competitions. 

e. Individual program NOFAs may 

have other requirements, so please 

review the program NOFA carefully. 

3. Funding Errors. In the event HUD 

commits an error that, if corrected, 

would result in selection of an applicant 

during the funding round of a program 

NOFA, HUD may select that applicant 

when sufficient funds become available. 

4. Performance and Compliance 

Actions of Funding Recipients. HUD 

will measure and address the 

performance and compliance actions of 

funding recipients in accordance with 

the applicable standards and sanctions 

of their respective programs. 

5. Debriefing. For a period of at least 

120 days, beginning 30 days after the 

awards for assistance are publicly 

announced, HUD will provide to a 

requesting applicant a debriefing related 

to its application. A 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 you applied for 

assistance. Information provided during 

a debriefing will include, at a minimum, 

the final score you received for each 

rating factor, final evaluator comments 

for each rating factor, and the final 

assessment indicating the basis upon 

which assistance was provided or 

denied. 

B. Administrative and National Policy 

Requirements 

See Section III.C. of this notice 

regarding related requirements. 

C. Reporting 

1. Use of a Logic Model to Report 

Performance. In FY2004, HUD used 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 Web site. 

It is HUD’s intent to publish approved 

logic models and grantee progress 

reports submitted to HUD on its Grants 

web site. Starting with awards made in 

FY2007, HUD is establishing a Grants 

Performance page that will feature 

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 web site page to highlight 

and make available to the public 

performance and results from HUDfunded 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 in 

funded programs 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. 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 publish the proposed ROI 

Statements for public comment. HUD 


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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. HUD intends to 

publish the first ROI Statements for 

public comment and input during 

FY2007. 

4. The logic model form (HUD–

96010), which is a Microsoft Excel 

workbook, contains instructions in Tab 

1 on how to use the form. The form or 

eLogic Model incorporates a programspecific 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 dropdown 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 

units of measure, whether for outputs or 

outcomes, contain both a number and a 

descriptor of the output or outcome that 

is counted. Applicants select the unit of 

measure in accordance with the output 

or outcome selected, and then insert the 

expected number of units to be 

completed or achieved 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). 

5. Based upon experience gathered 

from the logic models completed in 

FY2006, HUD has made the following 

changes to the logic model format: 

a. Added drop-down menus for HUD 

Strategic Goals and Policy Priorities to 

eliminate applicant confusion as to 

what letters and numbers to use for the 

goals and priorities, and to improve data 

quality; 

b. Added tabs for Year 1, Year 2, and 

Year 3 activities as well as a tab for 

Total. HUD found that applicants within 

a program had varying opinions or 

interpretations on time frames for short, 

intermediate, and long term. To provide 

for greater consistency in reporting, 

applicants should include all activities 

and outcomes expected per year of the 

period of performance. HUD also found 

that applicants varied their use of the 

short, intermediate, and long-term totals 

so that it was difficult to distinguish if 

long-term totals were cumulative or just 

reflective of the activities performed 

during the last reporting period. To 

eliminate this problem, HUD has added 

a Total tab so that cumulative projected 

and final results can be shown covering 

all years of the period of performance. 

Applicants with a one-year period of 

performance will only have to complete 

the Year 1 tab, since the total results 

will all occur in the one-year award 

period. 

c. Included a new tab for reporting 

instructions. For the grantees’

convenience and to call attention to the 

requirements, the logic model form now 

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 these 

changes to the form do not add 

additional burden hours to the 

information collection, HUD believes 

that the changes will assist the applicant 

in completing their logic model and 

provide for better quality logic models 

and reporting to HUD. The changes 

were developed based on eLogic 

ModelsTM received in FY2006 and 

comments received from applicants 

during the NOFA process. HUD will 

continue to review data received via the 

eLogic ModelsTM and would like to 

thank the applicant/grantee community 

for their recommendations and insights. 

6. In FY2007, grantees must adhere to 

the following reporting principles: 

a. An evaluation process will be part 

of the ongoing management of the HUDfunded 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 FY2006, 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 FY2007. In 

developing the master logic model 

Program Management Evaluation 

Questions, 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

Management questions Logic model columns for source 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 delivered? ............................................. Service/Activity/Output/Evaluation. 

7. What happens to the ‘‘subjects’’ as a result of the service? 2 ............. Outcome 

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 investment? ..................................................... Evaluation. 

1‘‘The Accountable Agency—How to Evaluate the Effectiveness of Pubic and Private Programs,’’ Reginald Carter, ISBN Number 

9780978724924. 2The subject can be a client or a unit, such as a building, and is defined in its associated unit of service. 


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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 CarterRichmond Methodology in their reports 

to HUD. The program NOFAs will 

identify the particular questions to be 

addressed that relate to the statutory 

purpose and intent of each program. 

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 Model.TM

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 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. Applicants must 

submit the Logic Model in the Microsoft 

Excel format provided. DO NOT convert 

the file to PDF format. 

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 

accord with the reporting periods 

identified in each program NOFA for 

providing reports to HUD. 

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. 

8. Frequency of Reports and Data 

Consistency. 

a. Logic Model Reporting. When 

submitting eLogic ModelTM reports on a 

quarterly or semi-annual 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. 

b. Race and Ethnic Data Report. 

When submitting the Race and Ethnic 

Data Reporting Form (HUD–27061) on a 

quarterly or semi-annual basis, each 

reporting period should show the 

results that occurred during the 

performance period for all active clients. 

If a multi-year 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. Grants.gov and Public Law 106–107 

Streamlining Activities 

The Federal Financial Assistance 

Management Improvement Act of 1999 

(Pub. L. 106–107) directs each federal 

agency to develop and implement a plan 

that, among other things, streamlines 

and simplifies the application, 

administrative, and reporting 

procedures for federal financial 

assistance programs administered by the 

agency. This law also requires the 

Director of OMB to direct, coordinate, 

and assist federal agencies in 

establishing: (1) a common application 

and reporting system and (2) an 

interagency process for addressing ways 

to streamline and simplify federal 

financial assistance application and 

administrative procedures as well as 

reporting requirements for program 

applicants. Over the last several years, 

the Public Law 106–107 work groups 

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. Applicants and grantees 

are urged to participate in the listening 

tour broadcasts sponsored by the Grants 

Policy Council and the Public Law 106–

107 work groups and to become familiar 

with the proposed changes to simplify 

requirements at http://www.grants.gov/ 

aboutgrants/streamlining_initiatives.jsp. 

B. Grants.gov 

The first segment of the Grants.gov 

initiative focuses on allowing the public 

to easily FIND competitive funding 

opportunities and then APPLY via 

Grants.gov. HUD posted all of its 

funding opportunities on http:// 

www.grants.gov/applicants/ 

find_grant_opportunities.jsp in FY2004, 

with the exception of Continuum of 

Care, and in FY2005 placed all 

applications on http://www.Grants.gov/ 

Apply, with the exception Continuum of 

Care. In addition, Grants.gov is working 

with the federal agencies to begin the 

process of accepting mandatory and 

formula grant program plans and 

application submissions online via 

Grants.gov. Applicants for HUD’s 

formula and competitive programs are 

urged to become familiar with the 

Grants.gov site, registration procedures, 

and electronic submissions so that as 

the site is expanded, you will be 

registered and familiar with the findand-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 


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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 website information on 

these IRS asset-building resources. HUD 

encourages you to visit the site and 

disseminate this information to lowincome residents in your community 

and other organizations that serve lowincome 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 

available for public inspection between 

8 a.m. and 5 p.m. eastern time, Monday 

through Friday, except federal holidays, 

in the Office of the General Counsel, 

Regulations Division, 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 (Pub. L. 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. 

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 FY2007 

NOFAs, whether published in the 2007 

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 FY2007 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, nondemand) noncompetitive 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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2418 Federal Register / Vol. 72, No. 11 / Thursday, January 18, 2007 / Notices 


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[FR Doc. 07–131 Filed 1–17–07; 8:45 am] 

BILLING CODE 4210–67–P 


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